18 FAM 201.7
Forms Management
(CT:PPP-11; 10-16-2018)
(Office of Origin: A/GIS/DIR)
18 fam 201.7-1 POLICIES AND
AUTHORITIES
18 FAM 201.7-1(A) Policy,
Scope, and Applicability
(CT:PPP-2; 03-19-2018)
(State Only)
a. The Department of States centralized forms program
provides customers worldwide with standardized electronic forms that meet all
legal requirements. The Office of Directives Management (A/GIS/DIR) is the
manager of the Departments official forms. Official Department forms include
any form used outside a single office. All official Department forms, used
domestically or at post, must be approved and processed through A/GIS/DIR.
b. These policies apply to all new, revised, and
existing official forms (electronic or paper) owned by the Department of State.
c. All Department forms will be available in
electronic format to the maximum extent possible. With the exception of
controlled forms, forms must be designed to allow both online completion and
electronic submission.
18 FAM 201.7-1(B) Definitions
(CT:PPP-2; 03-19-2018)
(State Only)
Automated: Electronic;
includes applications that automatically enter information from or to a
database. This would include HTML or similar versions.
Department unit: Any
organizational unit of the Department of State, including posts.
Controlled form: Form that
carries a watermark (paper) or an individual number (paper and/or electronic
versions). Program offices maintain control over these forms inventory and
access as applicable.
Forms: Documents, including
form letters, postcards, and memoranda, printed or otherwise reproduced, with
fixed captions and spaces designed for entering and extracting prescribed
information. This includes printed or electronic forms (including
application-generated or Web-based screens) that are used for manual entry, as
well as forms used for office automation to capture or produce information.
Certain printed items without fill-in space, such as contract provisions,
instruction sheets, notices, certificates, tags, labels, and posters, may be
considered as forms when it is advantageous to manage and control them as
recurring instruments in conjunction with the objectives of the forms
management program.
Information collection: Forms
that collect information from the public, or impose a record keeping,
reporting, or third-party information dissemination burden to the public may be
considered to be information collections as defined by the Paperwork
Reduction Act (PRA) of 1995. If the PRA applies, A/GIS/DIR must obtain the
approval of the Office of Management and Budget (OMB) before anyone can use the
form. (See 18
FAM 201.5 for the complete definition and applicability of the PRA.)
Originating office: The office
that requests the development, creation, revision, or elimination of a form.
Program office: The office
that manages the form and the uses of the information.
Public-use forms: Documents
used by members of the public to submit information to the Department.
Public-use forms are defined as information collections under the Paperwork
Reduction Act (PRA) (see definition above). You must obtain approval from OMB
before using such forms. A/GIS/DIR manages the OMB approval process. (See 18 FAM 201.5.)
Worldwide: A Department
activity carried out both domestically and abroad.
18 FAM 201.7-1(C) Authorities
(CT:PPP-2; 03-19-2018)
(State Only)
a. Title 44 U.S.C., Chapters 21, 29, 31, and 33,
outlines statutory requirements for managing the creation, maintenance, and use
of records in Federal agencies. Included in these requirements is the forms
management used by Federal agencies. The General Services Administration (GSA)
is assigned the responsibility for issuing Federal regulations and conducting
oversight of agency implementation of regulations regarding forms.
b. Rules contained in 41 CFR Part 102-194, issued by
GSA, contain policies, requirements, responsibilities, and guidelines for
managing, administering, and implementing forms management programs in Federal
agencies. These policies and requirements are implemented for the Department
of State by this subchapter.
c. The Paperwork Reduction Act (PRA) of 1980, as
amended, 44 U.S.C. 3501 et seq., had as its purpose minimizing the paperwork
burden on individuals, small businesses, and others resulting from collections
of information by the Federal Government. The PRA instituted the concept of
information resources management for all Federal information records through an
integrated program encompassing all aspects of information, including the
creation and use of forms, to collect data and information from the public.
