Introduction Welcome to the Forms Management Book of Knowledge and to the Forms Management Certificate Program! In this introduction, you will find: Basic information on what is a form and forms management. How the book is organized. Basic information on the certificate program and how it is structured Terms and abbreviations used throughout the book and certificate courses. Definitions on key terms associated with forms and forms management. The Business Forms Management Association (BFMA) recognizes there is no formal educational training in colleges, universities or other post-secondary education establishments that is dedicated to forms development or forms management. This is why the association developed this Book of Knowledge and certificate program. It compiles, formalizes and adapts relevant knowledge and training specific to the forms industry. Specifically, it targets best practices. The chapters in the book refer to areas of competency the BFMA considers fundamental to the establishment, operations and management of an efficient Forms Management Program. They are: Governance Communications Project Management Business analysis, process improvement, work simplification Information management Forms/template design and development
Introduction 2 / 62 Print production Procurement and contracting Inventory management and warehousing Administration of a Forms Management Program Each book chapter is about an essential area of competency. Each section of a book chapter defines a competency element and addresses a key role or responsibility and activities performed by a Forms Management Program within an organization that are associated with that element. Competency elements are defined and provide details as to why or how they apply to forms and forms management. The certificate program courses offered are based on this key set of elements, roles and responsibilities. For example Communication is an essential area of competency. The book chapter on communication includes competency elements such as: • Achieving visual communication through good design. • Communication skills needed to: − Interview stakeholders. − Gather requirements. − Give presentations. − Write announcements about forms. − Write business cases and reports. … and more. For example Information management is also an essential area of competency. The book chapter on information management includes competency elements such as: • Managing information displayed on forms. • The critical importance of: − Implementing a form identification methodology.
Introduction 3 / 62 − Maintaining form lists. − Establishing filenaming conventions to manage form editions and versions. − Maintaining a forms management database. • The Program’s responsibility in maintaining official records and filing systems. … and more. Since the book is all about forms and forms management, let’s begin with clear definitions of what each term means. What is a form? Forms are business tools, regardless of the media, that use areas known as fields for the structured capture and display of variable data in order to record, transmit, and communicate information in support of a business process. The presence of fields differentiates forms from other types of documents. Forms include application screens and templates, and may include intelligence and system interaction. The different types of business forms and output versions are detailed later in the Definitions section. Note: Forms are also referred to as business forms. What is forms management? Forms management is a professional discipline that is the authoritative source to plan, deliver and support all official forms used to carry out the business of the organization, in accordance with approved organizational policies. The Forms Management Program mandate is to find solutions to organization and client information needs. Forms management uses systematic processes to: Increase productivity through business process improvement. Minimize errors in information capture and display through analysis, standardization and usability best practices.
Introduction 4 / 62 Responsibilities of a Forms Management Program include: The creation, production, deployment/distribution and cancellation of forms. Inventory management. Procurement. Custody and management of all form source and output files. Provision of business and legal form history records. Note: Since the appearance of new technologies, the forms management field of expertise has significantly evolved to adapt. It can be expected that more technologies and tools will appear in the future. It is important to remember that new technology may result in forms being developed through new media and their development depend on new sets of industry standards. However, the basic principles by which a Forms Management Program approaches forms solutions and development continue to apply. Forms Management Program structure The structure of a Forms Management Program could depend on the size of the organization. The Book of Knowledge demonstrates the different roles, responsibilities and tasks that are required to: Develop and deploy forms. Improve business processes. Efficiently manage a forms management program. When reading through the Book of Knowledge, it may seem that the different roles – business process analyst, forms analyst and forms developer, forms technician – have similar responsibilities. It’s important to note that these positions may overlap, be concurrent or collaborate depending on the project type, complexity, scope and context.
Introduction 5 / 62 The structure of the Program may also depend on human resources available. It’s not uncommon in small organizations for the business process analyst and forms analyst or the business process analyst, forms analyst and forms developer roles to be performed by the same staff person. What is important to remember is that the roles, activities and tasks outlined in the Book of Knowledge all need to be accomplished. How roles are assigned to positions in every Forms Management Program remains the Program’s decision and that of their organization. The same concept applies to inventory management and the forms management database. Small organizations with a handful of forms, may manage their forms inventory with Excel or a simple database created with Access. Large organizations with hundreds of forms are likely to require other tools and software such as a robust inventory control system or an Access database with data stored in SQL tables and protected by Information Technology. Forms Management Program responsibilities Aside from the FUNDAMENTALS section under each element of a book, section headings correspond to responsibilities assumed by Program staff. Responsibilities defined are titled as follows in the book and each corresponds to a course name: BUSINESS PROCESS ANALYSIS FORMS ANALYSIS FORMS DEVELOPMENT DATA COLLECTION AND PRESENTATION PRINT PRODUCTION TECHNOLOGY FORMS CONTROL PROGRAM MANAGEMENT
Introduction 6 / 62 BUSINESS PROCESS ANALYSIS Business process analysis provides a methodology for the analysis of a business or an organization to understand its processes and improve the efficiency and effectiveness of its operations. It describes, all from beginning to end: The processes involved. Which actors are participating in the processes. The information exchanged. Documents produced (e.g., forms). Analyzing business process helps in: Documenting business operations and processes. Locating problem areas, unnecessary forms, documents and repetitive data elements. Identifying improvement opportunities. When properly documented, business process analyses can help forms developers by providing them with key information on the business operations workflow and specific information, data, system and policy requirements. FORMS ANALYSIS The basic purpose of forms analysis lies in Determining and evaluating the intended use of a form. Its relation to other already existing forms within the process. The manner in which all data will be captured, displayed and processed. The utility and effectiveness of the form as an information-processing tool.” (Canadian General Standards Board, Standard on Forms Management p2)
Introduction 7 / 62 Forms analysis can also be a view of a form within a larger group of forms and processes. This can occur during: Large-scale form reviews (macro analysis) within an organization where all existing forms are reviewed for consistency, compliance, and improvement opportunities. A call for forms in which the Forms Management Program publishes a notice inviting all functional areas of the organization to collect and send the forms they use. Again, the forms analysis exercise is to ensure consistency, compliance and efficiency in the organization. Improvement initiatives where specific groups of forms are examined to gain process or economic efficiencies. Such projects can be at the request or senior management, a functional area or initiated by the Forms Management Program. Design analysis An integral step in the forms analysis process, design analysis is done by the forms developer to convert the rules, logic, business, policy and Forms Style Guide requirements into objects on the form container to: Collect data. Reduce errors. Facilitate the use of information. Enhance the organization's image. The forms analyst and developer also review: Language quality and consistency. Usability features. Attention is given to ensure the form designs and layouts are appropriate for the intended final output format such as: Printed forms. eForms. Online applications or user interface/screen design. Mobile applications.
