RECORDS MANAGEMENT HANDBOOK FORMS MANAGEMENT

• Document Type: CREST
• Collection: General CIA Records
• Document Number (FOIA) /ESDN (CREST): CIA-RDP74-00005R000100020028-2
• Release Decision: RIFPUB
• Original Classification: K
• Document Page Count: 40
• Document Creation Date: December 9, 2016
• Document Release Date: April 24, 2001
• Sequence Number: 28
• Publication Date: January 1, 1969
• Content Type: REPORT

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FPMR 101-11.2
RECORDS MANAGEMENT HANDBOOK
Managing Forms
FORMS
MA NAGEMENT
GENERAL SERVICES
ADMINIISMSTRATIION' Z
Y
GENERAL SERVICES ADMINISTRATION
NATIONAL ARCHIVES AND RECORDS SERVICE
OFFICE OF RECORDS MANAGEMENT
Federal Stock Number
7610-142-9363
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RECORDS MANAGEMENT HANDBOOKS are
developed by the National Archives and Records Service
as technical guides to reducing and simplifying paperwork.
RECORDS MANAGEMENT HANDBOOKS:
Managing correspondence: Plain Letters------------- 1955 47 p.
Managing correspondence: Form Letters-- - - - - - - - - - - - 1954 33 p.
Managing correspondence: Guide Letters----------- 1955 23 p.
Managing directives: Communicating Policy and Pro-
cedure------------------------------------------ 1967 62 p.
Managing forms: Forms Analysis------------------- 1960 62 p.
Managing forms: Forms Design ------------------ ----- 1960 89 p.
Managing forms: Forms Management-- -- ------ .--- 1969 34 p.
Managing mail: Agency Mail Operations ------------ 1957 47 p.
Managing current files: Files Operations------------- 1964 76 p.
Managing current files: File Stations ----------------- 1967 52 p.
Managing current files: Subject Filing--------------- 1966 40 p.
Managing emergency vreparedness files: Federal Vital
Records Program -------------------------------- 1968 16 p,
Managing noncurrent files: Applying Records Sched-
ules-------------------------------------------- 1961 23 p.
Managing noncurrent files: Federal Records Centers-- 1967 39 p.
Mechanizing paperwork: Source Date Automation--- 1965 78 p.
Mechanizing paperwork: Source Data Automation
Equipment Guide------------------------------ 1962 120 p.
Mechanizing paperwork: Source Data Automation
Systems---------------------------------------- 1963 183 p.
General : Bibliography for Records Managers - - - - - - - 1965 58 p.
General: Copying Equipment---------------------- 1966 82 p.
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FOREWORD
Before discussing the responsibilities of forms management, it would be
well to define a form, which is nothing more than a kind of questionnaire with
the constant information printed on it, leaving spaces for the entry of variable
information. It is generally printed on paper or some related substance; it
may be printed by any of many reproduction processes (it may be reproducible
itself); and it may be constructed of several similar or different parts or
attachments.
Probably the best criterion for judging whether a piece of paper is a form
is its function in relation to a procedure or system. Does it qualify as an essential
link in an operating procedure and as a medium for communication?
For forms management to be effective, it must find its basic inception
and impetus at the policy making levels of management. There must be a
topside understanding and appreciation of what forms management is and
what it can do. This handbook seeks to provide that understanding and
appreciation.
For forms management to be effective, it must also find the forms originator
accepting responsibility for his role in improving procedures through a forms
review. Eventually each existing form and proposed form should thus get a
careful analysis. Only after such an analysis and after use, quantity, cost,
construction, and distribution factors are determined should a form go to
the printer.
III
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CONTENTS
Page
1. The Need For Forms Management - - - - - - - - - - - - - - - - - - -
1
II. Organizing the Program------------------------------
4
III. Establishing Relationships---------------------------
8
IV. Procedures----------------------------------------
14
V. Reporting the Program------------------------------
23
Appendix A----------------------------------------
29
Appendix B----------------------------------------
31
Check List------------------------------ Inside Back Cover
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I. THE NEED FOR FORMS MANAGEMENT
It takes many forms (estimated to be some
360,000 different ones, utilizing fifteen billion
copies) to keep the wheels of the Federal estab-
lishment turning. In Government, as in indus-
try, it is a rare procedure which does not require
the use of several forms. Forms provide the
skeletal structure to most systems. It is the
dependence of Government upon its multitude
of systems and procedures then that brings
forms into being.
Since forms are helpful in performing work,
they are frequently used in procedures to dictate
the way work is laid out. By their very design,
forms often guide the flow of work through an
office or a number of offices. Systems use well
constructed forms to increase production and
promote accuracy, with a minimum of back-
tracking and delay. Little wonder then that
almost three-fourths of all Federal records are
forms, and half of all Federal reports are forms.
In short, forms are popular because they
seem so efficient. They can collect and transmit
valuable information fast. They can furnish a
reasonably compact record. They can be dutiful
servants of management, in that they are often
the natural work units for office work, such as
computer input and cost accounting. If there
were no such things as forms, Federal admin-
istrative costs would rise dramatically. To
attempt to conduct business without forms
would truly be inefficient.
The best of forms are usually capable of
improvement from time to time if only because
needs and circumstances change with the
passing of time. The result of forms review
will naturally vary according to the frequency
with which it is undertaken and the extent of
changes in the requirements, but it is generally
worthwhile. In one Federal agency, examina-
tion of 536 forms over a period of one year
resulted in major changes affecting almost
two-thirds of them. While some were transferred
to other agencies, 176 were abolished, and 112
were combined? reduced in size, redesigned or
otherwise amended. The consolidations and
copy reductions among the 201 which were
retained eliminated 1,890,000 pieces of paper
a year. This is a typical story-repeated over
and over.
Many defects in forms are the result of
designing forms without paying sufficient at-
tention to both the beginnings and ends of
work, e.g., by concentrating on information
required without sufficiently considering the
precise sources by which it will be provided.
Other defects are usually due to one or more of
eight things:
? The form is the wrong tool for the proce-
dure
? It is more difficult to fill in than it should
be
The Problem
However efficient forms are collectively, indi-
vidual forms may be something less than
efficient. Since virtually every office has to use
many forms, and the resulting work occupies a
significant part of the time of its staff, it is
essential that office forms should be well de-
signed so as to require the minimum effort on
the part of those who have to complete or use
them-whether civil servants or members of
the public.
? It duplicates or-overlaps the information
on another form
? The instruction which prescribes its use
is not clear, or is incomplete
? Obsolete forms are still in the supply
system
? Creation is uncontrolled, or design stand-
ards are otherwise not followed
? Too many copies are made and kept
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NEW FORMS PRODUCING MACHINES
The , new office technology, highly mechanized, depends up-on
forms as much as the old, largely manual office technology.
The great difference, as shown below, is that the new tech
t!og . utilizes specialty forms, such as the continuous inter-
lea! variety, rather than single sheet cut forms which dominated
the, `oS Jecfnology.
2
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related forms and procedures, possibilities may THE OBJIECTIVES OF A FORMS
arise for improvement that go beyond the PROGRAM
specific actions of entering information on the
form or taking data from it in some prescribed
sequence. The very nature of the information
called for by a form may, by study, tell much
about workload and work content that is more
significant than the immediate act of making
entries. Clearly, it is to the advantage of agencies
to see that such studies are conducted.
Furthermore, with today's computers and
terminals-with the event of punched paper
tapes, tape-to-card and tape-to-tape converters,
the storage of data on magnetic tapes and
discs-the principle of single entry of basic data
and automatic transmission and processing with
minimum intervention of people calls for a
change in the role forms should play in an
agency's systems picture. Figure 1 depicts
how the new technology relies upon forms.
Forms Can Be Managed
An administrative resource as inherently
useful as forms has to be controlled. It can be,
using the techniques of forms management.
Forms management can be defined simply.
It says someone from management must weigh
the work implications of each form before it is
printed. The member of management who does
this must be aware of how he can improve
operating efficiency, suppress costs, and enhance
public service through such a review.
A forms managerial review, properly located
in the organization, with a skilled staff, and in
cooperation with all other agency elements, can
assure a Department Secretary or Agency
Administrator that management has accepted
the responsibility (a) for ascertaining that each
form fulfills a basic requirement of an approved
operating procedure, (b) for designing it so
that it will perform its purpose efficiently and
effectively, (c) for specifying the most economi-
cal method of manufacture, and (d) for estab-
lishing a system of stock control and replenish-
1. Only needed forms, utilizing only
needed information, get approved
2. All forms meet design standards
3. Forms are used to achieve more
efficient procedures
4. Forms are printed, distributed, and
replenished economically
ment that will, make forms available when
needed, in economic quantities. See figure 2
for a more condensed summation of objectives.
In view of the wide range of economies made
possible by such a program, forms management
should be a staff-saving, not a staff-adding
function.
What Must Be Done
Congress, through its enactment of the Fed-
eral Records Act of 1950, recognized the de-
sirability of more control over records creation.
The 1950 statute requires the head of each
agency to utilize the regulations of the Adminis-
trator of General Services to this end. In
appendix A of this handbook will be found the
GSA regulations on forms management. The
provisions set forth there have been repeatedly
tested for their validity over the last two
decades and are widely accepted as the mini-
mum requirements for an effective forms
management program. So long as the cost of
forms within the Federal administrative process
is in excess of one billion dollars a year, and so
long as they account for two-thirds of the
Federal printing bill, forms management is a
must.
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A large number of employees have a well
identified stake in some phase of forms manage-
ment in most Federal agencies. They are the:
Program officials who originate the forms
Administrative officers
Forms management staffs
Computer specialists
Reports review and control staffs
Management analysts
Filing equipment specialists
Records disposal officials
Directives specialists
Information systems technicians
Printing procurement staffs
Supply and distribution personnel
Consumers who fill in the forms
Users who read and act on the forms
Clerks who file the forms
This list numbers over a million persons, ex-
cluding the citizenry filling in public-use forms.
Thus, forms seem to be everybody's business.
Where so many interests overlap, relationships
can grow fuzzy indeed unless there is a good
understanding of people's proper roles. So let's
start at the beginning.
The managing of forms constitutes a program.
A program is more than a hope, or an approach,
or even a group of objectives. It is additionally
a structured, continuous activity. It relies on
a body of theory, well conceived, and a set of
practical techniques, fully formulated.
Any program must have a charter which
describes (a) its mission; (b) its organizational
placement; (c) the assigned personnel, even if
only part time; (d) the coordinated relation-
ships with other organizational segments; and
(e) the operating procedures.
The Program Charter
Agency charters differ greatly in length and
the degree of detail. A collection of these
charters is maintained by the Forms Manage-
ment Council, whose secretariat is located in
the Office of Records Management, National
Archives and Records Service, Washington,
D.C. 20408. The typical charter, in addition
to covering the matters enumerated (a) through
(e) in the paragraph above, serves notice on
the agency of management support of the pro-
gram. It signifies the program is no temporary
expedient to be discarded when short-term
objectives have been realized, but is part of
the administrative structure of the organization.