d. The Privacy Act of 1974 (5 U.S.C. Sec. 552a, as
amended) requires that forms used to collect personal information from
individuals must contain a Privacy Act statement that identifies legal
authorities, purposes for collecting the information, and the anticipated uses
of the information. The Privacy Act prohibits an agency from denying an
individual any right, benefit, or privilege provided by law for refusing to
disclose her or his social security number (SSN), unless disclosure is required
by Federal statute or by other laws effective prior to January 1, 1975. The
agency must inform the individual whether the disclosure is mandatory or
voluntary, what statutory or other authority solicits such number, and how it
will be used.
e. The Government Paperwork Elimination Act (GPEA) of
1998 (Public Law 105-277, Title XVII, Sections 1701 et seq.) requires that
Federal agencies allow individuals or entities that deal with agencies the
option to submit or transact information electronically with the agency and to
maintain records electronically, when practicable. The act also states that
electronic records and their related electronic signatures, when submitted or
maintained in accordance with procedures developed under Title XVII, are not to
be denied legal effect, validity, or enforceability because they are in
electronic form.
f. The Regulatory Flexibility Act of September 19,
1980 (RFA), 5 U.S.C. 601 et seq., requires Federal agencies to consider the
impact of regulatory proposals on small entities and to determine, in good
faith, whether there were equally effective alternatives that would make the
regulatory burden on small business more equitable.
g. The Small Business Regulatory Enforcement Fairness
Act (SBREFA) of March 1996, Title II of Public Law 104-121, Sections 201 et
seq., designed to strengthen the RFA, mandates, among other things, that each
Federal agency establish a policy or program that assists small businesses with
regulatory compliance and, if appropriate, mitigates civil penalties for
violations of a statutory or regulatory requirement by a small entity.
h. The E-Government Act of 2002, 107 Public Law 347, requires
Federal agencies to develop citizen and productivity-related performance
measures for use of E-Government and IT in meeting the Departments objectives,
strategic goals, and statutory mandates.
i. Section 508 of the Rehabilitation Act of 1973 (29 U.S.C.
794d, as amended) requires Federal agencies to make their electronic and
information technology accessible to people with disabilities. The law applies
to all Federal agencies when they develop, procure, maintain, or use electronic
and information technology. Under Section 508, agencies must give disabled
employees and members of the public access to information that is comparable to
the access available to others.
18 FAM 201.7-2 FORMS MANAGEMENT
PROGRAM
18 FAM 201.7-2(A) Forms Program
Standards
(CT:PPP-2; 03-19-2018)
(State Only)
a. Department offices must not develop, use, or require
forms that do not have proper clearance or approval. Prior to issuance or use,
all forms must be approved by the Departments Forms Management Officer in the
Office of Directives Management (A/GIS/DIR).
b. Required forms usually have corresponding citations
in the Departments Foreign Affairs Manual and Foreign Affairs Handbooks. The
correct format for citing forms in the FAM/FAH is Form DS-[0000], [Title].
c. Write forms in plain language and active voice.
d. All forms must meet the Department design
standards. The standards govern the arrangement of items in a format that
provides for:
(1) Easy data entry and retrieval;
(2) Meeting and filing requirements;
(3) Specifications for form size, typefaces,
construction, paper, etc.; and
(4) Application integration.
e. Forms that request personal information must contain
a Privacy Act statement (see 18 FAM
201.7-4(C)).
f. All public-use forms must contain a Paperwork
Reduction Act (PRA) statement and display a valid Office of Management and
Budget (OMB) control number.
g. Forms serve several purposes such as:
(1) Front end to data collection; and
(2) Facilitates an end-to-end process (e.g., awards
form, training request form).
h. Design forms to allow both online completion and
electronic submission to the greatest extent possible. Forms must be available
in electronic versions whenever possible.
i. A/GIS/DIR performs an annual forms review for need,
effectiveness, and economy.
