Army Pamphlet 25-31

31 July 1995

UNCLASSIFIED

Information Management

Forms Management, Analysis, and Design



SUMMARY of CHANGE

PAM 25-31
Forms Management, Analysis, and Design

This publication--

* Incorporates forms management information from AR 25-30, chapter 3 ( chap 1 ).

* Significantly expands subject classification series numbers for forms filing and includes a breakdown for the 25-series information management classification (para 2-4, table 2-1 ).

* Expands and changes some action classification numbers for forms filing ( para 2-4 and table 2-2 ).

* Requires SF 335 (Summary Worksheet for Estimating Forms Costs) for compiling cost information on public use and interagency report forms ( para 3-4 and table 3-1 ).

* Requires an Agency Disclosure Notice for public reporting (public use) forms ( para 3-20 ).

* Updates design and construction standards for forms according to General Services Administration and Department of Defense guidance ( chap 3 ).



Chapter 1
Forms Management

Section I
General

1-1. Purpose

This pamphlet implements the guidance contained in DoD 7750.7-M , and was created to assist Army personnel who create and manage forms including deputy chiefs of staff for information management (DCSIMs), directors of information management (DOIMs), information management officers (IMOs), proponents, and action officers. To this end, chapter 1 of this pamphlet defines a form, explains the types and uses of forms, and covers procedures for prescribing a form and obtaining approval. Chapter 2 explains how to manage and control forms, including the maintenance of records and numerical (history) and functional files. In chapter 3 , forms analysis, design, and construction techniques and standards are discussed in detail and clarified with samples.

1-2. References

Required and related publications and prescribed and referenced forms are listed in appendix A .

1-3. Explanation of abbreviations and terms

Abbreviations and special terms used in this pamphlet are explained in the glossary .

1-4. Forms management objectives and functions

The management of all Army forms is essential. Forms must meet the requirements of laws and regulations; they must be reduced in number consistent with mission requirements; and they must be analyzed, designed, and controlled for maximum efficiency and cost effectiveness. Forms management is the systematic process of increasing productivity and reducing errors in information capture, transmission, storage, and retrieval. Thorough forms analysis, professional design techniques, and organized and complete control files and records are essential parts of the process. (See AR 25-30 for responsibilities assigned by the Army Forms Management Program.)

a. Forms management ensures that the following objectives are achieved:

(1) Paperwork and reporting burdens are reduced as much as possible.

(2) Only necessary forms are created.

(3) Forms that duplicate the function of a higher echelon form are not created.

(4) New forms are reviewed and, if approved, prescribed at the highest proper echelon with a prescribing publication.

(5) Forms are consolidated and standardized.

(6) Costs related to filling in, using, and filing forms are reduced.

(7) Costs related to printing, duplicating, storing, and distributing forms are reduced.

(8) Electronic generation of forms is encouraged when appropriate. (See para 1-20 on electronic generation.)

(9) Data elements in forms are standardized to facilitate the flow of data between information systems.

b. The functions of DCSIMs, DOIMs, and IMOs or their designated functional managers are listed in ( 1 ) through ( 12 ) below. Within small organizations, some of these functions may not be required or may be part-time responsibilities. For example, in some organizations, forms design may be done by only the originating office. The originating office, however, will be required to follow the design techniques established in this pamphlet. Forms management functions are as follows:

(1) Directing the forms management program using the procedures and guidance contained in this pamphlet and AR 25-30 .

(2) Developing programs for training forms personnel, when required.

(3) Providing technical assistance to originators of forms.

(4) Designing forms, when required, and preparing a copy for printing or duplicating.

(5) Ensuring data elements in forms comply with the DOD Data Elements and Data Codes Standardization Program (DODD 5000.11) and the Army Data Management and Standards Program (AR 25-9).

(6) Ensuring that forms have a prescribing publication.

(7) Reviewing all requests for approval of new or revised forms and requests for reprints of existing forms to determine if the forms are essential.

(8) Following the procedures in paragraph 1-9 for forms approval processing and the procedures in section III of this chapter for specific forms requirements, such as those subject to the Privacy Act and other reporting requirements.

(9) Preparing printing specifications for forms and determining points of stockage and initial quantities.

(10) Reviewing all forms periodically (at least annually or when a reprint action is initiated) for possible revision, rescission, or consolidation. For this review, you will need the analysis techniques and questions covered in chapter 3, section I , and the following information:

(a) Revision. A form is revised when there is a change in format (arrangement) or content (data elements).

(b) Rescission. A form is rescinded when it becomes obsolete or is no longer required.

(c) Consolidation. Two or more similar forms are consolidated when they are combined into one form. When similar forms are used in different parts of an organization for the same purpose, they should be standardized and consolidated. When several forms are used to cover related tasks, those forms may need to be combined. Responsible personnel need to coordinate, agree on the data elements needed, decide on the design and construction of the new form, and designate an action officer to monitor the form. Filling in data at one time and in one place can save time and money.

(11) Reviewing all publications for forms implications.

(12) Maintaining the forms control files and records as described in chapter 2 .

c. Technology currently on the market can be used for almost any of your command or local forms management and operations functions. Of course, costs and individual needs have to be evaluated. For example, work stations that are good for small organizations may not be cost effective or appropriate for large organizations that process many forms. On the other hand, large-scale efficient and expensive automated forms systems may merit justification for large organizations but not for small ones that process only a few forms. You should check with your DCSIM, DOIM, or IMO concerning questions and automation equipment. DCSIMs, DOIMs, or IMOs, or their designated functional managers should also check with Commander, USAPPC, ATTN: ASQZ-PDP, 2461 Eisenhower Avenue, Alexandria, VA 22331-0302, by phone or in writing, to see if equipment will be compatible with the Army's forms design system.

d. In general, existing technology can be used to —

(1) Design forms.

(2) Produce camera-ready copy.

(3) Control and analyze forms for duplication and redundancy.

(4) Create and maintain forms inventories and files.

(5) Produce forms catalogs and management reports.

(6) Electronically store, print, and distribute forms.

Section II
Types of Forms, General Requirements, and Approval Process

1-5. What is a form?

A form is a fixed arrangement of captioned spaces designed for entering and extracting prescribed information, regardless of media. This definition includes certificates and scoring keys for tests. Printed items such as labels, stickers, tags, test booklets, instructions, and file cover sheets do not require insertion of information; however, you may consider them as forms if they meet the standards for size, item sequence, wording, design, and construction given in this pamphlet. These are "nonform items" that need to be identified and controlled for reference, printing, stocking, distributing, and use with other forms. Some uses for forms (printed and electronic) are as follows:

a. Forms are important management tools used to collect, organize, transmit, and record information. They can save or waste work and time depending on how well they are analyzed, developed, designed, managed, and integrated into the system.

b. Forms promote efficiency, cost effectiveness, and accuracy by standardizing tasks and procedures and will often guide the flow of work through an office or entire organization.

1-6. Types of forms and construction

a. The types of forms and those with specific requirements are listed in ( 1 ) through ( 10 ) below. The paragraphs that give more details and the approval process are also noted below.

(1) Department of the Army (DA) forms. These forms are approved by the U.S. Army Publications and Printing Command (USAPPC) for use throughout the Army. This category includes any form that is used by more than one Army command or agency. (See para 1-9 for the approval process.)

(2) Department of Defense (DD) forms. These forms are approved by the Director for Information Operations and Reports, Office of the Assistant Secretary of Defense (Comptroller) (OASD(C)). (See para 1-14 for the adoption and prescribing process.)

(3) U.S. Government Standard Forms (SFs). These forms are approved by the General Services Administration (GSA) and are designed and prescribed for mandatory use by two or more Government agencies. (See para 1-11 for exception requests.)

(4) U.S. Government Optional Forms (OFs). These forms are developed for use by two or more Federal agencies and approved by GSA for nonmandatory use throughout the Government. The Army sometimes requires that OFs be used. (See para 1-12 for special requests.)

(5) Other Government agency forms. These forms are approved by other Government agencies such as the Treasury Department, the Office of Personnel Management (OPM), and the Department of Veterans Affairs. They may be required for use by the Army in matters related to the functions of these agencies. (See para 1-13 for availability.)

(6) Command and agency forms. These forms originate at the headquarters of a command or agency. They are prescribed for use at that headquarters and at subordinate echelons within that command or agency. Examples are "TRADOC Form XXXX" and "AMC Form XXXX." Command and agency forms cannot be prescribed in DA publications. These forms may not be referenced in DA publications unless approved by Commander, USAPPC, ATTN: ASQZ-PD, Alexandria, VA 22331-0302. (See para 1-9 for the approval process.)

(7) Local forms. These forms are prescribed for use only within a particular headquarters such as an installation or activity headquarters. Examples are "Fort Lee Form XXXX'" and "Redstone Arsenal Form XXXX." Local forms cannot be prescribed in DA publications. These forms may not be referenced in DA publications unless approved by Commander, USAPPC, ATTN: ASQZ-PD, Alexandria, VA 22331-0302. (See para 1-9 for the approval process.)

(8) Reporting forms. These forms are prescribed for collecting internal information (within the Federal Government) or external information (outside the Federal Government). (See para 1-15 for a description and para 3-18 for design and placement of control numbers.)

(9) Forms requiring the General Accounting Office (GAO) approval. Forms relating to fiscal operations may require GAO approval before publication and use. (See para 1-16 for the approval process and para 3-19 for design and placement of control numbers.)

(10) Forms subject to the Privacy Act of 1974. These forms are used to collect personal data from an individual. (See para 1-17 for the approval process and para 3-21 for design, content, and placement of the Privacy Act statement.)

b. The forms in a above may have the following construction:

(1) Multiple-part forms. These forms are procured in sets of two or more copies, interleaved with carbon sheets or on carbonless, chemically treated paper. The sets are attached to a stub or similar device to facilitate the insertion of information on the required number of copies in one operation.

(2) Specialty forms. These forms are constructed with special features such as continuous (pinfeed) construction for use on automatic data processing (ADP) equipment or optical character reader (OCR) and mark scanning. (See the glossary for definitions.) Specialty forms include tabulating cards, offset masters, stencil masters, and tags. Chapter 3 provides more details on pinfeed construction, cards, and tags.

1-7. Stocked forms and locally reproducible forms

a. Stocked forms.

(1) Army-wide forms. Stocked forms (used Army-wide) are ../db_lookup/link.htm?doc=Pam 310-15"stored and distributed by the Baltimore or St. Louis U.S. Army Publications Distribution Center (USAPDC). The St. Louis USAPDC stores and distributes sensitive and accountable forms, and the Baltimore USAPDC stores and distributes the other stocked forms. Stocked forms have high usage (100,000 or more forms used Army-wide in a 1-year period). However, specialty forms are also stocked when their construction precludes procurement at Army printing and duplicating facilities.

(2) Command, agency, and local forms. These forms are maintained at a stockroom or centralized location for access by all users.

b. Stocked and issued forms.

(1) Army-wide forms. These forms are normally stocked and made available by the form proponent. The name and address of the issuing activity is provided in the prescribing publication and shown in DA Pam 25-30 .

(2) Command, agency, and local forms. These forms are stocked by the forms management officer (FMO) or form proponent and are usually issued to users on an "as needed" basis.

c. Locally reproducible forms.

(1) Army-wide forms. These forms are not stocked by the USAPDCs. Unless otherwise provided, reproducible copies are usually contained within the prescribing publication for local reproduction by the user.

(2) Command, agency, and local forms. These forms are contained within command, agency, or local publications for local reproduction or are usually provided to the user by the local FMO or form proponent.

1-8. Developing new forms and cancelling existing forms

a. A form that duplicates the function of a higher echelon form will not be created.

b. A new form will be reviewed and, if approved, prescribed at the highest proper echelon.

c. The use of a form will be prescribed by sending a completed DD Form 67 (Form Processing Action Request) to the next higher organizational level for approval. (Include a copy of the form and the prescribing publication.)

d. To cancel an existing DA form, the proponent must submit a completed DD Form 67 or correspondence to Commander, USAPPC, ATTN: ASQZ-PDT, Alexandria, VA 22331-0302. To cancel an existing agency, command, or local form, submit the DD Form 67 or correspondence to the DCSIM, DOIM, or IMO having jurisdiction over the form. Cancellation procedures for DD forms, SFs, and OFs are covered in section III of this chapter.

1-9. Approval of new and revised forms

a. Requesting approval of forms.

(1) DA forms. DA forms are developed for use by more than one DA agency or command. To request the approval and design of a new or revised DA form, prepare DD Form 67 stating how the proposed form will be used. See figure 1-1 for a sample of a completed DD Form 67. (DD Form 67 is available through normal publications supply channels. It is also authorized for electronic generation. The electronic version must replicate the contents (wording), format (layout), and sequence (arrangement) of the existing approved form.) Send the original DD Form 67, a draft of the proposed form or a list of the data elements required on the form, together with an original and two copies of the manuscript of the prescribing publication ( b below). Also send the completed DA Form 260 (Request for Printing of Publication) to Commander, USAPPC, ATTN: ASQZ-PDT, Alexandria, VA 22331-0302, when the text or forms instructions in the prescribing publication will change or when the publication has an illustrated copy of the form.

(2) Other Army-wide forms. When requesting approval of other Army-wide forms (such as SFs and OFs), submit one copy of the form, an original completed DD Form 67 , and one copy of the prescribing publication to Commander, USAPPC, ATTN: ASQZ-PDT, Alexandria, VA 22331-0302. See figure 1-1 for a sample of a completed DD Form 67.

(3) Agency, command, and local forms. When requesting approval of an agency, command, or local form, submit one copy of the proposed form, a completed DD Form 67, and one copy of the prescribing publication, if necessary, to the DCSIM, DOIM, or IMO having jurisdiction over the form. See figure 1-2 for a sample of a completed DD Form 67.

b. Prescribing publications.

(1) Army-wide forms or agency or command forms will not be approved for printing, reproduction, or issue unless authorized in a publication (usually a DA, agency, or command publication) prescribing the form's use. This requirement includes forms issued by other Government agencies, SFs, OFs, and DD forms. If a prescribing publication is rescinded, the forms prescribed by the publication must also be rescinded or placed in another current publication. The publication must —

(a) Give the form number, title, preparation instructions (when necessary), and source of supply.

(b) Be coordinated with the DCSIM, DOIM, or IMO before it is issued.

(2) A local form may be required for use by two or more elements of an installation or activity. If so, a prescribing publication is required. If a form is used by only one organizational element, such as an office, a prescribing publication is not required.

(3) Quantities of Army-wide forms may be affected by a proposed revision of or change to the prescribing publication. If so, the proponent of the DA prescribing publication will immediately inform (in writing) the Commander, USAPPC, ATTN: ASQZ-PDT, Alexandria, VA 22331-0302.

(4) A form or instructions for completing its entries may be complex. In these cases, a sample of a completed form may be illustrated in the prescribing publication to ensure understanding and accuracy. Samples of completed forms may also be illustrated to eliminate or reduce lengthy narrative instructions. The illustration of a blank form (without sample entries) is prohibited. (See para 1-19 for requirements for camera-ready copy of blank forms to be used for local reproduction purposes.)

1-10. Required form elements

Placement and design of required form elements are covered in chapter 3 . General requirements are as follows:

a. All DA local, agency, command, and departmental forms must be numbered, regardless of the method of reproduction. Forms are numbered consecutively. (Use a symbol to identify the approving authority, followed by the word "Form" and the form number; for example, "DA FORM 9999." )

(1) USAPPC assigns numbers to DA forms.

