DOE G 242.1-1, Forms Management Guide for use with DOE O 200.1, Information Management Program

DOE G 242.1-1 5-8-00 FORMS MANAGEMENT GUIDE for use with DOE O 200.1 INFORMATION MANAGEMENT PROGRAM U.S. DEPARTMENT OF ENERGY Washington, D.C. 20585 DISTRIBUTION: INITIATED BY: All Departmental Elements Office of Information Management DOE G 242.1-1 5-8-00 i U.S. DEPARTMENT OF ENERGY FORMS MANAGEMENT GUIDE FOREWORD 1. PURPOSE. The purpose of this Guide is to provide guidance for the development, analysis, approval, and management of forms in the U.S. Department of Energy (DOE). To that end, this Guide identifies acceptable methods for implementing and managing a DOE forms management program that– • assists and supports managers in accomplishing their missions and functions • complies with applicable statutes, policies, regulations, and standards; • reduces the need for storing large quantities of paper-copy forms; and • makes forms easy to obtain. 2. APPLICABILITY. This DOE Guide can be used by all Departmental elements and field elements and their contractors. 3. EXCLUSIONS. The DOE forms management program does not include the following: a. Energy and Statistical Information Collection Forms controlled by the Energy Information Administration (EI); refer to the Statistics and Methods Group for information on EI’s collection forms and/or clearance program; b. any form letter or letter sent to more than one person by inserting the name of each recipient in the salutation; c. a format, guide, table, example, or exhibit that illustrates a predetermined arrangement or layout; d. nonform items or printed products without spaces for entering information, such as posters, tapes, labels, etc.1 4. CONTACT. Recommendations, additions, deletions, and any pertinent data that may improve this document should be sent to the Director, Information Management Division (SO-31); U.S. Department of Energy; Washington, D.C. 20585. In some cases, nonform items may be included in the forms management program and in such cases will be assigned form numbers for referencing, printing, stocking, and distribution purposes. 1 ii DOE G 242.1-1 5-8-00 CONTENTS FOREWORD . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . i CHAPTER I, OVERVIEW . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I-1 1. Scope . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I-1 2. Forms Management Program Objectives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I-1 3. Forms Manager . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I-1 4. Management Practices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I-2 5. Online Access to DOE Forms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I-2 6. References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I-2 7. Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I-3 CHAPTER II, STANDARDS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II-1

1. Program . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II-1 2. Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II-2 3. Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II-3 a. Paper Forms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II-3 b. Electronic Forms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II-6 4. Form Number . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II-7 a. Letter Prefix to Subject Classification Number. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II-7 b. Standard Subject Classification Number . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II-7 c. Sequential Number . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II-8 d. Edition Date . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II-8 e. Supersession Notice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II-8 CHAPTER III, PROCEDURES FOR APPROVAL, EXCEPTIONS, AND CANCELLATION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . III-1 1. Standard Forms and Optional Forms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . III-1 2. Other Federal Agency Forms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . III-1 3. Departmental Forms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . III-1 4. Exceptions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . III-2 5. OMB/GSA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . III-2 6. Cancellation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . III-2 CHAPTER IV, PRINTING AND REQUISITIONING . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . IV-1 1. Obtaining Forms Online . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . IV-1 2. Printing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . IV-1 a. DOE Forms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . IV-1 b. All Other Forms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . IV-1 3. Requisitioning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . IV-1 I-1 DOE G 242.1-1 5-8-00 CHAPTER I OVERVIEW 1. SCOPE. This Guide provides suggestions for development, analysis, approval, and management of both conventional and electronic forms. 2. FORMS MANAGEMENT PROGRAM OBJECTIVES.