18 FAM 201.7-2(B) Objectives
(CT:PPP-2; 03-19-2018)
(State Only)
a. Reduce unnecessary effort and costs imposed on those
who must complete forms.
b. Ensure that forms comply with applicable statutes
and regulations, including the Privacy Act (PA), the Paperwork Reduction Act
(PRA), the Government Paperwork Elimination Act (GPEA), and the E-Gov Act, and
are necessary to carry out agency responsibilities.
c. Minimize burdens by eliminating unnecessary
redundancies through the use of precompleted turnaround documents, sharing of
information between offices, or the use of electronic forms.
d. Monitor information requirements and determine when
revisions and changes to forms are needed.
e. Maintain a forms inventory and background
documentation on requirements and approvals.
f. Coordinate the clearance and approval of new forms
and revisions within the Department and with appropriate agencies, as
applicable.
g. Provide clear and adequate instructions for the
accurate completion and submission of information.
h. Design forms and other collection instruments that
are simple and relatively easy to complete; provide modular designs that meet
requirements and facilitate manual, typed, or automated completion.
i. Minimize printing costs by using standard paper
sizes and weights.
j. Ensure that internal forms are available electronically
on the intranet and ClassNet.
18 FAM 201.7-2(C) Review and
Clearance for Small Business Forms
(CT:PPP-11; 10-16-2018)
(State Only)
Any bureau that develops, requires, or uses a form that
involves the business community must consider the forms potential effect(s) on
small businesses. To that end, any form that involves or otherwise affects the
business community must have the following reviews and clearances:
(1) The Office of Small and Disadvantaged Business
Utilization (SDBU);
(2) The Office of Commercial and Business Affairs (EB/CBA); and
(3) The Office of Directives Management (A/GIS/DIR).
18 FAM 201.7-3 RESPONSIBILITIES
18 FAM 201.7-3(A) Office of
Directives Management (A/GIS/DIR)
(CT:PPP-2; 03-19-2018)
(State Only)
a. The Departments form management officer, located in
the Office of Directives Management (A/GIS/DIR), administers the Forms
Management Program for the Department. A/GIS/DIR:
(1) Establishes standards and guidelines;
(2) Provides design and technical assistance;
(3) Manages forms development;
(4) Assists in identifying necessary clearances;
(5) Ensures compliance with section 508 of the
Rehabilitation Act;
(6) Approves forms for use and assigns form numbers;
and
(7) Determines the validity and certifies the current
approved version of any Department form.
b. A/GIS/DIR reviews any proposed forms or changes to
existing forms to ensure achievement of the program policies and objectives
stated in this subchapter.
c. A/GIS/DIR liaises with:
(1) The General Services Administration (GSA) on
Department of State-originated Standard (SF) and Optional (OF) forms;
(2) Other agencies on matters involving
data/information collection and forms, including coordination of the
Departments views on interagency studies affecting Joint (JF) and Standard
forms; and
(3) Office of Management and Budget (OMB) to obtain
approval for public-use forms and other information collections under the
Paperwork Reduction Act (PRA).
d. Maintains the official list and inventory (master
copies) of Department forms.
18 FAM 201.7-3(B) How to Create
a New Form or Revise an Existing Form
(CT:PPP-2; 03-19-2018)
(State Only)
Bureaus or offices seeking to create a new form or modify
an existing form are responsible for:
(1) Submitting a request for a new form or
modifications to an existing form through myData;
(2) Consulting with A/GIS/DIR prior to the formal
submission or use of a form;
(3) Consulting with A/GIS/DIR prior to creating a Web-based
application;
(4) Meeting documentary requirements for creation,
development, design, and approval review;
(5) Taking advantage of or modifying existing forms to
accomplish their mission; and
(6) Obtaining necessary clearances (see 18 FAM
201.7-2(C), 18 FAM
201.7-4(B), and 18 FAM
201.7-4(C)(2), for some specific clearance requirements).
18 FAM 201.7-3(C) Posts
(CT:PPP-2; 03-19-2018)
(State Only)
a. When posts need to create a new form or modify an
existing form, the process is the same as in 18 FAM
201.7-3(B), including the need for A/GIS/DIR review, development, design,
and approval.
b. Principal officers at posts abroad are responsible
for implementing the standards and procedures prescribed in these regulations.
Managerial review and controls will ensure that posts have the necessary supply
of forms to conduct both internal and public business, and that posts are not
burdened with duplicative or unnecessary forms.
c. Standardize forms where possible so that other
posts may use them.