Program Mission
The mission of a program is the combined
total of its purposes, responsibilities, and
authority. Where forms management is con-
cerned there are at least nine major elements.
(1) Planning and Training. A forms man-
agement program must sell its services. Estab-
lishing goals for topside approval; building
acceptance of the program by related staff
officials; and developing understanding by
operating people-these are planning tasks.
Tied in closely with this planning is training
that (a) sponsors and permits broader partici-
pation in the objectives of forms management,
and (b) provides technical guidance for forms
originators.
(2) Coordination and Liaison. As already
indicated many have an interest in forms man-
agement. This calls for teamwork. Program
leadership to provide coordination with such
sister service facilities as reproduction, supply,
and distribution is necessary. If there is to be
an alert program, there must be an effective
tie-in with the management of directives and
reports. The program also needs well selected
and thoroughly oriented forms liaison repre-
sentatives in the components served.
(3) Procedural Analysis. Most proposals for
a new, revised, or reprinted form are analyzed
from the point of view of the procedure which
gives the form meaning. The content of the form
is evaluated; its effect upon work methods and
procedures studied. Every item and every
copy gets scrutinized. The greater the usage
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e more in ense shou process is a so use u in promoting the program,
be the analysis. Some agencies may adopt a maintaining proper liaison, and obtaining
"cost threshold" and thereby spend little time provable data on benefits and savings for
reviewing forms defined as low cost. reporting purposes.
(4) Design Standardization. Standards for
layout and construction are requisites to good
forms design. Standardization is closely inter-
twined with the "fact-finding" and "challenging"
stages of forms analysis. Content is translated
into a format to insure easy reading, spaced
and arranged so as to accommodate desired
entries, and to meet the needs of the writing,
transmitting and filing methods. Forms size,
typography, construction, including color and
kinds of paper and carbons, are determined
accordingly.
(5) Registration and Identification. Each
request for a new, revised, or reprinted form is
channeled to a central point to be recorded and
assigned for analysis. Essential data on number-
ing and identification, previous or proposed
form revisions, volume, use, production, and
distribution are available at this control point.
Title, number, and approval or edition date
are assigned as positive identification. The title
links the form to its function. The form number
and edition date show that the form has been
authorized for use.
(6) Procurement and Reproduction. Spec-
ifications for efficient and economical procure-
ment and printing are developed and coordi-
nated with the units performing these functions,
including lead time needed. Appropriate justi-
fication is required for specialty forms and
special bindery operations such as punching,
stapling, perforating, folding, and padding.
(7) Distribution and Storage. Specifica-
tions for effective storage and distribution are
developed and coordinated with both originat-
ing offices and supply facilities. Methods are
provided for determining current supplies,
establishing initial minimum and maximum
stock levels, designating minimum order pack-
ages, purging obsolete forms, and setting distri-
bution patterns and controls.
(8) Followup. After a time the more complex
forms must be followed up. Spot checks are
made with using points and originators. This
(9) Program Reporting. A running record of
results is accumulated as the program pro-
gresses. Before-and-after data are gathered
(showing clerical, printing, and other savings) as
changes in forms and procedures are made.
These facts, with recommendations, are re-
ported to top management for use in appraising
the forms management program and in shaping
policy.
Organizational Placement
Given the Federal setting, it is difficult to
say much about organizational placement that
is relevant from one agency to another. With-
out exception, however, forms management is
a staff activity. It should be centered at a level
high enough to give the broad perspective
needed for across-the-board improvements, to
carry on significant promotion, and to provide
technical guidance. After all, many forms flow
across organizational lines.
The organizational placement of the forms
management program will have some bearing
on its functioning. The three favorite locations
for it are within the following functional areas:
(1) records management, (2) administrative
services, and (3) printing. Successful programs
are working within all three areas, yet less pro-
cedural analysis may be carried on by the forms
management program in one location than
another. Less work in procurement and repro-
duction may be done in one location than in
another. Less distribution and storage respon-
sibility may be found in one location than in
another. What is as important as considerations
of these kinds is that "curtains" of indifference
are not allowed to develop between forms and
records, between forms and reports, between
forms and management analysis. The matter of
potential cleavages is discussed at greater length
in Chapter III.
For the larger agencies, particularly the
cabinet and military departments with strong
decentralization philosophies, diverse subject
matter workloads, and sizeable field establish-
ments, forms management programs generally
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CLEARANCE REQUIRED FOR PRINTING A FORM
FORM BC-18 U.S. DEPARTMENT OF COMMERCE
1. Date of request
2. Form No.
(7.21-65)
BUREAU OF THE CENSUS
A M. CH. K-6
ORE S. D
June 1, 19 XX
BC-487
REQUEST FOR A NEW OR REVISED FORM
3. Date required
4. Cost Project No.
July 4, 19 XX
BC 68-007
Complete all applicable items. Facts not known at time of request
5. Division or office
should be submitted as soon as available.
Programs Management Division
6. TITLE OR DESCRIPTION
7. Forms superseded
8. EDITION
New 0 Other
Monthly Programs Schedule
BC-228
)Revised
a. Category
b. Number and/or title of prescribing directive
c. Related forms
? Administrative
none
TYPE OF
9
Public use
OR ? None
.
FORM
Processing
d. Budget Bureau number and expiration date
(Attach correct
Letter or memo
confidential statement
0 Other
N/A
when required.)
a. Frequency of use
b. Point of usage
c. How data will be filled
d. Number of copies prepared
Experimental
Li Responsible
in (all or part)
at one writing
O
i
division
ewriter
T
ne t
me
yp
e. Estimated monthly usage
10. USAGE
When required
0
? Bureau (Mora than
di
i
i
)
n Hand
12:5 copies
Daily
ne
v
s
on
o
ional office
Li Re
High Speed Printer
? Monthly
g
Jeffersonville
0 Other
I. Total number required
Quarterly
Q Other
1000
0 Annually
a. Li Personal
I Starting date
i
b. ? Mail --~
Mailing date
19
30
interview -a-
.
,
(1) Description of portfolios, binders, etc.,
(2) How forms are to be addressed
to be used
Cheshire label
11. REPORTING,
,
? Typewriter
ADDRESSING
AND
N/A
Li High Speed Printer
MAILING
Li Other
METHODS
(3) Description of envelopes to be used
Enter lorm nwebere or attach aempte(e)
plain white
Li Self-maile)
12. DESIGN
a. Size of form
. Paper stock
13. STOCKING AND DISPOSITION
SPECIFI-
10 1/2"X8"
32 lb eo We writ
a. Where forms will be b. Disposition of revised or
stocked superseded forms
CATIONS
0 Responsible division
Li Use
c. Other specifications
? Bureau stockroom
Li Dispose of when
Li Regional office
revision received
N/A
Li Bureau mail service
? Dispose of immediately
Li Other
-
16. Purpose of form
c. Number of forms
1
information on
h
f
i
on hand
i
200
progress
urn
s
to
f
di
hi
scheduled programs
ng t
orm
s
15. Person to contact regar
Kendall Barnes, Jr.
Building No.
Room No.
Telephone Ext.
Annex
4 0
47
For Publications
Presentation Branch
l
a. Division
Date
L"LL
b. Forms Management Technician (Date copy
l
(Inttta
a)
pp
I
i re
eased
SUBMIT TWO (2) COPIES TO: Records Management Branch
Administrative and Publications Services Division
6
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 will' requdecaatRsevearallevels /Thelprincip f2DP g00005i dic 10es e 00 00mos frequently used
point of management will tend to be at the way to secure that approval-yes, by filling
"bureau" level, especially when the major in a form.
paperwork systems and the directives requiring
the use of forms are given final approval for
issuance at this level. This means that all nine
elements, enumerated above, would be present
in the "bureau" program, handled by a pro-
fessional staff.
Forms management at the "bureau" level
should not preclude the following elements of
the program from being carried on at the agency
level, however. That level can still most
effectively:
? Establish, stimulate, guide, coordinate,
and evaluate the operations of the com-
ponent bureau and field forms manage-
ment programs.
? Promote forms management so that it will
not fall into neglect anywhere, and keep
surveillance on agency-wide forms and
procedures.
Neither should forms management at the
"bureau" level preclude the development of
local forms in the field. Command levels,
whether functional or geographic, and major
field activities which have a need for a large
number of local forms can generally justify
a forms management program. Otherwise local
forms will become uncontrolled forms (see
Chapter III, page 12).
Centralization of forms management at the
agency level, rather than the "bureau" level,
is especially desirable where the agency is
relatively small (as Federal operations are
measured), or where subject matter workloads
are closely interrelated.
The heart of any forms management program
is the professional staff. Here are to be found
the individuals with the necessary procedural
analysis capabilities, the knowledge of forms
design and construction standards, the requi-
site information about paper and carbons and
processing equipment, and the maintainers of
the required internal records on forms in
existence and their usage. No form should ever
proceed to the printer without their approval.
There were, at last count, some twelve hun-
dred forms professionals in the Federal Govern-
ment. Their grades tend to vary with the amount
of procedural analysis they do versus the extent
to which they are limited to design or even
drafting duties. In this spectrum, the rule seems
to be the greater the time devoted to effective
analysis the higher the grade.
To help the forms management professional
staff in large organizations, each sizeable orga-
nizational unit: should assign to one person
within it responsibility for coordination with the
forms management professional staff. Such an
individual is usually known as a "forms liaison
representative." This person should have a
thorough knowledge of the paperwork within
his unit. He often is the person who has coordi-
nating and clearing duties on directives, sys-
tems, reports, and records. He may already
have an organizational title as executive officer
or administrative officer.
The existence of a forms liaison representa-
tive in an organizational unit becomes even
more valuable in the case of methods and
procedures studies. These studies must, per-
force, look into the details of an office's routine.
The operational knowledge provided by the
the representatives in their liaison duties speeds
up the process of analysis and helps assure unit
acceptance of improvements.
Forms liaison representatives in field offices
can be effective in sponsoring greater use of
agencywide and standard forms and in helping
officials develop local forms. Their duties in
some field offices extend to full control and
review of all forms used in the area they repre-
sent. In such instances they serve, in effect,
as the forms management officers, even main-
taining numeric and sometimes functional files
for control purposes.
Relationships and Procedures
These matters, mentioned as parts (d) and
(e) of the program charter on page 4, cover
too much ground for inclusion in this chapter.
They are therefore, described in the next two
chapters.
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The large number of groups of persons
involved in forms management was indicated
at the beginning of Chapter II. Experience
shows that a successful forms management
program is as dependent on these groups as on
the professional staff and the liaison represent-
atives. The role of some of the groups therefore
deserves description. Teamwork is the goal.
Top Management
No matter how well conceived the forms
management program may be in other respects,
the program will not remain an arm of manage-
ment without top management guidance. The
direction taken by the program, like that of
any other managerial program cutting across
all segments of an organization, should reflect
the views of top management.
To keep informed, top management should
require reports of benefits produced, as de-
scribed in Chapter V. It must evaluate the
reports and intervene as the facts warrant.