a. To provide advice and information pertaining to the restrictions on forms posed by Federal regulations, Federal laws, and business standards. b. To provide guidance on coordinating, developing, approving, and managing forms. c. To provide guidance in analyzing, designing, and approving forms that conform with GSA policies. d. To eliminate conflicting, duplicate, and obsolete forms and improve data collection, reporting methods, and information management procedures through the standardization and management of forms. e. To provide online access to most forms used by DOE, thereby reducing or eliminating the need to provide paper copies of forms through DOE self-service supply stores or the warehouse. f. To coordinate the analysis of each form with the Departmental element authorized to prescribe its use and to ensure that, where appropriate, an implementing procedure or directive is issued on each DOE Form. g. To promote the development and use of electronic forms, including electronic signature authorization, as a matter of standard practice, and to take full advantage of the production, transmission, storage, and retrieval capabilities of information technology resources. 3. FORMS MANAGER. Nearly every DOE function uses forms; therefore, each DOE organization or contractor activity should decide whether to designate an individual to serve as the forms manager and act as that organization’s forms management point-of-contact . Each forms manager’s duties should be documented in his/her position description, which should also specify the level of individual performance standards associated with each duty. I-2 DOE G 242.1-1 5-8-00 4. MANAGEMENT PRACTICES. To establish an effective forms management program,2 each DOE organization and contractor activity should consider adopting the following practices: a. establishing and documenting procedures and requirements to ensure that forms management activities comply with applicable directives and/or public laws and with GSA objectives, requirements, and standards b. establishing and maintaining a forms management program that complies with DOE guidance and GSA objectives, requirements, and standards; c. implementing an appropriate management oversight process to ensure awareness and compliance with policy, procedures, or best management practices at DOE and contractor sites; and d. soliciting recommendations for improvement, as appropriate. 5. ONLINE ACCESS TO DOE FORMS. By the end of FY 2000, 80 percent of DOE forms should be available online at http://www.explorer.doe.gov:1776/htmls/doeforms.html. This website is more cost-effective than storing, printing, and distributing paper copies of forms. It is also more convenient; staff can quickly and easily access, retrieve, fill in (some forms), and print Departmental forms, which are available by category, number, and subject. Other features include an electronic library of forms, a variety of fillable and nonfillable forms in PDF (portable document format), and other Internet links for obtaining Standard Forms, Optional Forms, and other agency forms. As noted in Chapter IV, requests for hard copies of forms that are already on line should not be requested or obtained from self-service stores but instead should be printed from the web page. Organizations that fail to use the website to obtain forms will be charged applicable fees through the Working Capital Fund. 6. REFERENCES.

a. DOE N 205.1, UNCLASSIFIED CYBER SECURITY PROGRAM, 7-26-99, which sets forth objectives, requirements, and responsibilities for unclassified DOE information and information systems. b. DOE O 471.2A, INFORMATION SECURITY PROGRAM, 3-27-97, which establishes objectives, requirements, responsibilities, and procedures for the development and implementation of an Information Security Program for the protection and control of classified and sensitive information in automated systems. It is suggested that this program be assigned or delegated to the information management organization. 2 http://www.explorer.doe.gov:1776/htmls/doeforms.html I-3 DOE G 242.1-1 5-8-00 c. DOE M 471.2-2, CLASSIFIED INFORMATION SYSTEMS SECURITY MANUAL, 8­ 3-99, which provides requirements and implementation instructions for the graded protection of the confidentiality, integrity, and availability of information processed on all automated information systems used to collect, create, process, transmit, store, and disseminate classified information by, or on behalf of, DOE. d. 44 U.S.C. 3501 et seq., The Paperwork Reduction Act of 1995, as amended, which contains policies, procedures, goals, and objectives to reduce paperwork and enhance economy and efficiency by improving the management of information resources. e. 5 U.S.C. 552a, Privacy Act of 1974, which imposes requirements on any Federal agency that maintains personal information in a system of records from which information is retrieved by name or other personal identifiers. f. 41 CFR Chapter 201, which prescribes the responsibilities of agencies for information management, including the management of forms. g. Title 44 U.S.C., Chapters 29, 31, and 33, which contains the legal authority for records management in the Federal Government. h. General Services Administration (GSA), Records and Information Management Handbook, “Forms Analysis and Design,” which provides guidance for forms analysis, design, and printing functions in the Federal Government. i. GSA, “Electronic Forms and Authentication Practices,” of 9-26-89, which provides guidance on electronic forms and authentication. j. Government Printing and Binding Regulations published by the Joint Committee on Printing, which establishes policies for production of Government printing. k. National Archives and Records Administration (NARA) General Records Schedules, which provide disposition authority for records common to several or all agencies of the Federal Government. (See http://ardor.nara.gov/index.html) 7. DEFINITIONS. a. Controlled Form. A form for which distribution or issue is limited. A controlled form may be a Standard, Optional, Headquarters, Departmental, or other agency form. b. Edition Date. The date of issue for a form. (Note: The edition date is changed with each revision of the form.) http://ardor.nara.gov/index.html I-4 DOE G 242.1-1 5-8-00 c. Exception. Standard Forms (SFs) and Optional Forms (OFs) are approved by GSA, prescribed for use in the Federal government, and do not require additional DOE approval. GSA approval is required for an agency to change the printing or format of an SF or OF or the content of an SF. d. Form. An arrangement of captioned fields designed for entering, collecting, and/or extracting information, regardless of media. The term includes the following. (1) Electronic Form. An image that has been electronically generated and/or stored, and that is accessed for electronic fill-in, transmission, and/or printing.