Introduction 8 / 62 Like forms analysis, design analysis may also occur during Large-scale form reviews (macro analysis) within an organization. Calls for forms. Improvement initiatives. It is during such projects that forms designs are analyzed to ensure Legibility. Usability. Consistency (e.g., of language and presentation of similar elements from form to form) Compliance (e.g., to applicable legislation, regulations, presentation standards like the date format, corporate logo, etc.). When forms developers and forms professionals with competence and expertise perform design analysis, it should not be necessary to dwell on overanalyzing a form. Scenarios repeat themselves as well as form elements. Also, it’s important to listen to the client, form owner, stakeholders and users who know their business best. Forms developers with all their tools in hand and expertise, should be able to develop functional forms fairly quickly, even if tweaks are needed later. Business rules Business rules describe the operations, definitions and constraints that apply to an organization. Business rules can apply to people, processes, corporate behavior and computing systems in an organization, and are put in place to help the organization achieve its goals. Understanding business rules is an important aspect of forms analysis to ensure specifications and requirements are well communicated for forms development purposes. For example
Introduction 9 / 62 A business rule might state that the Chief Executive Officer (CEO) must approve all financial requests over $100,000. When forms were only printed, one might have seen: − A form with multiple copies. − Instructions next to the amount indicating that if the amount was over $100,000, the form had to be signed by the CEO. − An indication at the bottom of the form as to which area retained which copy of the completed form, e.g., Copy 1 – White signed original to Finance records Copy 2 – Yellow to Requestor area Copy 3 – Pink to Procurement), etc. With the advent of technology and electronic interactive forms, business rules are now added and programmed in form fields to help: Validate the information. Execute required calculations. Provide timely assistance and instruction to users when filling the form. Activate the appropriate process workflow and direct the form to the next area involved in the process operations. Validate signature authorities. Ensure the data is transmitted to relevant business and organization areas. Ensure data and completed forms are archived appropriately according to established retention schedule for the type of form, etc. When carefully managed and applied, business rules can be used to help the organization to: Better achieve goals. Reduce costly mistakes. Improve communication. Comply with legal requirements.
Introduction 10 / 62 Gain operational efficiencies. FORMS DEVELOPMENT Forms development refers to the activities associated with form solutions being drafted, designed, developed, programmed, tested and refined until deemed satisfactory. Forms development is coordinated among: The client and user representatives. Forms experts (e.g., business process analysts, forms analysts, forms developers and forms programmers). Applicable partners in forms deployment and services (e.g., Information Technology, Testing and Quality Assurance, Web Services, Training, Procedures, Inventory Management and Warehouse, Technical Support and others). It is not unusual for a client to have submitted a draft form with a request. Following proper forms and business processes analyses, forms professionals determine the most appropriate output media to satisfy the client area needs and proceed to develop the form accordingly. They do this while applying All applicable business rules. Required policy and legislative rules. Design standards and best practices as per the Program Manual and Forms Style Guide. Forms programming Forms programming refers to the actual computer programming added and coded into form fields or forms to provide intelligence and interactive dynamic actions to the forms. For example This could be the programming of: − An automatic calculation in a total amount field (totalling data entered in other fields of the form). − Data mapping to merge data into fields.
Introduction 11 / 62 − Business rules programmed into the form according to the business operations or workflow. − Programming added to a submit button for sending the data entered to the appropriate database. − Adding a list of options in a menu for user selection. … and others. This function normally falls under the responsibility of the forms developer, but it could be the responsibility of programmers from the Information Technology area. DATA COLLECTION AND PRESENTATION Forms are all about collecting and presenting data. To help ensure that users complete forms with the accurate data the organization needs to conduct its business, important factors are: A clear visual arrangement and presentation of a form’s elements. Form elements are presented in a logical sequence. Field labels, questions and instructions are written in clear and plain language users can understand. It also ensures that the recipient of the completed form understands the information and can proceed to take action in the next step of the process. Key concerns of forms analysts and forms developers associated to data collection and presentation are: What data to collect. How the data is to be provided. How the data will be used, processed and stored. How the data is displayed on forms. PRINT PRODUCTION Print production is still a relevant and important aspect of the forms industry. It is addressed throughout the Book of Knowledge
Introduction 12 / 62 under each element that includes or affects print production. Print production is primarily addressed in the following chapters: Print Production Inventory Management and Warehousing Procurement and Contracting (generally needed for forms printing and other forms services). TECHNOLOGY Technology is an important part of forms management. Technology is a consideration for: An organization’s forms architecture. A Forms Management Program working environment and network space. Selecting and implementing: Forms development software. Forms management database or software. Forms inventory management system. Forms records management software. Establishing forms delivery channels for client and user access. Forms handling and processing, including the use of peripherals. Forms printing. Forms communication activities. FORMS CONTROL Forms control refers to activities associated with ensuring that: Form profiles in the inventory system and form metadata in the forms management database is maintained and up-to-date. Forms service and project requests are logged, tracked and monitored. The different form lists are updated.