Here are a few matters in which top manage-
ment should be particularly interested.
Local forms. Unless local forms are analyzed
by persons in a position to make a managerial
review they will gradually slip into the cate-
gory of uncontrolled forms. It has been esti-
mated that eleven representative uncontrolled
forms require one man-year of clerical effort.
Standardizing local forms will always pay off.
User reaction. The forms program should
devote some manpower to interviewing forms
users about form shortcomings. Users should
not be put on the rack to prove their criticisms.
To get field employees reaction may require
special arrangements with internal audit, or
inspectors general.
High usage forms. Top management should
know which forms have a high annual usage.
Benefits from improving or eliminating them
will be far greater than tinkering with low usage
forms.
Forms wastage. Millions of unused forms
become obsolete every year. The tendency to
over-order can only be thwarted by watching
obsolescence. Personnel hesitate to order 100
copies; so the order is made out for 1,000.
Forms projects. Forms management offices
should undertake the kinds of projects described
on page 18. These projects may fall victim to
over-the-counter priority, or an insufficient
number may be undertaken, unless there is
topside interest.
Relationships. Coordination is paramount
in providing suitable forms. It is the theme of
this entire chapter. Top management should
be watchful for poor teamwork-the originator
not giving the forms analyst time to review a
form; the forms analyst dragging his heels in
his review work; the originator not notifying the
forms management program of changed usage
requirements.
The Originator
When an employee of the organization picks
up a piece of blank paper and starts to draw
lines and to put words on that paper, leaving
blank spaces in which someone will later insert
data or information, he is originating a form.
In many ways he is the most important person
in the forms management process.
If the form will be used more than 10,000
times a year, or will require more than 30
minutes to fill in, the originator should espe-
cially study the form in the light of an examina-
tion of the whole procedure for which it is
required and of the associated work that may
be done in other offices. The input and output
of the work should be considered as well as
the main processes in between. It is particularly
important to see the complete picture of action
when subordinate processes, for example, copy-
ing or recording, are to be undertaken sepa-
rately, before, or after the main process.
The originator should be sure he has up-to-
date facts and information about the proce-
8
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 duprwive$EA1R s1 tZQQAIWI j7eq&i RDPt7hi--Ogp5R0001o0p002`0002~8.rig desk available,
the circumstances in which it will be completed, design may be dominated by these factors.)
des atched fit d d
I- , e , sorte and handled; and,
where relevant, such information as the cost
and effectiveness of arrangements and opera-
tions, the incidence of errors in completion,
queries and difficulties, and the scope for
possible change and improvements. Finally,
forms should not be rough sketched solely as a
"desk job," for direct on-the-spot investigation
and observation are important preliminaries.
The above mentioned considerations for the
originators can be cast as questions, as for
example these:
(1) Is a new form necessary? Can an existing
form be adapted to suit the need? (An existing
form can sometimes be modified in such a way
to cater to slight variations, so that one form
can be used on a number of occasions.) Can
an existing Standard or Optional Form be used?
(2) Should there be an entirely new concep-
tion of the use of the form? Can several forms
used in a particular operation be reduced by
designing a multi-purpose document? (For ex-
ample, one copy of a form might serve as
application by the public, another was a record
of internal processing action, while a third
becomes a notification of the action taken.)
Can the form be designed to serve various
purposes as it moves along with the work, and
used for recording any necessary additional
data in the process?
(3) How should the needs of those filling
in the form influence its design? (When a form
is to be completed by a member of the general
public it should be designed to give him the
utmost explanatory assistance. Forms which
give rise to difficulties for the public will al-
most certainly cause more work in Federal
offices because they are liable to be wrongly
completed. If particular requests for informa-
tion, for example to businessmen may involve
them in expense and trouble, every attention
should be given to design factors which will
reduce their work.)
(If the form is completed by hand, out of
doors, or in dirty working conditions, or where
(4) How will working conditions influence
design at the place at which the form is dealt
with? (The handling and use of the form may
be greatly facilitated by design factors, for
example, a special layout of information to
speed up a key punching operation, a particular
size to facilitate sorting or distribution.) Do
the office machines to be used impose limitations
as to spacing or the number of carbon copies?
(5) Are there any costly features of the first
draft of the form, such as carbon patching,
unusual construction, etc., which could be
replaced by less costly alternatives?
Not until a number of questions like these
have been answered should the originator
proceed far with the rough sketch of the form.
In this way the originator fully participates in
the analysis phase of forms improvements,
which must precede the finished design.
The Consumer
The consumer is the person who initially
fills in the form--using the spaces on the form
which are provided for that purpose. The
consumer is interested, among other things, in
insufficient writing space for the entry of data,
in captions he can easily understand, in correctly
placed and clearly written instructions, and in a
logical sequence of the items to be filled in.
The forms improvement role of the consumer
is to convey promptly to the forms manage-
ment office any problem he has on filling in
any form.
The forms management staff by reviewing
filled-in forms in the files can see whether it
has provided the consumer with enough space.
Notes handwritten in the margin, or on the
face, will sometimes give a clue as to items
with poor captions and indicate telephone
calls that had to be made for elucidating
explanation. Boxes repeatedly. left blank will
raise the question of their being needed. The
lack of a "remarks" area may be indicated by
information written on the back of a form.
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 Approved For Release 2001/0
FILL ED IN SPEC~M N r OOOJ
ILLUSTRATING AN AGENCY DIRECTIVE
803.03 In ordering tabulating cards use form AFSC 18. Tabulating cards require
specialty printing and are subject to separate review. A copy of the form is
displayed below with a guide to items which may prove troublesome.
Item 1. Use a brief, clear descriptive title,
indicative of the form's purpose
and function. Do not use the
word "card" as it refers to the
physical characteristic of the form
rather than the function.
Item 3. Give the abbreviated designa-
tion indicating the form's origin
and extent of use.
Item 4. Use three-letter abbreviations for
month followed by the year. Use
last two digits, e.g., Mar 66.
Item 6. Information is standard for all
tabulating cards.
Item 7. Information is standard for all
tabulating cards.
Item 8. Check appropriate box or boxes,
as applicable.
Item 9a. Check appropriate box for type
of standard card.
Item 9b. Check appropriate box for posi-
tion of stripe.
Item 9c. Check appropriate box for color
of stripe.
Item 10a. Check appropriate box and fill in
and blank space designating place-
Item lob. ment of corner cut.
Item 12. Specify color of ink; other infor-
mation is standard for all tabu-
lating cards.
Item 13. Information is standard for all
tabulating cards.
Item 14. Enter total number of cards re-
quested.
Enter total number of cartons
(See Item 13).
Item 16. Specify type and number of
machine and related equipment
or attachments, if any. (For ex-
ample, IBM Tabulating, IBM
026, CDC 3600).
The Processing User
80 Columns, Full Face
3. FORM NUMBER DATE OF FORM 5. TYPE OF ACTION
IBM 5081 IBM undated w $' RaPn,
6. 512E r,
/.':':; (+rirh n ro leraoce of Plua r+ , .~ (r,nn.5 inched by 3.250 (wirh s tolerance f pi- 0.0007 o! no rnc]r or rrin us 0.(103 0! o
,och.) These drmr.ns,ons annlY torcards neasured at 50".'. relative humidity and to a temperature of 70 degrees Fahrenheit.
PAPER
C,.n il'orous chemical pulp free fr m ground wood, o other pull. whicll produces a paper of like characteristics; paper I. bu suh-
+IantiallY free fr.,. clay' an,l notnlu show Inure than five percent (5't/ aslr.
e, COLOR OF CARD
X.,e T.R. MA--
.R lr MaT AN~AN .Np
CORNER Cu I r...... ? .............
a (i NI-nO Upper Left Hand Corner
,le1_rc cs 1, 4- along lop; 3.'8" along side
1+. hennnalon stand-3,'N" nlnng top, 3;8" alenp side.
All xceyl Ihuse with ii,gonal corner cut, will be -'` and a9uare.
1: PRINT ND
Ip Black ink. Ilupress n Io'.e leginle w ithoul excess ink but under no ircumstance ern indent the card sortie -Us
of the urt.,u ithc, sfdn of the card nut of its plane. Such indentations y the thickness. Printing m st
ro p++s.h a n rt e e , ppropriate r3 -e
be ui to ct,'ai bed e,eYthat Illeuctnlumn:+r figures will appear properly whek tested throwgh n iron 1eir11 mark-s-ensfe -,k
nN r uo~li rated r/re prin(Infi will he Ina green, blue or block ___,b- ink for use rn conju
Pun,, no,ubc,, date, talc, and superaossion nol,o@ (when oPplicnhle) are I. be placed in exact position as nn . mple.
13, UNIT OF ISSUE
CN (Carlo,, of JU,OdU, P.-,eked 2,11O(r
,burl
TOTAL -111 11
Cut'
1,800,000
1 1m 11x
~' O E
,x'
b. reR peR of
180
. DELIVERY DATE
Deliver to addressee below 1 March 19XX
15. ADDRESSEE HQ AFSC (SCAPD)
Building T-1522
Andrews AFB
Wash DC 20331
Suggested Source: International Business Machine Corporation
For additional information concerning delivery after arrival on Andrews AFB
call Extension 5176,
Figure 4
reader is expected to take action. The reader
may be a keypuncher, a supply clerk, an
After a form has been filled in, the next step accountant, and so on. The effectiveness of
usually consists of someone reading the in- the information supplied on the form is the
formation that has been entered. Usually this form is the final measure of the worth of the
10
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 Approved For Release 2001/07/17 : CIA-RDP74-00005R000100020028-2
form. If the information supplied presents
processing problems, the form cannot be con-
sidered a good one regardless of how easy the
consumer found it to enter the information.
The processing user is therefore especially
interested in orderly organization of the infor-
mation and in uniform design of related forms.
The forms improvement role of the proces-
sor is to tell the forms management staff
promptly of any processing difficulties any form
is generating.
The Reports Management Staff
? A specimen illustration of the form with
sample entries, when this would help
insure accurate completion of the form.
? A description of the filing system to be
used, but only is the records are to be
maintained in a specific way.
? Unusual information about the source and
date of supply.
A prescribing directive should not be distrib-
uted until the forms which it prescribes are
also distributed, unless the effective date for
use of the forms is set far enough in advance
to assure availability.
So many reports are forms that there can be
conflict as to who does the analysi;s on "report
forms." Actually, the mission of most reports
management offices is on information content:
Do the reports require information already
available? Do the reports require nonessential
information? Do the reports fail to require
information that is needed?
Organizations tend to give reports manage-
ment programs the first challenge of report
forms. Once the information aspects are ap-
proved by the reports staff, then the forms
staff does not duplicate the effort. The forms
clearance document often may also be used
as the reports clearance document for those
forms which are reports.
When the reports management office under-
takes a procedural study, it should always
inform the forms management office, and vice
versa. The two offices should compare notes
on whether overlap of data is being gathered
by an organizational segment. There is, of
course, no conflict between reports manage-
ment and forms management on the design of
forms. That falls clearly to the forms program.