(2) Paper Form. A form produced from a hard-copy master using conventional printing, duplicating, or copying equipment; paper forms are completed manually, either by typewriter or by hand. (3) Types of forms include the following. (a) DOE Form. A form developed for use by DOE and its contractors and approved by the DOE Forms Manager. A DOE form is used to obtain or provide information to at least two or more field elements or a field element and Headquarters. All Report Forms (RFs) are also considered to be DOE forms and are approved and numbered accordingly. (b) Headquarters Form. A form developed for use within DOE Headquarters only and approved by the DOE Forms Manager. (c) Local Form. A form developed for use within one specific field element or at Headquarters only and approved by the originating office’s designated forms manager. (d) Optional Form. A form developed by a Federal agency for use in two or more agencies and approved by GSA for nonmandatory Government-wide use. (e) Report Form. A form designed for collection of data from persons or organizations either inside or outside the collecting agency. RFs include the following. 1 Information Collection Form. A form used to collect information from the public. For the purposes of this Guide, Government-Owned, Contractor-Operated (GOCO) facilities, off-site contractors, and financial assistance recipients are considered to be the public. Information Collection Forms must be approved by the Office of Management and Budget (OMB). DOE G 242.1-1 I-5 (and I-6) 5-8-00 2 Interagency Form. A form used by one or more agencies to report information to another agency(ies), as covered in the information management responsibilities of 41 CFR; Interagency Forms must be approved by GSA, except those used for general statistical purposes, which are approved by OMB. (f) Standard Form. A form prescribed by a Federal agency, pursuant to its regulatory authority and approved by the GSA and, if required, by the OMB, for mandatory Government-wide use. e. Form Number. An alphanumeric identifier assigned to each approved form by the responsible agency for management control purposes. For example, SF and OF numbers are assigned by the GSA; DOE F numbers are assigned by the DOE Forms Manager, etc. f. Media. The method or mode of representation, such as paper or electronic format. g. Signature. A means by which the contents of, or the actions described in, a form are acknowledged, authorized, or certified. Examples include the following: (1) an original, handwritten name of the acknowledging, authorizing, or certifying individual and (2) the result of a process by which an individual indicates authorization or certification by electronic means. In accordance with Paragraph 4, “References,” the process should include information technology security practices taken to protect the validity of the approval or certification in direct proportion to the level of risk or loss associated with what is being approved or certified. Approval for use of electronic signatures should be provided on a form-by-form basis. II-1 DOE G 242.1-1 5-8-00 CHAPTER II GUIDELINES 1. PROGRAM. The guidelines discussed in this chapter should be considered as part of an effective forms management program. Generally accepted guidelines include the following: a. analysis, design, and numbering for new forms and form revisions; b. periodic reviews to eliminate or consolidate forms that are obsolete, overlapping, or unduly burdensome, or that require redesign;

c. interaction between form originators and forms managers to effect changes in forms; d. coordination of form actions with other DOE officials who have a programmatic interest in the content of the form, and with any concerned officials, General Counsel, and the DOE Privacy Act Officer, for appropriate approval actions; e. assurance that approvals for RFs are obtained from GSA or OMB for forms used for general statistical purposes, in compliance with interagency reporting requirements and the Paperwork Reduction Act; f. assignment of form numbers (in accordance with established procedures), edition dates, GSA/OMB approval symbols, supersession notices, OMB burden disclosure statements, and Privacy Act statements, as appropriate, prior to reproduction or use of the form; g. maintenance of form history files to include– • form number, • title, • initiating office and individual authority, • distribution, • a copy of each approved edition and any appropriate coordination actions, • special instructions, and • the form, reproducible for future reprints and/or technical specifications, to include security information for controlled electronic forms and electronic signature authorization;3 Dates and quantities of forms printed may also be kept to establish printing requirements and minimum stock levels. Backup file for electronic forms should be maintained with similar information. 