BFMA Forms Management Book of Knowledge - Sec 1 and 2

Forms / Template Design and Development 251 / 345  2D barcode on completed Form 1234 received is scanned; form data uploaded into Y system.  Submit action button creates a PDF archive image of the form with the data entered, and the PDF is saved into electronic document and records management system Z.  Client data downloaded every Monday. Client data file created and electronically sent to external provider via secure file transfer protocol to print Form 5678 on high-speed digital printer for mailout on the next day. These details provide the minimum information necessary to interested parties and partners, enough that they can obtain more in-depth specifics to accomplish their work, including writing specifications. FORMS ANALYSIS Forms analysts perform a more in-depth analysis of the business process and form’s specific information elements in order to prepare a requirements and specifications document intended for the forms developer. This document lists all elements to be included on a form, including branding, data fields with their corresponding labels and captions, specific text or information,

Forms / Template Design and Development 252 / 345 prescribed sequence. It also provides details on the data field display properties, action functions, workflow, event sequence and functions. The forms analyst identifies:  Any existing form or template to use or object to include on the form.  What programming language or languages to use.  What specific properties to apply to form fields or form elements.  If any information element requires particular emphasis or a specific typeface, size, weight and color.  References to any standard, legislation, policy, convention or best practice the developer needs to follow when developing the form. Looking at the information provided by the business process analyst in the above examples, here are some specifications the forms analyst would give the forms developer in addition to the list of form elements, field properties and standards.

Forms / Template Design and Development 253 / 345  Form 1207 accessed on the web as a dynamic PDF and web application. Specifications on:  The form’s output versions.  Source files required. In this case, the forms analyst would specify a dynamic HTML or XML web form as well as a fillable dynamic PDF.  Form 1207 approval and payment section field data sent to the financial accounting module of an ERP. Specifications on:  Which form fields of the approval and payment section require data sent to the ERP Finance module.  Corresponding database field names in the ERP Finance module in order for the developer to correctly program the form data fields.  Form 1207 data uploaded to server (server name) and database (database name) Specifications on:  The confirmed list of all form fields uploaded to server (name specified).

Forms / Template Design and Development 254 / 345  Corresponding field names in the database in order for the developer to match and correctly program the form fields for successful upload.  2D barcode on completed Forms 1234 received is scanned; form data uploaded into Y system. Specifications on:  Which form fields need to be captured by the 2D barcode for upload into the system (name specified).  Corresponding system data field names, database name and server for the developer to program the form fields and the 2D barcode for successful data upload.  Submit action button creates a PDF archive image of the form with the data entered, and the PDF is saved into electronic document and records management system Z. Note: These details are included as part of specifications provided for every form element. In this case, a “Submit” action button.

Forms / Template Design and Development 255 / 345 Specifications on:  The name of the electronic document and records management system.  The path or directory to use.  Any specifics with regards to a file saving and filenaming convention to apply for this form. The forms analyst may require input from the Information Management and form owner areas to finalize these details before writing specifications to the forms developer.  Client data downloaded every Monday. Client data file created and electronically sent to a print provider via secure file transfer protocol to print Form 5678 on high-speed digital printer for mailout on the next day.  Generally, the responsibility of extracting data from systems or databases to generate data files falls on the Information Technology experts of an organization and they would arrange to send the data file to the external provider through an agreed secure file transfer protocol included in the contract between the organization and the external provider.

Forms / Template Design and Development 256 / 345 The forms analyst needs to find out which data elements are being captured and what data file format is used to create the data file once the data is extracted. This is necessary in order for the forms analyst to specify: • The form elements affected. • Where to locate the data fields on the form. • The data fields’ corresponding database field names for the developer to program them on the printer-resident form for accurate data population on the form at print time.  Since this form output is for a mass mailout, the forms analyst specifies the form needs to be designed and developed according to postal standards to ensure successful automated mechanical mail processing. Given the form is a printer-resident form, the forms analyst needs to investigate the technical requirements of the high-speed digital printer to provide clear design and layout instructions to the forms developer to ensure the form prints in the correct image area. When this is a known product and a template already exists for this print provider, the forms

Forms / Template Design and Development 257 / 345 analyst specifies which source file the forms developer is to use to develop this form.  The forms analyst also includes a requirement to see quality assurance test samples of printed forms to ensure compliance, consistency and that data population was successful before giving the go ahead to proceed with the print run of the entire data file. FORMS DEVELOPMENT The Forms Style Guide The forms developer produces a form’s layout, design and is a forms developer’s functionality based on the requirements and specifications design and received from the forms analyst. Additional useful contextual development information and more general requirements are found in the bible. business process analyst business case and process maps provided in the documentation. Much of the general forms layout, display and design specifications are outlined in the Forms Style Guide. This style guide provides:  The overall guidelines on how to address different types of forms.  Approved language.  Common standards to adhere to.