The Directives Specialist
Most forms used should be prescribed in
an appropriate directive. Such directives pro-
vide the best medium for broadcasting guidance
that can not be fully placed on the face of the
form.
? Unambiguous instructions as to who pre-
pares, number of copies prepared, and
where and when copies are submitted.
Clearance of directives mentioning forms with
the forms management office will often prevent
erroneous references to titles, obsolete editions
of forms, and the like. Also clearance serves
to correct instructions calling for use of typed
format of columnar worksheets when printed
forms would be more appropriate. Such clear-
ance will also help to establish when the forms
management office can especially increase the
usefulness of hard-to-read written procedures
to consumers by providing filled-in specimen
forms illustrating the "how to do it" of com-
pletion. Figure 4 is an example of a filled in
specimen form from the Air Force illustrating
an agency directive.
It is important that users of forms be notified
of the discontinuance of a form through the
same media of directives which required the
original use of the forms. It is axiomatic that
the office originating a form (or the office
responsible for its continuing use) should also
be the office discontinuing the form.
Supply Personnel
The supply of forms covers the factors of
procurement, reproduction, storage, and dis-
tribution. These are tasks normally assigned to
publication and supply, or similar units. Forms
management can be very helpful to units per-
forming these tasks by preparing accurate
specifications.
An important part of the relationship between
supply and forms management is the method
for handling stock replacement orders. A "Stock
Replenishment Notice" is usually prepared by
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supply operativ- iien the stock level of any
form reaches the established minimum, with
ample lead time for actionl. This is discussed
more fully in Chapter IV.
Training Staff
The originator, consumer, and processing
user will understand their forms improvement
role if the training staff will help the forms
staff prepare the necessary educational and
promotional classes. These forms workshops,
discussed on page 13, with their easily under-
stood visual aids lend themselves very well to
this purpose.
in some way, and the forms staff should see
these as well as the originators. This is an
indirect method of judging the adequacy of
forms design, but it is a useful one nonetheless.
The same understanding should apply to public
complaints. These suggestions often are helpful
in that they 'bring about improvements that
the forms designers failed to think of in the
first place.
National Archives and Records
Service
This Service (NARS) classifies forms accord-
ing to the authority under which they are issued,
as follows:
The Small Office
An amazing number of small offices, especially
in the field, have the power to originate forms.
Many are also further empowered to reproduce
them on their local office duplicating equipment.
Such local forms are usually the poorest
designed forms in the Government. They are
also often the most costly, because of the time
spent by the typist in cutting stencils.
Forms typed on stencils, of course, use
different standards of design from printed forms.
They rarely have an effective appearance, and
the format possibilities are limited. Carbon
copies of such forms are often unclear, and the
paper does not stand up well under erasures
or repeated handling during processing.
A secretary who must devote three hours a
week to running of forms is actually running
up the printing bill. It is an illusion to think
that an agency's printing costs are limited to
its offset machines. Field offices that administer
similar programs offer a fruitful opportunity for
standardization of local forms.
Small offices should have all their local forms
reviewed by higher authority. The official in
charge can insist upon have a forms liaison
representative and seeing to it that he receives
technical training.
Employee Suggestions Staff
All agencies have employee suggestion pro-
grams. Many suggestions will pertain to forms
Agency Forms. Those originated and stand-
ardized for internal use throughout an individ-
ual agency, whether for operational or admin-
istrative purposes.
Bureau Forms. Those originated by rela-
tively autonomous field offices, or at the branch
and section level, for internal use in the
originating office.
Uncontrolled Forms. Those for which there
is no pre-audit or post-audit by management
other than in the immediate office of origin.
Optional Forms. Those which are applicable
in the operations of two or more agencies and
approved by General Services Administration.
These forms are stocked by the Federal Supply
Service, GSA, for optional use by any or all
agencies. Any agency may make the use of
any such forms mandatory for its own purposes.
Standard Forms. Those prescribed by a
Federal Agency for the mandatory use (unless
formally excepted) of two or more agencies,
approved by GSA in accordance with its
Federal Property Management Regulations
101-11.8.
This regulation prescribed a uniform pro-
cedure whereby any Federal agency may
recommend to GSA that a standard form be
prescribed to meet a problem which concerns
more than one Government agency.
Among the standard forms are certain fiscal
forms prescribed by the Comptroller General
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GSA STOCK CATALOG,
PART II
of the United States, which bear form numbers
between 1,000 and 2,900. These fiscal forms are
described in the General Accounting Office
Policy and Procedues Manual, for Guidance of
Federal agencies, Title 7, Fiscal Procedures.
Standard forms are stocked by the Federal
Supply Service, GSA, and all are listed in Part
II of its Stock Catalog, depicted in figure 5.
Federal Report Forms. Those used by
Federal agencies in gathering information
which, under the Federal Reports Act of 1942
(56 Stat. 1078), must be approved by the
Bureau of the Budget. The procedure for
getting that approval is contained in Bureau
of the Budget Circular No. A-40.
The National Archives and Records Service
promotes the use of three forms management
workshops, one for forms originators, one for
FSGI
65-99
OCTOBER 19XX
GENERAL SERVICES ADMINISTRATION
FEDERAL SUPPLY SERVICE
junior forms analysts, and one for senior forms
analysts (forms for automated equipment).
NARS provides the secretariat for the Forms
Management Council, an organization to which
any forms analyst in the Federal Government
may belong and receive the proceedings of the
meetings.
Through its agency evaluation program
NARS reviews the operations of forms programs
and reports to the head of the agency on their
adequacy.
Finally, NARS seeks to support forms man-
agement in any general way it can-preparation
of handbooks (see the reverse side of the front
cover of this handbook), regulations (see Ap-
pendix A), and national symposia with the
leaders of the field as speakers.
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IV. PROGRAM PROCEDURES
The procedures described in this chapter are
those essential to the support of the primary
functions (procedural analysis, forms develop-
ment, and forms replenishment). Forms man-
agement staffs should question adding any
additional administrative tasks which will sub-
tract from the maximum manhours available
to perform the primary functions.
Establishing Major Files
? The form history record, on which is a
running record of all actions taken on
the particular form, including a cross
reference to the functional file.
The numeric file must be dependable at all
times. Folders on discontinued or obsolete
forms must be promptly withdrawn, appro-
priately annotated, and placed in a separate
discontinued numeric file for such time as
required by the agency records retention
schedule.
A forms management program must rely
heavily on its control files. There are usually
two of these files, the numeric history file and
the functional classification file. The Navy
Department has combined the two in an inter-
esting fashion.
Numeric History File
This set of folders provides a complete
picture of each form from its development to
its current status. Figure 6 shows the folders
arranged by form number.
To provide the most useful working tool,
each numeric folder should eventually contain
the following:
? A copy of the current edition of the form
and any previous editions, marked "Per-
manent Copy." Many files contain several
current copies for samples.
? Rough drafts or work papers showing
significant stages of development and
pertinent correspondence.
? A copy of, or reference to, the regulation
or other issuance authorizing use of the
form.
? The original request for approval of the
form and any requests for revisions,
indicating the names of all using units,
the manner and rate of use.
? Documentation relating to the official
final approval for the printing or repro-
duction and issuance of the form.
Functional Classification File
This set of folders provides the means by
which forms dealing with related subject
matters are brought together (sometimes by
cross-reference). One copy of each collected
form is classified by purpose and placed in a
subject-titled folder, illustrated in figure 7.
Specific details for the organization and use
of this file are given in the Records Manage-
ment Handbook, Forms Analysis.
The main purposes of the functional classi-
fication file are to:
? Avoid the creation of a new form which
duplicates an existing form, or which is so
similar that an existing form could be
used or readily revised to serve the need.
? Detect those forms which might be elimi-
nated, where duplication already exists,
or which might be consolidated with
similar forms.
? Detect those forms which should be
standardized for agencywide use, or which
should be analyzed and redesigned for
simplification and uniformity of format,
nomenclature, item sequence, spacing,
size, and application of other "tricks-
of-the-trade" which make for the best in
forms.
? Generate studies of particular forms (often
complex) in relation to their governing
systems and procedures, and in relation
to functional and organizational areas,
which will result in improvements far
beyond the form itself.
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EXAMPLE OF
NUMERIC HISTORY FILE
FORM 1671
INDIVIDUAL TRAINING REGISTRATION
FORM 1472
RECORDS MANAGEMENT T STATISTICAL SUMMARY
FORM 49
REQUISITION FOR EQUIPMENT,
FORM 32A
REPRODUCTION SERVICE ORDER
ACTIVE NUMERIC
FORMS FILE
Assigning Identification and Control
Numbers
Agencies have found the assignment of form
numbers to be a necessary control device.
Straight numeric order is the simplest and
most flexible pattern. Elaborate numbering
patterns, with alphabetic or numeric prefixes
or suffixes to identify using offices should be
avoided. Reorganizations, transfers of func-
tions, and other changes break up such patterns
and invariably lead to a troublesome wholesale
renumbering of large groups of forms.
It may be desirable in some cases to print
the old form number in parentheses following
the new number such as, "Form 629 (formerly
Form 324)," and drop the old form number.
Supersession notices adjacent to the new
form number can be helpful and are used
regularly by some forms programs-for ex-
ample, "Replaces Form 324, May 1955, which
will not be used." Supersession notices have
proven particularly advantageous during the
first three or four years of a new or revitalized
program when a large volume of forms is
revised, consolidated, and eliminated. Such
notices also serve as guides to users and
EXAMPLE OF
FUNCTIONAL CLASSIFICATION FILE
stockroom clerks in cleaning out obsolete
stocks and requisitioning current forms.
Of equal importance for control is an edition
date (the month and year sent to print). The
original number assigned is usually retained
on any revision of the form, but the edition date
should be changed to reflect each successive
revision in content or design.
Issuing A Forms Catalog
A forms catalog should be custom built to
fit the conditions of the agency and its forms
management program. These conditions should
be considered in determining the nature of the
catalog:
1. Whether it is needed primarily by orig-
inators, or by a large highly decentral-
ized forms management program staff.
2. Degree to which directives prescribing
the use of forms are on a well organized
and coded basis and contain illustra-
tions of the forms involved.
3. Cost of preparing and maintaining the
catalog measured against its value in
promoting standardization and effi-
ciency.
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EXAMPLE OF CARD CATALOG
(Form Status Notice)
FORM STATUS NOTICE TRANSMITTAL NO. a-24
Regional Commissioners
District Directors
National Office Division Directors
FROM: Facilities Management Division
Internal Revenue Service
FORM STATUS NOTICES TRANSMITTED
Doc. Envels, Forms Pub.
The attached Form Status Notices, used to disseminate current information on all forms
prescribed by the National Office, should be filed or distributed promptly.
One set of the notices should be filed, by form number, in each master file of form status
notices used as a central reference source in the National, regional and district offices. In
each district office an additional set of these notices should be sorted organizationally by the
Administrative Division, and the appropriate notices sent to the operating element having prima-
ry interest in the form.