3 II-2 DOE G 242.1-1 5-8-00 h. coordination of authorized disposition in accordance with appropriate DOE directives and the NARA General Records Schedule; i. timely publication of a directory (or directories) of forms including form number, title, edition, date, originating office, source of supply, media, and, if appropriate approval is required, OMB control number; j. promotion of the transition from paper forms to electronic forms and coordination with appropriate offices in the development and/or accession of electronic forms (i.e., computer security, systems design, and programming support). 2. ANALYSIS. The forms analysis process typically includes the following. a. Analysis of each form’s purpose, use, content, related procedures, media, and disposition. Each item of information must be essential, with data elements arranged in logical sequence according to work flow or type of source documents. b. Reasonable assurance that the form does not request information already available from another source (i.e., information contained in a report, record, or database maintained by another organization or provided by another form). Information sharing is encouraged to prevent duplicate reporting. c. Assurance that the information requested is reasonable and worth the benefits to be derived. RF costs and/or burden must be computed and submitted for OMB review, in compliance with its approval process. The time required of all persons who will compile, enter, transmit, review, and file the information must be estimated, as well as design, printing, storage, automation, and distribution costs. d. Assurance that RFs are approved through appropriate channels, bear a clearance number(s), and, if applicable, expiration date(s). e. Assurance that, where applicable, new or revised forms are supported by a directive or procedure, with instructions for preparing, submitting, and using the form (instructions are not required for self-explanatory forms). f. Projection of each paper form’s use to determine correct quantities to be printed, suggested reorder lead-time, and minimum stock levels.

g. Assurance that forms requiring several parts are analyzed for unnecessary distribution copies, and consideration is given to specifications that foster paper recycling. II-3 DOE G 242.1-1 5-8-00 h. Assurance that requirements of the U.S. Postal Service’s Domestic Mail Manual or International Mail Manual have been met when developing self-mailer forms. i. Verification that officials’ signatures are used correctly and, if they are, use of those signatures has been approved as necessary. j. Assurance that instructions, due dates, and number of copies required are specifically stated. 3. DESIGN. Forms should not be redesigned solely to accommodate design guidelines. However, in the design of new forms or the content revision of existing forms, the following guidelines apply. a. Paper Forms. (1) Forms should be 8½ inches by 11 inches with typewriter spacing required for those forms to be completed by typewriter. Smaller forms may be used to fit specific needs. (2) The form number, edition date, and supersession notice should appear in the upper left corner of each sheet of the form and instructions. (These items may also appear on the reverse side of a page.) (3) If required for an SF, OF, or RF, an OMB and/or GSA control number should appear in the upper right corner of the first page of the form and, where applicable, on the first page of the instructions. Additionally, OMB requires a burden disclosure statement on information collections. This statement should appear as close as possible to the OMB control number in the upper right corner and include an estimate of the average burden hours per response. If the burden statement cannot be placed on the front page or at the beginning of text, it should be included at the beginning of the instructions. (4) The name of the Department (i.e., “U.S. DEPARTMENT OF ENERGY”) and the title of the form should appear at the top of the form. (5) As much as possible, boxes should be designed with an upper left caption, check boxes, and preprinted data. OMB BURDEN DISCLOSURE STATEMENT