Forms / Template Design and Development 258 / 345  How to apply branding.  References to legislation, policies, conventions.  Useful tools to support forms development in different output versions such as:  Web design standards and best practices.  Illustrations of specific designs for particular types of forms. … and so on. The Forms Style Guide is the forms developer’s design and development bible. The organization’s technology architecture and framework also dictate what hardware, software and programming languages are to be used for optimal operations and interoperability. These are organizationally approved, preset, and the forms developer takes them into account when developing forms. Other functional areas affected through the form’s handling or processing may also provide other specifications or requirements. These should be covered and confirmed in the specifications received from the forms analyst. Whatever equipment or technology is used to print or produce the forms, the forms developer prepares the form’s design

Forms / Template Design and Development 259 / 345 and layout according to the associated printer or equipment’s technical specifications in addition to the usual applicable standards. The forms developer obtains all relevant technical details of particular equipment used with the form, investigate, test draft forms during development to ensure compliance and successful execution of the tasks required of the form production or handling process. The forms developer reviews the requirements and specifications document received from the forms analyst to ensure all form elements are addressed and the necessary details provided in order for the developer to proceed with developing the form. Generally, the forms developer and forms analyst work closely together. The forms analyst may not have access rights to systems’ databases or data libraries to be able to specify corresponding data fields of form fields. In this case, the forms developer needs to locate the data fields in the relevant database or library and attach them to the form. Alternatively, the forms developer may create form fields for data fields to be saved within the form and not attached to any database.

Forms / Template Design and Development 260 / 345 When needing clarification about any form element, process event sequence or action, the forms developer notifies the forms analyst for resolution and corrects the specifications document as applicable. When forms are produced jointly with external providers, the forms developer may be called upon to write specifications intended for the external provider with respect to forms development and production. For example An external provider’s equipment requires the use of a different programming language than that used within the organization’s technology framework. The forms developer: − Finds an alternate solution or programming language to which the data is translated for successful form field population at print time. − Provides the Forms Style Guide or references the exact standards to follow from the style guide to help the external provider in its development of a form replica for its equipment.

Forms / Template Design and Development 261 / 345 The external provider may have provided the Forms Management Program with its technical requirements, but the forms developer shares the organization’s requirements for a successful form integration, interoperability and successful output result. The forms developer also writes specific instructions for quality assurance and form testing to be executed before proceeding with mass printing of forms merging client data. Instructions specify: − The steps in populating the data into the forms. − The number of samples to test from one data file. − The actions that are to be performed (e.g., merge the data, print the forms and then insert them in envelopes). − Where to send the printed test samples. This is to make sure: − The data file provided the correct information, in the correct data format and sequence. − That the equipment properly read the data to populate and print the forms.

Forms / Template Design and Development 262 / 345 Test samples are submitted to the organization’s designated representatives for approval. There usually is one representative from the form owner functional area and at least one from the Forms Management Program area for quality control. There could be more, as needed. When test results prove successful, the Forms Management Program representative notifies the print provider to proceed. When errors or discrepancies are found, depending on the nature of the problem, the forms developer fixes the source file, discusses remedial action with the external provider or with the Information Technology area. New specifications and instructions are provided as necessary. The responsibility of writing forms print specifications of manufactured forms generally lies with the forms developer or forms technician. DATA COLLECTION AND PRESENTATION When developing forms for data collection, presentation, and exchange, it is important that clear specifications be given to the

Forms / Template Design and Development 263 / 345 forms developer in order for the form fields and elements involved in collecting data are properly laid out, displayed, or programmed to execute their function. This ensures users understand what information to enter, are properly guided as to how to enter that information, in order to optimize the collection of accurate data. Specifications are provided to ensure that:  Form fields are displayed in the appropriate form locations and their corresponding system or data fields are identified for programming and mapping.  Forms are developed to operate within the specified technical requirements of applicable peripheral equipment and systems used to produce or process the forms.  Adequate spacing is provided in form fields for users to enter information and specific instructions are included to help users fill in the information in the desired format (e.g., date format, menu options for month, year or weekday, instructions to write clearly in CAPS if the form is completed by hand and will be scanned).

