Introduction 51 / 62 External forms (also known as public-facing forms) External forms, as their name suggests, are intended for persons outside your organization, including partners, vendors, clients as well as the general public. There are several types: Forms published by an organization and meant to be filled out by members of the public, and returned to the organization. Forms pre-filled by an organization and sent to designated external public, client audiences or citizens. Forms entirely pre-filled by the organization. Forms only partially pre-filled by the organization. Each type of external form is detailed in the following sections. Forms published by an organization and meant to be filled out by members of the public, and returned to the organization. These forms typically require information (data) from the person filling the form when the form serves as the primary interface for someone to obtain goods or services. The person filling the form may be known or unknown to the organization. For example A new utility client requesting service is unknown to the organization. An existing client requesting a change in service is known to the organization. Typical public forms include: − Beneficiary designations. − Claims. − Online surveys, feedback or comment forms. − Job applications. − Different applications for goods or services. Other public forms required by an organization for its business activities may be intended specifically for private
Introduction 52 / 62 sector vendors, partners or service providers under contract or agreement to work in partnership with the organization. These collaborators, although known to the organization, are considered members of the public. Their access to the organization forms would be specified in their contract and the forms typically made available to that audience through privileged access to an extranet or website with secure login and access rights where the forms are published. For example A consulting firm working on international projects needs to complete an environmental assessment report on the project’s impact on the environment. The hiring organization has developed a report form with specific questions to address the organization’s environmental concerns and responsibilities. There is no need to make this form available to the general public. Instead, the organization makes it available to the different consulting firms it hires on contract when executing projects. Forms pre-filled by an organization and sent to designated external public, client audiences or citizens. Forms and templates are used for operational purposes by an organization and sent to designated external public, client audiences or citizens. These may be sent on a regular basis, such as invoices and statements, or as correspondence sent as needed. The forms: − Are pre-filled with client or citizen personal data. − Customized and personalized with information intended specifically for the addressee. − The client or citizen personal data and individual variable data is merged into the built-in form or template for mailout. − May be batched and sent in bulk or sent individually.
Introduction 53 / 62 Forms entirely pre-filled by the organization Some forms, like form letters, are intended to deliver a specific message to a target audience. The client data is merged into a standard form letter at print time or creation time, then mailed or emailed. Public facing forms often require an action by the recipient but they aren’t necessarily returned to the organization. For example A doctor is retiring and closing its practice. A generic letter is sent to all patients with information on the doctor’s replacement, who they contact to obtain a copy of their health record, where to call for information. For example A business wishes to send promotional material to a target group of clients, specifying sales dates, which outlets are holding the sales, their address, etc. Other form examples of this type include: - General notices. - Letters. - Invoices and statements. - Acknowledgements. - Bills of lading. … and others. Forms only partially pre-filled by the organization These forms display client data merged onto a form with the organization’s intended message, but another part of the form is to be filled out by the recipient in response and returned to the organization. Again, these forms may be batched and sent in bulk or sent individually. These forms are sometimes referred to as turnaround forms since they are sent from the organization to a client and the client returns it to the organization. This
Introduction 54 / 62 could include returning an entire form that has been completed or just a tear-off portion of a form, with or without a return envelope. For example An organization appears unsure of one client’s information. - It sends a form letter displaying the client data it holds in its system database. - The message in the form requests that the recipient: Confirm that the information the organization holds is correct by checking a box, or Correct the information by filling out the fields in the form. Return the completed form. Note: In today’s world of e-communication, many of these forms are issued via email notification. - Client data is merged onto generic eforms at creation time and delivered electronically to recipients. - Recipients receive the form letter online and may be directed to an online site, email or form to respond. For example The bank managing a person’s Visa account - Generates the monthly bill. - Creates a PDF form and posts it in the person’s ebanking account. - Notifies the account holder by email that its monthly statement is posted. - The person accesses its online banking account to view, download and pay its bill
Introduction 55 / 62 (in effect filling the online bank data fields to do so). Third-party forms Third-party forms refer to those forms needed by an organization in the course of its business operations, but that originate from external organizations. In other words, third party forms are not the property of the organization using or handling them. Third-party forms can be internal or external. For example An employee applies for a disability pension. • The employer’s application form states that applicants must also attach a completed medical checkup form to their application. • The application form provides the exact form number and identifier it needs the applicant to submit, maybe even a copy of the form itself. • This medical checkup form belongs to the insurance carrier and is to be completed by the applicant’s physician. • The employer typically would also make the medical checkup form available for ease of use for its client base. For example In the United States, organizations need to use tax forms created by the federal government, such as a W-4 to indicate withholding for taxes. These can be obtained directly from the government or reproduced by the organization to meet its needs through warehousing or electronic distribution. Typically, organizations will publish the list of third-party forms required or related to their business activities and provide interactive links to access them. For those third-party forms that are printed, the organization sees to their access and distribution within the organization and to their client base. They could be stocked in their inventory or the Forms Management Program takes
Introduction 56 / 62 care to ensure staff is aware of how to obtain them and direct clients, when necessary. Whether a form is internal, external (public-facing), specific to an external partner or a third-party form, it is important business analysts, forms designers and developers find out what is the target audience and user group for each form. Transaction-processing forms The purpose of this type of form is to facilitate a transaction of sort. Examples of transaction-processing forms include: − Application forms − Requests to obtain goods or services − Registrations − Invoices Transaction-processing forms often include: − Calculations − Workflow instructions for processing and responding − The record of the decision or outcome Financially or legally binding forms Some forms carry more importance due to their nature and when they are either financially or legally binding. Examples of financially or legally binding forms include: − Contracts − Purchase orders − Ownership − Mortgages − Licenses and permits − Approvals − Agreements, service, trade or international agreements