Introduction 13 / 62 Users are assured access to forms at all times. This includes ensuring published lists of eforms are up-to-date and that stock of printed forms are available. Preparing and tracking forms replenishment orders. Tracking the Program’s budget. Form records, form history records are maintained. Form files are stored and archived. PROGRAM MANAGEMENT The chapter on the administration of a Forms Management Program discusses the more strategic aspects of administering a program such as: Governance. Policies and procedures. Risk management framework. Objectives. Operational management activities including: Budgeting. Human resources. Technology architecture requirements. Project management. Program management as detailed throughout the different chapters of the book is more about the management role of the Program head and its responsibilities in ensuring the Program delivers form services to the organization. The Program head’s responsibilities are outlined by element. Forms Management Program roles The responsibilities listed above all need to be performed to ensure a successful and efficient Forms Management Program. Regardless of how the Program is structured, its roles and responsibilities all need to be accomplished, whether performed by internal staff or outsourced under the Program’s supervision and authority.
Introduction 14 / 62 Each organization defines and assigns positions to assume these roles and adapt position titles, levels and responsibilities to meet their needs. Depending on the organization and Program structure Roles may be assigned to different staff or functional areas. Roles may be outsourced under the Program’s authority. Or individual Program staff members could assume more than one role. Some chapters are the subject of individual courses. All chapters contain essential information for most roles; this information is included in the Fundamentals of forms management course. Responsibilities are assumed by Program staff in the following roles: Business process analyst Business process analysts ensure business processes are well-designed, efficient and effective for business operations. Business process analysts: • Lead business process analyses. • Model possible scenarios. • Look for improvement opportunities. • Define requirements. • Design business processes prior to the development and automation of systems, applications and forms. • Lead and direct projects in support of strategic and operational goals. • Lead or work on forms projects focusing on forms requirements and depending on the nature of a project, may lead other Program staff such as forms analysts and forms developers. Resulting business cases, requirements, recommendations and process maps provide forms analysts with the information they need to produce requirements and specifications documents with more details to ensure forms developers can operationalize forms and processes.
Introduction 15 / 62 Forms analyst Forms analysts convert business process requirements into detailed requirements and specifications required by forms developers to produce effective forms for the required delivery channels. Forms analysts: • Serve as the liaison between the Business Process Analysts and the Forms Developers to determine and communicate form requirements and specifications including: − Form elements, content, data requirements. − Design options. − Standards and compliance requirements. − Output delivery channels and media. − Potential deployment techniques. − Interfaces to other systems. − Companion forms. • Include design standards and plain language for effective data capture and display, ensuring that all business, legal and processing requirements are met. While not generally experts on the specific tools used by the Forms Developers, they must have a working knowledge of the tools used. • Assess incoming forms project requests and may lead forms projects. Depending on the nature of a project, they may lead other Program staff such as business process analysts and forms developers. • Work with client, stakeholder and Communication areas to gather relevant information to communicate to users and technical support when forms are deployed. Forms developer Note: The term “forms developer” is used in this book instead of forms designer because nowadays designers do more than design.
Introduction 16 / 62 They write and add code, program fields and workflow, connect to databases. Apply accessibility and intelligent form features. Some forms are developed directly in a web environment as online interface. The work of the designer has become a combination of design and development, thus the forms developer. Forms developers • Create new forms or revise existing forms based on the requirements and specifications provided to them. • Assess software and technology features to determine, with forms analysts and stakeholders, how best to apply technology for optimal use and functionality of forms. • Use specialized forms development software for form layout. • Use programming to: − Add functionality. − Include data mapping. − Script actions, validations, workflow and intelligent features to forms. • They apply design standards and conventions as detailed in the Forms Program Manual and Forms Style Guide. • Conceptualize the solution, conceive the design, create and produce the finished form containers, considering all components and requirements of a form. • Act as technical and technological experts during the iterative forms design process and assist Program staff in providing specific details to clients and stakeholders on the forms design, features and functionality.
Introduction 17 / 62 • Perform testing of forms during the development phase to ensure the effectiveness of the form’s behavior and in implementing the requirements of the business process. • Produce test cases for quality assurance testing for forms. • May also be responsible for the deployment of forms. • May lead projects involving higher level of technology implementation. Depending on the nature of a project, they may lead other Program staff such as business process analysts, forms analysts and forms technicians. • Are generally responsible to investigate and respond to complex technical support calls about forms. Forms technician Forms technicians provide forms control services to the Forms Management Program in general and assist Program staff in the delivery of forms services and projects. Their activities may include: • Monitoring the Program’s email box for incoming projects, enquiries or technical support calls. • Monitoring the forms inventory and tracking print orders. • Assisting in producing material for meetings, workshops or presentations about forms. • Compiling forms usage statistics. • Querying the forms management database. • Assisting in making simple changes to forms. • Assist in performing user tests during the development phase of forms. • Maintaining forms files, the forms management database, form history records. • Acting as liaison with clients, stakeholders, users, vendors and partners. Forms technicians also assist the Program head and staff on:
Introduction 18 / 62 • Projects. • Scheduled reviews • Forms deployment and undeployment processes. • Management activities (e.g., budgeting). • Forms webpage maintenance. • Communication and reporting activities. Head of a Forms Management Program The head of a Forms Management Program is responsible for the enterprise forms management mandate, strategy, policies, procedures, and processes for delivering a wide variety of forms and different types of forms services. Form types include: • Electronic forms. • User screen interfaces. • Templates. • Printed forms. • Print-on-demand forms. The Program head: • Develops, monitors, and maintains long-range strategic plans and goals for the Forms Management Program in line with organization priorities and objectives. • Ensures a forms architecture and infrastructure are in place for effective forms delivery, optimizing technology features to make business operations efficient and cost effective. • Manages operations associated with the delivery of forms and forms services as well as oversee the administration of the Program. This includes: − Financial and human resources. − Assessing expertise or training required. − Succession planning.