Public reporting burden for this collection of information is estimated to average hours (or minutes) per response; including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing the burden to: Office of Information, Records, and Resource Management, SO-31, U.S. Department of Energy, Paperwork Reduction Project (1910-XXXX)*, Washington, D.C. 20585, and to the Office of Management and Budget, Paperwork Reduction Project (1910-XXXX)*, Washington, D.C. 20503. * Fill-in the four-digit OMB control number. II-4 DOE G 242.1-1 5-8-00 (6) Normally, item instructions should appear next to the item or elsewhere on the form itself, rather than on a separate page. Instructions for RFs should include statements on– (a) the purpose of the form and a description of how the data will be used; (b) when and where the form is to be submitted; (c) who is required to file; (d) whether reporting is mandatory, voluntary, or required to obtain or retain a benefit; (e) the consequences of not providing the requested information; (f) the number of copies to be filed; (g) which attachments are to be filed; (h) all needed definitions;

(i) all needed general and specific instructions for each data element; (j) the authority for collection of information, if applicable; and (k) the statement required by the Privacy Act of 1974, if appropriate, and the provisions for confidentiality, if any, with respect to the information requested. --Example– PRIVACY ACT STATEMENT Section 6311 of Title 5, United States Code, authorizes collection of this information. The primary use of this information is by management and your payroll office to approve and record your use of leave. Additional disclosures of the information may be: To the Department of Labor when processing a claim for compensation regarding a job connected injury or illness; to a State unemployment compensation office regarding a claim; to Federal Life Insurance or Health Benefits carriers regarding a claim; to a Federal, State, or local law enforcement agency when your agency becomes aware of a violation or possible violation of civil or criminal law; to a Federal agency when conducting an investigation for employment or security reasons; to the Office of Personnel Management or the General Accounting Office when the information is required for evaluation of leave administration; or to the GSA in connection with its responsibilities for records management. Where the employee identification number is your Social Security Number, collection of this information is authorized by Executive Order 9397. Furnishing the information on this form, including your Social Security Number, is voluntary, but failure to do so may result in disapproval of this request. If your agency uses the information furnished on this form for purposes other than those indicated above, it may provide you with an additional statement reflecting those purposes. II-5 DOE G 242.1-1 5-8-00 (7) When narrative statements are required as part of a form, reporting instructions should state requirements explicitly. (8) Form instructions placed on a separate page should be aligned in two or more narrow columns rather than on full-width lines, and as numbered items rather than in paragraph style. When instructions are segregated on a form, they should be placed– (a) at the top, if concise and applicable to the whole form; (b) at the bottom, if that uses space more economically; or (c) on the reverse, if no space is available n the face of the form. (9) Deviations from design guidelines on DOE Forms should be justified in writing and approved by the DOE Forms Manager. (10) Specifications should be provided as an attachment for specialty items, such as marginally punched or computer-generated forms, before they are forwarded to printing. Information should be provided, as needed, on the type and model of automated equipment to be used to process and/or print the data on the form. (11) The following type styles and type faces have been approved for use on DOE forms. These type styles and type faces should be used whenever possible. (a) Form Number and Edition Date. Universe/Helvetica (Triumvirate), 6-point, medium, italics, all capital letters. (b) Supersession Notices. Universe/Helvetica (Triumvirate), 6-point, medium, italics, capital and lower-case letters. (c) U.S. DOE. Universe/Helvetica, 10-point, bold, all capital letters. (d) Title of the Form. Universe/Helvetica, 11-point, bold, capital letters. (e) Subtitles. Universe, 10-point, bold, capital and lower-case letters.