(2) If the DA, local, agency, or command form is designated for local reproduction, put "-R" at the end of the form number. Department of Defense (DD) forms, Standard and Optional forms (SFs and OFs), and other Government agency forms do not bear the "-R" designation.

(3) If the DA, local, agency, or command form is designated for electronic generation, put "-E" at the end of the form number on the electronic product. (See para 1-20 for more information on "-E" forms.)

(4) If the form is designated for both local reproduction and electronic generation, put "-R-E."

b. All forms must show the title and edition date of the form.

c. A supersession notice will be included when the form replaces another form or an earlier edition of the same form. (Indicate whether the previous edition is obsolete or may be used until existing stock is exhausted.)

d. All DA forms, including forms authorized for local reproduction, will show the number of the prescribing publication in the title area of the form.

e. The proponent of each DA form must be shown on the form. When the proponent for an Army-wide form changes, the HQDA agency or command responsible will report the change (in writing) to Commander, USAPPC, ATTN: ASQZ-PDT, Alexandria, VA 22331-0302. The proponent of an agency, command, or local form may be shown on the form at the discretion of the DCSIM or DOIM.

f. Only standard and authorized brevity codes, abbreviations, and data elements authorized by AR 310-50 and AR 25-9 will be used on forms.

Section III
Specific Forms Requirements

1-11. U.S. Government Standard Forms

a. General. SFs are approved by the GSA and are designed and prescribed for mandatory use by two or more Government agencies. (Use SFs according to the forms' DA prescribing publications and the construction furnished by the GSA.)

b. Exceptions. Exceptions to the content or construction of an SF must be approved by GSA; this is accomplished by submitting an SF 152 (Request for Clearance or Cancellation of a Standard or Optional Form or Exception). (Note: This requirement does not apply to SFs and OFs prescribed by the Federal Acquisition Regulation per DOD 7750.7-M .) Do not send this form directly to GSA; forward an original and four copies of the SF 152 and attachments to Commander, USAPPC, ATTN: ASQZ-PDT, Alexandria, VA 22331-0302, for Army approval and processing through DOD channels. (This form is available through normal publications supply channels. See para 1-22 for instructions and fig 1-3 for a sample of a completed SF 152.) In addition, submit the SF 152 with the materials indicated below:

(1) A separate justification that includes the reasons for the request with a statement as to why the SF cannot be used as prescribed in the existing format or construction; the cost benefits derived from the exception; the distribution of each copy requested in the exception; and the locations where the exception will be used and the usage levels for each location.

(2) A copy of one of the following printing requisitions as appropriate:

(a) A GPO Form 1026a (Specifications for Marginally Punched Continuous Forms) if the exception is for a marginally punched continuous construction. (GPO Form 1026a is available through normal publications supply channels.)

(b) An SF 1 (Printing and Binding Requisition) for the printing specifications is required. (SF 1 is available through normal publications supply channels.)

(3) Exceptions that are approved must include the statement "DOD Exception to (form number) approved by GSA/IRMS (month/year)" on the first page of the form, below or near the form number. Exceptions will become void upon cancellation or revision of the form or when a usable construction becomes available through GSA.

c. Cancellations. Only a form's proponent can request that GSA cancel a DOD sponsored SF or an OF by submitting an SF 152 to the address in b above. Items 28 through 31 of SF 152 (disposition of existing stock) must be completed and a justification for the cancellation provided.

d. Health-care-related standard forms. GSA requires that Federal agencies coordinate all matters concerning health-care-related standard forms with the Interagency Committee on Medical Records (ICMR). Army proponents should achieve this coordination through their medical commands.

1-12. U.S. Government Optional Forms

The GSA develops OFs for optional use by two or more Federal agencies. The use of OFs within the Army is encouraged, and the Army sometimes requires them. If an OF needs to be modified, altered, or cancelled, follow the instructions in paragraph 1-11b .

1-13. Other Government agency forms

These are forms approved by other Government agencies such as the Treasury Department, the OPM, and the Department of Veterans Affairs. They may be required for use by the Army in matters related to the functions of these agencies. The designation of the responsible agency is shown on the form. It is the responsibility of the Army proponent to make the other agency forms available through normal publications supply channels.

1-14. Department of Defense forms

a. DD forms are either adopted or prescribed. Adopted forms are approved by the Director for Information Operations and Reports, Office of the Assistant Secretary of Defense (Comptroller) (OASD(C)). Prescribed forms are approved by the Secretary of Defense (SECDEF).

(1) Adopted. These are forms that are not mandatory but have been adopted for use by two or more military departments or Department of Defense (DOD) agencies. Their use is prescribed by a publication issued by each military department or DOD agency using the form.

(2) Prescribed. These forms are approved and prescribed for mandatory use by the military departments and other DOD agencies. Their use is mandated by a DOD issuance, military standard, or Public Law. DOD publications that are applicable to the Army, but do not require further Army implementation, are stocked and made available to Army users by the proponent. If Army-unique guidance is needed to implement the DOD policy, an Army publication is developed and the form is prescribed in the Army document.

b. The Army is the executive agent for some DD forms. For these forms, the Army proponent prepares —

(1) A publication prescribing the form.

(2) A DD Form 67 . (See fig 1-4 for a sample.) The DD Form 67 will —

(a) Show that the form was coordinated with the other military departments. Provide the names, organizations, and telephone numbers of the concurring officials.

(b) State how the form will apply within DOD.

c. The Army uses some DD forms even though the Army is not the executive agent. For these forms, DOD provides Army a copy of the DD Form 67 that was prepared by the sponsor of the form. (See fig 1-5 for a sample.) The Army proponent prepares the items listed in ( 1 ) and ( 2 ) below. (Send these items to Commander, USAPPC, ATTN: ASQZ-PDT, Alexandria, VA 22331-0302.)

(1) A publication prescribing the form for Army use.

(2) A completed DD Form 67 (with Army-unique requirements) for funding, printing, and indexing the form. (See fig 1-6 for a sample.)

d. Only a form's proponent can initiate cancellation of a form by forwarding a completed DD Form 67 to USAPPC.

1-15. Reporting forms

a. Public reporting forms.

(1) These forms are prescribed for collecting information on identical items from 10 or more persons outside the Federal Government. Under the Paperwork Reduction Act of 1980, these forms require clearance from and assignment of an approved number by the Office of Management and Budget (OMB). OMB approval is shown by the legend "Form Approved, Office, Management and Budget," printed with the OMB number and its expiration date in the upper right corner of the form inside the border. Paragraph 3-18 covers placement and design. (See AR 335-15, chap 4 , for more information on collecting data from the public.)

(2) Contractors are considered to be members of the public; consequently, forms associated with Data Item Descriptions to be completed by contractors are subject to the requirements of ( 1 ) above.

(3) Requests for new or revised forms are sent through channels to HQDA (SAIS-IDT), 107 Army Pentagon, WASH DC 20310-0107, when initiating or sponsoring public reporting forms that are subject to the Paperwork Reduction Act of 1980.

b. Interagency reporting forms. Forms used to collect data from other Federal agencies require clearance and assignment of an approved interagency report control number (IRCN) by GSA. Requests for IRCNs should not be sent directly to GSA but to the information management control officer (IMCO) having jurisdiction over the form for forwarding to DOD. Requests should include a completed Standard Form 360 (Request to Approve an Interagency Reporting Requirement) and an Optional Form 101 (Summary Worksheet for Estimating Reporting Costs). (Show IRCN approval by placing the number and its expiration date directly below the OMB number on the form.) Paragraph 3-18 covers placement and design. (See AR 335-15, chap 3 , for more information on interagency management requirements.)

c. Internal reporting forms. Forms used for collecting data within DOD require clearance and assignment of an approved requirement control symbol (RCS) number by the IMCO having jurisdiction over the form. (Show the RCS approval in the upper right corner, beneath the OMB and IRCN numbers as applicable, by inserting the words "Requirement Control Symbol," followed by the symbol and number. The RCS number should be inserted after DOD approval but before printing. Paragraph 3-18 covers placement and design. (See AR 335-15 for more information.)

d. New or revised reporting forms. The IMCO with jurisdiction must complete and sign the IMCO portion (block 14d) before submitting DD Form 67 .

1-16. Forms requiring General Accounting Office (GAO) approval

Forms relating to fiscal operations are prescribed by the proponent having primary functional responsibility for the form. The proponent is responsible for ensuring that accounting forms pertaining to fiscal operations are consistent with the principles, standards, and requirements of 31 USC 3511 . These forms require GAO approval before publication and use. Paragraph 3-19 covers the design and placement of the approval notice. These forms are rare in the Army. An example of a form requiring GAO approval is DA Form 2140 (Military Pay Voucher Summary and Certification Sheet).

a. When initiating or sponsoring these forms, send requests for their approval through channels to Commander, USAPPC, ATTN: ASQZ-PDT, Alexandria, VA 22331-0302, for forwarding to OASD(C).

b. When sending request packages, include five copies of the following:

(1) Completed DD Form 67, prepared according to paragraph 1-9a(1) .

(2) Proposed new or revised form.

(3) Existing prescribing publication.

1-17. Forms subject to the Privacy Act

If you will use a form to collect personal data from an individual, follow the requirements of the Privacy Act of 1974.

a. New or revised forms.

(1) Develop a Privacy Act statement for a form used to collect personal data ( AR 340-21 ), including forms that may be used in computer matching programs such as those used to apply for benefits or entitlements or for payroll or personnel actions. The proponent should consult the organization's legal counsel, as needed, to ensure that the statement meets the requirements of the law. Paragraph 3-21 covers placement and design.

(2) Complete the Privacy Act portion of DD Form 67 (block 14a) before submitting DD Form 67 to the DCSIM, DOIM, or IMO. The DCSIM, DOIM, or IMO will not accept this form unless that portion is checked and initialed by the Privacy Act official.

(3) Send the items listed below to the appropriate privacy official for approval if forms are subject to the Privacy Act.

(a) DD Form 67.

(b) A draft copy of the proposed form (which will include the Privacy Act statement).

(c) A draft copy of the prescribing publication.

(4) Integrate the Privacy Act statement and the form using one of the methods below. (This integration is done by the form designer or IMO.)

(a) Include the Privacy Act statement in the body of the form, preferably below the title and positioned so that it can be easily seen before the person begins to fill out the form.

(b) Print the statement on the back of the form only when ( a ) is impossible. In this instance, place a note on the front of the form, below the title, stating where the Privacy Act information is located.

b. New or revised records systems. Follow AR 340-21, chapter 4 , when —

(1) Developing a new or revised form that is a part of a new records system.

(2) Changing an existing records system.

1-18. Temporary, test, or one-time forms

If you need forms for temporary, test, or one-time use, you must assign a number and include the proper designation. Following the form number and date, insert the wording "Temporary," "Test," or "One-Time." An example is "TRADOC Form 000, AUG 87 (TEST)."

a. A temporary form will be printed for a limited time (normally not more than 1 year) to serve a specific requirement. The form will become obsolete when its purpose has been served.

b. A test form will be printed for use only during a testing period that is specified in the prescribing instructions. The form will become obsolete after the test is completed. To continue use after the test, convert the form to a permanent form.

c. A one-time form will be printed to meet a one-time requirement, such as a report made only once. When the requirement is complete, the form will become obsolete.

1-19. Forms authorized for local reproduction

Forms will be authorized for local reproduction when printing, stockage, and distribution are not cost justified. Forms stocked and distributed by the U.S. Army Publications Distribution Centers are high usage (100,000 or more forms used Army-wide in a 1-year period) or specialty forms whose construction precludes procurement at Army printing and duplicating facilities.

a. The prescribing publication will include a camera-ready copy of the form (unless reproducible copies are furnished separately to users), authority to use the form, and reproduction instructions. Forms are rarely furnished separately. The camera-ready copy "R" forms are placed at the very back of the publication.

b. DCSIMs, DOIMs, or IMOs will assign numbers to local forms as they do with other local forms, but local reproduction form numbers will be followed by a dash and the letter "R." Requests for reproduction of quantities of these forms through the local field printing and duplicating facility must be approved by the local DCSIM, DOIM, or IMO.

c. USAPPC will determine whether local reproduction is appropriate for Army-wide forms and will assign the form numbers. The DCSIM, DOIM, or IMO will determine whether the local reproduction is appropriate for command and local forms based on the most cost-effective method.

1-20. Electronic forms

An electronic form is a form whose image is stored in a magnetic, optical, video or other type of file (for example, CD-ROM, floppy disk, etc.) and can be retrieved electronically to print the form and/or to produce an image of the form on a computer screen. New and existing forms may be authorized for total electronic generation only if users have the equipment capable of performing this function. (This guidance does not apply to requests for printed forms in a continuous (pinfeed) construction for automation purposes. You must submit those requests according to paragraph 1-23 .)

a. Criteria for electronic forms. The purpose, use, and construction of a form determines its applicability as an electronic form. The following criteria apply to forms that should lend themselves to electronic generation and dissemination:

(1) Use. Forms designed for typewriter completion, or forms designed for handwritten completion that are usually prepared in an office environment.

(2) Construction. Forms that do not require special papers, inks, construction, or applications.

(3) Sensitivity. Forms that do not require controls to prevent forgery or use for fraudulent purposes.

b. Content requirements. All electronic forms (Army-wide, command, agency, and local) must —

(1) Replicate the content (wording), format (layout), and sequence (arrangement) of the approved edition of the printed forms. Any deviation must receive prior approval from the form proponent and forms manager.

(2) Conform to the requirements of this chapter and the data element requirements of AR 25-9.

c. Prescribing electronic generation authority. Personal computers have brought the capability to utilize electronic forms software systems to Army users at every level. Proponents should consider electronic applications for forms when developing recordkeeping or reporting requirements. When prescribing forms, proponents must include authorization for electronic versions of forms in the prescribing publication. The publication must contain any instructions pertinent to generation of the form.

d. Electronic forms design and fill-in software. Personal computer-based electronic forms software packages have design and fill-in capabilities. These software packages provide the capability to design forms that produce high quality images and provide user friendly interfaces, links to external databases, and electronic routing.

(1) Design. Only functional managers responsible for designing forms are authorized to design official versions of forms.

(a) Army-wide forms. USAPPC will design official Army-wide forms. Exceptions to design of these forms are discussed in e below.

(b) Command, agency, and local forms. Forms functional managers may use a forms software package to design their official internal forms.

(2) Fill-in. Forms users are authorized to use only form fill-in software capabilities. However, forms purchased with software packages are for vendor demonstration purposes only and are not authorized for use as official forms.

e. Exceptions to electronic forms design of Army-wide forms.

(1) Requests for authorization to use departmental forms in various software packages, other than those USAPPC provides, will be coordinated with the local functional process owner to ensure compliance with local business processes and will be submitted to the local information manager who will —

(a) Check DA Pamphlet 25-30 (Consolidated Index of Army Publications and Blank Forms) to ensure the form is current.

(b) Check the electronic forms library bulletin board (EFLBBS) to see if an approved electronic form currently exists for the desired software package. If an electronic form does exist that meets the user's needs, it may be downloaded for immediate use; if not, the information manager may request approval for a locally developed electronic form.

(2) The DOIM will —

(a) Complete DD Form 67 . The DD Form 67 will list the software (and version number) and compatible hardware used to generate the electronic form. A technical point of contact will also be listed who can answer detailed automation questions about the use of the electronic form for the Army-wide community.

(b) Prepare one blank and one sample filled, printed paper copy of the electronic form with enough blank space on the bottom right margin to be used for a USAPPC assigned approval number (imprint line). USAPPC will advise the DOIM of the number to be placed on the form. (See ( 4 ) below for more information on the imprint line.)