Introduction 19 / 62 − Adjusting objectives and work plans. − Utilizing vendors as appropriate to deliver services. − Management reporting. − Provide staff with support processes and tools to assist them in performing their job and responsibilities. Book chapters The Forms Management Book of Knowledge addresses over 200 competency elements that are organized into the following chapters: Introduction Provides information and definitions essential to understanding forms, forms management and how the book and certificate program are organized. Governance Governance is a foundation of a Forms Management Program. It defines the Program’s authority and accountability in an organization and what tools are required to support the Program. Tools include: • A mandate, strategy, and set of policies. • Processes, procedures, standards and controls needed to manage and monitor forms development, deployment, inventory and the administrative function of forms management at an enterprise level. Governance supports an organization's immediate and future regulatory, legal, risk, environmental and operational requirements. Communication This chapter explains: • How forms are important communication tools. • How technology transformed forms and communication methods. • How good communication in forms results in accurate data collection.
Introduction 20 / 62 • How to achieve visual communication through good forms design. • The importance of communication in − Forms development and deployment processes. − Managing forms projects. − Working with partner areas and external vendors. − Informing clients and users. − Supporting strategic forms initiatives and in reporting to senior management. Project management This chapter provides insight into the many different project types and project complexities a Forms Management Program handles, from • Routine day-to-day operations such as: − Responding to enquiries and technical support calls. − Replenishing forms in the inventory. to • Developing forms. • Managing projects involving multiple forms. This chapter explains: • The methods and tools to manage different types of projects. • What types of projects are led under the authority of the Forms Management Program. • When the Program works as a subject matter expert and stakeholder in projects led by another project authority. Insight is also provided on what is change management. That is: • Change management as “management of changes” requested on forms. vs
Introduction 21 / 62 • Change management and “how changes to forms and processes affect people.” Business analysis, process improvement, work simplification In forms management, business analysis includes: − Business process analysis. − Forms analysis. − Forms design analysis. This chapter explains how these processes are fundamental to any forms project and accomplished while keeping process improvement and work simplification as key objectives. The chapter provides methods to: • Perform business process analysis, forms analysis, cost-benefit and financial analysis. • Determine solutions. • Perform risk analysis associated to forms, projects and solution options. This chapter also stresses the importance of understanding a form’s intended audience, including where a form will be used and how it will be processed. Information management within forms management Information management is an essential function of a Forms Management Program. This chapter explains how information management is integral to many aspects of forms development, deployment and forms management. It explains: • The importance of managing the information displayed on forms, including the use of consistent terms and plain language. • How form lists, catalogs and a form identifier methodology are essential for the deployment and management of forms, their source files and output version, whether in production or archived.
Introduction 22 / 62 • The importance of form history records and recordkeeping to support the Program as custodian of forms and templates for an organization. • The critical importance of a forms management database to hold essential metadata about each form and form projects to support all forms management activities. Forms/template design and development This chapter touches on the forms/template development process and on the many factors affecting forms/template development. These include: • Client needs and requirements. • Industry standards. • Forms design standards, guidelines and best practices. • Compliance to laws, rules, policies and regulations. • Branding. • The use of plain language, usability principles and accessibility requirements. • Delivery channels, including print. The chapter provides basic principles of forms design, insight on the importance of: • Knowing features of forms development software. • Performing testing and quality assurance of forms. • Managing forms deployment and associated communications for successful implementation. Forms print production Print production is all about how printed and manufactured forms are actually constructed and produced in their final “format”. While it is recognized that technology has significantly affected the print industry and that there are more and more electronic forms, some forms still need to be printed.
Introduction 23 / 62 How else do you get envelopes, labels, ID cards? You have to print them. Are all your forms electronic? Probably not. And even when using electronic print to a digital file (e.g., to a PDF file), it is still printing. This chapter: • Explains the different types of form products that are printed or manufactured. • Discusses form materials and production methods. • Sheds light on new printing technology and equipment. • Explains additional production processes that occur after the printing or manufacturing of forms. • Discusses post-processing actions that occur when forms are used or handled. This basic information is relevant whether forms are produced in-house or outsourced. The Forms Management Program holds authority regarding forms print production, regardless of whether the management of it or actual print production are handled in-house or are outsourced. Informal surveys by the BFMA indicated that 80% of forms developers who develop forms and templates indicated they worked in both the print and electronic world. There is a good chance Program staff will manage both electronic and printed forms. While not needing to be print experts, it is still relevant and important to understand print. Even if only managing eforms, it is essential to know how to configure their print settings to ensure a successful print output result when forms are printed by users. Knowledge of forms design, print possibilities and manufactured print production for forms is what sets Forms Management Program staff apart from nearly every other job type in the organization. Program staff may well represent the only experts in the organization who know all about
Introduction 24 / 62 printing as it relates to forms. This is very specialized knowledge. It is knowledge that: • Information Technology programmers, web developers and staff typically don’t have. • Procurement staff don’t have; in their eyes, printing is just a commodity. • Graphic designers do not typically have. While trained in graphic design and commercial printing, they are not usually trained to handle forms printing which calls for different requirements and knowledge. It can be an asset within the organization for the Forms Management Program to be the keeper of this very specialized print knowledge. Procurement and contracting Procurement and contracting are required functions of the Forms Management Program associated with different forms management activities. It is required to: • Procure forms and print services to ensure inventory supply of printed and manufactured forms. • Procure specific forms services such as forms inventory and storage services. • Procure forms development expert services for forms projects or other specific expertise to address a particular forms initiative such as selecting and implementing a forms development software. • Obtain Program staff form-specific training and technical support services. This chapter provides insight on: • The importance of vendor relationship with form industry vendors. • Procurement and contracting processes, options and types of procurement documents.
Introduction 25 / 62 Inventory management and warehousing This chapter addresses the activities performed by a Forms Management Program to assure a constant access, availability and supply of forms to meet an organization’s business needs. For printed forms, inventory management consists in: • Maintaining the optimal quantity of every form stocked in the inventory. • Providing uninterrupted supply. • The production and provision of forms at a minimum cost while taking up minimum warehouse space. For eforms, inventory management is achieved by maintaining: • Portals. • Online catalogs. • Lists. Different fulfillment options are explained as well as the forms replenishment and deployment processes. Administration of a Forms Management Program This chapter refers to the many activities associated with running and supporting the Forms Management Program as a valuable functional area and business partner within its organization. It includes: Management activities – Management activities are associated with the Program’s operations performed to deliver the full range of form services to the organization. Activities include: • Business process analysis, forms analysis. • Forms development and deployment projects. • Budget and project tracking and monitoring. • Human resources management − Recruiting and hiring.