(f) Information Appearing in Parentheses. Italics (in a type face and size consistent with the body of the form). (g) Body of the Form. Varies with content. (h) Instructions. Universe/Helvetica, 8-point, medium, capital and lower-case letters. II-6 DOE G 242.1-1 5-8-00 b. Electronic Forms. At the creation of a new DOE form, a portable document format (pdf) file is needed to ensure that it is placed online. The pdf will be sent from SO-31 to MA-4, Office of Management and Operations Support. When transitioning from paper to electronic media or using both media in parallel, it is not mandatory that the screen image of the electronic form exactly duplicate the paper form, as long as flow and content are equivalent. However, a printed electronic form should match the preprinted paper form as closely as possible. (See paragraph 4a, below, for numbering of electronic forms.) When technical specifications come from another source, those specifications shall be followed, and requests to modify the technical content shall be approved by the originating organization. (1) Form number, edition date, and supersession notice should be available and capable of being displayed in the appropriate location (i.e., in the upper left corner). (2) If a GSA or OMB control number is used on the paper version form, it should be available and capable of being displayed in appropriate locations on the electronic version. The OMB control number and disclosure statement are displayed as part of the form instructions. (3) The name of the department (i.e., “U.S. DEPARTMENT OF ENERGY”) and title of the form should be displayed at the top of the form. (4) Instructions should be placed as close to the field displayed as software will allow. At a minimum, exit to and from full instructions should return user to the field in question. (5) Instructions for electronic RFs should meet the guidelines for paper forms outlined in Chapter II, Paragraph 3a(6). (6) Authorizing or certifying signatures cannot precede the last field requiring an approval signature. (7) Electronic signatures should be controlled to ensure system integrity and security of sensitive and/or controlled documents. The data element serving as an electronic signature should be unique to the authorizing or certifying official, and be protected, as appropriate, in direct proportion to the level of risk or loss associated with the document. (8) The electronic signature approval or certification becomes a permanent part of an audit trail associated with the data approval. It should be possible to retrieve the data so that users can see precisely what data was approved or certified, by whom, and on what date. II-7 DOE G 242.1-1 5-8-00 (9) Procedures should indicate how to prevent unauthorized/undocumented changes to an electronic form or the data input on an electronic form. All changes should be documented and promptly sent to the authorizing and/or certifying official(s) for approval. (10) Organizations should work together when transmitting forms data electronically to ensure that computer software program variables are compatible. (11) Internal controls and security measures should ensure compliance with DOE requirements for information systems. 4. FORM NUMBER. An identifying subject classification number should be assigned to each approved DOE and local form in accordance with instructions provided in this Guide. a. Letter Prefix to Standard Subject Classification Number.

(1) A standard subject classification number should be prefixed as follows: (a) DOE Form. The letters “DOE” should be used as the form number prefix only when the form is intended for use by two or more field elements, or a field and Headquarters element (e.g., DOE F 1322.2 or DOE F 241.1). (b) Local Form. The letter assigned to each major element within DOE should be used as the prefix only when the form is intended for use at one field element or at one or more Headquarters elements (e.g., Idaho, ID F 1322.2 or ID F 241.2; Headquarters, HQ F 1322.2 or HQ F 241.1). (2) After the organization prefix, the letter “F” is used to designate a form. A single space appears on either side of the letter “F.” b. Standard Subject Classification Number. This number is assigned by the originating office; generally, the number is consistent with the number assigned to the directive authorizing the form. (1) Four-Digit Standard Subject Classification Number. Many Departmental, Headquarters, and local forms were previously subject-numbered in accordance with a four-digit standard subject classification system that is no longer in effect. The discontinued numbering system may be referenced at the Chief Information Officer (CIO) Homepage (http://cio.doe.gov) by following the sequence of links below: • “DOE Directives”; • “DOE Archived Directives”; http://cio.doe.gov II-8 DOE G 242.1-1 5-8-00 • “Archived Old Series Directives”; and • “DOE O 0000.1A, Standard Subject Classification System.” (2) Three-Digit Standard Subject Classification Number. New Departmental, Headquarters, and local forms entering the DOE Forms Management Program are numbered in accordance with a three-digit standard subject classification numbering scheme, which may be accessed at the CIO Homepage (http://cio.doe.gov) by following the sequence of links below: • “DOE Directives”; • “Series 200”; • “DOE M 251.1A, Directives System Manual (Appendix A).” (3) Changing from the Four- to the Three-Digit System. Changing a current form number from the four- to the three-digit standard subject classification system is sometimes acceptable when revising a current form. The decision to change the four-digit number to the newer three-digit number is made by the originating office in consultation with the approving forms manager. Such a decision should be made on the basis of the economies and efficiencies involved in making such a change. c. Sequential Number. The sequential number is the consecutive number given to identify a specific document in order of issuance. A sequential number (e.g., .1, .2) is assigned to a form after final approval. Such numbers for local forms are assigned by the forms manager. The DOE Forms Manager assigns sequential numbers to Departmental and Headquarters forms. d. Edition Date. The date of form issuance (e.g., month/year, 03-99) is placed in parentheses beneath the form number by the DOE Forms Manager and appropriate approving forms manager. The edition date allows the user to determine the currency of the form. The date is changed with each revision. e. Supersession Notice. The supersession notice should appear in parentheses under the form number and edition date to specify whether existing stocks of the previous form edition may or may not be used. The supersession notice also specifies whether the form number of the latest edition differs from the previous one. If the form number has changed, the previous number and edition date of the replaced form should be referenced as part of the supersession notice.