(c) Forward the request package to the major Army Command (MACOM) headquarters.

(3) The MACOM headquarters will —

(a) Review the request to ensure the electronic form does not conflict with other MACOM information management initiatives.

(b) Forward the request to Commander, USAPPC, ATTN: ASQZ-PDP, Alexandria, VA 22331-0302.

(4) USAPPC will —

(a) Ensure the electronic form meets the administrative requirements of GSA and DOD and conversion criteria relating to construction, color, special inks, size, etc.

(b) Ensure the output image is a near duplicate of the current paper edition of the form.

(c) Coordinate with, and obtain approval from, the functional proponent of the form.

(d) Coordinate with the appropriate data administrator to ensure compliance with AR 25-9.

(e) Assign a control number to be imprinted on the electronic form. USAPPC will notify the local DOIM of the approval and advise of the requirement to add the approval number (imprint line) to the bottom right margin of the form.

(f) Publish approved electronic versions of forms on the EFLBBS for Army-wide use, together with pertinent information such as nomenclature; paper edition date; electronic form file; USAPPC approval number; and the name, address, and telephone number of the technical point of contact.

f. Electronic forms developed with wordprocessing software. Similar to the typewriter, wordprocessing software may used to design a form. However, capability in producing complex forms design artwork is somewhat limited. Because of the inability to produce varying type styles and sizes, the form image produced rarely looks like a printed form. A sample of a wordprocessing-designed form is provided at figure 1-7 .

(1) New forms generated solely by electronic means.

(a) DA Forms. Proponents must submit a completed DD Form 67 through DCSIM, DOIM, or IMO channels to the Commander, USAPPC, ATTN: ASQZ-PDT, Alexandria, VA 22331-0302. The DD Form 67 must be accompanied by a statement indicating that all users of the form have the capability to comply with the electronic requirement, a copy of the electronically generated form for review, and a copy of the prescribing publication. The publication must contain a completed sample illustration of the electronically generated form. A "-E" will be added to the form when the number is placed on the generated form, for example, DA Form 0000-E, date; DA Form 0000-R-E, date.

(b) Command, agency, and local forms. Proponents must establish the electronic form requirements and obtain approval from the DCSIM, DOIM, or IMO in the local area.

(2) Existing stocked or locally reproducible forms.

(a) DA forms. Approval will be obtained from the proponent of the form. Requesters must provide the proponent a copy of the generated form for review. At a minimum, the generated image must contain the form title, form number and date, reference to the prescribing publication, the Privacy Act statement (if applicable), and the RCS, OMB, and/or GAO approval numbers (if required). If the requester anticipates above average costs for generating a form, the requester will obtain the proponent's approval before starting the work. This coordination will eliminate expenditure of funds for a form that may later be disapproved. Proponents must comply with the restriction in h below before approving requests. When granting approval, the proponent will direct that a "-E" be added to the existing form number when the number is placed on the generated form; for example, DA Form 0000-E, date; DA Form 0000-R-E, date. The date shown will be the same as the date on the printed form. Proponents will provide a completed DD Form 67 , together with a copy of the electronically generated form, to the DCSIM, DOIM, or IMO for forwarding to USAPPC (ASQZ-PDT).

(b) Command, agency, and local forms. Approval will be obtained from the DCSIM, DOIM, or IMO in the local area. Approved electronically generated forms will be assigned numbers as described in ( a ) above, using the command, agency, or local designation; for example, TRADOC Form 0000-E, date, TRADOC Form 0000-R-E, date.

(c) DD, SF, OF, and other Government agency forms. Activities requesting electronic generation of these forms will submit their requests to the Army proponent of the form. Requesters will provide the proponent a copy of the generated form for review. Proponents will send a completed DD Form 67, together with the copy of the generated form, through DCSIM, DOIM, or IMO channels to the Commander, USAPPC, ATTN: ASQZ-PDT, Alexandria, VA 22331-0302, for forwarding to the proper approval authority. Requests for electronic generation of SFs and OFs must be accompanied by a completed SF 152 and a separate justification. If approved, the respective approval authority will provide electronic generation instructions.

g. Distribution media. Electronic forms may be issued on floppy disks or compact disk-read only memory (CD-ROM). Online systems such as electronic bulletin boards may also be used as a distribution medium.

(1) Floppy disks. Forms will be listed on disks in numerical sequence. Since disks will contain a compilation of forms, the disks will describe the content of the disk, include the edition date of the disk, and show any applicable supersession notice. If more than one disk is issued at a time, the disks will be distributed in sets. The set, and each disk within the set, will be numbered consecutively; that is Set (number), Disk (number). Each set will include a numerical index of the forms contained within the set, indicating the specific disk that contains the form.

(2) CD-ROM. Forms will be listed on disks in numerical sequence, not by functional category. The storage capacity of a CD-ROM will accommodate a large inventory of forms. Since the disk will contain a compilation of forms, the disks will be labeled and numbered for management purposes. The label will describe the content of the disk, include the edition date of the disk, and show any applicable supersession notice. Disks will be numbered consecutively. Each disk will contain an index of the forms contained on the disk.

h. Restrictions. Controlled and sensitive forms and specialty constructions (except multipart forms that have all copies alike) will not be approved for electronic generation. Forms that require color (either in paper or ink) will not be approved for electronic generation if additional expense is required.

i. Rescissions.

(1) Paper editions of forms. Proponents of departmental forms will notify Commander, USAPPC, ATTN: ASQZ-PDT, Alexandria, VA 22331-0302, when a form has been totally automated and the paper copy is no longer required. Proponents of command, agency, and local forms will provide notification to the DCSIM, DOIM, or IMO in the local area.

(2) Electronic forms. Proponents of departmental forms will notify USAPPC (ASQZ-PDT) when approved electronic versions of forms are no longer required. Proponents of command, agency, and local forms will notify the local DCSIM, DOIM, or IMO.

1-21. Department of Defense Form 67 (Form Processing Action Request)

Use DD Form 67 to request the approval and design of a new or revised DA form. This form is also used to request permission to reprint a form that is stocked and issued at a point other than the Baltimore or the St. Louis U.S. Army Publications Distribution Centers. When the Army is the executive agent (initiator) of a DD form, the proponent also prepares this form ( para 1-14 ). DD Form 67 is available through normal publications supply channels.

1-22. Standard Form 152 (Request for Clearance or Cancellation of a Standard or Optional Form or Exception)

Use SF 152 to request exceptions to the content or construction of standard or optional forms or to request their cancellation. This form is available through normal publications supply channels. (See fig 1-3 for a sample of a completed SF 152.) Additional clarification for some of the blocks is as follows:

a. Block 1. The requesting department or agency is "Department of Defense" since DOD submits the SF 152 to GSA.

b. Block 2. The requesting bureau or office is Department of the Army plus the proponent office.

c. Blocks 14 through 14b. USAPPC inserts this information.

d. Blocks 15 through 15b. DOD inserts this information.

e. Additional processing information.

(1) New forms. Complete blocks 1 through 13, blocks 32 through 37, and blocks 41 through 46.

(2) Revised forms. Complete blocks 1 through 13, blocks 22 through 37, and blocks 41 through 46.

(3) Exceptions. Complete blocks 1 through 13, blocks 38 through 42, and block 46.

(4) Cancellations. Complete blocks 1 through 13 and blocks 22 through 31.

Section IV
Deviations and Restrictions

1-23. Deviations

Army-wide forms will not be altered or modified in any way unless the deviation has been approved through the proper channels. When requesting deviation from the format, content, or construction of an established form, follow the procedures in a through d below. Send a request for deviation to the approval authority of the form.

a. When the form is an established local, agency, or command form, send the request to the proponent. If the request is approved, the proponent will send it to the DCSIM, DOIM, or IMO for final approval.

b. When the request is for deviations to the content or format of an established Army-wide form, send the request to the proponent. If the request is approved, the proponent will send it to the DCSIM, DOIM, or IMO. If the DCSIM, DOIM, or IMO approves the request, he or she will send it to Commander, USAPPC, ATTN: ASQZ-PDT, Alexandria, VA 22331-0302, for final approval and assignment of a case number.

c. When the form is a public reporting form or a form requiring a Privacy Act statement, obtain approvals according to paragraph 1-15 or 1-17 , respectively.

d. When the request is for deviation to the construction of an approved Army-wide form available through normal supply channels, local reproduction or procurement of construction variations must have prior approval of the DCSIM or DOIM having jurisdiction over the form. Send requests through channels to Commander, USAPPC, ATTN: ASQZ-PDT, Alexandria, VA 22331-0302, for review, approval, and assignment of a case number. This approval requirement applies to initial procurement or reproduction only. Some additional considerations for requesting construction variations are provided below:

(1) Requests for carbon-interleaved constructions will include justification, number of sets required annually, and distribution of each copy of the set.

(2) Other construction variations must be fully justified.

e. When the forms are covered in a through c above, deviations will not be approved for more than 2 years. At the end of the approval period, submit a new request through the approval channels described in a through c above. However, if a form is revised during the 2-year period, the deviation approval no longer applies, and you must submit a new request for the revised form.

1-24. Prohibited reproduction of forms

R-forms are authorized for local reproduction. Forms authorized for local reproduction will be procured in the construction most economical for the using activity, as determined by the DCSIM, DOIM, or IMO. Guidance for local reproduction of other forms is as follows:

a. Do not locally print or purchase Army-wide forms unless authorized by Commander, USAPPC, ATTN: ASQZ-PD, Alexandria, VA 22331-0302.

b. Do not reproduce local, agency, or command forms unless authorized by the DCSIM, DOIM, or IMO.

1-25. Forms or labels designed to be self-mailing

Forms or labels designed to be self-mailing will not be approved by the DCSIM, DOIM, or IMO unless authorized by the official mail control officer; the initials of the official mail control officer must appear on the DD Form 67 (block 14b). For DD and DA forms, the block will be initialed by HQDA (SAIS-IDP). Any mail piece (except parcels) that does not have an outer cover, wrapping, or envelope in addition to the paper or material on which the majority of the printing, drawing, or writing being transmitted is placed, is considered to be self-mailing per AR 25-51 .

1-26. Overprinting of forms

a. Overprinting a form with fixed data having a wide applicability is allowed if the form is not altered. Using available stock for overprinting is not required (except per e through g below) if forms can be procured more economically by other local means. The DCSIM, DOIM, or IMO will determine whether local production is best.

b. Overprinting will be with data that will be the same each time the form is completed. (Insert this data in the preprinted block.) To avoid waste, limit the quantity overprinted. (Do not overprint with data subject to frequent change, such as a person's name, telephone number, and office symbol.)

c. GSA must approve overprinting of information in the "Remarks" section of an SF or OF or the overprinting of information inappropriate to a captioned area of an SF or OF.

d. DD Form 67 will be used to request overprinting approval from the DCSIM, DOIM, or IMO. If the request is approved, a control number will be assigned. DCSIMs, DOIMs, or IMOs are not authorized to approve SF and OF overprinting requests. They will send these requests with justification to Commander, USAPPC, ATTN: ASQZ-PD, Alexandria, VA 22331-0302.

e. A security classification and downgrading information may be overprinted on a form if the form's quantities are small and the classification conforms with AR 380-5 . The DCSIM, DOIM, or IMO will approve this type of overprinting only if authorized by the agency or command security officer. (For more information on classified forms, see para 1-27 .)

f. Forms used by service schools for instructional purposes will be overprinted or stamped with the word "SAMPLE" in large letters. They will use forms procured from available stocks.

g. Forms procured through normal publications supply channels will be used to overprint SFs or OFs. (Do not procure the forms locally.)

1-27. Classified forms

a. Forms security. Forms containing classified information should be safeguarded according to the procedures provided in AR 380-5 Note that most blank forms are unclassified.

b. Downgrading or declassification instructions. Downgrading or declassification instructions usually will not be preprinted on forms. A change in security regulations could make preprinted instructions obsolete. Therefore, when applying instructions, use a rubber stamp or other suitable means. However, preprinted classification instructions showing the status of the form standing alone (that is, when classified enclosures are removed) is permitted. An example of the instructions would be "This form may be downgraded to (enter classification) when classified enclosures are removed."



Figure 1-1. Sample of a completed DD Form 67 for DA, SF, OF, and other Government agency forms





Figure 1-1. Sample of a completed DD Form 67 for DA, SF, OF, and other Government agency forms—Continued





Figure 1-1. Sample of a completed DD Form Form 67 for DA, SF, OF, and other Government agency forms





Figure 1-1. Sample of a completed DD Form Form 67 for DA, SF, OF, and other Government agency forms





Figure 1-2. Sample of a completed DD Form 67 for approval of command, agency, and local forms





Figure 1-2. Sample of a completed DD Form 67 for approval of command, agency, and local forms—Continued





Figure 1-2. Sample of a completed DD Form 67 for approval of command, agency, and local forms





Figure 1-2. Sample of a completed DD Form 67 for approval of command, agency, and local forms





Figure 1-3. Sample of a completed SF 152 for exception





Figure 1-3. Sample of a completed SF 152 for exception—Continued





Figure 1-4. Sample of completed DD Form 67 for approval of DD forms for which Army is the Executive Agent





Figure 1-4. Sample of completed DD Form 67 for approval of DD forms for which Army is the Executive Agent—Continued





Figure 1-4. Sample of completed DD Form 67 for approval of DD forms for which Army is the Executive Agent





Figure 1-4. Sample of completed DD Form 67 for approval of DD forms for which Army is the Executive Agent





Figure 1-5. Sample of a completed DD Form 67 originating from DOD





Figure 1-6. Sample of a completed DD Form 67 for Army requirements of a DD form (Army user)





Figure 1-6. Sample of a completed DD Form 67 for Army requirements of a DD form (Army user)—Continued





Figure 1-6. Sample of a completed DD Form 67 for Army requirements of a DD form(Army user)





Figure 1-7. Sample of an electronically generated form


Chapter 2
Forms Control Files

2-1. General

a. Forms management personnel cannot control forms unless they know what forms are used within their area of jurisdiction, how and when they are used, and the quantity of each. DCSIMs, DOIMs, and IMOs or their designated functional managers will review all forms periodically (at least annually or when a reprint action is initiated).

b. Forms review and analysis are impossible unless you keep both a numerical (current history file and obsolete history file (if applicable)) and a functional file (subject, purpose, use, action). (See paras 2-3 and 2-4 for details on numerical and functional files.)

2-2. Collection of copies and basic information

Numerical and functional files cannot be established until you have the following required copies and information:

a. Two copies of every form used within your jurisdiction (including forms used Army-wide and command, agency, and local forms). Copies of forms will be needed regardless of the type of usage or method of reproduction. After you complete the sort described in paragraph 2-4d , you may need extra copies of some of the forms. Forms submitted from activities should be annotated with the name of the using office, the approximate monthly usage, and the purpose of the form. Total monthly usage and the number and location of the users should be noted when the form is used by more than one office or activity.

b. Adequate filing cabinets or shelf files and a supply of guidecards and folders. (See para 2-4 d for details on using these cards and folders for setting up numerical and functional files; before you review the sorting and general filing procedures, study the numerical and functional files description and purpose in paragraphs 2-3 and 2-4.)

2-3. Numerical history files

The numerical history file consists of a current or an obsolete (if applicable) history file for each form. Your files will include all forms within your jurisdiction, including forms used Army-wide and command, agency, and local forms. These numerical files contain information such as the form number, title, description, justification, specifications, and routing information. Information for this file is obtained from the DD Form 67 that is submitted to request approval of the form. Current and obsolete history files are described as follows:

a. Current numerical history file. This file will include a separate folder for each form that is currently being used within your jurisdiction. General filing instructions, purpose, and file content are described as follows:

(1) General filing instructions.