Forms / Template Design and Development 264 / 345  Fill-in instructions are also included in eforms to comply with accessibility legislation, standards and requirements to ensure users with disabilities can successfully enter information in form fields.  Form fields with data that is to be uploaded through the scanning of a barcode are identified and the barcode programmed to include them.  The sequence of events is listed and written in text in printed forms or programmed in action buttons on eforms to execute (e.g., send completed forms to different functional areas). These are found as:  Routing instructions displayed at the bottom of printed forms. Note: On printed sets it is more economical to use “common distribution” whereby every part states where all parts are routed.

Forms / Template Design and Development 265 / 345 For example, the following would be printed at the bottom of every form part or copy. 1. Client 2. Functional area 3. Finance 4. Records 5. Information  Common administrative Management Technology distribution with every part assistant of a form showing where all parts Yet, based on an organization’s requirements, it may are routed. be preferable to not inform all users where all copies are routed; in this case “marginal words” are the better  choice. Marginal words are copy designations that Marginal words indicate where each copy is routed (one designation with one per page). designation per part or copy 1.Client of a form. 2.Functional area administrative assistant 3.Finance 4.Records Management 5.Information Technology  Programmed workflow instructions in intelligent eforms that may include completed forms or data field information that is programmed to upload in other designated areas’ systems or databases.

Forms / Template Design and Development 266 / 345  Action buttons are programmed to trigger other actions, such as notifying the next functional area involved in handling the form in the business process. Specific text or information is included in the program script.  User tests and trials using the forms that merge or exchange data are performed during development to ensure data extraction, transmission, population and exchange is successful. Tests are conducted until results are satisfactory.  Design, layout and format required by certain standards are applied to ensure successful reading of the data for the process to run smoothly. For example Postal standards are a consideration. Client information merged onto forms needs to be laid out in the prescribed sequence, typeface, and positioned in the correct area of the form or envelope. This ensures the mail processing equipment properly reads the address and postal code to automatically direct mail for quick and optimal delivery.

Forms / Template Design and Development 267 / 345 PRINT PRODUCTION When forms are intended for print production, the forms developer needs to ensure the forms’ layout, design and programmed functions adhere to technical requirements and specifications of associated equipment and technology. This is to ensure the forms print on the specified equipment or technology as planned. All the specifications used and applied to the form’s layout and design need to be interpreted and clearly written for the print provider in order to produce the form in the desired output format and product. A number of criteria are important to specify to print providers. The Forms Management Program may have its own specification sheet or multiple specification sheets that are product specific. Or, the Program may use one provided by the print provider. Many of the terms are specific to the print industry. The forms developer or forms technician is familiar with the vocabulary and provides the following specifications:

Forms / Template Design and Development 268 / 345  Form title in full and form identifier.  Identify any known product standards used and applied (e.g., envelope no. 10).  Flat size and finished size. Also see A Comparison Standard of Imperial Paper Sizes to the Metric Paper Sizes78 The flat size is the size of the total form as it is printed Size measurements BEFORE it undergoes other operations such as cutting or folding. For flat printing on paper The finished size refers to the size of the printed product in = width x height its final form, after it has been folded, cut or glued to a smaller size. 8 ½” x 11” = Letter size portrait. For example 11” x 8 ½” The original source file provided to print is: = Letter size landscape - A single sheet of 8 ½” x 11” (216 x 279 mm) flat For printing size laid out in 4 identical images of 4 ¼“ x 5 ½” 3D objects (108 x 140 mm). These are to be cut in 4 parts such as a box or expandable folder = width x height x depth 24” x 18” x 12” = Box 78 SImetric.co.uk, “A Comparison of Standard Imperial Paper Sizes to the Metric Paper Sizes”