Introduction 26 / 62 − Assigning projects − Managing attendance and performance. • Inventory management. • A forms management database. • File distribution processes and protocols. • Form identifier methodology, filenaming conventions. • Responding to user technical calls and client enquiries. Administration activities – Administration activities are more about governance, policies and objectives of the Program. Activities include establishing: • A governance framework with a − Mandate. − Strategy. − Forms policy. − Program Manual. − Forms Style Guide. − Forms management database. − Risk framework. • Objectives and priorities for the Program in line with that of the organization. • A forms technological architecture and infrastructure with decision tables to assist in selecting appropriate forms delivery channels. • Human resources management to: − Identify roles and responsibilities to determine Program structure and staffing levels. − Assess and review evolving expertise requirements, training, succession planning. The chapter also addresses challenges such as:
Introduction 27 / 62 • Recruiting. • Specialized training. • Succession planning. • Locating outside experts. It discusses financial management and the value of the Program to an organization. In each chapter, there are elements defined. Most elements begin with a section titled FUNDAMENTALS. This section provides basic information on the element described. Following this fundamentals section are subsections detailing applicable roles and responsibilities associated to the element discussed and performed by the Forms Management Program staff. When applicable, a subsection for the role of technology as it relates to the element is also included. Forms Management Program certificates and courses The table below outlines the available list of courses, available certificates identifying the required courses to obtain them, and the resulting professional designation upon successful completion. Notice that the Fundamentals and Technology courses are required for all certificates. While it is imperative to remember the content from Fundamentals and Technology for each certificate, you only have to take those courses once, regardless of how many certificates you pursue. Courses can be taken individually or through the completion of specific certificates. Persons who successfully complete all courses are certified as Forms Management Specialists. (See details in the table below.)
Introduction 28 / 62 Terms and abbreviations used in the book This section provides a brief list of specific terms and abbreviations used throughout the book and certificate program courses. Actor – In the realm of forms management and business process analysis, actors do not refer to Hollywood stars and only physical persons. Actors in those contexts refer to the different persons, systems, databases or pieces of equipment that at some point in a business process, touch, interact, handle, read, process or affect a form. There are actors involved from the moment a form is being filled out until service fulfillment and closure of the business process end-to-end.
Introduction 29 / 62 The term is mostly used when creating and discussing process maps showing the different actors in a process. For example A person fills out a license renewal form online. When completed, the person clicks on the Submit button. The data entered by the person is automatically sent to a License System. A task is generated and sent by email through a workflow event to the next available agent charged in validating license renewal requests. The agent receives the task and clicks to open. - The person’s license renewal is displayed on screen. - The agent validates the person’s data with that contained in the License System and determines on whether the license renewal is approved or denied. Based on the decision entered in the License System, a letter is generated to inform the person (requestor). The letter either - Confirms license renewal with a new license attached or - Advises the license was not renewed and why. There are 9 to 11 actors in this simple example: 1 – Person filling the form - Requests a license renewal. 2 – License System - Receives the license renewal request and data. - Displays forms with applicant’s details and licensee information. - Generates letters. 3 – License System database
Introduction 30 / 62 - Storing licensee data, events and licensing history. - Extracting client and license data for display, merge or print purposes. 4 – Workflow system - Allows for the data captured in the form to be transferred and communicated to the License System and database. - Sends the task and email trigger to the agent. - Sends email notifications. 5 – Email system - Delivers automated tasks either to the agent or to clients. 6 – Agent (person) - Reviews the license renewal request. - Makes a decision. - Activates the next step/action resulting from the decision. 7 – Form letters or templates - Merge the person’s (requestor) personal data and associated License System data onto the letter. 8 – 9 – 10 – Printer - Prints the letter. This could represent 3 different actors: A local network printer. A high-speed laser printer that prints license renewal or denial letters in bulk upon receiving a data file with a batched list of clients. A directory or location where e-letters are made accessible to clients for viewing, download or printing on their home printer.
Introduction 31 / 62 11 – Electronic document records management system - Stores and archives completed license renewal forms and actual licenses issued. Audience – Refers to different parties attending a meeting, session, presentation or demo. At times is used to designate all users as a whole (as in e.g., know your audience). Client – Organizations, businesses and functional areas create forms intended for clients of their business or service. Clients could be: • Members of the public. • Citizens. • Non-citizens. • An international audience. • Internal staff users. Client is a generic term used to avoid writing lengthy identifiers. It includes: • The form owner area. • Person who submits a service request to the Forms Management Program. • Stakeholders. • Corporate authority bodies. • Functional areas. • Persons inside or outside the organization who need a form or are requesting a service. Enterprise – A generic term used for something that is organization-wide but typically related to information technology systems, such as: • Enterprise content management system • Enterprise document records management system • Enterprise-wide projects.
Introduction 32 / 62 External providers – A generic term used to avoid repeating a lengthy list of vendor types. They include: • Print providers. • Vendors. • Form manufacturers. • Firms or businesses that can offer form services (e.g., forms development, graphic services, training, technical support, inventory management, etc.) • Suppliers. • Warehousing … and others. Form owner – Usually to a person within the functional area that owns the business process related to the form, that requested the creation of the form and who has authority to make decisions about the form. Forms coordinator – Refers to a person within a functional area who is knowledgeable about the area’s day-to-day operations and forms, but is not the form owner. This person is the designated contact for form questions within the functional area and for the Forms Management Program. Functional area – A generic term to designate a department, branch, division, section or service area of an organization. Some organizations are small and have a function to handle a responsibility but there aren’t enough staff doing that work to call it a department. That is one of the reasons we use the term “functional area” instead of department. Interested parties – A generic term used to avoid listing the many groups of people that have a vested interest in a form or forms project. Can include users, clients, form owners, stakeholders, partners, vendors, functional areas, etc. Needs and requirements – Clients and users typically communicate their business and information needs in terms of “needs” (e.g., what information they need to work, what
Introduction 33 / 62 feature is needed to perform a function, etc.). Clients may specify a mandatory requirement. Once client needs have been analyzed, they generally become known as “requirements” that are included in specifications and requirements documents needed for forms development or for contractual documents. Both terms are used in the book. Organization – A generic term to designate various types of business or administrative entities, including corporations, government, non-government, profit or non-profit organizations, etc. Partner or partner area – Subject matter expert in other functional area, outsourced organization or service provider that has shared responsibilities and closely works with the Forms Management Program to deliver form services. Examples of partners are: • Information Technology. • Technical Support. • Web Services. • Inventory Management. • Warehouse. • Print providers. • Forms development and forms management service providers on long-term contract. Print provider – Refers to vendors that offer printing services. Printer – While the term printer is also known to designate vendors that offer printing services, in this book, printer specifically refers to a print device or equipment such as: • A desktop printer. • An offset printer. • A laser printer.