(a) Until files are organized, you may want to label guidecards and folders with pencil. Forms will be grouped first by category such as DA; DD; OF; SF; and command, agency, and local forms.

(b) Make a separate guidecard for each grouping such as DA, DD, and so forth and label each one.

(c) Make a separate folder for each form and label it with the number of the form.

(2) Purpose. The current numerical history file —

(a) Gives a complete history of the form.

(b) Is a valuable tool for forms management, analysis, and design.

(c) Ensures that all approved changes have been incorporated when a reprint is approved and processed.

(d) Serves as a cross-reference with the functional files described in paragraph 2-4 .

(e) Ensures that a proposed new form does not duplicate or is not similar to an existing form.

(f) Provides a way to review existing forms for ideas on design, construction, and filing.

(g) Allows for verification of the form number or title when new stock must be requisitioned.

(h) Saves time and reduces the costs of paper, design, construction, printing, and duplicating.

(3) Current numerical file content. Each file folder will include the following:

(a) The DD Form 67 for each new form (including rough drafts of forms) and for each revision or reprint. This form will give you information such as form description, justification, routing, and specifications.

(b) All correspondence pertaining to the form.

(c) A copy of the current prescribing publication or instructions covering the form's use. If the publication is not available, identify the directive or instructions as shown on the DD Form 67.

(d) A permanent record copy of the current edition of the form, one copy of each previous edition, and five additional copies of the current edition (for reprint or other purposes). (To ensure that all approved changes have been incorporated into the form, you must always check this file before approving a reprint of a form.)

(e) A copy of the results of forms analyses including consideration of the usefulness of each form, design techniques, and possible combining of related forms.

(4) Disposition instructions. The numerical history file remains active as long as the form is current. When the file becomes obsolete, it is transferred to the obsolete historical file as explained in b below.

b. Obsolete numerical history file. This file will include a separate folder for each obsolete form that has been rescinded (dropped). The obsolete numerical history file gives you an excellent tracking system. Moreover, proponents sometimes decide to reinstate an obsolete form as it is or with some changes. This file will save time and reduce costs. Obsolete departmental forms can only be reinstated within 3 years of obsolescence.

2-4. Functional files

Functional files are groups of forms classified by subject and function (purpose, use, action). Offices that have the capability may capture the functional data elements and maintain this information on an automated system. Major action and specific classification purpose, content, sorting and filing, and disposition instructions for functional files are explained below:

a. Major action classification. The subject of the form is "what the form is about." Table 2-1 shows the functional codes on the major action classification for forms filing. Subject classifications are listed such as "Manpower, Reserve Affairs (1000)," "Military Personnel (1300)," and "Civilian Personnel (1400)."

b. Specific classification. The action (function, purpose, use) of the form is "what the form will accomplish." Table 2-2 provides the specific classification subjects and filing code numbers. Specific subject classifications are listed such as "Activity or Progress Reports (02)," "Address, Location, and Telephone Numbers (03)," and "Assignment and Detail (07)."

c. Purpose. The functional file —

(1) Is a valuable tool for forms management, analysis, and design.

(2) Serves as a cross-reference with the numerical files. This functional file is a ready-reference of all existing forms by function; it will help you locate forms when the form number and title are unknown.

(3) Brings together all forms pertaining to a given function to prevent development of duplicate forms for similar functions or for those already prescribed at a higher level.

(4) Brings together like or similar forms that may be combined into one form.

(5) Reveals duplication of records or reporting in the same or different organizations and units.

(6) Provides a way to review existing forms for ideas on design, construction, and filing.

(7) Saves time and reduces the costs of paper, design, construction, printing, and duplication.

d. Functional file content, sorting, and filing. File content and details on sorting and filing are as follows:

(1) Functional file content. The functional file will consist of —

(a) A separate guidecard for each subject (major action classification) per table 2-1 . The guidecard will be labeled to show the subject filing code number and the subject. (See fig 2-1 for a sample functional file drawer.)

(b) A separate folder for each action (function, purpose, use) specific classification per table 2-2 . The folder will be labeled to show the action filing code number and the action.

(2) Functional file sorting and filing. The procedures for sorting and filing by major action and specific classifications are as follows:

(a) Be sure you have adequate filing cabinets or shelf files, guidecards, and file folders.

(b) Sort forms and determine subject (major action classifications) per figure 2-1.

(c) Begin by labeling guidecards and folders in pencil with subject classifications. Then, you can make changes as you continue the sort.

(d) Add and eliminate folders as needed until you determine your subject classifications.

(e) Study the form carefully if the title does not clearly indicate the correct functional subject grouping.

(f) Set up a "miscellaneous" folder for the initial stages of sorting for the few forms that do not fit into a grouping. As you continue your sort, you may determine the grouping by comparing the questionable forms with other forms. If you still have questions, you may need to contact the proponent or users of the form to determine the category.

(g) Look for forms that perform more than one function. If you have sufficient reason to file the form under more than one subject, make additional copies of the form and file under the related subjects. If you are filing the form under more than one subject classification, be sure to make cross-file notations on the folders. Thorough analysis should keep cross-file references to a minimum.

(h) File all forms with the same subject classification in the same folder, regardless of origin of the form.

(i) Begin your specific classification sorting after you have finished the major action classification sort. Again, you may want to label folders and guides with pencil until you have finished the sort. A "Manpower, Reserve Affairs and Personnel" form ("1000" per table 2-1 ) used for "Activity or Progress Reports" ("02" per table 2-2 ) is classified as "1002" for filing. A "Manpower, Reserve Affairs and Personnel" form used for "Address, Location, and Telephone Numbers" is classified as "1003" for filing. A "Military Personnel" form ("1300" per table 2-1) used for "Address, Location, and Telephone Numbers" ("03" per table 2-2) is classified as "1303" for filing.

(j) Put a filing code number at the top of each form to show the subject and action classification as described in ( i ) above. When people remove the copy for review, they will know where to refile it. If a form in the major action classification of "Manpower, Reserve Affairs and Personnel (1000)" is used for two actions such as "Activity or Progress Reports" and "Assignment and Detail," make a cross-reference notation on both copies. (File one copy of the form in the "1002" folder and the other in the "1007" folder.) Thorough analysis should keep cross-file references to a minimum.

(k) Be careful not to break down too much. Further breakdowns beyond the "1002," "1003," and "1007" types discussed in (i) and ( j ) above are rarely needed. You want to be able to compare forms that fall into similar groupings. However, if the number of forms in one specific classification folder becomes difficult to handle, you may further break down and set up additional folders. You know your forms; you are the one who will have to find, reference, update, analyze, and control your forms and files.

(l) Try to return forms to their files as soon as possible after use. If other people are using your files, consider asking people who are not forms specialists to return the form to you for refiling. If forms are filed in the wrong place, your time will have been wasted, and your files will not serve their purpose.

(m) Use your functional files (and your numerical history files) whenever you analyze a proposed new form. Also, these files will be critical when you do your annual forms review. These files will help you answer the detailed analysis questions covered in chapter 3 .

e. Disposition instructions. Forms are removed from the functional file when the form is superseded or rescinded (dropped). If the form has been replaced by another, the new form goes in this file.

2-5. Department of the Army Form 642 (Forms Information Record)

DA Form 642 is used to control form numbers. This form is available through normal publications channels. Since this form is used for only internal recordkeeping, offices that have the capability may capture the data elements of DA Form 642 and maintain them on an automated information system. The following procedures explain how to use DA Form 642 to control form numbers:

a. Numerical card files. Numerical card files are used as follows:

(1) Type the assigned form number in the appropriate box on the card.

(2) File the card numerically.

(3) Remove the card from the numerical file when the new form has been approved and complete the remaining items on the form. These items include the title of the form; date; originating office; type of construction (cut sheet, card, set, and so forth); monthly usage; purpose; and prescribing publication.

(4) File the completed card alphabetically (by form title) with the other completed cards. This file is the alphabetical card file.

b. Alphabetical card file. Alphabetical card files (completed after approval of the form) are used as —

(1) A current file of all the forms approved by your organization.

(2) A cross-reference to the numerical card file.

(3) A source of data for progress reports on forms control activities.

c. Index. Numerical and alphabetical card files may be used by commands or agencies to publish the index of forms under their jurisdiction. AR 25-30 , requires that DCSIMs, DOIMs, and IMOs maintain an inventory and index of issued forms and update them at least once a year.

(1) Use the numerical card file to develop the numerical portion of the index.

(2) Use the alphabetical card file to develop the alphabetical portion of the index, when applicable.

(3) Flag newly approved forms so they can be included whenever the index is changed or revised.

d. Other uses of DA Form 642. DA Form 642 is also used to —

(1) Count forms inventory.

(2) Cross-reference the forms functional files.

(3) Identify forms' originators.

(4) Suspense the supersession or rescission of forms. When you receive notice that the supersession or rescission has been published in a publication or an index, withdraw the card from the file and post the supersession or rescission date on the card. The card should then be placed in the obsolete file.

2-6. Department of the Army Form 4815-R (Forms Control Register)

DCSIMs, DOIMs, and IMOs or their designated functional managers will maintain records of all forms control actions using DA Form 4815-R (Forms Control Register). Since this form is used for only internal recordkeeping, offices with the capability may maintain the information on an automated information system. (DA Form 4815-R will be locally reproduced on 8½- by 11-inch paper. A copy for reproduction purposes is located at the back of this pamphlet.)

2-7. Review of proposed publications

An important element of a successful forms management program is the prepublication review of all publications for forms implications. This review will ensure that —

a. Each form referenced in the publication is correctly cited by number and title and that it is current and available to users.

b. Each form prescribed by a publication has been approved and provisions for supply to users have been made. Supply may be by local reproduction, stock and issue, or by requisition through normal publications supply channels.

c. The need for a new form has not been overlooked. Proponents do not always recognize that their prescribed procedures could be accomplished more efficiently with a well-designed form. The proponent and the forms manager should work together to design a form to fit the procedures.

d. A new form being prescribed does not duplicate an existing form or a form already prescribed at a higher level. The possibility of combining forms should also be considered.

e. Proponents realize when control or approval of other agencies is required. Early recognition of the need for approvals and control numbers will eliminate delays in publishing.

f. Forms are numbered correctly and the supersession of forms is shown on the form and in the publication's supersession notice.

g. Proponents are alerted early to the possibility of electronic generation. The prescribing publication must state that electronic generation is authorized, give signature requirements, and provide information such as whether all data elements must remain the same or flexibility is allowed. If the directive does not state the requirements and flexibility, users and proponents will be continually burdened with requests for approval of electronic generation.

Table 2-1. Major Action Classification for Functional Files
Code Subject category
1000 Manpower, Reserve Affairs, and Personnel
1100 Manpower
1200 Reserve Forces
1300 Military Personnel
1400 Civilian Personnel
2000 International Programs and Security Assistance
2100 Mutual Grant and Reimbursable Aid
3000 Planning, Research and Development, Intelligence, and Computer Technology
3100 Military Planning and Readiness
3200 Research and Development
3300 Intelligence
3400 Computer Technology
3500 Space Systems and Programs
4000 Logistics, Acquisition, and Resources Management
4100 Maintenance, Property, and Supply Management
4200 Requirements, Production, and Acquisition
4400 Priorities and Allocations
4500 Transportation
4600 Communications
4700 Natural Resources
5000 General Administration
5100 Organization and Functions
5200 Security
5300 Office and Administrative Services
5400 Public Information
5500 Legal and Legislative
6000 Safety, Health, and Medical
6100 Physical Fitness
6200 General (Preventive Medicine)
6300 General Medicine
6400 Special Fields
7000 Comptrollership
7100 Budgeting
7200 Appropriations Accounting and Control
7300 Disbursements and Receipts
7400 Revolving Funds
7500 Property Accouting
7600 Auditing
7700 Information Resources Management
7800 Contract Financing
7900 Automatic Data Processing


Table 2-2. Specific Classification for Functional Files
Code Subject category
1 Accounts and Audits
2 Activity or Progress Reports
3 Address, Location, Telephone numbers, Name change, etc.
4 Admissions and Treatments
5 Allotments and Insurance
6 Appointments and Commissions
7 Assignment and Detail
8 Attendance, Leave, Overtime
9 Authorizations
10 Bills of Lading, Dray Tickets and Manifests
11 Casualty, Death, Missing, Injury
12 Certifications
13 Charge-out and Filing Devices
14 Claims
15 Classification and Qualification
16 Code Sheets
17 Contracts and Agreements
18 Control Devices, Records
19 Courier and Messenger Service
20 Decorations and Awards
21 Distribution, Delivery and Disposition
22 Duty Status
23 Education and Training
24 Efficiency
25 Employee Relations, Housing and other Personnel Matters
26 Envelopes, Letterheads, Labels, and Tags
27 Examinations
28 Histories and Personal Data
29 Identification
30 Inspections and Tests
31 Inventories
32 Investigations, Studies, etc.
33 Maintenance and Repairs
34 Notifications
35 Orders
36 Ordnance and Ammunition
37 Passes and Permits
38 Payrolls and Time Records
39 Prisoners and Discipline
40 Proceedings
41 Production Reports
42 Purchase
43 Radar and Radio
44 Real Estate
45 Receiving and Receipts
46 Recruitment, Enlistments and Induction
47 Registers and Logs
48 Registration
49 Requirements
50 Requisitions, Requests and Work Orders
51 Retirement and Pensions
52 Rosters and Strength Reports
53 Routing, Memo, Transmittal and Action Slips
54 Salvage and Destruction
55 Schedules
56 Separations and Discharges
57 Shipping
58 Specifications
59 Storage and Issue
60 Subsistence (Laundry, Clothing, Food)
61 Transfers, Status Changes
62 Trails
63 Vouchers
64 Work Sheets, Graphs, Charts, etc.



Figure 2-1. Sample Functional File Drawer


Chapter 3
Forms Analysis, Design, and Construction Techniques and Standards

Section I
Forms Analysis

3-1. Forms analysis objectives

Forms analysis is the systematic and creative process used to establish the necessity, purpose, use, design, and cost of a form. Before a form can be effectively designed, it must be thoroughly analyzed. Initial analysis may even reveal that a form is not necessary; perhaps an existing form with minor revisions will meet the need. The objectives of forms analysis are to ensure that —

a. Productivity is increased in forms preparation, use, filing, and retrieval.

b. The number of forms is kept to a minimum.

c. Data element relationships are readily apparent through consistency and adherence to standards.

d. The effectiveness of the Army and the forms system is improved by the form.

e. The form communicates and meets the needs of the originator, processor, and user.

f. The form is cost effective.

g. The form meets the objectives of forms management discussed in paragraph 1-4 .

3-2. The proponent's role

a. The originator (publication proponent or action officer) is responsible for initiating a form and its prescribing publication. Forms that do not have a prescribing publication will not be put into the Army system. (See para 1-9b for details on prescribing publications.)

b. The originator must decide if the form is essential and consider the following questions before prescribing a form:

(1) Is the form really necessary?

(2) Will the form fit the present or anticipated procedure?

(3) Will the form improve operations?

(4) Will the form be economical to use?

(5) How many copies of the form are needed?

(6) At what level will the information be entered, processed, and used?

(7) Should the form be electronically generated? (See para 1-20 .)

c. The originator must consider the needs of the responders (those who fill out the form), the processors (those who process the form), and the users (those who need the information).

(1) Responders need a form that —

(a) Will be easy to complete.

(b) Has enough space for entering required data.

(c) Has data elements that are understandable.