Introduction 57 / 62 Regulatory compliance forms Regulatory compliance forms must comply with laws, regulations or statutes that require certain information to be communicated by the organization or to be provided by the person filling the form before a transaction is completed. There is no required review by any governing body. Lack of compliance however, can result in fines or legal action. Examples of regulatory forms include: − Employment applications − Permit or license application − Hazard communications − Government forms such as: Income tax forms Passport applications Visitor visas Green card applications … and others. Regulated forms Regulated forms are those used by private industry with content specified by law, regulation or statute. They often contain statements or provisions with language that is mandated by law. These forms often require approval by a governmental agency before they are deployed. Examples of regulated forms include: − Insurance applications − Credit card applications − Privacy notice − Debit authorization − Employment applications
Introduction 58 / 62 Types of form information structure Structured forms Structured forms have a clear, organized set of fields in a definite sequence to collect pre-determined information required for a known and specific purpose. Most of the elements on the form are specific data fields intended solely for the capture of data. Examples of structured forms include: − Income tax forms − Insurance claims. − Change of address form Unstructured forms These forms, or more likely templates, are unstructured only in the fact that the information added may vary from instance to instance, but it is entered using a standard structured design format for document creation. Examples of unstructured forms include: − Report formats − Instruction manual page layout (e.g. policy manual) − A business public notice format − Presentations − Form announcements These may be under the responsibility of the Forms Management Program for coherence, tracking and history record, but could also be under the responsibility of the Marketing or Communications area in the organization. It is a best practice to see that this type of form is developed jointly between the Marketing or Communications area and the Forms Management Program to ensure compliance to the organization’s corporate image and to all relevant standards.
Introduction 59 / 62 Semi-structured forms Semi-structured forms include some defined and structured data fields for specific information to be collected and some unstructured areas, mostly for text, which may be fixed or adapted while the document is being created or filled. Examples of semi-structured forms include: − Real estate contracts − Bank loan agreements − Mortgages − Business standard letter formats printed on or merged into letterhead formats. Defined data fields are often: − For the client information Name and address Personal identifier − For business information File or reference number Date the letter or form is being sent. Signatory Then the body of the letter has areas for free text. These areas are for staff to enter relevant text associated to the client or business at hand. Some letter formats have pre- determined text already included in them for specific circumstances. Each constitutes a separate template. Semi-structured forms can be produced using specific forms development software or word processing software. Forms analysts, designers and developers need to determine the best tool based on the intended purpose and requirements. For example A semi-structured form merging large amount of client data for regular mailouts and that
Introduction 60 / 62 includes more complex programming is better designed in a dedicated forms tool. On the other hand, a standard format to produce a response letter to one individual at a time is easier to use if designed as a template in a word processor. The book, a living document “In software development, you are never done. The design is never finished and should never remain static.” As Jakob Nielsen states, “There is no such thing as a perfect user interface.” The above quotes from one of the Nielsen Norman Group articles are about software development. The same could be said of forms development. And this book, like forms, is a living document that will continue to evolve. This book aims to provide basic and guiding principles on how to establish and manage a Forms Management Program. It includes methodologies and supporting material to assist organizations in their endeavor to develop effective forms and achieve successful forms management. Technology and business processes will continue to evolve and Forms Management Programs will continue to adapt. The book contains methodologies that can be applied at any time and in any context by Forms Management Programs, so the book will remain a useful guide and tool. Products, materials, equipment and technology The Book of Knowledge was written in today’s context and technology. It should not be viewed as a finite and ultimate guide to forms management. Rather, it attempts to provide a work methodology that can adapt and be applied to new contexts and technology, which keeps on changing and evolving.
Introduction 61 / 62 Print products may disappear and others emerge. The challenge is keeping informed of trends and investigating products as needed to address requests on a case-by-case basis. This is true for any context. Do not forget… Make sure to… Keep up-to-date It is essential Forms Management Program staff remain current on recent innovations, events, technology if they hope to be relevant and effective. This is achieved by Reading the news Reading the newspapers can be how to find out about events that affect forms in your organization. A change in legislation, new branding. It never hurts to keep up with the news. Reading internal announcements intended for staff If announcements are published, it is because management wishes to communicate important messages. They often have details that may not be of any consequence to most staff, but may to the Forms Management Program. For example An announcement that the office suite will be upgraded by date X is published. • If this is news to the Program, chances are the head of the Program hasn’t yet been informed nor been included in the project planning. • Program staff need to alert the Program head to raise the matter with the project authority and assess the impact of such a project on forms, templates, the forms development software architecture, on resources and priorities. • The Forms Management Program is a key player in an office suite upgrade and should be on board from the start to plan the migration. Knowing your resources It helps to know where to search for references or who to contact when in need of help.
Introduction 62 / 62 Keep lists of contacts and links to useful references. Subscribe to professional and industry newsletters. For example When clients bring form drafts and provide information, especially names of laws or regulations, it is wise to double-check the names on official legislation sites to validate that the name or title provided to you is accurate. Sometimes, even the legislators make spelling or grammar mistakes… Forms Management Programs have been known to flag some and ask for corrections to be made. Finally, think outside the form Forms development and solutions are a creative process. It helps to think over and beyond what the client asks, to look to the future, what does the client need and not what does the client want. Once thinking begins on a solution, it may trigger even more improvement opportunities. The objective is all about meeting client needs the best way possible and adding better value to what they asked for. Think outside the form!
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