Introduction 34 / 62 • A Cheque printer. … and others. The term print device is also used at times. Program – The abbreviation for the complete title of the Forms Management Program. Program head – The abbreviation to designate the head of a Forms Management Program. In your organization, this may be a director, manager, or other position title. Resources – When used by itself, the term “resources” refers to financial and human resources, tools, equipment and time. Senior and executive management – The term senior management can include middle management, but seldom would include executive management. Both terms are used in their respective contexts. Staff – Most instances of the term staff in the book are plural e.g., staff are. At times, staff member or employee are also used to refer to a single person. Stakeholders – Persons or functional areas that have legitimate interest in business processes that involve forms and who assist in developing content. They can be: • Process owners or content authority on form elements. • Subject matter or technical experts. • Users that interact with forms as major users or handlers of forms. • Functional areas that support forms development, deployment and use (e.g., technical support). User – Designates people or systems who use or interact with forms, either filling or handling them during processing. Given the Book of knowledge is intended for an international audience, in line with its objective of plain language, the BFMA has adopted the spelling of certain terms for consistency and to avoid ambiguity. For example:
Introduction 35 / 62 Cheque (and not check as in the US)– A cheque is a financial document (a printed form). The BFMA has adopted the standard spelling of “cheque” to avoid any confusion with the verb and noun “check” in the American spelling that holds other meanings. In using the spelling “cheque”, it is clear we are referring only to the financial document. Enquiry (and not inquiry) – Although both terms “enquiry” and “inquiry” are used interchangeably, the BFMA has adopted the spelling “enquiry” to mean asking general questions. Using “enquiry” ensures the term is not confused with “inquiry,” which in some English-speaking countries, is reserved for more formal inquests or investigations. Definitions In this next section, specific terms associated to forms and forms management are defined. Among others, it addresses: What is a template, a document? What is a form record and form history record? The different types of form outputs. The different types of business forms (based on their purpose and user audience). The different types of form information structure found in forms (i.e., the form content information and data is structured on forms). Key activities associated with forms development What is a… Form –– Forms are business tools, regardless of the media, that use areas known as fields for the structured capture and display of variable data in order to record, transmit, and communicate information in support of a business process. The presence of fields differentiates forms from other types of documents. Forms include application screens and templates, and may include intelligence and system interaction.
Introduction 36 / 62 The different types of business forms, output versions are detailed later in this section. Note: Forms are also referred to as business forms. Template – A template is a standard or generic document model from which other documents are produced. For example Most organizations have a standard layout and design for their corporate letters, internal memos, presentations, reports, envelopes, labels. Such templates are usually created and produced with the organization’s word processing office suite and are designed with the corporate look and branding. Templates are made available to all staff for their use to ensure consistency in all corporate documents. To the end users, templates are tools that facilitate standardization, formatting and corporate branding. To the Program, templates are forms with identification, record keeping and all other requirements of forms. For example Accounting transmittals that have the same format and vary only with a bank name and account number can be produced from a template. The same format is used with changes to the bank and account information and a revised form identifier. Templates can be: • Semi-structured with some data fields in fixed areas with the remainder being free text. • Unstructured leaving the end user to enter information at will. • In a conventional form format.
Introduction 37 / 62 Although some cases allow the entry of free text, all template types use a standard structured design format. It is not uncommon for organizations who do not have a forms technology to use their office suite tools to produce templates and forms. Since templates fall under the definition of a form, they are generally produced, maintained and managed by the Forms Management Program to ensure consistency and compliance. Existing forms can be used as models by forms developers Developers can use existing forms as models to assist them in their forms development activities. Forms developers copy and adapt existing forms or common sections found on forms, including the features and programming in data fields or objects. This helps reduce the time required to develop new forms and to maintain consistent design standards. Document – Below is the definition from the BFMA Glossary: 1. Any type of structured information such as text, graphics, sound, spreadsheets or tables, multi-media. One or more pages collected as a single unit. 2. 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 organization and presentation of data in the container provides meaning and context to the information. A document could be a: Form. Letter. Spreadsheet. Memorandum. Photograph. Video clip.
Introduction 38 / 62 Graph or chart. Map. Schema. Report. … or any other item containing information. The document can exist in any media. (New York State Office for Technology – EDMS Cookbook) Forms, once completed with user information, become unique instances of that form and are considered documents and document records. Form record – The Forms Management Program creates and manages records associated with forms and with forms management. Records associated with individual forms Records associated with individual forms are unique to the Forms Management Program in its role as custodian of forms for the organization. They include: • Form history records contain all the information about the life cycle of a form from the time it was created until after it is declared obsolete. The form history record documents: − Which functional area requested the form to be created. − The purpose of the form. − The form’s business process workflow. − User audience. − Decisions and approvals associated to changes made to the form over time. − Requirements and specifications. − Print specifications. − Official translation.