Multi-Purpose Form (Machine Stationery)
3. ORIGINATING OFFICE
Data Processing, Systems Division
5. INSTRUCTIONS FOR USE
ADP Handbook - 211x0
_ 3707(11-66)*
4. FUNCTIONAL USING OFFICE (if different organIro innally lb,,
origirsoting office)
15A, ENVELOPEIS) TO BE USED
MAILER -- -RRETURN 6.2
7. TYPE OF FORM B, UNIT OF ISSUE
0 TAX RETURN Li PUBLIC-USE UI SE RNAL 1 -' 'L-A 3 5-andp6-part m~arg~na]yvpunched COntin-
Li NEW ? REVISED
10. THIS FORM SUPERSEDES
12. FILLED IN F: OTHER (Specify)
? OFFICEAL K'lE OFFICEAL OF ICET CENTER 13 PUBLIC ? AICC
16. ADDITIONAL INFORMATION s-e One-part form stocked in IRS Distribution Center
t This status notice reissued to correct Item 8.
This form used for multi-purpose console operation print-out.
OFFICFAL Li REGIONAL DISRICT L-J CENTER LJ OFIFICE ? I ;C
14. PRESENT STOCK I5. INITIAL DISTRIBUTION
SSUES FIRSTOR U_ SUPER EDINGW HFOR^MEI5IRECEIVED [ISEE ITEM 16 YES ?NO
Li OBSOLETE
Executives should not be too hasty to insist
upon a comprehensive forms catalog, partic-
ularly under a new program. Simple forms
listings might be issued during the establishing
phase, and some plans might be developed for
a more elaborate listing. Not until the "weeding
out" or "crash" stage of a program has been
completed (often a year or more in larger
programs) can the forms staff make a sound
management judgment on the question of
whether to issue a descriptive catalog or only
a numeric listing.
Forms catalogs currently issued by Govern-
ment agencies range from the listing of forms
by number only (serving principally for identi-
fication and supply requisitioning) to compre-
hensive catalogs which include edition date,
title of the form, coded references to manuals
or regulations prescribing their use, functional
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classification, those requiring special safeguards,
using organizations, unit of issue, stock points,
and accountable forms. A good example of this
is the Air Force catalog.
Another interesting and effective type of
forms cataloging has been developed and used
for the past several years by the Internal
Revenue Service. It consists of an 8 x 5-inch
Card form, entitled "Form Status Notice," for
each officially approved form. Each card, as
shown in figure 8, contains complete information
on the form to which it applies.
This card form is. filled in for each new,
revised, or discontinued form by the central
forms program at headquarters. It is then
reproduced in sufficient copies for controlled
distribution to headquarters division offices
(including supply), regional offices, and. district
offices.
This forms status system (somewhat com-
parable to library catalog cards) has been
successful at the Internal Revenue Service,
where the points of distribution are well con-
trolled and are not too many. This system has
the distinct advantage of making data on forms
available promptly. It can be less costly in
many instances than the re-issuance of bound
catalogs or the printing and distribution of
numerous page changes for loose leaf catalogs.
Review of New and Revised Forms
Often the forms originator will not have
assembled the data or made the examination
for new and revised forms described on page 9.
When this is the case, or if the originator
has overlooked something significant, the orig-
inator should expect a challenge from the forms
staff. The questions to be asked will vary
according to circumstances, but the following
are those asked most frequently:
(1) What causes the work (and therefore
gives rise to the form); what are the
purposes form, the operation, the
procedure; what are the essential needs
or unalterable limitations?
(2) How is the work done? (that is, what
are the processes, operations and docu-
ments involved).
(3) Why is the work done in the manner
prescribed?
(4) Who does the work and to what extent?
(5) Where is the work done and what
limitations does this impose?
(6) When is the work done and what
limitations does this impose?
(7) Which related activities elsewhere need
consideration with the form or work
being studied?
Quantitative information can be collected
simultaneously with the above procedural in-
formation. This means that whenever practica-
ble, figures should be obtained indicative of
the following:
? The number of operations undertaken and
forms completed.
? Incidence of work over a selected period.
? Volume of arrears of work at selected
points in. time.
? Time taken to do work or complete forms.
? Costs of the various stages of work.
? Number and nature of errors, queries or
other indications of ineffectiveness or
inadequacy.
A record of the procedures involved in the
use of the form., setting out in sequence all the
operations concerned, will establish the facts
to aid analysis. Usually a simple flow chart is
adequate, but sometimes other types of charts
are valuable. Where a series of forms has to be
studied it may be of advantage, as an alterna-
tive, to mount specimens on a large spread
sheet and record the associated action alongside.
Whether a narrative record or a pictorial
means of setting out the procedures is used,
each operation should be defined in such a way
as to bring out the characteristics of the action,
for example, whether it represents the copying
of existing entries or the recording of new
entries. Terms such as "write" or "enter" may
obscure the fact that action is "copying,"
which, if known, would have entailed considera-
tion of the appropriate aids to copying.
Clearly, so much review work will not be done
for every form. .Rather it will be limited to
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 Approved For Release 2001/07/17 : CIA-RDP74-00005R000100020028-2
PRINTING AND STOCKING SPECIFICATIONS
TO T o DER or?RR D OCR NU.WE0. (1/envl
ioi
GENERAL SERVICES ADMINISTRATION REGION 3 SF-152 7540-634-3990
JT
FEDERAL SUPPLY SERVICE-3FRC mrroN DATE - f - Onus T? Art DNU usE SATE
WASHINGTON, D.C. 20400 TLL 1 U 1
ITU
DESCRIrtIO
d
T
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General Provisions (Supply Contract)
A-ANNUAL USAGE (AppEACILHOIR)
--
-
B-SIZE (Len dr/nrbabIE s.b,)
-
rc
~
OUANTHY
KLAT FOLDED TRIMMED
50 0 00 each
811 X10 1 K 8"X10 1/2
C-CONSTRUCTION
D-FILE PUNCHING
E-MISCELLANEOUS
? SMGI! SNEEi [] SNAPOIrt sfIS
g) I., ROT'..
?SIACING IS III.
E] GRSON INTERLEAVRD PADS D PAPER PLATE
(6 Prr rnrM)
^ MAPGNMLY.PUNCHED COIETINtgUS DIE-IMPRESSED STENCIL
11011, ^ EFT
^ SFRM0M NUMBERED
PAD . Nu..ER GP s?EErs_NU0EER GT Sfr
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MUL IP r . SUNROOF PMTS PER SET
NUMBER
DIAMETER
CENTER TO CENTER
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2 3/4
G-PAPER STOCK AND I
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PART
GRADE OR QUALITY OP PAPER SUBSTANCE
GPO STANDARD)
DT
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HEAD TO
NUMBER
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ONLY
f001 SIDE
Sulfite, writing
32 lb
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H-CARB
ONS (Cbrrk and -P1EFK :r, applMP-rr/
NO CARBONS CU W BErwEFN
CA'
^ AuPULL LJ DIHER PENCIL BLACK
El TY WRITER N
PROOFS
NUMBER REQUESTED
BWD TO NOUP. di-, and Z/P Codel TO GSA PFGIUta ] wn 0.00P5
HM
PPOOf6 AT
p
iA00f5 WAIVES
Leon King
cro
6 ea
3 DAYS
Room 607, NARS B1d . 20408
C] IS ?NO
^ NI 50
1-STOCKING INSTRUCTIONS
CHOIC ^ NO CASE DISTRIeuTION, (TAOIST SUPPLIES MOM,,
? STOCK M GSA SUPPLY , DEPOTS ^ UCCOBU1 ox 111 SPIES
^ OCDELR - 1 IS EPP EDtt ^ fP N-CS M FI(AC T POERIN T.E. OILLOII L
X-DISPOSITION OF EXISTING STOCK
--- I. _._ _
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_-
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AFTER A FULL REVIEW Of iNE EFFECT, AND THE BEST I ESPECTS OF E GOVERNMENT, NSA GTE O i0 TAKE 111E ACTgFEIS) INDICATED
i-_
BE
EMS.
BELOW WITH RESPECT SUPERSEDED AND RELATED ITEMS.
(ObraJn darn rreardrng -4, an band end d due-in fool GSA ReBinn J. Federal SuPPlY Serain.)
FORM % USAGE WILL GSA STOCKS ACTION REQUESTED
EDITION
A
ND +ND Tq.. CODE? IvE
DATE N' pE- ON H
OR FEDERAL STOCK NO.
SERIES NO, _ EAS _SE _ DUEIN ATAIgG vALUf CARE
June xx x 4
SF-152 7540-634-39 0
'ACTION CODE
DISCONnIUE Ii AEaTTEIYS DISTDE EPSTMO STOCKS. TE FKISTING STOCKS SETOFF ISSUING REVn ED OR MODM(FD i C -
2 . OISCONHNUE HEM ON DATC MDIGrED. IRE N011 OP STOCK AT THAT TIME S. OTHER (fOr?/Y +1 4VI
SSUE ExbTNO SlOCR,~ DO NOT FFPPINL.
IS, 10
L-ATTACHMENTS_
PPNIER'9 COPT ^ PROMULCHTINO DOCUMEN ^ SPECIAL NSTOCTIONS F) OTHER (Sp1QJY)
those with a large usage, those which are basic
to significant procedures, those involving the
public, and those which are costly in terms of
printing.
Initiating Analysis Projects
The review of new and revised forms, as
well as stock replenishment review, is usually
referred to as "over the counter" business. A
forms management office should not be confined
to this kind of business, which largely comes
from forms originators. There are always some
forms which must originate within the forms
management office itself.
A great many forms management offices put
the internal origination of forms on a project
SPECIFICATIONS
FOR COMPLETED
JOB FOR
PROCUREMENT
AND PRINTING
basis. See figure 10 for the elements involved
in project planning. This can formalize the
work, highlight its nature, keep tab on the
progress made, and when completed aid in
reporting what has been done. Projects furnish
a basis from which an analyst can initiate
broad studies of functions or systems.
Clues to areas for possible analysis projects
are obtained from sources such as:
? Suggestions made by the operating per-
sonnel (for example, through the bene-
ficial suggestions program, collection of
samples of forms, day-to-day contacts,
followups to explain the function and
help insure cooperation). These may
concern both the forms and procedures
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 Approved For Release 2001/07/17 : CIA-RDP74-00005R000100020028-2
the operator has initiated or those with
which he is involved; for example, through CONSTRUCTING THE PROJECT
1. Title, purpose and scope of project
2. Organizational component
concerned
known to exist such as backlogs, bottle- I 3. Plan for arriving at a possible
necks, unusual time lags, excessive vol- solution
preparing or using the completed forms,
or through other phases of the procedure.
? Areas suggested by top management for
potential savings and improvement.
? Operational areas in which problems are
ume, repetition, or numerous errors.
These indications can come from per-
sonal knowledge or activity operations,
information in procedural or organiza-
tional surveys, inspection reports, contacts
with key or other activity personnel or
other sources.
? Review of forms and information collected
for the forms management files. In doing
forms research, the forms management
office has two tools the originator does
not have-the numeric and functional
files. A forms management office that is
unable to keep its numeric and functional
files up to date will gradually weaken its
position until it finally loses control over
the forms of the organization.