(d) Has clear, concise completion instructions.

(2) Processors take some action after a form has been filled in. Processors need a form that —

(a) Has an orderly arrangement of the information (for example, sequencing and aligning of the data elements).

(b) Has a design that is uniform and compatible with any related forms.

(3) Users may or may not be originators. Users need a form that —

(a) Collects timely and accurate information.

(b) Collects information efficiently and economically.

d. The originator must look at the total picture. The prescribing publication; the needs of responders, processors, and users; and the form (its design, construction, and the number of copies required) are all important parts of analysis. Some analysis guidelines are as follows:

(1) Do not create a form if there is no need for it.

(2) Do not perpetuate obsolete or redundant forms.

(3) Do not create a form that duplicates the function of a higher echelon form.

(4) Limit the number of copies required to the minimum.

(5) Do not consider designing a specialty form when a simple construction meets the need.

(6) Reduce the administrative workload by considering simplifying the design, construction, and preparation instructions.

(7) Conserve printing and duplicating funds.

3-3. Initial planning

Once you have considered the questions and requirements described in paragraph 3-2 , you are ready to plan your form as follows:

a. Initial steps and questions. During the early stages, do the following:

(1) Decide what information is to be transmitted or recorded.

(2) List the required and related data elements with the required procedures.

(3) Determine the routing for the completed form.

(4) Determine whether a single-copy (cut sheet) or multiple-part form is required. If a multiple-part form is required, its construction will depend on how it is to be filled in, how many copies must be made at one time, and how many forms are filled in daily by one individual. At this point, careful planning can eliminate the printing of unnecessary copies and the reproduction of additional copies. You can determine the appropriate design by answering questions ( a ) through ( f ) below.

(a) Who needs the information?

(b) When will they need it?

(c) How many people need the information (in turn or simultaneously)?

(d) Who will fill in the form?

(e) How often will the form be used?

(f) Is the form for record purposes only?

b. Correlation of forms with procedures. After making the decisions in a above, determine how the information on the form will be used in connection with procedures, office machines, and information systems.

(1) The sequence of entries on the form should parallel the sequence on the chart when data obtained from the form will be compiled on a statistical summary chart.

(2) The proper grouping of related data is helpful when information is posted from one form to several other forms or records. For example, you might divide a form requiring personal history data into three groups: the first for personal data, the second for military history, and the third for medical history.

c. Recurring information. After reviewing the standard items of information, such as legal clauses, certificates, statements, or affirmations to be entered by the person filling out the form, decide how to make them permanent parts of the form.

3-4. Costs involved in forms development, production, and processing

Forms costs should be compiled on Standard Form (SF) 335 (Summary Worksheet for Estimating Forms Costs) and maintained as a routine part of forms analysis. SF 335 is stocked and issued at USAPPC, ATTN; ASQZ-PM, Alexandria, VA 22331-0302. Additionally, SF 335 may be electronically generated without exception approval by General Services Administration, provided the electronic form matches, as closely as possible, the official printed edition of the form, including all data elements, instructions, and identifying information. The form number will not be altered to show "-R" or "-E". The date of the form will be the same as the current edition of the printed form. For instance, administrative costs (recurring costs based on the fill-in and typing time) can be dramatically reduced by effective analysis and layout (redesign). The example in table 3-1 shows savings as a result of redesigning a form; the savings in this example are 583 workdays and $46,670. Such data are extremely useful in determining whether a form should be revised or if two or more forms should be consolidated.

Section II
Forms Design and Construction

Office of the Secretary of Defense (OSD) designs all DD and DOD sponsored forms. These design standards apply to DA, command, agency, and local forms.

Office of the Secretary of Defense (OSD) designs all DD and DOD sponsored forms. These design standards apply to DA, command, agency, and local forms.

3-5. Forms design objectives

a. Forms design is the systematic and creative process used to develop high quality forms that efficiently and economically serve their purpose. Well-designed forms meet the needs of originators, responders, processors, and users. Placement of required form elements; spacing; arrangement; grouping, aligning, and sequencing of data elements; layout (such as box design or columnar and tabular arrangements); kind, grade, and weight of paper; style and size of type; shading; and clear instructions are used to ensure that forms meet the objectives below:

(1) Comply with legal and regulatory requirements.

(2) Include all required elements such as title; command or agency designator and form number (including "R" for locally reproducible forms and "E" for electronically generated forms); date; proponent and prescribing publication; Privacy Act, clearance statements, and RCS and OMB numbers, when applicable; supersession notices; and signature blocks.

(3) Provide for easy fill-in of data.

(4) Meet editing and consistency standards.

(5) Are cost effective and increase productivity.

(6) Are professional looking and do not create image problems for the Army.

b. For technical assistance in forms design including selecting paper and developing printer's specifications, contact your DCSIM, DOIM, or IMO.

3-6. Standard sizes of paper and card forms

Before you design your forms, you need to consider sizes. To make things easier for you and to reduce costs, sizes have been standardized. The argument for standard sizes does not rest on reduced paper costs alone. The greatest savings are in the areas of machines, equipment, and supplies; the Government and the Army are also trying to standardize these. When a nonstandard size form forces use of other nonstandard items, the costs rapidly increase. Use of information technology may require that you deviate from established size standards for forms that must be compatible with various processing machines. Forms should be designed no larger than 8½ by 11 inches, whenever possible. (Any Army-wide form larger than 8½ by 11 inches must be justified, in writing, to the Commander, USAPPC, ATTN: ASQZ-PM, Alexandria, VA 22331-0302.) Sizes for paper forms, card forms, and shipping tags are as follows:

a. Paper forms.

(1) Finished form sizes from jumbo sheets. Sheets of paper (based on multiples of 8½ by 11 inches) are cut into equal divisions to provide finished forms. (Be sure to check the margin requirements in para 3-7 ; after you have finished your design, see paras 3-10 and 3-11 for details on the grade and weight of paper.) A 17- by 22-inch sheet can be cut into the following finished form sizes:

(a) 4¼ inches by 5½ inches equals 16 cuts.

(b) 4¼ inches by 11 inches equals 8 cuts.

(c) 5½ inches by 8½ inches equals 8 cuts.

(d) 8½ inches by 11 inches equals 4 cuts.

(2) Letter and legal size. The standard sizes for paper forms are 8½ inches by 11 inches (letter size) and 8½ inches by 14 inches (legal size). The Judicial Conference of the United States has adopted letter-size paper as the standard of use throughout the Federal court system. Therefore, 8½- by 11-inch paper is the only size acceptable for forms involved with the Federal court system. This size requirement, however, does not apply to trial exhibits.

(a) A form may be designed with either the small dimension or the large dimension as the reading width. You will always refer to the width first and then the length. For example, letter size is 8½ inches by 11 inches. However, if you turn the paper sideways and type in that position, you refer to it as 11 inches by 8½ inches.

(b) The dimensions of forms are determined by the amount of information to be included. The sizes must conform to standard dimensions for printing, packaging, storing, and filing; fit standard office machines for fill-in; and fit standard size envelopes.

b. Card forms.

(1) Guidecards. These cards are used according to chapter 2 for your control files. They are available in —

(a) 8½ inches by 11 inches.

(b) 8½ inches by 14 inches.

(2) Vertical filecards. These cards are used for some forms. (See fig 3-1 for samples and margin requirements.) They are available in —

(a) 5 inches by 3 inches.

(b) 6 inches by 4 inches.

(c) 8 inches by 5 inches.

(3) Visible index cards. On visible index cards, the image extends to the horizontal perforation between the form and the stub. The stub size may vary, but it must be at least ¾ inch. (Do not print on this stub, and remember that these cards do not have a bottom stub; see fig 3-1 for samples and margin requirements.) You need the stub to hold the card securely in the machine while the last line is being typed. When the card is filed, the stub is removed or it is turned under if information is to be entered later on the last line. They are available in —

(a) 5 inches by 3 inches plus the ¾-inch stub.

(b) 6 inches by 4 inches plus the ¾-inch stub.

(c) 8 inches by 5 inches plus the ¾-inch stub.

(4) Postcards. These cards are defined by the Postal Service Manual. Postcards cannot be larger than 4¼ inches by 6 inches or smaller than 3½ inches by 5 inches.

(5) Shipping tags. These tags are available in a number of sizes and colors. Some are available in paper, cloth, or both. Cloths come in grades 2 and 3. There are also different types of ties such as wire and twine. Cuts vary; some are laminated; and still others are perforated or have reinforced holes. If you have questions or problems with shipping tags, contact Commander, USAPPC, ATTN: ASQZ-PM, Alexandria, VA 22331-0302. In general, the following sizes are available for shipping tags:

(a) 2¾ inches by 1? inches.

(b) 3¼ inches by 1? inches.

(c) 3¾ inches by 1?; inches.

(d) 4¼ inches by 2?; inches.

(e) 4¾ inches by 2? inches.

(f) 5¼ inches by 2? inches.

(g) 5¾ inches by 2?; inches.

(h) 6¼ inches by 3?; inches.

3-7. Margins

The margin of a form is the space outside the body of the printed matter. With the exception of certificates, tags, and labels, the entire body of a form should be enclosed in a lined border. Margins vary with, and are determined by, the method of reproduction, fill-in, binding, and filing requirements. Reproduction equipment requires margins as working space for mechanically gripping the paper during the printing and trimming processes. Margins for forms are as follows:

a. Paper stock. Unless the form has special construction or printing specifications, use a top and bottom margin of 3/6 inch; and side margins of 5/10 inch. (See fig 3-1 for a sample.) Margins for forms that require hole punching or binding are specified in subparagraph e below.

b. Card stock. When you use card stock, provide at least ?;-inch margin on the top, bottom, and both sides. On visible index cards the image extends to the horizontal perforation between the form and the stub. The stub size may vary, but it will never be less than ¾ inch. (See fig 3-1 for samples.)

c. Bleeding. When you must extend the image of a form to the edge of the paper, this is called "bleeding." Bleeding should be avoided. Bleeding may result in wasted paper and trimming charges.

d. Machine fill-in. When you design forms that will be filled in by machine, provide a minimum bottom margin of ½ inch; this margin will keep the paper from moving out of line or slipping out of the feed rollers.

e. Binding and filing. When you design forms that will be bound and filed, only the binding edge will be affected. The binding margin must be wide enough so that punching or binding will not obscure any of the information on the form. Figure 3-2 illustrates the following binding requirements:

(1) Ring binder. The binding margin is increased according to the binding ring size. A 1-inch ring binder requires a 1-inch margin.

(2) Post binder. The binding margin depends on the capacity of the binder. The standard 2-inch size binder requires a 1½-inch margin.

(3) Prong-type fastener. Forms may be fastened in a folder at the top or side. The binding margin is ? inch to 1 inch from the binding edge to the body of the form.

3-8. Paper selection

In addition to specifying paper size and margins in forms design and construction, you must select the type, grade, and weight of the paper, taking into consideration special requirements for two-sided forms, continuous (pinfeed) construction, and window envelopes (see sec III ). Paper selection is discussed in paragraphs 3-9 through 3-11 ; for additional guidance consult your DCSIM, DOIM, or IMO.

3-9. Paper types

The kinds of paper most commonly used for forms reproduced by letterpress or offset printing are writing, offset, bond, manifold, ledger, and index. Paper for forms is selected based on the following general factors:

a. Method used in making entries.

b. Printing and duplicating process involved.

c. Safety (protection against alteration of entries made on certain forms).

d. Visual efficiency (appropriate degree of opaqueness to prevent showthrough of two-sided printed forms).

e. Appearance (the effect on the preparers and users of the form).

f. Thickness or weight of paper practical for the —

(1) Number of carbon copies to be made in one writing.

(2) Method of form fill-in such as pencil, pen, typewriter, or machine.

(3) Mailing purposes.

(4) Filing method and available filing space.

g. Retention period of the filled-in forms. (See para 3-10 for details on "rag content.")

h. Economy (the least expensive paper available and adequate for the job).

3-10. Paper grades

The grade of paper to be used for your form depends on how long the form will be retained and how often and how much the form will be handled. Cost is, of course, also a factor. A satisfactory grade should be selected but should not exceed the retention period and durability required for your form.

a. The most common materials in paper are rag, chemical wood (sulphite) pulp, or a mixture.

b. Paper made of a rag and chemical wood pulp mixture is "rag content" paper. The "rag content" is expressed as a percentage; for example, 25 or 50 percent rag. "Rag content" increases the retention period and durability of the paper; the more rag you have the better the grade of paper. A paper of 25 percent "rag content" is recommended for moderate handling and a 15- to 30-year required retention period.

3-11. Paper weights

Paper is ordered based on weight (substance) and thickness. Substance is expressed as weight in pounds of a ream of 500 sheets of basic size paper.

a. For example, "Substance 16" for a sulphite paper (writing, bond, manifold, and ledger) means that a ream of 500 sheets in the basic size of 17 by 22 inches weighs 16 pounds; 500 sheets of the same size of "substance 20" would weigh 20 pounds.

b. Index paper is also based on the weight of a ream of 500 sheets, but the basic size is 25½ by 30½ inches.

3-12. Identification

All forms must have a title and form number for identification and control. This identification simplifies reference to forms and facilitates the printing, requisitioning, stocking, and issuing of forms.

3-13. Development of the title

The title of the form should be brief but complete enough to cover the form's function and subject. The following guidelines will be used when developing titles:

a. Build titles around a key word which indicates the function of the form.

b. Avoid the use of key words such as "card," "form," "sheet," and "blank"; these words refer to the physical character of the form, not its function.

c. Select a good key noun and then include a complete and descriptive group of adjectives.

(1) Table 3-2 gives a list of suggested key words for titles.

(2) Examples of complete versus incomplete titles are as follows:

(a) "Excess Personal Property Report" rather than "Property Report."

(b) "Reproduction and Printing List" rather than "Work List Sheet."

(c) "Personal Services Fund Estimate" rather than "Funds Estimate."

(d) "Office Supplies Inventory Notice" rather than "Inventory Notice."

(e) "Weekly Backup Summary" rather than "Weekly Slip."

3-14. Placement of the title on the form

a. General purpose form. Center the title at the top or place it at the top left corner, inside the lined border. (Set the title in 10-point bold type whenever possible, using capital letters.) (See figs 3-3 and 3-4 for design standards.)

b. Ledger form. Center the title at the top or place it at the left of filing and indexing data.

c. Vertical filecard. Center the title at the bottom. This placement uses the space necessary to hold the card in the typewriter and places filing information at the top for maximum visibility. (Set the title in 8-point bold type, whenever possible, using capital letters.) (See fig 3-5 for a placement sample.)

d. Visible index card. Place the title near the top and put the filing information at the bottom. (Set the title in 10-point bold type, whenever possible, using capital letters.) (See fig 3-5 for a placement sample.)