18 FAM 201.7-4 FORMS SERIES
18 FAM 201.7-4(A) Determining
Form Series
(CT:PPP-2; 03-19-2018)
(State Only)
All Department of State forms are assigned numbers in one
of the following series:
(1) DSPermanent internal forms used by the Department
and the Foreign Service;
(2) DSPOlder public-use forms. This series is not
being expanded;
(3) FSForms used only by Foreign Service personnel;
(4) JFJoint forms originated and used by two or more
U.S. Government agencies;
(5) OFOptional forms that originate in a U.S.
Government agency and are approved by the General Services Administration (GSA)
for use by other agencies. These forms may or may not be stocked and distributed
by the General Services Administration (GSA); and
(6) SFStandard forms that originate in a U.S.
Government agency and are approved through GSA. These forms must be used;
alternate versions are not permissible.
NOTE: The forms management officer in A/GIS/DIR may
assign additional form series to meet specific program needs.
18 FAM 201.7-4(B) Public-Use
Forms
(CT:PPP-2; 03-19-2018)
(State Only)
a. You must obtain OMB approval before using public-use
forms (as defined in18 FAM
201.7-1(B)) in order to comply with the Paperwork Reduction Act (PRA).
A/GIS/DIR manages the Departments PRA compliance program, including obtaining
Office of Management and Budget (OMB) approval.
b. It is important to note that OMB approvals are valid
for only 3 years and must be renewed in order to continue using a public-use
form. Without a current OMB approval, the form cannot be used or the
information collected. (See paragraphs a and b of this section and 18 FAM 201.5.)
c. The OMB approval process (including renewals) can
take 6-12 months to complete, so requesting offices need to plan accordingly.
(See 18 FAM
201.5 for regulations pertaining to obtaining OMB approval.)
18 FAM 201.7-4(C) Privacy Act
Statements on Department of State Forms
(CT:PPP-2; 03-19-2018)
(State Only)
You must include a Privacy Act Statement on a Department
of State form that collects personal information from an individual (a U.S. citizen or an alien lawfully admitted for permanent residence) if:
(1) The information collected contains the individuals
name or an identifying number, symbol, or other identifying particular assigned
to the individual, such as a fingerprint, voiceprint, or photograph; or
(2) The form includes information about an individual
that the Department maintains, including, but not limited to, education,
financial transactions, or medical, criminal, or employment history. This also
includes personal information for use in a personnel record of the individual
to be used for personnel management programs or processes such as staffing,
employee development, retirement, grievances, and appeals.
18 FAM 201.7-4(C)(1) Privacy
Act Statement Requirements
(CT:PPP-2; 03-19-2018)
(State Only)
a. All forms that solicit personal information from an
individual must have a Privacy Act statement containing the following
information:
(1) The statute or Executive Order (E.O.) that
authorizes the collection of the information or the general requirement or
authority for maintaining the system in which the information will reside;
(2) The principal purpose or purposes for which the
information is intended to be used, as authorized through statute or E.O.;
(3) The routine uses and routine users of the
information; i.e., to whom the information is disclosed outside the Department
of State; and
(4) The consequences, if any, to the individual for
not providing part or all of the requested information.
b. In addition, all forms that solicit an individuals
social security number (SSN) must also include a statement informing the
individual of the following:
(1) Whether disclosure is mandatory or voluntary;
(2) By what statutory or other authority such number
is solicited; and
(3) What uses will be made of it.
c. These statements must be attached to the relevant
form, either as part of the form or its instructions. They must be clear and
precise, leaving the individual with no doubt regarding the authority, purpose,
use, etc., for the collection of the information.
18 FAM 201.7-4(C)(2) Privacy
Act Clearance Requirements
(CT:PPP-2; 03-19-2018)
(State Only)
All forms meeting the criteria in this section must be
cleared by the Information and Privacy Staff (A/GIS/IPS) before the Office of
Directives Management (A/GIS/DIR) can approve them. The staff will ensure that
a Privacy Act statement containing the items outlined above accompanies the
form and that it solicits only information that is both relevant and necessary
to accomplish a State Department function.
18 FAM 201.7-4(D) Section 508
Requirements
(CT:PPP-2; 03-19-2018)
(State Only)
All Department forms in electronic version must meet the
requirements of Section 508 of the Rehabilitation Act. All such forms must be
readily accessible and usable by visually- or hearing-impaired persons.