A well balanced project schedule should
include short-term projects that can be quickly
completed and that will yield results to
show immediately the benefits of forms man-
agement. It should likewise include long-term
projects on more complicated or well entrenched
operations, which will involve considerable
expenditure of time but pay substantial divi-
dends in manhours and improved operations.
If the managing of forms is to be one means
of ensuring continuous attention to procedural
problems, then forms management offices should
not be kept so busy by over-the-counter busi-
ness that no analyst can be spared to follow
through on the procedural improvement clues
mentioned above.
A variation of project work is to set up
special task forces to study specific segments
of an agency's forms. Under this plan, members
of the forms management staff join with
members of a particular activity to review
all of the forms used by that activity. For
example, the data processing division and the
4. Estimated man-hour savings or other
benefits to be derived
5. Estimated man-hours budgeted to
the project
6. Estimated beginning date
forms management staff will jointly study all
forms that are later keypunched into cards for
input to the computer. When the two groups
are studying payroll forms, for instance, the
accounting division will assign personnel to
work with the task force. When they get to
the purchasing forms, the supply department
will do likewise. The task force method has
the benefit of assuring that a whole group of
related forms will be considered at one time
rather than piecemeal, one form at a time,
which is the normal pattern. A disadvantage
is that the task force is not a continuing entity.
Its members have full-time jobs in their own
divisions and are usually anxious to get back
to their own work.
Preparing Specifications
Very few originators have much technical
knowledge in "constructing" a form. This refers
to the knowledge needed to arrange for pre-
numbering, punching, perforating, folding,
carbon-interleaving, collating, padding, and
scoring. The desirability or undesirability of
these features could be developed during the
analysis of the form. They must be written
into the specifications for the completed job
prepared by the forms management office for
procurement and printing. Figure 9 is a com-
monly used "space sheet." When specifications
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 Approved For Release 2001/07/17 :CIA-RDPhs PT0055R OR W ns, and (2) those
are not carefully prepared, extra make ready, 11 b erall applied only
press
rially
these
time, and bindery work can add mate- standards which wi co r" y
to forms costs. In order to keep by the professional staff, sometimes published in
extra, but often desirable, expenses at handbook format. Standards to be used pri-
f 1s need be nub-
na
forms management office in marily by the pro essio
1 field
h
cooperation with printing
must develop construction
items as:
arge
and reproduction lished only by those agencies wit
standards on such operations.
Pre-numbering.-Desirable only if se-
quence control or strict accounting for each
copy is required.
Punching.-Specified to
binders, clip fasteners, or filing equipment used
by the agency.
Perforating.-Limited to
a portion of a form must be detached, or a
form or set detached from a stub or a book.
Padding.-Used only if it facilitates han-
dling.
Establishing Standards
Mentioning construction standards, above,
is a reminder that certain yardsticks are essen-
tial to guarantee that all forms have graphic and
physical features required for:
Simplicity and efficiency of fill in.
Visibility in reading, including filing and
finding.
Acceptability of appearance.
Economy in reproduction.
Such yardsticks or guides are called stand-
ards, because they represent the best practice
based on current knowledge. Thus, standards
play a very large role in any forms management
program. There is a tendency, however, to
think of them as useful only to the forms
professional staff. For small agencies this often
means the standards are not published. For
large agencies they are often published, but in
a directive of interest only to the professionals
and the forms contact representatives. The
concept of standards underlying these practices
is fallacious.
Actually, standards are needed at two
levels-(1) those standards which can be gen-
erally applied by originators, frequently pub-
Appendix B is an example of standards for
originators. In establishing standards for orig-
inators the emphasis should be on demon-
strating how the standard achieves benefits.
For example, standard sizes save paper, and
the use of standard-size filing equipment
prevents the purchase of more costly nonstand-
ard-size equipment. Paper weight and grade
standards save money. In most instances the
box design standard simplifies fill in, and in
the process saves the time of the typist.
Right spacing reduces the tendency to error
in entering or using the data. The standards
that contribute to this important end are:
? Clear segregation of related vertical
columns.
? Ease in following a reading and writing
line across and down the page.
? Clear association of filled in data with
the printed captions.
Standard rulings, type sizes, and type faces
create a favorable attitude on the part of the
forms user toward the job in hand. This
actually reduces fill in time.
The standards for originators should not
only be published but also be explained at
training sessions so that any questions about
their value will be answered. The explana-
tion should demonstrate by example how the
standards:
? Make easy the task of inserting informa-
tion on the form.
? Make easy the use of the information after
entry on the form.
? Reduce the tendency to error in both
entering and using the data.
? Make for paperwork and printing
economy.
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 Approved For Release 2001/07/17 : CIA-RDP74-00005R000100020028-2
Standards are not inviolable rules. When
deviation from the adopted standards for
originators appears necessary, however, there
should be justification by the originator. This
justification should demonstrate that more is
to be gained by deviation than by compliance.
Replenishing the Supply
appropriate offices. Forms management
office returns notice to supply operations.
Some supply operations prefer this plan, for
it gives them a single responsible point-a
forms management office---with which to coor-
dinate such matters. It relieves them from
dealing with different individuals scattered
through bureaus, divisions, branches, or even
sections.
On page 11 of Chapter III the "Stock Re-
plenishment Notice" was mentioned. The
routing of this replenishment notice varies
widely in the Federal establishment, with four
differing methods being most often used.
METHOD 1.-Replenishment notice sent
direct to the originating office by supply
operations. Originating office returns no-
tice direct to supply operations, unless a
revision of the form is desired.
Difficulties sometimes arise under this method
unless the notice from supply operations is
always handled by the same liaison point in
each of the several responsible offices with
which the forms management program deals,
METHOD 2.-Replenishment notice sen t
direct to originating office-by supply opera-
tions. Originating office returns notice
through forms management office.
This method reduces the coordination time
of the three parties concerned and assures full
coordination because it keeps them all advised
of what is happening or about to happen.
METHOD 3.-Replenishment notice sent
to forms management office which accepts
full responsibility for clearing with the
In installing any of the three methods above,
the person who, handles the review and clearance
of the stock replenishment notices determines
whether any particular form can be released
for automatic replenishment.
METHOD 4.-Supply accepts full re-
sponsibility for replenishment of any given
form without further reference either to
the originator or the forms staff until a
notice of discontinuance or revision is
received.
As a part of any automatic replenishment
plan, offices responsible for the continuing use
of current forms should be required to advise
the forms management office promptly-
(1)
when a current form is being considered
for revision; or
(2) when any new form or procedure is
being developed which might make a
current form obsolete or materially
change its usage.
Upon receipt of such advice, the forms
management office promptly "flags" the form
on its records and notifies supply operations
to stop replenishment for that form.
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 Approved For Relea
V)
M31A3L1 D3dS
83H10.
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8 U aZ AON3101a30
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22
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 Approve$ f or ft MRJYXdlA(5?}74 Q(I ROQ Q6 R-AM
Any good forms management program will
justify itself by producing benefits. Plans for
identifying and describing these should be part
of the program to help top management eval-
uate the program's contribution to the agency
management effort.
Facts for reporting progress should be drawn
easily from existing office records, where it
exists in (1) statistical and (2) narrative for-
mat. When there are forms offices at various
levels within an agency, such as bureaus,
services, commands, and major activities, it
is wise to have each one report to the depart-
mental program office. From these reports the
departmental office can glean the information
needed for top management. It is also wise to
have the resulting consolidated report circulate
among the component offices, for exchanging
and extending improvement ideas.
Statistical Reporting
lower the cost of forms, and secure public
goodwill. Information needed to write an
effective narrative report can usually be found
in the numeric file folders which were depicted
in figure 6.
Most narrative accounts start out as case
histories. Later there may be summaries, and
summaries of summaries, but case histories are
the bedrock. Figure 12 provides a typical nar-
rative, in this case an illustrated one from the
Bureau of Customs. Narrative accounts need
be long. Management can call for details on
any accomplishment of particular interest.
Sometimes procedures are reworked because
poor forms showed the need for procedural
revision. Only a case history can do justice to
a description of what was done, how and why,
and what the results were. Such case histories
can also provide a valuable on-the-job training
source for new analysts.
Any forms program manager should know
how many forms are under registration control,
how many new forms were introduced into the
system during any given month, how many
forms were analyzed, how many forms were
revised, and how many were discontinued. He
can gather most of this information from the
forms action log, or equivalent. This log is a
chronological record of action taken as the
work is done on new, revised, and reprinted
forms. It shows the status of any form under
consideration. Figure 11, showing such a daily
activity record, is derived from the Air Force.
Narrative Reporting
Helpful as statistics are to show that a staff
is working hard, they are not enough. Narra-
tive accounts are also needed to portray the
quality aspects of the program. Such accounts
do not limit accomplishments to elimination
and creation, but paint a truer picture of how
the forms produced improve operations through-
out the agency, reduce man-hours required,
In reporting significant case histories, ana-
lysts should avoid involved cost computations.
Also, they should at times defer writing the
report until the forms and procedures have
been fully tested by operations.
Narrative reports are useful to point up
problems and emphasize areas where additional
management support is needed. They are
especially handy to report on workshops, train-
ing sessions, and the issuance of promotional
material.
Promotional Reporting
Progress reports can be used to promote the
program and publicize its usefulness to a larger
audience than. top management. The reason
for "drum beating" is not to magnify the self-
importance of the forms program and its staff.
Rather, it is because opportunities to improve
agency efficiency through forms depend to a
considerable extent on agencywide attitude
and follow through.
Approved For Release 2001/07/17 : CIA-RDP74-00005R000100020028-2
 Approved For ~ c~o1 ~/ AC pP ~ c BM-fS
(based on briefed case histories)
CUSTOMS PAPERWORK REDUCED
In response to a request by the
President, a special work group in
the Bureau of Customs completed a
year-long review to eliminate need-
less paperwork pertaining to imports
and exports. As a result of its efforts,
some 256 forms have been, or will be,
abolished; 85 of these were forms
used directly by the public. In
terms of processing, this will mean a
reduction of 1,324,000 pieces of paper
each yearwithin Customs and 566,000
pieces of paper the public will no
longer have to prepare. Customs will
save an estimated $341,000 in rpoc-
essing time and costs. Additionally,
an estimated 1 million pieces of
paper other than official Customs
forms have been eliminated; this will
save an additional $100,000 yearly.
Private business played an active
partnership role with the Treasury
Department in this special campaign
to eliminate unnecessary red tape.
For example, the Air Transport As-
sociation conducted a Customs pa-
perwork elimination contest of its
own with good results. Further assist-
ance came from the National Council
of American Importers who pre-
sented a certificate of national recog-
nition to one of the winners of the
Bureau of Customs paperwork elim-
ination contest.
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 Approved For ERelease XAMPLE OF7PROGRAM CIA-2
Single form replaces production
reports and 57' different test result
formats from commercial producers
of veterinary biologics.