Introduction 39 / 62 − Reference to applicable legislation, policy and procedures. − Reason for cancellation. … and more. • Unfilled (blank) copies of every edition and every version of every form. These are kept in the form history record. • The source files used to create the form. • The output files used to deploy the forms in its various versions or formats. Records associated with Forms Management Program administration Records associated with forms management activities include: • Budget, human resources, administration. • Governance (e.g., forms policy, program manual, Forms Style Guide) • Scheduled reviews of forms. • Special projects involving forms. These records are physical and/or digital. Completed forms are records • Completed (filled) forms and templates with user information become records that organizations retain as official records of business activities and transactions. • Completed form records are managed by the business owner functional area and Records Management. Form edition – The form edition refers to the official published edition date of a given form. It represents the date on which that instance of the form was deployed and published for use and therefore became effective.
Introduction 40 / 62 Ideally, the same edition appears on all output versions deployed. This ensures consistency and that users access the same current form, regardless of the media or delivery channel, or if produced by an external partner on contract. All output versions deployed represent the same instance of the form confirmed by an identical edition date. The edition date is often presented in the ISO date format (International Standard Organization date format being YYYY-MM-DD) following the form identifier (business acronym and form number) For example BFMA 1002_2016-08-27 Note: Historically, forms professionals designated and may still designate the form edition with the term “form version”, using the edition date to identify the version. However, with the advent of technology and multiple form output formats, the term form version is now reserved to identify the form output type (e.g., printed version, PDF version, Word version, XML version, etc.) Form version – The term form version identifies each output format of a deployed form. For example Paper or printed version. Static PDF version. Dynamic PDF version. Word template version. Excel spreadsheet version. XML version. System X version. … and so on. Electronic form versions are identifiable through their filename extensions (e.g., .pdf, .dotx, .html, .txt, .rtf, .xml, etc.).
Introduction 41 / 62 Versions are also distinguished by the Forms Management Program through the use of unique form identifiers that include an identifier for the version. When establishing filenaming conventions for form identifiers, it is recommended that a convention be established to identify each output version and format. When calling technical support, users will be asked to identify which form version they were using and provide the form identifier. Types of output versions Form output versions vary according to the means or channel by which forms are made available for use. These are known as delivery channels, e.g., warehouse, internet, applications, mobile. Forms may be: Printed and available from a warehouse. Electronic and deployed on the web (internet, intranet, extranet), via specific systems, office suite, or mobile devices. Part of online applications. Completed by hand or electronically; mailed, emailed, or electronically submitted. Form output versions are produced in a media that is compatible with the delivery channel used. Media examples include paper, electronic file (efile), Braille. It is possible to have several output versions for the same form or delivery channel. For example For a print delivery channel, there could be: • A high-resolution PDF (output version) to supply print vendors to obtain quality printed forms on paper (the output media). • A template (output version) to print on paper (output media) when still blank or once completed. For the web delivery channel, there could be: • A 300-dpi flat PDF [output version] that may result in a printed paper form (output media) produced by a user.
Introduction 42 / 62 • A dynamic PDF [output version] that can result in a printed form or efile (output media). For intelligent online applications, there could be source file in XML (delivery channel) or other proprietary source file specific to a business system (delivery channel). The result may be: • An archive PDF of the form (efile output media) and • A datafile in programming language X (output media) used for data exchange. Printed forms – Printed forms are often printed on paper, but can also be printed on other substrates such as plastics. They are distributed for use or printed on demand to be completed. Although electronic forms have supplanted many of the printed forms, there are situations, contexts or processes where printed forms are still required and used. For example Stationery items such as letterheads, envelopes, notepads, folders. Labels. Work orders, payment receipts. ID cards, driver’s license, passports and others. Self-mailers. Printer-resident forms – Printer-resident forms have data fields mapped into them and reside in printers, either in internal print shops or with contracted print vendors. They are printed on a regular basis for print jobs that require variable data to be merged into the specific data fields mapped onto the form and are printed in multiple outputs, often for bulk mailouts. For example A utility invoice sent monthly. A notice of assessment sent to multiple clients at once at regular intervals.
Introduction 43 / 62 Electronic forms – Electronic forms, sometimes called eforms, come in different levels depending on their degree of interactivity and intelligence. For example Level 1 – A static eform (aka flat PDF form, print-and-fill form). It is the image of a paper form distributed electronically. It is static due to the fact the form cannot be changed, edited, or completed on screen as would an editable or dynamic form. You need to print it before you can fill it. Once completed, such forms can be mailed in an envelope with a stamp, faxed, scanned to be emailed or delivered it by hand. Most of its process is manual. Level 2 – A fillable eform (aka fill-and-print form) The form is displayed electronically to the user, you can type into the form, but the form still needs to be printed or saved and attached to an email when submitted. It may have functionality that helps reduce errors when being completed, such as: Drop-down boxes. Check boxes. Calculations. Standard formatting (e.g. telephone number). … and more. Most of the process is still manual and the data still needs to be re-entered into a database or system. The central point to this type of form is that it: Doesn’t connect to databases. Doesn’t validate to other sources. May give feedback triggered by the rules contained within the form.
Introduction 44 / 62 May connect to the mail system for delivery, but it isn’t part of an automated workflow. Level 3 – A fillable eform with validations. This type of form validates the information entered through its connectivity to databases as well as the rules contained within the form. For example It will report if a mandatory field was left unanswered or answered incorrectly. It will return a message to enter the data in a required format or contain a function in the field to display the data entered in the desired format, such as the date in the International Standard Organization format. Level 4 – A dynamic eform. This type of forms is a fillable form that: Includes functionality, validations, and presents feedback to the person filling the form. Modifies the form content and display based on the answers or selections provided by the person while filling the form. Based on the answers, the display is controlled by sub-forms or scripts to provide different form renderings. For example Answers provided in the first part of the form will determine what questions of the form the respondent needs to answer next. The form is conditional on the answers provided in the earlier section of the form. By customizing and adapting the form to the needs and context of the person filling the form, it ensures that the respondent is not burdened with answering questions not relevant to their situation.