Forms / Template Design and Development 269 / 345 and glued to a finished size of 4 ¼“ x 5 ½” (108 x 140 mm) to produce a notepad. - A single sheet of 8 ½” x 11” (216 x 279 mm) flat size and folded to a finished leaflet size of 8 ½” x 3.66” (216 x 95 mm). Important: Generally, in the print industry, sizes are provided in the following order: width x height (x depth if 3D like a box or expandable folder)  Page orientation: portrait or landscape required for electronic print devices such as network printers, high-speed laser printers.  Number of original pages to print and total copies of the print run. For example − Number of originals: 2 − Required print quantity: 2,000 In the case of notepads with 1 original mounted 4-up as in the example above, it would be specified: − Number of originals: 1 (4-up)

Forms / Template Design and Development 270 / 345 − Required print quantity: 500 for a total of 2,000 (forms) − Glued in pads of 50 (forms) for a total of 40 pads.  Paper grade or other substrate, color and weight on which to print the form. As best practice, Forms Management Program areas use generic paper designations allowing print providers to use the equivalent brand they have on their premises or can easily obtain from paper suppliers. Paper or substrate brands are indicated when specifically required. Specify the paper type or grade, color, weight (or brand if required), if it is security paper, recycled paper, archival quality, carbonless, cardstock, coated or uncoated, specialty papers, continuous paper, if there is a known acceptable alternate, adhesive, etc. For example 20 lb bond, white, recycled 24 lb bond, cream, 25% rag content 24 lb MICR, bond, white 200 lb Bristol board, buff, recycled

Forms / Template Design and Development 271 / 345 7pt (79 lb) reply card, white (compliant to postal regulations) No. 10 envelope, 9 1/2” x 4 1/8”, gray recycled Kraft 12 pt cardstock, white, coated one side For multipart carbonless forms, specify: − The number of copies in the set and the paper color sequence. − Whether to use a standard copy set with predefined paper color sequence or identify each paper color in the desired sequence. − Which color copy is on top (coated back or CB), which copies are in the middle (coated front and back or CFB) and which is last (coated front or CF). For multipart forms, it is imperative that paper specifications are shown for each part (sheet) of the form. When asking for specialty paper, be sure to determine from the forms manufacturer if it is available. Specify the paper manufacturer, brand, paper name, color and weight. It’s also a good idea to identify acceptable alternatives in case it is difficult to obtain.

Forms / Template Design and Development 272 / 345 When asking for security paper, specify what type and what anti-counterfeiting measures are required to meet the forms specifications. For all forms, it is important to provide an image count on a part by part basis. This helps the print provider know how many plates (images) are required for the print run. − A 1-part form printed all black is 1 image. − A 2-part form printed all black, same on both parts is 1 image. − A 1-part form printed in black and red is 2 images. − A 2-part form printed in black and red on part one and the same black on part two is 2 images. − A 2-part form printed in black and red on part one and a different black on part two is 3 images. − A 2-part form printed in black and red on part one, a different black image only on part two and a different screened black image on the back of part two is 4 images.

Forms / Template Design and Development 273 / 345  Ink colors and color systems (e.g., one-color printing, 2 or more distinct colors, or 4-color process printing, specific ink color for specific form element like serial numbers). − Specify the exact Pantone® colors or CMYK values to obtain accurate and desired color output. This is important especially for consistency in displaying an organization’s branding. − Specify if ink colors vary from page to page e.g., front side printed in color, back printed in black only. − If screens are applied to certain zones or areas of the form, specify the screen density percentage and the number of dots per inch (e.g., 10% screen of the black at 150 dpi).  Special characteristics such as the number and specific location of − Folds. − Scores. − Die cuts.

Forms / Template Design and Development 274 / 345 − Perforations and type (clean perforation, clean edge) for detaching form sections. − Hole punches with hole size and distance from center to center between each hole. − Numbering and the concern for missing numbers (no missing numbers allowed, provide a list of missing numbers, missing numbers OK) and a starting number.  How the form is printed and method if necessary. For example − Printed one side (also called simplex). − Printed 2 sides (also called duplex printing or printed back-to-back). − With what orientation:  Head-to-head or  Head-to-toe (sometimes called head-to-foot or tumble).