Annual savings... $31,500
Figure 13
Program promotion has for its aim a better Processing
understanding of basic goals. Figure 13 is a
graphic by the Department of Agriculture
which typifies a kind of popularization of cost
reduction. It is written with the kind of pungent
crispness that attracts the attention of thought-
ful supervisors.
Figure 14 is an example of progress publicity.
A press release by the U.S. Civil Service Com-
mission, it shows how the new Standard Form
170 (which can be completed in 10 to 20
minutes) will replace much of the use given
the former Standard Form 57 (which took one-
half to three hours to complete).
Credit should be given to persons and units
responsible for contributions. Generous ac-
knowledgment of the aid of others helps
encourage agency participation in forms im-
provement.
Where to Look
There are five main areas in which a forms
management program most commonly produces
benefits. These are discussed below. Some of
the benefits come primarily from changes made
to meet design standards. Others come from
an analysis of a procedure and the role the
form plays in it.
Processing, of course, involves all the steps,
motions, and sequences in a paperwork system
or procedure. Improvements, therefore, come
from actions which affect initial fill in, addi-
tional fill in at other points, utilizing and
translating the data, routing and mailing, and
housing of the form in binder or file. Processing
costs, on the average, are 20 times greater
than printing.
Typical of the ways form improvements
affect processing are the following. They can:
VETERINARY BIOLOGICS DIVISION
AGRICULTURAL RESEARCH SERVICE
Reduce total time cycle by reducing
paperwork steps involved. This can elim-
inate backlogs.
Reduce time devoted to typing and writ-
ing. By using Typewriter Motion Analysis
the saving can be measured precisely.
Reduce form fill in time by facilitating
eye or hand movement.
Make possible use of new, more econom-
ical office machines.
Reduce errors and thereby the time spent
in correcting errors.
? Reduce spoilage of forms.
. 25
Approved For Release 2001/07/17 : CIA-RDP74-00005R000100020028-2
 i
Approved For Release 2001/07/17 : CIA-RDP74-00005R000100020028-2
EXAMPLE OF PUBLICIZING PROGRAM
PROGRESS BY PRESS RELEASE
U.S. CIVIL SERV)CE ! i
G
annoip
170
needed; fri
xtan#jaixd
abbreif
for iak
servi
form qa
seeki ,,jI
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use ~+~ ~ploytSk
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job fe
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qual$fte
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and tt
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III
.C J telephone: ~41 c?
Washington, i
20415 toorn ?ii
Government's venerable Form 57, "Application for Federal Employ-
ment," is giving way to progress. A short, simplified form that will
suffice for applicants seeking Federal jobs in the future will take its
place.
Chairman John W. Macy, Jr., of the Civil Service Commission
today announced that the formidable 4-page Form 57 will be replaced
by Form 170, a 4-by-8-inch card that will provide all the basic infor-
mation needed initially to consider an applicant for a given job.
"The person who hates to fill out long, involved forms will find
the Standard Form 170 a refreshing change," he said. He added that
the abbreviated application "responds to President Johnson's con-
tinuing call for improved service to the public."
Designed primarily for the use of persons who have passed
civil service tests and by Federal employees who are job-hunting,
the simplified form permits an applicant to describe briefly the
type of job he is seeking,. his availability, and his education and
work experience.
Form 170 is also expected to be a fast and handy form of
inquiry for use by people without eligibility, who are seeking
general Federal employment information.
The form provides enough information for a Federal employer
to decide whether he is interested in learning more about an indi-
vidual. If he is not interested because the applicant is not qualified,
or if no job is vacant in the occupation or salary range identified by
the applicant, more information would waste the time of the applicant
and the employer.
If a vacancy exists at a suitable grade level and the applicant seems
qualified, the employer must obtain more information before selecting
the applicant. To obtain this information, a second new form, Standard
Form 171, has been designed. It is called "Personal Qualifications
Statement," and is similar in many ways to the current Standard Form 57.
(more)
~~ o e s t(sat; ncra } ill tO i t ty
the numbe o f mes that snpl csnts ta#'1i?complete ull`statemettts tf
their qualifications. In addition, the process will reduce the time re-
quired to screen applicants.
Figure 24
26
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 Aprgo
ecyecd number o sequences ~in/ any single RDPb s ri cation 100020028-2
paperwork step.
? Reduce time devoted to extracting or
tabulating.
? Increase use of time-saving window enve-
lopes. Each window envelope saves at
least a penny in clerical processing.
? Clarify procedural instructions, decreas-
ing reading time.
? Speed and simplify authentication of
data, thereby cutting time.
? Save time by substituting continuous
carbon-interleaved forms for loose cut-
sheet forms and loose carbons.
? Speed up and assure more accurate
routing.
Printing
Savings in printing, including paper costs, are
more easily measured than others and provide
tangible dollar savings. These savings are based
on the elimination of forms without replace-
ment, or with reduced replacement; combina-
tion of two or more forms into one; printing
on one side of the paper instead of both sides;
and reduction in the number of copies of cut
sheets or in unit sets of forms. For printing done
outside the agency, printing-cost reductions are
usually dependent upon good specifications
having been prepared by forms analysts.
A distinct advantage in computing the dollar
value of printing-cost savings is that cumulative
dollar figures can be compared with salaries of
the forms staff. It is common practice to report
this comparison to management, saying that:
"on June 30, 19-, the dollar amount of
printing-cost savings for the fiscal year
just ended was ? -. This compares to
?--- for the total annual salaries of the
forms staff."
Stocking
Benefits come from planning procurement
time so as to coordinate delivery to stocking
points simultaneously with the issuance of
related procedures; from systematic determina-
tion of quantity usage on new forms; from
controls for prompt advice on discontinued
forms; and from controlled disposition of
obsolete items.
Improvements result from cooperation with
supply and distribution units. Shipping costs
are lowered when forms are made a standard
size; so are packaging costs. Packaging costs,
are further lessened when forms are combined.
Filing
Lower costs result from the best placement
of data for ease of filing and finding; from
eliminating unnecessary copies; and from hold-
ing to a minimum the filled-in copies, which
in turn holds down duplicate files. Opportuni-
ties for improvements in this area are over-
looked more often than in the others. Filing
costs are about 2'2 times the printing and
paper costs.
Computing Benefits
Forms management benefits can be reported
in terms of personnel, space, or material, or
any combination of the three. These benefits
can all be converted to dollar savings using the
kind of formulas shown in figure 15.
Under "personnel" the problem is to compute
the number of manhours of effort that have
been eliminated through improvements. Under
"space" the problem is to compute the space
(for equipment and people) which can be re-
leased or utilized for other purposes. Under
"material" the problem is to compute the sup-
plies, equipment, and printings which are not
required as a result of improvements.
One of the basic ways of computing benefits
is the before-and-after method; another is
through the use of formulas. To get the
"before" part of the picture, answers to ques-
tions like these must be found: What did it
cost? How long did it take? How many were
produced? How many people did it take? These
measurements must be cast against the answers
to the same questions after the form or the
form-producing, procedure was changed.
Measurable vs. Nonmeasurable
Many benefits can be measured in terms of
fewer manhours, fewer pieces of paper, less
printing costs, less equipment, and less space.
27
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FORMULA FOR SHOWING BENEFITS Examples of nonmeasurable benefits are
CONVERTED TO DOLLAR SAVINGS those that come from improved public relations
COST FORMULAS
1 persons space=80 sq. ft. of floor
space (typing and clerical)
1 cubic ft. of records=1 sq. ft. of floor
space
1 filing cabinet=6 sq. ft. of floor space
1 horizontal card cabinet=5 sq. ft. of
floor space
1 sq. ft. of floor space (office)=$3.76
(including maintenance)
1 ream of 8" x 10%" bond paper=
$0.90 a ream
1 manual typewriter=$225
1 electric typewriter=$450
1 paper stock cabinet=$59
1 filing cabinet (letter size)=$57
1 tab card filing cabinet=$163
1 typed envelope replaced by window
envelope=$0.02
1 safe file (standard 4 drawer)=$530
1 linear ft. of shelving=$3.00 (standard
shelf files)
1 man-hour=$2.25 (changes with
salary rates)
1 man-year=1760 man hours
24 dictated letters replaced by form
letters=one man-day
120 envelopes addressed=one man-
hour
180 lines of straight copy=one man-
hour
120 lines of form fill-in=one man-hour
30 copies posted=one man-hour
60 copies filed=one man-hour
90 copies mailed (folded and inserted)
=one man-hour
15 copies verified for accuracy of fill-
in=one man-hour
Processing 10 forms per man-day=
$1,600 per thousand forms
Processing 40 forms per man-day=
$400 per thousand forms
because a form is easier to fill in and easier to
understand is usually too intangible to be
reported; or the better morale that develops
through better appearing forms.
Recurring vs. Nonrecurring
Some benefits go on year after year. Others
are one-time savings. The best practice here is
to count only the benefits for the first full year.
Actual vs. Estimated
When a copy of a form is eliminated, at least
the actual price of the paper is saved. Filing time
is also saved, but it will usually have to be
estimated because clerks differ so much in their
work pace. In reporting benefits, whether they
are actual or estimated should be indicated.
Recoverable vs. Nonrecoverable
Suppose a new form reduces printing costs,
and also suppose 10 minutes of an official's time
is saved through an improvement in the pro-
cedure involved. The first benefit is recoverable,
but the second probably is not recoverable
unless the official handles many such forms.
The great challenge to officials is to recover as
much of a forms saving as they can. In any
event, the two kinds of benefits should be
differentiated in reporting.
Nonmonetary vs. Monetary
A form may save 1,000 manhours. This can
be reported, or efforts can be made to translate
the manhours into dollars. Most measurable
results can be changed to dollars. In the trans-
lation of actual commodities to dollars, however,
the dollar benefits frequently must be estimated
because it will be so much easier to produce
the figure by formula.
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 Approved For Release 2001/07/17-r.;k I~Rq~4rW 058000100020028-2
GSA REGULATIONS ON FORMS MANAGEMENT
The material cited below are printed in the "Federal Property Management Regulations",
Subchapter B-Archives and Records, published by General Services Administration,
Washington, D.C., 20408
101-11.208 Forms-agency program responsibilities.
? 101-11.208-1 The forms management function.
The objectives of forms management are to increase the usefulness of forms through proper
design and accurate using procedures, to reduce costs incident to filling in, using, and filing forms;
and to achieve savings in designing, printing, storing, and distributing forms.
? 101-11.208-2 Forms defined.
A form is any document, including letters, post cards, and memorandums, printed or otherwise
reproduced with space for filling in information, descriptive material, or addresses. Certain printed
items without fill-in space, such as contract provisions, instruction sheets, notices, tags, labels,
and posters, may be considered as forms when it is advantageous to identify and control them as
forms for purposes of reference, printing, stocking, distribution, and use with other forms.
? 101-11.208-3 Program requirements.
(a) Each Federal agency, in providing for effective controls over the creation of records, is
expected to establish an appropriate program for the management of agency forms (? 101-11.201-1).
The program will:
(1) Establish and implement standards and procedures for the submission, review, approval,
and identification of agency forms.