Introduction 45 / 62 For example A template offers the possibility to generate 10 different letter types. An input screen appears when the template is launched. The user selects the letter type and enters data that will populate fields in the template. The script then generates the desired letter. Level 5 – An intelligent eform. This is a fillable form that has full functionality, validation, feedback and interoperability. It is connected with networks or the web and data entered in the form can be submitted directly to a database. Most of the forms that fall in this category are: Interactive system input screens. Interactive applications. Mobile applications. This level of form interoperates with other systems, is more flexible and efficient, saves time and allows for faster transaction and service delivery. Adaptive form – An adaptive form is an electronic form that modifies itself as it is being rendered based on the software, browser and/or device being used to complete the form, e.g., HTML, PDF, mobile device, proprietary software. Other terms known to describe electronic forms: − Virtual form, sometimes called vforms − Mobile form − Webform, sometimes called internet form − Input screen, application screen − Interactive form
Introduction 46 / 62 Draft, sample, example, proof Organizations may use these terms variously and interchangeably, but these definitions are as used in the Body of Knowledge. Draft – The term draft designates a work product from the forms developer of a proposed design sent to the client and stakeholders for review and approval. Drafts are often sent iteratively during the development process. Sample For printed forms, samples are from the printing or manufacturing process and are often called production samples. Physical samples are kept in the form history record. For electronic forms, samples can be printed or electronic copies made from the different output versions of a form using the latest and most up-to-date source file or the final deployed version that is put in the form history record. Test samples are obtained when performing print and data merge tests of eforms, templates or dynamic forms. Test samples are generally provided in documentation to support final approval of forms before deployment Example – Examples of forms are produced at different stages of forms development to share with stakeholders, to obtain feedback on or approval of form content, design and layout, features, functionality. Examples of a form’s final version are generally provided in documentation to support final approval of forms before deployment. Proof – The term proof designates a print or digital copy of the form made by the forms developer or print provider to show what the final product will look like once printed, manufactured or deployed, a sort of trial print or output.
Introduction 47 / 62 For printed forms, this is often called a printer’s proof or press proof. Form set, form series, form renderings Form set – A form set refers to a group of forms that belong together and are used together in a process. For example A membership application kit includes: An application form. A guide with details on how to fill the form. A prepaid and pre-addressed return envelope. A calling card of the contact person at the organization. A folder to place everything in. The group of forms bundled together as this kit could be identified as follows: BFMA 5000-A_2020-06-17.PDF – BFMA Membership Application BFMA 5000-F_2014-08-05.PDF – BFMA Folder BFMA 5000-E _2019-07-10.PDF – BFMA Return Envelope 9 1/2” x 4 1/8” BFMA 5000-C_2017-09-16.PDF – BFMA Contact Business Card BFMA 5000-K _2014-08-05.PDF – BFMA Membership Application Kit Giving these forms the same form set number with a sub-category identifier clearly indicates the forms belong together in a set or are somewhat related. Each form part of the kit is separately identified as well as the bundled kit with every form in it. Form series – A form series refers to a group of forms or templates that are identified in a way to indicate that they are similar, but with variations.
Introduction 48 / 62 For example An insurance company has a claim form. That form may have slight variations based on the state where insured clients reside, but it essentially serves the same purpose. To ensure the company recognizes the form and keeps every variation updated, it identifies it in a series. INSUR 4003-AL_2017-09-17 (for Alabama) INSUR 4003-KY_2017-09-17 (for Kentucky) INSUR 4003-SC_2016-05-11 (for South Carolina) INSUR 4003-WV_2016-05-11 (for West Virginia) Giving these forms the same series form number with a sub-category identifier distinguishes each form. It also clearly indicates that we are dealing with the same form, but with adapted versions to meet each state’s requirements. Form rendering – A form rendering refers to the many varying instances a template or dynamic form can generate based on information entered or user choices as the form fields or sections are being completed. − The form dynamically and contextually displays the next set of fields or questions based on the earlier information entered by the user. − The end result may differ from user to user. For example The first question on a form asks whether the user is a man or a woman. The next set of questions are adapted to each gender. Say the form is a Personal Medical History. The list of medical tests or surgeries one may have undergone is displayed according to the user’s gender.
Introduction 49 / 62 A hysterectomy would appear on a woman’s list, but not on a man’s list, which might list a prostate cancer test instead. BFMA 9853_2017-11-02 – Personal Medical History BFMA 9853-W_2017-11-02 – Personal Medical History BFMA 9853-M_2017-11-02 – Personal Medical History or BFMA 9853-1_2017-11-02 – Personal Medical History BFMA 9853-2 _2017-11-02 – Personal Medical History For example An organization uses a standard template for staff to prepare memos to their senior management. One memo is addressed to the CEO. Another to the Vice-President. In both cases, it is possible to create a decision or information memo. Each memo type contains a standard set of information sections and fields to respond. A form number is assigned to the series of templates and each memo template generated is identified with a sub-category identifier. BFMA 3265-1-DEC_2017-09-17 – Memo for the CEO – Decision BFMA 3265-1-INF_2017-09-17 – Memo for the CEO – Information BFMA 3265-2-DEC_2017-09-17 – Memo for the VP - Decision BFMA 3265-2-INF_2017-09-17 – Memo for the VP - Information
Introduction 50 / 62 Depending on how the technology architecture is set up and with what software these forms or templates are produced, they could be separate forms or distinct renderings generated from a dynamic template or form. Giving these forms the same series form number with a sub-category identifier distinguishes each addressee and memo type. It also clearly indicates we are dealing with the same form, but with variations to meet each addressee’s information needs and requirements. Assigning these types of forms the same form number, each with a distinct sub-category identifier, ensures that when one of the forms in the series is updated or revised, the other forms or renderings are also checked, updated or revised, as applicable. This prevents the risk of an organization having some forms that are up-to-date and compliant, and at the same time, have forms that should be updated and compliant, but are not. Types of business forms Internal forms Internal forms are forms intended to be used by an organization’s staff to conduct its business operations. They may be: Corporate for use by all staff in the organization. Available to several functional areas or a specific area for use by their staff. While access may be limited to specific areas, forms are still available to a large number of users. Limited to a specific group of users. Sometimes, even limited to just a few individual users.
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