Forms / Template Design and Development 275 / 345 Printing Lingo: “Head-to-Head Printing” vs “Head-to- Foot Printing”79 − Depending on the construction of the form product, specify what source file image is printed on what side of the form. For example, on an envelope - What is printed on the front. - What is printed on the flap. - Where to locate the form identifier. - Inclusion of the postal indicia, if applicable. In the case of labels, specify - The adhesive quality. - If the form is printed on paper labels or on vinyl using other print methods such as silk screening. 79 Keith Beaty, “Head-to-Head Printing” vs “Head-to-Foot Printing”, Formax Printing Solutions, https://www.formaxprinting.com/blog/2018/02/printing-lingo-head-to-head-printing-vs-head-to-foot- printing/

Forms / Template Design and Development 276 / 345 Also see - Glossary Of Printing Terms80  Binding. Specify if the form: − Is glued at top or on the side. − Stapled and where, or is it saddle stitched? − Is book bound? − Has a cover or a triad wrap-cover. − Is padded or bound. If so, specify the number of forms per pad or book (e.g., pad of 50 or 100 forms).  Print quality level required. For example, specify if it is: − A “basic or Informational” print quality for internal form products. − A “good or prestige” quality for public forms and CEO stationery items. 80 PrintingTips.com, “Glossary Of Printing Terms”

Forms / Template Design and Development 277 / 345  Identify all the source files and original material provided to the print provider including their filenames, format and resolution. This could also include listing: − Negatives. − Die cut matrices. − Mock-up construction samples. − Page sequence layouts. Clearly specify if original material is to be returned. Note: Forms intended for print media require a higher resolution source file to ensure print quality of the forms. Generally, print providers require a high-resolution “Press” or “Print” PDF source file.  If data is merged into the form at print time for a mass mailout, include the data file filename, format and attach a form sample showing the form fields that have data merged into them.  Packaging, warehousing and delivery. Packaging is usually determined based on the form type, and its usage and distribution trends.

Forms / Template Design and Development 278 / 345 If forms are taken in large quantities, it may make sense to package them in hundreds or packages of 500 single sheets. If usage indicates users take forms in smaller numbers, it may be easier for inventory tracking to issue them in smaller numbers and have the forms banded in sets of 25 or 50 before shrink wrapping in them in packages of hundreds. This needs to be assessed on a case-by-case basis at every procurement opportunity since usage trends fluctuate. There are four items to consider for packaging, warehousing and delivery: Unit of issue: this specifies how the form is released from inventory or how the form is purchased. Common units of issue are: − Each − Band − Pad − Sheet − Package

Forms / Template Design and Development 279 / 345 − Box − Carton Quantity per unit of issue specifies how many forms are part of that unit. − Each have a quantity of 1 (each/1). − A band holds a smaller quantity of forms such as 25 or 50 and can be packaged. For example, a package of 100 forms can be distributed in 4 smaller bands of 25. Bands are often used for distribution of stationery items such as letterheads and envelopes. − Pads often contain 50 or 100 sheets (pad/50 or pad/100). − Sheet can have a quantity of 1 (sheet/1) or a quantity of many e.g., a sheet with 24 labels (sheet/24). − Books often contain 50 to 100 sheets, so if the forms are two parts, there may be 50 sets in a book with each set containing two parts (book 50/2).

Forms / Template Design and Development 280 / 345 − Boxes often contain 500 envelopes (box/500). − Cartons and cases often contain 2,000 sheets (carton/2,000 or case/2,000). Package type specifies how the individual units of issue are packaged from the manufacturer of print provider. Common package types are: − Band. − Shrink-wrap. − Carton. − Box. − Pallet. Package quantity specifies how many of the individual units of issue are contained in the package. For example A standard manufacturing carton will generally hold about 2,000 sheets. So - For pads/50, there might be 80 pads. - For a single sheet form (each), there might be 2,000 each.

Forms / Template Design and Development 281 / 345 Sometimes the unit of issue and the package type might be the same, for example, carton or box. Sometimes the unit of issue quantity and package quantity might be the same. Package labels: Be sure to ask the print provider to label each box with the form identifier and quantity of the unit of issue included in each box. This facilitates the job of staff receiving and checking delivery, storing and maintaining forms stocks and inventory.  Specify if proofs are required for approval before proceeding with the printing. Depending on the form’s product, specify the type of proofs required:  Digital proof (often a PDF file).  Blueprints.  A number of sample printed forms with merged data.  4-color process printed samples. Indicate how many proofs are required, such as:  1 for digital proof.  2 for bluelines or color-printed proofs:

• 1 for the Forms Management Program to keep in its Forms / Template Design and Development records. 282 / 345 • 1 to return to the print provider. Review and check ALL proofs Be sure to include the contact information of the person meticulously. responsible to receive and check the proofs. This includes the person’s • Name. • Physical address and office number. • Telephone number and email address. This matters since details could be different from the organization’s main address or the one provided on the print order. At this stage, the printer is readying presses to print the form and time is of the essence. Proofs need to be reviewed as soon as received to promptly notify the printer whether the forms can proceed to print or if minor changes are required first, and if a 2nd proof is required. With today’s technology, many print providers send a PDF proof from the source file received. Although the PDF proof

Forms / Template Design and Development 283 / 345 may appear identical to the PDF source file provided to the print provider, the proof still needs to be reviewed and checked meticulously to ensure there are no errors due to fonts, image compiling, etc. All proofs need to be meticulously reviewed and checked for errors before giving the green light to print. When approved, as is or with corrections, be sure to keep a copy of the approved proof returned to the printer. This is a key document in the event there are issues with the printed product at delivery, and an essential document to support invoice payment and financial audits. Any error not noted by the client (the organization represented by the forms developer, Forms Management Staff or form owner representative) and approved on the proof by the client, clears the print provider of all responsibilities as to the form’s content printed (e.g., typo or content element misplaced). Form construction errors, however, noted only after printing the form and after quality control at delivery time, still remain under the responsibility

Forms / Template Design and Development 284 / 345 of the print provider (e.g., form printed on the wrong paper, glue not sticking, pages printed in the wrong order). The Forms Management Program then has recourse based on the fact specifications in the print order or contract were not met.  Delivery deadline. A 10 to 15 working-day delivery deadline is common in the print industry. Depending on the print product, this can be more or fewer days. Certain products, like envelopes, can take longer to deliver given the more complex production process. Deadlines are established based on the level of urgency (e.g., standard operations vs a critical situation) and negotiated with the print provider’s representative before sending the print order confirming delivery date. Deadline: 2017-02-17 Be sure to specify if the date is mandatory for a specific reason. Deadline: 2017-02-17 (mandatory) Deadline: Before or no later than 2017-02-17

Forms / Template Design and Development 285 / 345 For example An organization is changing branding following a business merger. − A new logo and branding become effective on a certain date. − The Forms Management Program has planned to collect recover old stationery items and have them replaced in all common staff areas on a specific day. The new stationery items must be delivered on time for this event to roll out successfully.  Print overrun and underrun. Specify whether a print overrun or underrun is acceptable or not.  For print jobs on digital printers, overruns are frequently not allowed.  For print jobs on conventional presses, a 10% overrun is usually allowed on small print quantities.  For very large print orders, the overrun is often limited to 5%. Overrun limitations are specified in the purchase order.

Forms / Template Design and Development 286 / 345 Overruns represent a number of copies over and above the required quantity. The extra copies allow print providers to prepare the presses and cover for possible copy spoilage. Organizations are charged for a 10% overrun, over and above the quoted amount estimated for the required quantity. Underruns represent a lesser quantity than ordered since it is not possible to control spoilage at print time. Program staff need to be aware of possible overruns or underruns when writing form print specifications. They also need to assess which forms they can afford to procure and produce with or without an overrun, or accept an underrun. Invoices should show an extra amount for an overrun or a discount in the case of an underrun. Charges can be negotiated with print providers. It is also possible to decide, as a standard procedure in the Forms Management Program, to always request that there be no overruns. When specifying the quantity to print, for example, specify: Quantity: 25,000 – No overruns

Forms / Template Design and Development 287 / 345 If not specified, the print provider is within its rights to produce a 10% overrun and charge for it, unless an agreement was pre-negotiated. Commercial rules may differ on this matter from jurisdiction to jurisdiction. Program staff need to be familiar with those that apply in theirs. Overruns and underruns are also an item to consider when writing contract terms of conditions and clauses. Note: Overruns and underruns do not apply to the regular printing of a printer-resident form with merged variable data. The print provider might perform a test run to test the data merge, but once all the data is merged and printed, it is the end of the print job. Also see − Printing Overrun/Overrun Policy Allowance Explained81 − Why Do I Have To Pay For Overruns?82 − Printing Industry Standards83 81 Calendars N O W.com, “Printing Overrun/Overrun Policy Allowance Explained” 82 Gorham Printing, “Why Do I Have To Pay For Overruns?”, April 21, 2015, https://gorhamprinting.wordpress.com/2015/04/21/why-do-i-have-to-pay-for-overruns/