http://cio.doe.gov DOE G 242.1-1 III-1 5-8-00 CHAPTER III PROCEDURES FOR APPROVAL, EXCEPTIONS, AND CANCELLATION 1. STANDARD FORMS AND OPTIONAL FORMS. a. SF and OF Forms are approved by GSA, prescribed for use in the Federal government, and do not require additional DOE approval. b. Changes to content or format of SFs and OFs cannot be made without GSA approval. c. Requests for exceptions to and adoption of new SFs and OFs should be submitted through the DOE Forms Manager, who coordinates GSA approval. Each request should include– • a copy of the proposed form; • justification for the new form or exception; • a completed SF-152, “Request for Clearance or Cancellation of a Standard or Optional Form or Exception”; and • a copy of the directive or procedure prescribing its use. 2. OTHER FEDERAL AGENCY FORMS. a. All DOE organizations that want to use another Federal agency’s form should submit their requests to the DOE Forms Manager, along with a justification and any concurrence(s) required by the organization. The DOE Forms Manager approves use of another Federal agency’s form within DOE. b. The originating forms manager should coordinate requests to use another agency’s form(s) in writing with all DOE organizations having a programmatic interest in the form. 3. DEPARTMENTAL FORMS. a. Once the DOE Forms Manager has analyzed a form (as described in Chapter I) in conjunction with the appropriate forms manager and the form originator, each proposed new DOE Form or form revision is forwarded to Headquarters for approval. b. A completed DOE F 1322.4, “Forms Checklist/Approval,” the proposed design, and the directive describing use of the form are forwarded to the DOE Forms Manager for approval of the form. The DOE Forms Manager evaluates and approves the form content, and as appropriate coordinates it with other officials (e.g., records managers). III-2 DOE G 242.1-1 5-8-00 c. The approved form is assigned a sequential form number, coordinated with the responsible office(s) for final design (including development of programming specifications for an electronic form), and included in the DOE Forms listing and/or the electronic forms library. d. The DOE Forms Manager forwards to designated forms managers a copy of the paper form(s) and/or the electronic version’s programming specifications, such as field name, length, and description. e. The DOE Forms Manager works with the Office of Administration to coordinate the creation, printing (if not an electronic form), stocking, and implementation of forms. 4. EXCEPTIONS. Departmental and local forms that will be used one time, and are not considered to be RFs, do not require approval or form numbers. However, forms managers should ensure that the need for the form is legitimate before printing or developing an electronic version of the form. 5. OMB/GSA. The DOE Forms Manager or the Statistics and Methods Group obtains OMB and/or GSA clearance of reporting requirements for SFs, OFs, or RFs. Forms managers may contact the DOE Forms Manager for assistance in determining whether a clearance is required or for further details on the clearance process. 6. CANCELLATION. When a DOE Form is no longer being used, the originating forms manager prepares a request for cancellation and forwards it, along with a completed DOE F 1322.4, to the DOE Forms Manager, indicating the reason for cancellation. DOE G 242.1-1 IV-1 5-8-00 CHAPTER IV PRINTING AND REQUISITIONING