3-15. Form number and issue date

a. Each form is assigned an identification number which consists of a basic number (assigned in numerical sequence) and a date of issue (the date of original issue or latest revision). If a form consists of separate sheets, the form number and date of issue will be printed on each sheet.

b. Occasionally, it may be helpful to use suffixes for a series of closely related forms that need to be identified in their sequential use relationship. For example, a series of forms, used in predetermined sequence and involving the same subject or issue, could be distinguished by numerical suffixes (DA Form 9999-1, 9999-2, 9999-3). When the numerical suffix is used, the first or basic form in the series will not carry the suffix designation. Only the second and sequential forms will be assigned a suffix. In general, avoid using alphabetical suffixes because some letters denote specific designations; examples are "E" for electronic generation, and "R" for local reproduction.

c. The location of the identification number on the form varies because of filing and binding requirements. The prescribed form number locations are as follows:

(1) Internal Army forms. The form number and the date of issue (for example, "DA FORM 1234, AUG 94") are printed in the lower left margin, outside the lined border. (Set the form number and date in 10-point bold type, whenever possible, using capital letters. See fig 3-4 for a sample.) When the form is continued on the reverse, the same identification information will also appear in a like position on the back of the form; for example, "DA FORM 1234, AUG 94 (Back)." (Set this form number and date in 8-point italic whenever possible. Use upper and lower case letters for the word "Back.") When a form is more than two pages, the form number and date will be placed in the lower left margin, outside the lined border, beginning with page 2; for example, "DA FORM 1234, AUG 94." (Set this form number and date in 8-point italic whenever possible.) The page designation will be placed in the lower right margin, outside the lined border; for example, "Page ___ of ___." (Set the page designation in 8-point italic, using upper and lower case letters.) The page numbers will be filled in as each page is designed. Placing the form number and date of issue in the lower left margin has the following advantages:

(a) Serves as an aid in printing, stocking, and requisitioning forms.

(b) Permits the form number to be seen readily when bound at the top.

(c) Prevents tearing into or obliterating the number and date of issue when the form is stapled in the upper left or right margin.

(d) Uses the space needed as gripper to hold the form in the typewriter.

(2) Vertical filecard. The form number and the date of issue are printed in the lower left margin. (Set the form number and date in 8-point bold type, whenever possible, using capital letters. See fig 3-5 for a placement sample.)

(3) Visible index card. The form number and the date of issue are printed above the filing data area, preferably near the top. This exception is necessary because of the visible record equipment in which the form is filed. (Set the form number and date in 8-point bold type, whenever possible, using capital letters. See fig 3-5 for a placement sample.)

3-16. Supersession notice

Revised forms or new forms that replace existing forms will contain an appropriate supersession notice in the center of the bottom margin to the right of the form number. (Set the supersession notice in 8-point type, whenever possible, using capital letters. See fig 3-4 for a sample.) Requirements for preparing the supersession notice are as follows:

a. When the revised form will have the same number as the previous form, an example of a supersession notice is: "PREVIOUS EDITIONS ARE OBSOLETE." If the previous edition of a form may be used until stock is exhausted, an example of a supersession notice is: "PREVIOUS EDITION MAY BE USED" or "EDITION OF (date) IS USEABLE UNTIL STOCKS ARE EXHAUSTED."

b. When the form will have a new number (often when the forms have been consolidated, an example of a supersession notice is: "REPLACES DA FORM 2113, DEC 88, WHICH IS OBSOLETE."

c. If a form number has been rescinded, that number will not be assigned to a new form.

d. If an obsolete form is reinstated within a 4-year period, the same form number may be reassigned; however, a new issue date will be used. In general, a new number is preferred to eliminate potential confusion.

3-17. Proponent and prescribing publication line

a. The proponent for a DA administrative publication will be the Headquarters, Department of the Army (HQDA), or the major Army command (MACOM) that has primary interest in the subject of the publication. When it is not clear who the proponent for a publication should be, the Office of the Secretary of the Army (OSA) and the Office of the Chief of Staff, Army (OCSA) will determine the responsibility for the publication. Specifics on proponent are as follows:

(1) Only principal HQDA officials (Secretariat and Army Staff) will be the proponents of Army regulations, DA circulars, DA memorandums, numbered HQDA letters, and DA general orders. These are publications that promulgate policy.

(2) Field operating agencies and MACOMs may be the proponents for administrative publications other than those listed in ( 1 ) above when the preparation responsibility is assigned to them by a principal HQDA official.

b. Paragraph 1-9b gives details on prescribing publications. Requirements for preparing the prescribing publication and proponent line are as follows:

(1) Enter the number of the prescribing publication and the proponent agency in the title box directly below and centered under the title. (Set the prescribing publication and proponent line in 8-point type, whenever possible; capitalize only the initial letter of the first word and any words that would always be capitalized such as Army, Virginia, MACOM. See fig 3-4 for a sample.)

(2) Place the prescribing publication and the proponent agency as close as possible to the title when the title must be placed other than centered at the top. (See fig 3-3 for a placement sample.)

3-18. Requirement control symbol, Office of Management and Budget, and interagency report control numbers

All forms used by the Army must be cleared with the DCSIM, DOIM, or IMO or the designated forms functional manager. Some forms, however, must also be cleared with other offices. These are forms that will collect information that is subject to the Privacy Act ( para 3-21 ), those covered under requirement and reports control, those subject to OMB review because they collect information from the public, and those subject to GSA review because they collect information from other Federal agencies. (See para 1-15 for required processing for internal and external reporting forms.) General requirements for RCS (internal), OMB (public reporting), and interagency report control numbers are listed in a through c below. Instructions for forms requiring GAO approval are covered in paragraph 3-19 .

a. Internal reporting forms. The IMCO having jurisdiction over the form will assign RCS numbers to forms requiring them. An RCS is used to identify cleared reports, both recurring and one-time requirements. (See para 1-15 for more information.) Requirements for preparing RCS numbers are as follows:

(1) Insert the RCS number in the block reserved for it in the upper right corner of the form inside the border. (Set in 8-point bold italic type, whenever possible. See fig 3-6 for a sample and instructions.)

(2) Be sure the RCS number appears on each printed copy of the form.

b. Public reporting forms. Forms that are subject to the Paperwork Reduction Act of 1980 must be cleared by OMB and assigned an OMB control number. These are forms that collect information on identical items from 10 or more people outside the Federal Government. (See para 1-15 for information on processing and 3-20 for the Agency Disclosure Notice.) Place the statement "Form Approved" and the OMB control number and expiration date in the upper right corner of the form inside the border. (Set the OMB control number and expiration date in 8-point bold italic type, whenever possible. See fig 3-6 for a sample.)

c. Interagency reporting forms. Forms used to collect data from other Federal agencies must be assigned an IRCN by GSA. (See para 1-15 for more information.) IRCNs will be placed in the upper right corner of the form inside the border. (Set the IRCN and expiration date in 8-point bold italic in the manner of the OMB example in fig 3-6.)

d. Placement of control numbers. The order of control numbers is as follows, when more than one type is present. The OMB control number and the expiration date goes first in the upper right corner of the form with the IRCN directly below it, followed by the RCS directly below the IRCN. Each number should appear in a separate block. Forms that require all three numbers are rare.

3-19. General Accounting Office approval

Show GAO approval by inserting the words "Form Approved by Comptroller General, U.S." followed by the date of approval in the lower right margin, outside the border. (Set in 8-point type, whenever possible. See fig 3-6 for a sample.)

3-20. Agency Disclosure Notice

Public reporting (public use) forms, subject to the Paperwork Reduction Act of 1980, are those that collect information on identical items from 10 or more people outside the Federal Government. These forms require OMB approval and an OMB control number as described in paragraph 3-18b . A further requirement for these forms is an Agency Disclosure Notice. This notice must include the time required for completion of the form and the address where comments concerning the burden estimate or any other aspect of the collection of information can be sent. Figure 3-6 shows the required format, placement, and wording for Department of Defense and the Army. (Substitute the response time applicable to your form, but use the same wording and the addresses on the sample.) This figure also shows the design standards. (Set the Agency Disclosure Notice in 8-point type, whenever possible.)

3-21. Privacy Act statement

If a form is to be used to collect personal data from an individual, you must follow the requirements of the Privacy Act of 1974. Paragraph 1-17 covers important required processing for forms subject to the Privacy Act. When designing these forms, do the following:

a. New or revised forms. Use AR 340-21 and develop a Privacy Act statement for a form used to collect personal data. Consult legal counsel, as needed, to ensure that the statement meets the requirements of the law. Be sure to complete the Privacy Act portion of the form (block 14a) before submitting DD Form 67 to the DCSIM, DOIM, or IMO. The DCSIM, DOIM, or IMO will integrate the Privacy Act statement and the form using one of the methods in ( 1 ) and ( 2 ) below.

(1) If at all possible, include the Privacy Act statement in the body of the form, preferably below the title. Position the statement so it can be seen before the preparer begins to fill out the form. (Set in 8-point type, whenever possible, with captions for each breakdown in bold type. Put breakdowns, authority, disclosure, and so forth on individual lines for clarity. See fig 3-7 for a sample.)

(2) Print the statement on the back of the form only when (1) is impossible. If you print the statement on the back, put a note on the front of the form, below the title, stating where the Privacy Act information is located.

b. New or revised records systems. If you have these systems, follow AR 340-21, chapter 4 , when you —

(1) Develop a new or revised form that is a part of a new records system.

(2) Change an existing records system.

3-22. Spacing

Horizontal and vertical space requirements are determined by the method used to fill in the form and the amount of space required by the entry.

a. Hand fill-in.

(1) Horizontal. 10 characters per inch.

(2) Vertical. 1/6 inch to 2/6 inch between horizontal rules. Whenever possible, use at least 2/6 inch.

b. Typewriter fill-in.

(1) Horizontal. 10 characters per inch. (Add an extra space to prevent crowding.)

(2) Vertical. 1/6 inch or its multiple.

c. Optional hand or typewriter fill-in. If the form can be filled in by either hand or typewriter, the horizontal space is determined by hand-fill requirements; the vertical space is determined by typewriter requirements (but not less than 2/6 inch).

d. Social security number and date. When designing for fill-in of social security number and date, allow at least 11 and 12 spaces, respectively.

3-23. Instructions

Clear instructions can help preparers and processors interpret a form and answer it accurately or process it efficiently. The needs of each form will determine whether the instructions will be printed on the form or in the prescribing publication. Identical instructions should not be printed on the form and also incorporated in the prescribing publication. However, it is often helpful or necessary to print a portion of the instructions on the form and incorporate the remaining instructions into the directive; many people filling in the form will not have the directive handy. The following guidelines will be used when you prepare instructions:

a. Brief general instructions. Place brief instructions at the top of the form below or near the title so the preparer will see certain information before completing the form. Examples of these instructions are —

(1) How many copies are required.

(2) Who should submit the form.

(3) Where, when, and to whom copies should be sent.

b. Lengthy instructions. Place lengthy instructions in the prescribing publication; however, if you cannot do this effectively, then place these instructions as shown in ( 1 ) and ( 2 ) below. The text of lengthy instructions should be set in two or more columns depending on the width of the form. The space between each column will be ¼ inch. Text set in columns is easier to read. Place form instructions —

(1) On the front of the form if there is sufficient space for both fill-in data and instructions. Whenever possible, all fill-in spaces on two-sided forms should be on the front. This placement eliminates turning the form over to fill in and process.

(2) On the back of the form if there is not enough space on the front. If detailed instructions are printed on the back or elsewhere on the form, refer to the instructions on the front of the form at the top, below or near the title. This way preparers will see the instructions before they fill in the form.

c. Explanatory instructions. Place instructions concerning a specific item of the form with or near that item. (See fig 3-7 for examples of explanatory instructions.)

3-24. Numbering, grouping, and aligning data elements for continuous fill-in arrangement

a. Data standardization. The Data Standardization Program specifies the need for standardizing data elements and codes used to capture a variety of information.

b. Arrangement. Form arrangement provides for continuous fill-in without searching or backtracking, encouraging preparer and processor cooperation, reducing mistakes, and increasing the quality and quantity of information.

c. Labeling data elements. Number or letter data elements on a form for easier and faster reference as described in b below. Insert a period after the numbers or letters except for letters under column headings. (See fig 3-4 , items 7 and 13, for examples of this exception.) Do not use numbers for column headings if those columns will not be used for information fill-in. (See the top of fig 3-8 for an example of this exception.)

d. Establishing levels of data elements. Most forms contain three levels of headings: primary, secondary, and tertiary (1., a., and (1)). More complex forms may contain further breakdowns; for example, SECTION I, Part A, 1., a., (1), (a), Part B, 1., a., (1), (a). Of course, you will rarely need all of these breakdowns on one form. When you have "SECTIONS" without "Parts," align data elements using the breakdown style of "SECTION I, 1., a., (1), (a)." Figures 3-7 and 3-8 show samples of a variety of breakdowns.

e. Grouping data elements. Group data elements according to sequence and relation to each other as follows:

(1) Group data elements to be filled in according to the sequence of the processing steps. This grouping will eliminate backtracking and also make it easy to transcribe information from the form when necessary. The sequence of entries on the form should parallel the sequence on the chart when data obtained from the form will be compiled on a statistical summary chart.

(2) Group related data elements or kinds of material if the form is to be used as a source document to collect data on different kinds of material.

(a) Identify each major group or division with Roman numerals and label it "SECTION." Examples are "SECTION I," "SECTION II," and "SECTION III." Each "SECTION" needs a title. (Set in 8-point bold type, whenever possible, using capital letters. See fig 3-7 for a sample of "SECTIONS" and their titles.)

(b) Identify each subordinate group or division and label it "Part." Examples are "Part A," "Part B," and "Part C." Each "Part" needs a title. (Set in 8-point bold type, whenever possible; capitalize the first letter of the first word and other words or acronyms that are always capitalized. See fig 3-7 for a sample of "Parts" and their titles.) "Parts" are not used alone on a form; they are used only as subordinate groups of "SECTIONS."

f. Aligning data elements. Align data elements so the flow of writing is continuous and easy as follows:

(1) Align data elements from left to right and from top to bottom. This straight-line flow concept will correspond to reading habits, encourage cooperation, and save time. (See figs 3-4 and 3-7 for examples of this alignment.)

(2) Align data elements vertically for a minimum of tabular and margin stops and an uncluttered form. (See figs 3-4 and 3-7 for examples of vertical alignment.)

3-25. Horizontal, ballot, checklist, and routing box design

Box design is practical for forms that are filled in by hand or typewriter and also for those that are electronically generated. (If you have several entries of the same type to list under one heading, also see para 3-26 on columnar and tabular arrangement.) Design instructions for horizontal, ballot, checklist, and routing boxes are explained in a through d below.

a. Horizontal boxes. This design conserves space and segregates clearly each data element. It also makes typewriter fill-in easier because the data elements are always visible when the form is in the typewriter. Design instructions for horizontal boxes are as follows:

(1) Place each data element in a horizontal box; insert vertical rules so that each data element is enclosed in a box. Thus, you will eliminate any confusion as to which box applies to which element. Vertical rules will be placed so that —

(a) A realistic amount of space is allowed for data fill-in. Everyone has experienced those dreadful forms that give you an inch of space to fill in a lengthy explanation. Just to begin the form sometimes requires that a preparer have a name like "Doe," a residence without a street or apartment number, and a city without a state or ZIP code. The data from such forms will be incomplete and inaccurate.

(b) There is a common left margin and vertical rules and resulting boxes are aligned whenever possible. This alignment will reduce tabular stops and provide for easy and fast fill-in. It will also eliminate the cluttered appearance that is common with unplanned forms. (See figs 3-4 and 3-7 for samples of horizontal boxes with vertical rules that are aligned whenever possible.)

(2) Set data elements for these horizontal boxes in 7-point type, whenever possible, using capital letters. Place the data element in the upper left corner of the box. This placement leaves the entire writing line free for fill-in of data. Explanatory parentheticals are set in 6-point italic; the first word is capitalized. (See figs 3-4 and 3-7 for samples of data element placement.)

(3) Number each data element for easy reference; put a period after each number.

(4) Make separate horizontal boxes for each data element such as "Typed name," "Grade," and "Date." These boxes will be near the signature boxes.