Forms / Template Design and Development 288 / 345 The importance of print specifications Print specifications are essential for a number of reasons. They first serve to communicate detailed and clear instructions to the print provider as to how the form product is to be constructed to meet the organization’s needs and business requirements. Below are important uses of the print specifications document. Print request or purchase order – When forms are printed in smaller quantities or below a certain cost threshold, print services may be obtained through a simple print request or purchase order. It is essential to indicate, on the request or purchase order itself, that form number X is to be printed according to the “attached specifications”, and make sure the specifications document is attached to the request or purchase order. Print requests and purchase orders constitute binding business transactions with financial and legal implications. Print cost estimates – The print specifications document is also used to obtain cost estimates for printing forms. The forms developer or forms technician submits the specifications document to procurement or print providers, depending on 83 The University of Iowa Printing and Mailing Services, “Printing Industry Standards”

Forms / Template Design and Development 289 / 345 your organizational requirements, and request that each return a cost estimate. With estimates in hand, the Program staff and or procurement can best determine which print provider provides the most cost-effective print service and value to the organization. Standing offer agreements – Some organizations have standing offer agreements with print providers and can send their print orders using such an agreement. Each form print order made using a standing offer agreement requires that the specifications document be provided to the print provider as part of the statement of work. Requesting proposals for print services – When the cost of printing a form could run a total amount above an agreed threshold, a forms project or print project may be subject to a request for proposal process or fall under the regulations of national or international agreements (e.g., USMCA). Cost thresholds and regulations can vary between organizations, government levels, and countries. The specifications document constitutes a key document provided to print providers interested in submitting a proposal, and eventually be included in the resulting contract.

Forms / Template Design and Development 290 / 345 FORMS CONTROL Forms technicians are familiar with forms and print industry vocabulary. They are familiar with print specifications and refer to them when receiving newly printed forms to perform quality control and quality assurance. The forms technician first validates the actual quantity received next to the totals indicated on the delivery packing slip. Every box is checked, amounts totaled, matched and delivery status confirmed. Then the forms technician receives a prescribed number of samples preset and agreed to by the Forms Management Program. If authorized to perform quality control and quality assurance testing, the forms technician performs the required testing on the received form product. Otherwise, the samples are brought to a Forms Management Program staff with the authority to perform the necessary quality control and quality assurance to approve delivery. The form’s print specifications are reviewed and checked against the form product, tested and if deemed satisfactory, the forms are approved and added to the inventory.

Forms / Template Design and Development 291 / 345 In the event of a form production or construction problem, the forms technician notifies the forms developer or analyst who also checks the form product against the specifications provided, and if necessary, contacts the print provider for remedial action or compensation. In cases where the problem is minor and can be accepted by the organization, the Forms Management Program may only seek a financial compensation. In cases where the problem is major (e.g., the form is printed on the wrong paper, or printed upside down, smudged, printed crooked, does not meet the thickness requirement affecting mailings, glue does not hold, etc.), the Forms Management Program does not accept delivery of the forms, returns the forms to the print provider and negotiates remedial action. The print order or contract, form’s print specifications, delivery packing slip, approval or refusal of forms received, the form’s printed samples, discussions and decisions made with the print provider are added to the form’s history file record.

Forms / Template Design and Development 292 / 345 Design and develop forms for your audience and user base Know your audience and user base. Depending on the user situation, age group, context where forms are used or deployed, consideration should be given to form design elements such as the text typography size, additional instructions, accessibility for persons with disabilities, alternate output formats, etc. to ensure the form is accessible to all. FUNDAMENTALS When the business process analyst enquires about the form process and the form analyst dives into more in-depth details, one of the more important information elements they gather is who are the actual users of the forms. Users usually refer to the persons who fill out the forms. It also refers to those who “use” the forms when handling and processing them. Users could be:

Forms / Template Design and Development 293 / 345  Within the organization (such as a person processing an application for a license).  External to the organization (such as a customer receiving a utility bill and paying from it). Knowing the users is very important in order to assess the context these persons are filling and “using” the forms. Most often there are multiple users and all must be considered. Form fillers and end users as the target audience The persons to whom the form is intended for constitute an important group of users. They are the ones organizations are asking information from for a specific purpose, be it a service or business transaction. This is often termed data collection because the organization is collecting information from a user for a specific purpose. Examples of data collection include: • Applications (e.g., for employment or licenses or loans). • Requests for service such as turning on a utility. • Insurance claim. • Income tax form.