1. OBTAINING FORMS ONLINE. Forms are available online at the following address: http://www.explorer.doe.gov:1776/htmls/doeforms.html. A copy of Adobe Acrobat Reader is needed to view, fill, and print the forms; however, a copy of Adobe Acrobat Exchange must be purchased and used to save a form. a. Requests for hard copies of forms that are already on line should not be requested or obtained from self-service stores but instead should be printed from the web page. b. Items that contain form numbers, which are actually supply items, will continue to be available through the self service supply stores. c. Controlled forms will continue to be managed by the Office of Primary Interest. 2. PRINTING. a. DOE Forms. (1) To ensure distribution of current form editions, all supplies of DOE forms are printed through the Print Media and Mail Services Group. (2) Printing services require a minimum of 4 to 6 weeks for one-page forms and up to 8 weeks for more complex or specialty forms. Exceptions are negotiated with Print Media and Mail Services Group. (3) Reprints of DOE Forms are coordinated with the form originator through the appropriate forms manager. b. All Other Forms. DOE field elements and contractor activities must use procedures prescribed by the Government Printing and Binding Regulation to obtain printing services. 3. REQUISITIONING. Except for one-time-use forms, forms that are not assigned form numbers in accordance with Chapter II are not authorized for use by the Department and are, therefore, unavailable for distribution. a. Headquarters elements should refer to the Directory of Departmental Forms on the DOE Home Page when requesting forms. Supplies of more than 100 copies of a form are ordered by completing DOE F 4250.2, “Request for Supplies, Equipment, or Services.” http://www.explorer.doe.gov:1776/htmls/doeforms.html IV-2 DOE G 242.1-1 5-8-00 b. Field elements forward a completed DOE F 4250.2 to order paper forms; the form must indicate the form number, title, and quantity requested for each form ordered. At least a 1­ month and not more than a 3-month supply of forms may be ordered on one requisition. A self-addressed mailing label should accompany each order. (1) If the Office of Support Services (MA-212) is the source of supply, forward a completed DOE F 4250.2 and mailing label to– U.S. Department of Energy Support Services (MA-212) Washington, DC 20585 (2) If the source of supply is an office other than MA-212, forward a completed DOE F 4250.2 and mailing label directly to the office listed. Mailing addresses can be obtained from the DOE Home Page, with links to mailing address directories. b. Use DOE F 4250.2 to order SFs and OFs from Headquarters only when they cannot be obtained from the regular GSA supply sources (e.g., forms stocked by the Office of Personnel Management). c. After another Federal agency’s form is approved for DOE use, the form may be obtained through the Support Services using standard requisitioning procedures. FOREWORD 1. PURPOSE 2.APPLICABILITY 3.EXCLUSIONS 4.CONTACT Contents Chapter I (Overview) 1. SCOPE 2. FORMS MANAGEMENT PROGRAM OBJECTIVES 3. FORMS MANAGER 4. MANAGEMENT PRACTICES 5. ONLINE ACCESS TO DOE FORMS 6. REFERENCES 7. DEFINITIONS Chapter II. Guidelines 1. PROGRAM 2. ANALYSIS 3. DESIGN a. Paper Forms b. Electronic Forms 4. FORM NUMBER a.Letter Prefix to Standard Subject Classification Number b.Standard Subject Classification Number c.Sequential Number d.Edition Date e.Supersession Notice. Chapter III. Procedures for Approval, Exceptions, and Cancellation 1. STANDARD FORMS AND OPTIONAL FORMS 2. OTHER FEDERAL AGENCY FORMS 3. DEPARTMENTAL FORMS 4. EXCEPTIONS 5. OMB/GSA 6. CANCELLATION Chapter IV. Printing and Requisitioning 1. OBTAINING FORMS ONLINE 2. PRINTING a.DOE Forms b.All Other Forms 3. REQUISITIONING