(a) Place signature boxes immediately after items such as certifications, claims, or penalty clauses. When a signature box is required, place it immediately below the information to which it relates. If a signature is related to all entries on your form, put it at the bottom of a one-sided form or at the end of the fill-in area on the back of a two-sided form. The space for the signature needs to be at least 3 inches in width and ½ inch in depth. Occasionally, two or more signatures are required; they may be arranged side-by-side or stacked, one below the other. (See fig 3-9 for a sample of signature boxes.)

(b) Do not print or overprint facsimile signatures on forms unless they are authorized. Rubber signature stamps, signature writing machines, or similar devices may be used if the expense is justified by the volume of material to be signed. Position titles that are not subject to change may be printed to save typing.

b. Ballot boxes. These boxes are used when a limited number of definite preselected optional answers can be preprinted on the form. They are also used for questions that can be answered with "yes" or "no." (See fig 3-4 (data element 2a) and fig 3-7 (data elements 10, 11, and 12) for samples of ballot boxes.) The checklist method for a group of six or more questions is covered in c below. Design instructions for ballot boxes are as follows:

(1) Place a ballot box to the left of each multiple choice caption so that an "X" can be entered in the correct box. (Make the box large enough so that the "X" can be entered without hand positioning the form in the typewriter.) This placement and spacing will reduce writing and typing necessary to fill in the form and ensure a definite answer; it will also save time required to interpret, compare, tabulate, and process the information.

(2) Use a minimum amount of space between the ballot box and the preprinted data element so they will be closely associated with each other. On the other hand, sufficient space is needed between the data element and the next ballot box so the preparer, processor, and user will know exactly which ballot box applies to which data element. (See fig 3-4 (data element 2a) and fig 3-7 (data elements 10 and 12) for samples of spacing.)

(3) Align the ballot boxes whenever possible with other ballot boxes and entry spaces on the form. This alignment will reduce required tabular stops. (See fig 3-4 (data element 2a) and fig 3-7 (data elements 10, 11, and 12) for samples of ballot box alignment.)

(4) Use the arrangement of horizontally aligning the ballot box with the data element whenever possible. The vertical arrangement should be avoided when carbon copies of the form are prepared. The "X" entry on the carbon copies is not always lined up with its data element; the confusion can cause misinterpretation of the filled-in information.

c. Checklist boxes. These boxes, rather than ballot boxes, are recommended when you have a group of six or more questions. Space can also be allowed for fill-in; for example, the preparer might check "Other" and write the specifics or fill in a code.

d. Routing boxes. These boxes, when needed, eliminate the use of memo/routing slips or letters of transmittal; thus, routing boxes save time and paper for some forms. Routing boxes can also be helpful when filing the form. The following design instructions apply to routing boxes:

(1) Place these boxes immediately above the body of the form, as near the top as possible.

(2) Place "TO" and "FROM" boxes on one line. Routing information may also be printed if the information will remain constant. When a form requires routing through channels, place a "THROUGH" box in between the "TO" and "FROM" boxes. (See fig 3-3 and the top of fig 3-7 for a sample of routing boxes.) Parenthetical explanations are not required but should be used when needed. (Set "TO," "THRU," and "FROM" in 8-point bold type; set parentheticals, when used, in 6-point italic.)

(3) Print the destination and copy identification (if desired) in the bottom right margin of each copy of multiple-copy forms. If you must use this area for other material, then try centering the routing information.

3-26. Columnar or tabular arrangement including totals and sideheadings

The columnar or tabular arrangement is used instead of the box design when several entries of the same type are to be listed under one heading. This arrangement eliminates the repetition of descriptive items for each type of information and thus saves space. Uses and design instructions for columnar or tabular arrangement are as follows:

a. Vertical column headings and subheadings (data elements).

(1) Make headings clear and concise. If necessary, words may be divided. A standard dictionary or the GPO booklet on subdividing words will be used for hyphenating words. Abbreviations and contractions of words may be used if they will be clear to preparers, users, and processors. (Be sure you are consistent with word divisions, acronyms, abbreviations, and capitalization.)

(2) Determine the width of a column by the amount and method of fill-in. If a column heading takes up more space than required for data fill-in, the heading may be placed on two or more lines. The column should be wider than the minimum fill-in space requirement.

(3) Print writing rules or lines if the column entries are to be filled in by machine. If entries are filled in by hand, writing rules are optional. (See fig 3-10 for samples of rules.)

(4) Identify column headings and writing lines alphabetically or numerically depending on the sequence. This identification will make it easy to reference specific columns. It will also help preparers complete the form from accompanying instructions that have been keyed to columns (for example, section A, line 5, column (a)) and enable users and processors to reference the columns when tabulating data and writing reports or correspondence.

(5) General headings describing the purpose of more than one column should span the columns. (Set general headings in 8-point type, whenever possible, using capital letters. See figs 3-4 and 3-8 for a sample.)

(6) Place parenthetical explanations of column heads such as "specify kind," "col. (e) + (k)," "initials," and "include ZIP code" under the column head. (Set in 6-point italic; initial cap the first word and other words that are always capped. See figs 3-4 and 3-8 for a sample.)

b. Sideheadings. Use horizontal and vertical sideheadings to help locate specific groups, to conserve horizontal spacing, and to give a more graphic presentation of the overall grouping. Sideheadings may be divided into primary, secondary, and tertiary headings. When vertical sideheadings are used with horizontal sideheadings, the vertical sideheadings are usually the primary heading; the secondary and tertiary headings are usually horizontal headings. (Set sideheadings in 8-point bold; capitalize the first word and other words that are always capitalized. See fig 3-8 for samples of sideheadings.)

c. Totals. Present totals per the requirements, design, and needs of the form. ( Fig 3-10 shows several types of presentations of totals.) Arrows are optional design tools for totals. In addition, shading out entry blocks can alert the preparer not to fill in certain spaces.

d. Checklist entries. Use the columnar arrangement when the question or data elements are consistently long and the answers or fill-ins are consistently short. The multiple choice answers become the column headings.

3-27. Figures or balance carried forward

Forms with figures, totals, or balances that must be carried to the back of the form or to a second sheet need space and titles at the top of the continuing sheet to show the action. (See fig 3-11 for a sample of a balance brought forward.)

3-28. Shading

Shading is used to block out fill-in spaces that do not require an entry. Patterns (such as diagonal lines) are preferred instead of dot pattern shading. This method will make reproduction clearer and eliminate dark areas on the form. (See fig 3-4 for a sample of pattern shading.) Shading is also used to highlight information on forms.

3-29. Preprinted information

Preprinted information on forms should be avoided whenever the information is subject to frequent change. A change in the information can cause an entire stock of forms to become obsolete. Additional costs and time will be required to revise and print the form. (See para 1-26 for overprinting of forms.)

3-30. Prenumbering (serially numbered, accountable or controlled forms)

Prenumbering accountable (controlled) forms with serial numbers is sometimes necessary. An example of an accountable form with these numbers is DD Form 1805 (United States District Court: Violation Notice). When specified, these numbers require additional space for the mechanical numbering device used in the printing process. For these numbers, allow a space at least 1½-inches wide by ½-inch high. Numbering heads generally contain six digits. The proponent decides if these numbers are required but does not enter them. The printer will enter if you request and specify that these numbers be entered. They are not part of the form number; these numbers are frequently entered at the top right of the form.

3-31. Footnotes

Footnotes should be avoided whenever possible. When they are necessary, make them short explanatory statements. As you will see below, footnote style for forms differs from publications to accommodate the smaller amount of available space:

a. Use an asterisk (*) to designate one footnote. (See fig 3-9 for a sample of a single footnote.)

b. Use consecutive superscript numbers for more than one footnote. (A series of asterisks are difficult to read, do not look neat, and frequently cause errors and confusion.) Superscript numbers are placed after the items to which they apply and before the corresponding footnotes. To save space, notes may be written from left to right. Footnotes are usually placed at the bottom of the page, but there are times when it is more appropriate to place them elsewhere.

3-32. Filing and reference data

Filing and reference data elements on a form usually consist of a name, social security number, location, date, form, or publication number. This information is used for filing and locating the form. To make filing and locating easier, the data elements are placed where they can be readily seen. The location of the data elements on the form varies because it is determined by the type of filing equipment used. The fill-in space allowed for data elements such as "name," "social security number," and "date" is explained in paragraph 3-22 . (See fig 3-11 for samples of filing and reference data elements.)

Section III
Specialty Forms

3-33. Designing continuous (pinfeed) construction forms

Design and layout requirements for forms used with ADP equipment are similar to requirements for other forms. However, the size, paper, and margins for forms used with ADP equipment are influenced by the features and limitations (including programming) of the equipment. In addition, the printout operation may require a continuous construction with pinfeed marginal punching holes, making it easier to feed and align the forms through the machine. When designing continuous construction forms, the capabilities of the printer will determine the maximum numbers of copies permissible in the forms set based on predetermined paper weights. When developing printer's specifications, you must specify single or multipart sets.

3-34. Designing two-sided forms

Forms printed on both sides of a sheet of paper have certain advantages. For example, a nonstandard size or additional sheets of a form may be eliminated. How the reverse of the form will be printed in relation to the front of the form depends on the use of the form and the method of filing and binding. When you design two-sided forms, you must tell the printer which option you are requesting for front and back printing. These options are described in a through d below and samples are shown in figure 3-12 .

a. Head to head. The front and back are printed so that the head of the form is in the same position on both sides.

b. Head to foot. The front and back are printed so that the head of the form on one side corresponds to the foot of the reverse side.

c. Head to left. The front and back are printed at right angles to each other. This arrangement is used if one side of the form requires more vertical space and the other requires more horizontal space.

d. Head to right. The front and back are printed at right angles to each other. This arrangement is used if one side of the form requires more vertical space and the other requires more horizontal space.

3-35. Designing forms for window envelopes

Whenever practical, a form to be sent by mail (excluding bulk mail) should be designed for a window envelope. (See AR 25-30, chap 3 , for policy guidance on the use of window envelopes.) The advantages of window envelopes, postal regulation requirements, and design guidelines are as follows:

a. Advantages. Window envelopes cost slightly more than regular envelopes, but their use will —

(1) Eliminate the addressing of envelopes.

(2) Prevent mailing an addressed form in the wrong envelope.

(3) Preclude the possibility of errors in transcribing names and addresses from forms to envelopes.

b. Conformance with postal regulations. A form designed for mailing in a window envelope must conform to postal regulations as noted below:

(1) The address window must be parallel with the length of the envelope.

(2) The address window must be in the lower portion of the address side.

(3) The name, address, and any key number used by the mailer are the only items that appear through the address window.

(4) The return address should appear in the upper left corner. If there is no return address and the delivery address does not show through the window, the piece will be handled as dead mail.

(5) The address shown through the window must be on white or a very light color paper.

c. Design guidelines. A form designed for mailing in a window envelope must have the address area on the form aligned with the window when the form is folded and put in the envelope. Before designing this form, you must decide what envelope will be used, the window position, and the method of addressing. Of course, you should make every effort to design the form to fit existing standard window envelopes. The most commonly used general purpose window envelope is for 8½- by 11-inch stationery. The window is 1?; inches by 4¾ inches and is located ¾ inch from the left and ½ inch from the bottom of the envelope. Standard size forms that fit the 9½- by 4?;-inch envelope are —

(1) 8½ inches by 3? inches (not folded).

(2) 8½ inches by 7? inches (folded once, 3? inches from the 8½ inch top edge of the form).

(3) 8½ inches by 11 inches (folded twice, 3? inches and 7? inches from the 8½-inch top edge of the form).

Table 3-1. Example of savings from redesigning a form 1
  Completion Workdays Annual
Administrative cost time per year 2 cost 3
Present form 15 minutes 1,250 $100,000
Redesigned form 8 minutes 667 $53,330
Notes:
1. This example assumes an annual usage of 40,000 forms per year completed by administrative personnel earning $10.00 per hour.
2. Calculated by multiplying annual usage by completion time in minutes and converting to 8-hour days (e.g., 40,000 multiplied by 15 equals 600,000 minutes; 600,000 divided by 60 equals 10,000 hours; and 10,000 divided by 8 equals 1,250 or the number of workdays per year).
3. Calculated by multiplying staff hours per year (10,000 and 5,333) by the assumed hourly rate of $10.00, the resulting figures show an annual cost savings of $46,670 or 47.7 percent.
  Annual use Completion time
Present form 40,000 15 minutes
Redesign 40,000 8 minutes
  Total minutes Staff hours
Present form 600,000 10,000
Redesign 320,000 5,333


Table 3-2. Key words used in titling forms
Keyword Purpose of form
Abstract To make a summary of
Account To record debit and credit
Acknowledgment To document the receipt of
Affidavit To attest the truth of
Agreement To offer and accept in writing
Allotment To distribute in parts
Appeal To request review of decision
Application To request something
Appointment To constitute
Assignment To specify
Authorization To permit an action
Award To bestow
Bid To offer for a price
Bill To itemize
Bond To issue interest-bearing certificates
Cancellation To revoke
Certificate To verify the truth of
Claim To ask as due
Commission To grant powers
Communication To interchange information
Complaint To formally allege
Contract To agree to provide for a price
Designation To indicate or identify
Diary To record daily
Digest To classify and condense
Document To furnish information
Endorsement To write; to assign
Estimate To calculate completely
Followup To seek completion of an action
Identification To name
Index To list
Inquiry To seek to know
Instruction To furnish with direction
Inventory To itemize
Invoice To bill or charge for
Itinerary To record a trip
Journal To record daily transactions and status
Ledger To record fiscal amounts
List To catalog, enroll, or register
Manifest To list cargo
Memorandum To record informally
Message To communicate
Note To assist the memory; to acknowlege a debt
Notice To announce information or directions sent
Notification To send information by printed written document
Order To command
Pass To permit to come and go
Permit To authorize a specific act
Petition To request formally
Questionnaire To ask questions to obtain data
Receipt To acknowledge delivery of payment
Recommendation To advise on course of action
Record To retain an account of facts or events
Register To list events or actions in sequence
Release To set free
Report To make an account of action or status
Request To ask for
Requisition To apply for formally
Return To report on income and expenditures
Roll To register events
Roster To register events
Routing To direct from one office or individual to another
Schedule To catalog recurring events
Sequence To put in order
Specification To state requirements in detail
Statement To communicate a declaration or report
Summary To contain the substance of a fuller account
Survey To inspect; to examine and report on condition of
Tabulation To arrange in systematic outline; usually columns
Telegram To convey a written message by telegraph
Ticket To attach to goods, giving information on specific items
Transmittal To send out an attachment
Transcript To provide a written copy
Voucher To bear witness; a receipt of payment
Warrant To guarantee anything; attest genuineness of



Figure 3-1. Margins for paper and card stock





Figure 3-2. Margins for ring and post binders and prong-type fastners





Figure 3-3. Title, proponency line, and routing placement for general purpose forms





Figure 3-4. Design standards for title; proponency line; box, sub, and column headings; and form number, date, and supersession notice shown on "R" form dimensions





Figure 3-5. Title and proponency line placement for vertical filecards and visible index cards





Figure 3-6. Samples of Requirement Control Symbol; Office of Management and Budget approval and Agency Disclosure Notice; and General Accounting Office approval





Figure 3-7. Design standards for Privacy Act statements; parts and sections; parentheticals; ballot boxes; and grouping shown on stock form dimensions





Figure 3-8. Design standards for column and sideheadings; parentheticals, and columnar or tabular arrangement





Figure 3-9. Samples of signatures and footnotes





Figure 3-10. Samples of totals and numerical and alphabetical breakdown style





Figure 3-11. Samples of filing or reference data elements and "balance brought forward"





Figure 3-12. Variations in format when printing a form on both sides of the paper


Appendix A
References

The Official Army Publications Web Sites.