(2) Implement the forms analysis and design standards set forth in pertinent GSA Records
Management Handbooks.
(3) Establish and implement standards for the reproduction, stocking, and distribution of
approved blank forms.
(4) Provide essential management information concerning the number, types, and the repro-
duction and stocking costs of forms in use.
(5) Provide for the periodic review of all approved forms for need and design, and for possible
economies in reproduction, stocking, and distribution.
(b) Standards, guides, procedures, and instructions developed for the forms management
program are to be in published form, designed for easy reference and review. They should be readily
available to those who initiate, design, and approve forms.
? 101-11.208-4 Program implementation.
The following actions are generally basic to a forms management program:
(a) Establish and maintain an inventory of all agency forms.
(b) Analyze all forms inventoried and all forms submitted for approval in the future in accord-
ance with standards, guides, and principles set forth in the GSA Records Management Handbook,
Forms Analysis.
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c eview au orms inventorie an a 1 orms prepare in e u u e o adequacy of design,
maintaining the standards, guides, and principles set forth in the GSA Records Management Hand-
book, Forms Design.
(d) Assign a form number and edition date to each approved form.
(e) Review all requests for new forms and reprints of approved forms to determine that the
forms are produced and made available quickly and cheaply. Specifically determine that:
(1) The most effective and economical methods of printing and distributing the form are
employed, commensurate with required quality and intended use of the form.
(2) Proper and adequate inventory level standards have been established.
(3) The quantity of the form requested is compatible with procedural and inventory require-
ments.
(4) An acceptable distribution plan exists for making the form available when and where
needed.
(f) Require that each form be supported by a directive setting forth instructions for preparing,
submitting, and using. (Not applicable to self-explanatory forms used by a single organizational
element such as an office, division, or region.)
(g) Require that each request for a new form justify the form's essentiality.
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NMY310T001000100020028-2
FORMS DESIGN STANDARDS
The following standards should be applied by the initiating unit when drawing a rough sketch
of the form to be submitted with the forms requisition. The forms management staff in reviewing the
request will make any necessary adjustment of specifications before forwarding the requisition for
duplicating or printing.
1. Cut Form Sizes
Any size that can be cut from 32 x 42 inches without waste, particularly sizes 3% x 8, 4 x 5%,
8x10%and 16x10%.
Normal file card sizes : 3 x 5, 4 x 6, 5 x 8.
Post card sizes: 3%4 x 5%.
Considerations:
(a) Avoid crowding content;
(b) Conform to dimensions of storage and filing facilities (i.e., legal size, letter size, etc.);
(c) Fit to standard office machines for fill-in (i.e., typewriter, bookkeeping machine, etc.);
(d) Fit to standard-size envelopes.
2. Paper Weight and Grade
Operating unit ordinarily should specify one of the following four:
Mimeograph------------------------------------------------.----
36 lb. (basis 17 x 22)
Card------------------------------------------------------------
180 lb. (basis 25%z x 30%)
Sulphite---------------------------------------------------------
32 lb. (basis 17 x 22)
Bond (25%o rag)--------------------------------------------------
32 lb. (basis 17 x 22)
Selection should be based upon:
a. Handling requirements;
b. Writing method;
c. Number of copies to be made at one writing;
d. Length of time the form will be retained;
e. Printing requirements (i.e., printing on two sides, by a given process, etc.);
f. Filing and storage space requirements (affected by thickness of paper).
3. Color of Paper
Specify color only when needed for emphasis or for more efficient filing, routing or sorting.
Reduce the need for colored paper by use of sorting symbols, bold headings, heavy ruled lines
or other devices when possible. Exceptions permissible for specific organization or operating
requirements.
4. Color of Ink
Specify other than black ink only when fully justified by volume and increased efficiency in
use of the form and when the more economical possibilities of colored paper are inadequate. Two
colors should be avoided except under extreme justification.
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5. ent~ cation and Heading
Heading may be centered across entire top of form or centered in space to the left of any entry
boxes placed in upper right. (Upper right should be designed for file or other ready-reference entries
if needed.) Within space decided upon, arrange generally as follows:
Form number and issuance or revision date-upper left corner.
Agency name and location (if needed)-upper left (under form number) or top center (depending
on its importance in use of form).
Form title-center of top (under agency name and location, if that item is centered). Use
conspicuous type.
Bureau of the Budget number and expiration date, for Federal report forms-upper right
corner.
Exception: Run identification across bottom of vertical-file-card forms unless needed for file-
reference purposes.
6. Instructions
Well designed forms require few instructions other than captions and item headings. When
required, instructions usually should-
a. Be set in two or more narrow columns rather than full-width lines.
b. Be listed as numbered items rather than in paragraph style.
c. Be placed as near items to which they apply as possible (unless length would detract from
effective layout).
When instructions are segregated on form, they should be placed-
a. At top right or top center, if concise and applicable to the whole form.
b. At bottom, if that will make possible more economical use of space.
c. On reverse, if no space available on face..
7. Address
If name and address are inserted on form by agency prior to mailing, position of name and
address should be suitable for window-envelope use. Forms requiring return to an agency should
be properly identified as provided under Standard No. 5.
Forms intended for use in window envelopes must conform to postal regulations, which in
general provide that nothing other than name and address, and possibly mailing symbol, shall
appear in the window. The form must fit the envelope to avoid shifting of the address. Standard-size
envelopes only should be used. Post Office Department Schedule of Award of Contracts for
Envelopes is the guide to standard envelope sizes.
8. Pre-printed Names or Facsimile Signatures
If form is to be stocked for continuing use, personal name or signature of official may be pre-
printed only on special justification or by legal requirement (to avoid having large numbers of forms
made obsolete by change of officials). Preprinting of titles only or the use of rubber stamps or auto-
matic signature inscribers are alternatives to be considered.
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a. Align beginning of each writing space on form vertically for minimum number of tabular
stops.
b. If box design is used:
(1) Serially number each box in its upper left-hand corner;
(2) Start caption in upper left-hand corner, to right of number, leaving fill-in space below
caption;
(3) Draw box size to provide sufficient space for fill-in.
c. Place essential information where it will not be obscured by stamps, punches, or staples,
or be torn off with detachable stubs.
d. Group related items.
e. Include "to" and "from" spaces for any necessary routing.
f. Provide for use of window envelopes, when appropriate, to save additional addressing.
g. To the extent practicable, provide same sequence of items as on other forms from which
or to which information is to be transferred.
h. Arrange information for ease in tabulating or transferring to machine punch cards, if those
are involved.
10. Check Boxes
Use check boxes when practicable.
a. Place check boxes either before or after items, but all in the corresponding positions
within any line series.
b. Avoid columnar grouping of check boxes if possible, 'because of poor registration when
carbon copies are required. Place check boxes before first column and after the
second column when there are two adjacent columns of questions.
11. Margins
Printing Margin. Printed all-around borders usually should not be used since they tend to
increase production problems and costs. In any event an extra margin of % inch or not less
than %o inch from edge of paper should be allowed on all 4 sides for gripping requirements in
printing and as a safety margin for cutting. No printing-neither border nor text-should
be permitted in that space.
Binding Margin. For press-type fastener, side or top, 1 inch; for ring binder, 1 inch (printing
permitted but no fill-in within these margins).
Fill-in Margin. Top typewriting line, at least 1Y inch from top of paper if possible. Bottom
typewriting line, not less than % inch from bottom. Hand fill-in permissible above or below
these lines.
12. Space Requirements for Fill-in
Typewritten-10 characters to the horizontal inch to accommodate both elite and pica type-
writers ;
3 fill-in spaces to the vertical inch, each space being double typewriter space.
Handwritten-% more space horizontally than for typewritten fill-in;
3 spaces to the vertical inch, each space double that of typewriter space.
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g
a. Use heavy 1'/-point or parallel '/2-point rulings as first and last horizontal lines, between
major divisions, and across column headings.
b. Use %-point rulings across bottom of column headings, and above a total or balance at the
foot of a column.
c. Use hairline rulings for regular lines and box lines when no emphasis required.
d. Use %-point rulings for vertical subdivision of major sections or columns.
e. Use leaders as needed to guide eye in tabular or semi-tabular items.
14. Signature and Approval Date
Single handwritten signatures usually go at bottom right of last page. Allow ' inch (three
single typewriter spaces) vertically and three inches horizontally.
Two handwritten signatures, normally left and right at bottom of last page.
Space below the 34-inch bottom typewriter margin generally reserved for handwritten signatures
and dates.
15. Two-Sided Forms
a. Two-sided forms ordinarily should be printed head to foot (top of front to bottom of back),
especially if top-punched for binder use.
b. If punched in left margin for binder use, 2-sided forms should be head to head.
c. Three- or 4-page forms (one sheet folded once) should be head to head throughout if open-
side style, and head to foot if open-end (so that, when opened for use, head of third page
follows foot of second page).
d. Head-to-foot open-end forms are preferable for machine fill-in.
e. For multi-page forms, separate sheets of proper page size should be used instead of larger
sheets folded to page size, unless the larger sheets can be cut economically from standard
paper sizes and run on standard printing or duplicating equipment.
16. Prenumbering
Use prenumbered forms only if accounting or control is required for each form or document.
Place number in extreme upper right corner.
17. Punching
For standard press-type and 3-hole ring binders:
Distance from edge of paper to center of hole should measure % inch;
If 2 holes are punched, for press-type fastener, the distance between centers should be 234 inches;
If 3 holes are punched, distance from center to center of adjacent holes should be 4% inches.
U.S. GOVERNMENT PRINTING OFFICE: 1969 0-320-269
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CHECK LIST
The questions are so worded that check marks in the "NO" column indicate the need for
1. Has a policy directive establishing a forms management program in the agency
been issued by top management?
2. Are there any training courses on forms improvements being given in the agency?
3. Have forms liaison representatives been appointed throughout the agency?
4. Is every new, revised, or reprinted form analyzed for its necessity, extent of
duplication with other forms, the wording on the forms, the sequence of the fill-
in, and all requirements for copies?
5. Are local forms included in this analysis?
6. Is full use made of standard forms?
7. Is there periodic analysis of office procedures in which forms are used?
8. Is there a set of standards for the application of modern forms design techniques?
9. Are form numbers and edition dates assigned from central points under an estab-
lished numbering system?
10. Are numeric history and functional files of all approved forms maintained?
11. Are procurement specifications for specialty forms prepared and reviewed by
trained forms analysts?
12. Are quantities and methods for stocking and distribution developed as part of
the analysis and design of new or revised forms?
13. Do supply facilities provide dependable service on quantities of forms on hand,
usage figures, and lead-time requirements at a low obsolescence rate?
14. Do the forms management staffs regularly make spot checks with using points,
originators, and procedure writers on the more complex forms?
15. Is there an established method for periodic reporting to top management on the
progress of the forms programs?
16. Does this report include computations of measurable benefits and savings?
^ ^
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Washington : 1969
For sale by the Superintendent of Documents, U.S. Government Printing Office
Washington, D.C. 20402 - Price 35 cents
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