Best Practices in Forms Management

Managing Data

Definitions

Documents Forms Records Document Management Forms Management Records Management

Definition Document

• A document is a container of information. • The container makes it possible to organize,

present, and manage the information related to an event, person, or topic.

• The way data are organized and presented in the container provides meaning and context to the information.

• A document could be a form, letter, spreadsheet, memorandum, photograph, video clip, or report.

• The document can exist in any media. New York State Office for Technology – EDMS Cookbook

Comparative Definitions

Form A form is a specialized document that

contains one or more fields for the capture and / or display of variable data.

CGSB – A structured template or tool, irrespective of media in which it appears, used to capture, compile, transmit, communicate and record specific business information

Record

Record A specific instance of a form (or other

document) is a record. A document that is unique to a specific transaction becomes a record.

Form Types

pForms – paper, or other physical substrates

eForms – digital forms used in non-browser environments

iForms – digital forms used within browsers

vForms – forms generated dynamically from scripts, printer files, and code

Document Management Document Management –

focus on issues such as searching, archiving, retrieving, scanning, indexing and process management

Term is also used to describe other functions such as print management, content management, document destruction, and more

Elements can also include document creation, indexing, reproduction, etc.

Forms Management

Forms Management – includes specifications, analysis data, forms creation, approval management, user interactions, forms production and deployment, and inventory management

Records Management

Records Management – • designation of official records • retention requirements • legal accessibility • destruction authorizations • storage and archiving methods

Relationships

Form Document Record Forms Management Document Management Records Management

Document Hierarchy

Document Management

DOCUMENT

Forms Management

RECORD

RECORD

RECORD

RECORD

RECORD

RECORD

RECORD

Records Management

. . . etc.

e-Mail

Report

Statement

FORM

The Forms Design Workflow

Workflow Analysis Process Analysis Forms Analysis Design Analysis Container Design

Mapping & Programming

Testing Deployment Forms Control Metrics &

Reporting

Four Elements of Every Form

Introduction to Forms Four Elements of Every Form

INTENT - justification for the existence of the form

CONTAINER - physical layout of data capture vehicle

DATA - variable information captured on the form

IMAGE - interface among users, data and systems

National Standard of Canada

The National Standard of Canada Scope:

• Sets out best practices for the establishment and operation of a Forms Management Program

• Appendices provide details on policy and staffing, performance measurement, planning, resource utilization and outsourcing

Elements of Best Practices

Strategy Structure Staffing Policies, Processes and Procedures Technology Forms Control Metrics and Reporting

Managing the Forms Population Collecting data about each form Managing Distinctions Relating to business systems Managing source files and deployment Managing reviews Keeping track of requests Establishing form relationships Managing specifications Conducting forms analysis Managing discontinuance Managing form projects Developing form history files Managing reporting

Collecting Data

General information Form owners Form Coordinators

Let’s take a look…

Managing Distinctions

Distinctions are personalized data designed into the form container

Distinctions result in form revision projects when those distinctions change – as they do regularly!

Identifying affected forms easily and quickly is essential

Relating to Business Systems

All forms support one or more business systems

Forms should be associated with the workflow and processes they support

Managing changes to the workflow and processes requires review of related forms

Forms can be unique to a province, language, country and line of business

Managing Source Files and Deployment

Forms can have one or more source files

Forms can be deployed in multiple formats and to multiple systems

Keeping track prevents overlooking a change, resulting in multiple editions being deployed

Managing Reviews

There can be many reasons for reviews: • Regular • Legal • Regulatory • Accessibility • Security • Privacy • Policy

Managing Reviews

Reviews can occur at varying intervals: • Scheduled (annual, year-end) • Ad hoc (on-demand) • Macro (looking for opportunities)

Keeping Track of Requests

Every day, things come up that can affect the form at next revision. Often, these requests are written on notes and placed in the form file or tucked away in the forms staff’s memory. There should be a more systematic method.

Form Relationships

Forms with similar content such as provincial variations, multi-language forms, templates, etc.

Form suites, such as kits, where multiple forms need to be reviewed and managed together

Keeping track of these relationships simplifies the review and revision process

Managing Specifications

Forms populations consist of many product types, each with its own set of detailed specifications

Frequently need to provide specifications to vendors

eForms have their own unique specifications that need to be managed

Forms Analysis

Assessments provide a method for continuous improvement of forms • General • Copy • Specifications

Assessments support general analysis, day-to-day complaints and Call for Forms reviews

Discontinuance

Most forms have a short life cycle Managing obsolescence and

discontinuance is a difficult task and is frequently given a low priority

Regular discontinuance reviews help keep forms fresh and compliant

Can support legal requirements by providing evidence of discontinuance and replacement

Managing Projects

Keeps projects on track Provides status information Separates by type, level and

category Keeps track of costs, comments and

approvals Tracks resource utilization Reports forms management

contribution

Form History Files

Shows all projects (actions) over the life of each form

Provides a complete development history

Maintains approvals, edition control and deployment data

Records are permanent and never deleted (may be archived)

Can replace paper files

Management Reporting

Summarizes large amounts of data into useful information

Queries and reports assist in tracking and reporting detailed information

Can be tailored to what each level of management requires

Additional Features

Can serve as data source for: • Catalogues • Portals • SharePoint • Project Requests • Customized queries • More

Thank You

Ray H. Killam, CFSP, CFC Essociates Group, Inc.

rkillam@essociatesgroup.com

www.essociatesgroup.com