Publication Section I
Required Publications

AR 25-9. Army Data Management and Standards Program . (Cited in paras 1-4 and 1-10 .)  

AR 25-30. The Army Integrated Publishing and Printing Program . (Cited in paras 1-4 , 2-4 , and 2-5 .)  

AR 310-50. Authorized Abbreviations, Brevity Codes, and Acronyms . (Cited in para 1-10 .)  

AR 335-15. Management Information Control System . (Cited in para 1-15 .)  

AR 340-21. The Army Privacy Program . (Cited in paras 1-17 and 3-21 .)  

AR 380-5. Department of the Army Security Program . (Cited in paras 1-26 and 1-27 .)  

31 USC 3511. Prescribing Accounting Requirements and Developing Accounting Systems . (Cited in para 1-16 . Available for reference at local installation staff judge advocate offices.)  

Publication Section II
Related Publications

AR 25-51. Official Mail and Distribution Management  

AR 25-400-2. The Modern Army Recordkeeping System (MARKS)  

DA Pam 25-30. Consolidated Index of Army Publications and Blank Forms  

DOD 5000.11. Data Elements and Data Codes Standardization Program  

DOD 7750.7-L. Listing of Approved Department of Defense (DD) Forms  

DOD 7750.7-M. DOD Forms Management Program Procedures Manual. May be requisitioned from the National Technical Information Service, U.S. Department of Commerce, 5285 Port Royal Road, Springfield, VA 22161; telephone: (703) 487-4684.)  

GSA Records and Information Management Handbook: Forms Analysis and Design, 1980. (May be requisitioned from Federal Supply Service, General Services Administration, 3FNI-CO, Room 405, Crystal Mall 4, Washington, DC 20406; stock number 7610-00-753-4771.)  

GSA Information Resources Management Handbook: Forms Management, 1985. (May be requisitioned from the address above; stock number 7610-00-142-9363.)  

U.S. Government Printing Office Style Manual, 1984. (Available through the Army by "special distribution"; otherwise, sold by the Superintendent of Documents,U.S. Government Printing Office, Washington, DC 20402; stock numbers 021-000-00120-1 (paper) and 021-000-00121-0 (buckram or hard cover).)  

Publication Section III
Prescribed Forms

DA Form 642. Forms Information Record. ( PDF ) ( FormFlow ) (Prescribed in para 2-5 .)  

SF 335. Summary Worksheet for Estimating Forms Costs. (Prescribed in para 3-4 .)  

Publication Section IV
Referenced Forms

DA Form 260. Request for Printing of Publication ( PDF ) ( FormFlow )  

DA Form 2028. Recommended Changes to Publications and Blank Forms ( PDF ) ( FormFlow )  

DA Form 2140. Military Pay Voucher Summary and Certification Sheet  

DA Form 4815-R. Forms Control Register ( PDF ) ( FormFlow )  

DD Form 67. Form Processing Action Request.  

DD Form 1805. U.S. District Court: Violation Notice  

GPO Form 1026a. Specifications for Marginally Punched Continuous Forms  

SF 1. Printing and Binding Requisition  

SF 152. Request for Clearance or Cancellation of a Standard or Optional Form or Exception.  

SF 360. Request to Approve an Interagency Reporting Requirement  

OF 101. Summary Worksheet for Estimating Reporting Costs  

Glossary

Abbreviations

ADP

automatic data processing

CFR

Code of Federal Regulations

DA

Department of the Army

DCSIM

deputy chief of staff for information management

DD

Department of Defense (forms)

DOD

Department of Defense

DOIM

director of information management

EFLBBS

electronic forms library bulletin board

EGA

electronic generation authorized

FARC

Federal Archives and Records Center

FMO

forms management officer

GAO

General Accounting Office

GPO

Government Printing Office

GSA

General Services Administration

HQDA

Headquarters, Department of the Army

ICMR

Interagency Committee on Medical Records

IMCO

information management control officer

IMO

information management officer

LRA

local reproduction authorized

MACOM

major Army command

MARKS

Modern Army Recordkeeping System

NCR

National Capital Region

OASD

Office of the Assistant Secretary of Defense

OASD(C)

Office of the Assistant Secretary of Defense (Comptroller)

OCR

optical character reader

OCSA

Office of the Chief of Staff, U.S. Army

OF

optional form

OMB

Office of Management and Budget

OPM

Office of Personnel Management

OPR

office of primary responsibility

OSA

Office of the Secretary of the Army

RCS

requirement control symbol

RHA

records holding area

SECDEF

Secretary of Defense

SF

standard form

USAISC

U.S. Army Information Systems Command

USAPDC

U.S. Army Publications Distribution Center

USAPPC

U.S. Army Publications and Printing Command

WNRC

Washington National Records Center

Terms

Accountable form

A form that could be used or misused for monetary gain or inappropriate or adverse action. Examples are identification cards and traffic violation notices. These forms are serially numbered at the time of printing for accountability of the receiver, use, and location of each individual form. Moreover, accountable forms are usually distributed and controlled from a central office or field unit. Also referred to as a "controlled" form.

Classified form

A form with classified data entered on the form. The Army has only one form that is classified without any data entry. Moreover, forms are not usually classified because of data entry. Forms are more commonly handled as "accountable" or "sensitive." (Also refer to "accountable form" and "sensitive form" in this list of terms.)

Code of Federal Regulations

A codification of the general and permanent rules published in the Federal Register by the Executive departments and agencies of the Federal Government. The Code is divided into 50 titles representing broad areas subject to Federal regulation. Each title is divided into chapters, which usually bear the name of the issuing agency. Each chapter is further subdivided into parts covering specific regulatory areas. A reference such as 32 CFR 49.1 means section 1, part 49, title 32, Code of Federal Regulations.

Command and agency forms

Forms originating at the headquarters of a command or agency. They are prescribed for use at that headquarters and at subordinate echelons within that command or agency. These forms cannot be prescribed in Department of the Army publications without prior approval by USAPPC.

Consolidation

The process of combining two or more forms into one form.

Continuous (pinfeed) construction

Continuous forms in a single set or multipart sets with pinfeed marginal punching holes. This construction makes it easier to feed and align the forms through the machine.

Department of the Army form

A form used throughout the Army; DA forms include any form that is used by more than one Army command or agency. They are approved by the U.S. Army Publications and Printing Command.

Department of Defense form

A form used by two or more Defense departments or agencies. DD forms are approved by the Director for Information Operations and Reports, Office of the Assistant Secretary of Defense (Comptroller).

Departmental

Used Army-wide regardless of place of origin.

DOD component

An element of the DOD that collectively includes the following:

a. Office of the Secretary of Defense

b. Chairman of the Joint Chiefs of Staff and Joint Staff

c. Military Departments

d. Inspector General of the Department of Defense

e. Defense Agencies

f. DOD Field Activities

Electronic form

A form whose image is stored in magnetic, optical, video, or other type of file (for example, CD-ROM, floppy disk, etc.) and can be retrieved electronically to print the form and/or to produce an image of the form on a computer screen.

Electronic preparation

The process of filling in forms with electronic equipment. Electronic preparation is not the same as electronic generation (generating both the form image and the fill-in data at the same time). Forms that are electronically prepared often must have marginal holes for continuous (pinfeed) construction.

Form

A fixed arrangement of captioned spaces designed for entering and extracting prescribed information, regardless of media. (This definition includes certificates and scoring keys for tests. Printed items such as labels, stickers, tags, test booklets, instructions, and file cover sheets do not require insertion of information; they may, however, be considered as forms if they meet the standards for size, item sequence, wording, design, and construction.)

Joint Committee on Printing

A committee that is established by the U.S. Congress. This committee consists of members of the U.S. House of Representatives and the U.S. Senate.

Local form

A form prescribed for use only within a particular headquarters such as an installation or activity headquarters. These forms cannot be prescribed in Department of the Army publications.

Locally reproducible forms

Forms not centrally stocked and distributed to users. Reproducible copies are usually contained within prescribing publications for local reproduction.

Mark scanning

Automatic optical sensing of marks usually recorded manually on a data medium. An example is a paper that gives a choice of options to be answered by filling in an oval with a certain pencil. When the paper is passed under a reader, the system will sense the most graphite (the pencil mark) and read it.

Numerical history files

One of the forms control files that consists of a current and obsolete (if applicable) history file. These files include the form number, title, description, justification, specifications, and routing information. The other control files are called functional files.

One-time form

A form printed to meet a one-time requirement such as a one-time report. The form becomes obsolete after completion of the requirement.

Optical character recognition or reader

Computer-driven equipment that scans typewritten sheets, producing a tape or other form of input that drives a typesetting device or a word processor. An OCR scanner cannot correctly read broken or faint letters.

Optional form

A form used by two or more Federal agencies and approved by the General Services Administration for nonmandatory use throughout the Government.

Other Government agency form

A form approved by another Government agency such as the Treasury Department and the Office of Management and Budget. These forms may be required for use by the Army in matters related to a function of those agencies.

Overprinting

Inserting fixed information on a blank form and having the form reprinted or reproduced with that information. Examples of fixed information are command name and address.

Point

A unit of printer's measure. A point is approximately .72 inch. It is used to express measurements such as type size or the thickness of leads and rules.

Privacy Act form

A form used to collect personal data from an individual. These forms are subject to the Privacy Act of 1974.

Reporting form

A form prescribed for collecting internal information (within the Federal Government) or external or public information (outside the Federal Government). Internal reporting forms are controlled by requirement control symbol (RCS) numbers; external or public reporting forms that collect information on identical items from 10 or more people outside the Federal Government are controlled by the Office of Management and Budget.

Reprint

A second or later printing of the current edition of a publication or blank form to replenish stock levels.

Rescission

The process of rescinding (dropping a form from the system) because it is obsolete or no longer required.

Revision

The process of revising a form because there is a change in format or content (data elements).

Sensitive form

A form that must be protected because release of the information to unauthorized sources could result in compromise or adverse consequences. Examples are testing materials such as test booklets and their answer scoring keys.

Standard form

A form designed and prescribed for mandatory use by two or more Government agencies. SFs are approved by the General Services Administration.

Stocked form

A form stored and distributed by the Baltimore or St. Louis U.S. Army Publications Distribution Centers. These forms have high usage (100,000 or more forms used Army-wide in a 1-year period). Specialty-type forms are also stocked when their construction precludes procurement at Army printing and duplicating facilities. (The St. Louis Center stores and distributes sensitive and accountable forms; the Baltimore Center stores and distributes other stocked forms.)

Supersession

The process of replacing a form with another form. Often, the form number remains the same, but the form has changed and has a new date. There are times, however, when a form with a new number will supersede one or more forms.

Temporary form

A form printed for a limited time (normally not more than 1 year) to serve a specific requirement. The form becomes obsolete when it has served its purpose.

Test form

A form printed for use during a testing period that is specified in the prescribing publication. The form becomes obsolete after completion of the test. Continued use requires conversion to a permanent form.

Special Terms

This section contains no entries.

Index

This index is organized alphabetically by topic and subtopic. Topics and subtopics are identified by paragraph number.

Analysis, 3-1

Objectives, 3-1

Approvals, 1-9 , 1-21

Interagency, 1-15

Classified forms, 1&-27

Construction

Deviations, 1-23

Paper sizes, 3-6

Paper types, 3-9

Specialty, 3-33 , 3-34

Content deviations, 1-23

Data elements, 3-24

Department of Army forms (DA)

Approval, 1-9

Cancellation, 1-8

Definition, 1-6

Department of Defense forms (DD)

Approval, 1-9

Criteria, 1-14

Definition, 1-6

Design

Box, 3-25

Columnar, 3-26

Continuous construction, 3-33

Data elements, 3-24

Footnotes, 3-31

Form date, 3-15

Form numbers, 3-15

Forms instructions, 3-23

Layout, 3-5 , 3-24

Margins, 3-7

Objectives, 3-5

OMB approval, 3-18

Pinfeed construction, 3-33

Prenumbering, 3-30

Prescribing publication line, 3-17

Privacy Act statement, 3-21

RCS number, 3-18

Required elements, 1-10 , 3-14 , 3-15 , 3-16 , 3-17

Reporting requirements, 3-18

Self-mailing, 1-25

Serial numbering, 3-30

Shading, 3-28

Supersession notice, 3-16

Two-sided forms, 3-34

Window envelopes, 3-35

Electronic forms, 1-20

Footnotes, 3-31

Format deviations, 1-23

Forms

Analysis, 3-1 , 3-3 , 3-4

Approval, 1-9 , 1-21

Classified, 1-27

Construction deviation, 1-23

Content deviation, 1-23

Control, 2-1 , 2-3 , 2-4 , 2-5 , 2-6

Definitions, 1-5 , 1-6

Department of Army forms, 1-6

Department of Defense forms 1-14

Electronic, 1-20

Files, 2-3 , 2-4

Footnotes, 3-31

Format deviation, 1-23

Functional files, 2-4

Interagency approval, 1-15 , 3-18

Management objectives, 1-4

Margins, 3-7

Numerical files, 2-3

One-time, 1-18

Numbering, 1-10 , 1-18 , 3-15

Optional forms 1-6

Cancellation, 1-22

Criteria, 1-12

Definition, 1-6

Exceptions, 1-22

Overprinting, 1-26

Prescribing, 1-9

Privacy Act statement, 1-17 , 3-21

Reporting requirements, 1-15 , 3-18

Reproduction 1-7 , 1-19

Local, 1-7 , 1-19 , 1-24

Prohibitions, 1-24

Safeguarding, 1-27

Spacing, 3-22

Standard forms 1-9 , 1-22

Approval, 1-9

Cancellation, 1-22

Criteria, 1-11

Definition, 1-6

Exceptions, 1-22

Stocked, 1-7

Supersession notice, 3-16

Temporary, 1-18

Test, 1-18

Titles, 3-13

Forms control, 2-1 , 2-3 , 2-4 , 2-5 , 2-6

Forms files, 2-3 , 2-4

Forms management, 2-7

Objectives, 1-4

Functional classification, 2-4

Functional files, 2-4

General Accounting Office (GAO) approval, 1-16 , 3-19

Government agency forms, 1-13

Approval, 1-9

Interagency approval, 1-15

Local reproduction 1-7 , 1-19 , 1-24 ,

Management objectives, 1-4

Margins, 3-7

Numbering forms, 1-10 , 1-18

Numerical files, 2-3

Office Management and Budget (OMB) approval, 1-15 , 3-18

One-time forms, 1-18

Optional forms (OF)

Approval, 1-9

Cancellation, 1-11 , 1-12

Criteria, 1-12

Definition, 1-6

Exceptions, 1-22

Overprinting, 1-26

Approval, 1-21

Paper

Sizes, 3-6

Types, 3-9

Prescribing forms, 1-9

Privacy Act requirements, 1-17 , 3-21

Publication review, 2-7

Reporting requirements

Office Management and Budget (OMB), 1-15 , 3-18

Requirement Control Symbol (RCS), 1-15 , 3-18

Reproduction

Local, 1-7 , 1-19 , 1-24

Prohibitions, 1-24

Requirement Control Symbol (RCS), 1-15 , 3-18

Safeguarding forms, 1-27

Serial numbering, 3-30

Standard forms (SF)

Approval, 1-9

Cancellation, 1-11

Criteria, 1-11

Definition, 1-6

Exceptions, 1-22

Supersession notice, 3-16

Temporary forms, 1-18

Test forms, 1-18

Titles, 3-13 , 3-14

Window envelopes, 3-35