Contact the Departments forms management officer in the Office of Directives
Management (A/GIS/DIR) for additional guidance.
18 FAM 201.7-5 PROCEDURES
18 FAM 201.7-5(A) Starting the
Forms Process
(CT:PPP-2; 03-19-2018)
(State Only)
a. The following steps must be followed by program
offices when developing or revising a form:
(1) Submit a request for a new form or modifications
to an existing form through myData; and
(2) Consult with A/GIS/DIR to ensure that:
(a) There is no existing version of the form (or the
information sought, or purpose);
(b) Reestablishment of a previously discontinued form
will not suffice; and
(c) No form exists that could be revised for the new
use.
b. Communicate forms design requirements to the forms
management officer in the Office of Directives Management (A/GIS/DIR) as soon
as the need is identified. Effective and timely coordination enables A/GIS/DIR
to provide guidance and constructive assistance in advance of final design and
operational commitments.
c. Contact the forms management officer in A/GIS/DIR
for help in determining whether the form is subject to the Paperwork Reduction
Act (PRA) and for guidance on submitting the necessary documentation (see 18 FAM
201.7-4(B) and 18 FAM 201.5).
Please note that the OMB approval process is separate from, but related to, the
form development process. The form design must be completed before DIR can
submit the approval package to OMB. A/GIS/DIR may require additional
information to meet PRA or other statutory reporting requirements.
d. See A/GIS/DIRs intranet Web site for a listing of
all current Department forms.
18 FAM 201.7-5(B) Related
Directives
(CT:PPP-2; 03-19-2018)
(State Only)
In most cases, forms will be referenced in the Foreign
Affairs Manual (FAM) or the related Foreign Affairs Handbook series (FAHs), and
the applicable directives will require changes to include new or revised
instructions. Originating offices must ensure that FAM/FAH references are in
place and accurate at the time the form is available for use.
18 FAM 201.7-5(C) Use
Certification
(CT:PPP-2; 03-19-2018)
(State Only)
Each form must go through a testing process managed by the
Office of Directives Management (A/GIS/DIR), which will include program office
testing and verification.
18 FAM 201.7-6 FORMS AVAILABILITY
(CT:PPP-2; 03-19-2018)
(State Only)
The Office of Directives Management provides access to
Department forms and other forms used by the Department and its posts on the
A/GIS/DIR Web site. Each program office manages the distribution of its
controlled forms.
18 FAM 201.7-6(A) Forms
Inventory
(CT:PPP-2; 03-19-2018)
(State Only)
The Office of Directives Management (A/GIS/DIR) maintains
the official list and inventory of Department forms
18 FAM 201.7-6(B) Electronic
Versions
(CT:PPP-2; 03-19-2018)
(State Only)
All Department forms will be available electronically, to
the greatest extent possible. This includes the Internet and the Departments
internal networks.
18 FAM 201.7-6(C) Printing and
Stocking Paper Forms
(CT:PPP-2; 03-19-2018)
(State Only)
a. See 18 FAM
201.7-4(B) for information on reprinting existing forms.
b. Program offices stock, maintain, and distribute
controlled forms. A/GIS/DIR, in conjunction with GSA, manages the stocking of
OF- and SF- series forms.
c. When it is necessary to send an initial supply of
new forms to posts, the program office pays for printing and arranges for
distribution. After initial distribution, the program office is responsible
for supplying posts and offices with additional copies.
d. The program office, in coordination with A/GIS/DIR,
notifies posts and offices of the introduction of a new or replacement form,
instructions for obtaining a supply of the form, and disposition of obsolete
forms.
18 FAM 201.7-6(D) Reprinting
Existing Forms
(CT:PPP-2; 03-19-2018)
(State Only)
Use Form DS-5, Requisition for Publishing, Reproduction,
and Distribution Services, to reorder printed versions of existing forms.
Forward all requests to Global Publishing Solutions (A/GIS/GPS).
18 FAM 201.7-7 DISCONTINUING
FORMS
(CT:PPP-2; 03-19-2018)
(State Only)
Program offices must review their forms periodically and
discontinue those forms that are no longer needed. When a review indicates
that a form should be discontinued, notify the Office of Directives Management
(A/GIS/DIR) at eforms@state.gov.