Forms / Template Design and Development 294 / 345 Alternatively, organizations often provide information to their customers, and must provide this form information so that it can be properly acted upon. This is often termed data presentation because the organization is presenting information to the user for a specific purpose or action. Examples of data presentation include: • Invoices so that a bill can be paid. • Notices of benefits so that benefits can be claimed. • Driver’s license renewal so users can update their photo ID and pay to activate their license renewal. • Packing lists so that it can match invoices and payment can be processed. While these types of forms generally do not collect data from the users, they must present the information clearly so that the user will know what to do with the form. Users must be able to:  Locate information quickly and easily.  Understand the information they have found.  Act on that information. Acting on the information can include:

Forms / Template Design and Development 295 / 345  Completing the form.  Using the information on the form.  Returning the form or sending a payment. It is essential organizations and the Forms Management Program staff understand what that target audience and user base is.  Is the form intended for all public citizens of all age groups or is it intended for a specific group of users? For example A form is being developed for users to apply for an old age pension. It could be assumed the target user group falls in an older age group. To ensure the users can properly read the form, the developer considers including design features such as: − Larger type size than the usual 12 pt, say 14 pt or 16 pt type size. − Zooming options on the electronic version, to ensure users can easily read the form labels and information. Features can be verified through usability testing.

Forms / Template Design and Development 296 / 345  Are the users located in an area where internet access is slow and limited making it more challenging for users to submit their forms online? What type of technology do they have access to? In developing countries, much of the applications are developed using open-source software. This may affect forms behavior or operability. Developers need to take into account the geographic location of users and their context with respect to technology access when determining a form’s output versions. Although online forms may be promoted by the organization, in order to reach all types of users, especially citizens using public forms, it is wise to consider allowing multiple output formats. Not everyone is equipped with a computer or mobile technology, yet these persons are still required to submit forms for certain services. For example The intelligent online application and dynamic eform versions might be favored by the organization and used by 60% of their clients, but the remaining 40% also needs access to the form in other output formats.

Forms / Template Design and Development 297 / 345 The output formats can only be established once all criteria and characteristics of the target audience and user base are clearly known following a thorough business analysis. The same principles apply to accessibility. Although many country governments have legislated or regulated eforms to ensure they are accessible to citizens with disabilities, not all persons with disabilities have a computer with scanner and reader technology allowing them to use the eforms. A Forms Management Program needs to be ready to support these citizens and provide them with alternate form output formats. This could be a form output in a much larger type size or one printed in Braille. Generally, the Forms Management Program area knows of print providers that offer such alternate print formats. Service standards and agreements with print providers are established to guarantee quick delivery of the alternate form format to the citizen within a prescribed timeline. Providing alternate form output formats is usually an on-demand service only.

Forms / Template Design and Development 298 / 345 When citizens submit a request to the organization to obtain a form in an alternate format, it is referred to the Forms Management Program to manage and deliver. Users (staff) that handle and process completed forms Now that the target audience and user base is known, it is just as important to know how the completed forms are received, handled and processed in order for the required data to be captured by the organization. Users at this stage could be persons, but also machines, equipment, systems, databases, each with its own particulars. The accessibility features included to help persons with disabilities filling the form are just as useful to staff handling the form that also have disabilities. The business process analyst has noted specific equipment, hardware and software used to produce, process the forms, and to capture and transmit the data collected on the form. For example Business process maps outline:

Forms / Template Design and Development 299 / 345 − The technology used for workflow. − Which database the data goes to. − Which functional area is involved in the next step. − Where the completed forms and form data are stored. … and more. These information details enable the forms developer to investigate the programming language to use, see what technology staff use to scan, read, and upload the form data. Each form project can represent a number of options and solutions. The forms analyst and forms developer note and take into account every user aspect, context and environment. This is essential to determine the best and most effective approach to a forms layout, design, data collection and transmission. FORMS DEVELOPMENT Understanding the target audience and user base allows developers to determine important development criteria and requirements, such as the language of the form, its output versions, its construction and features, the programming

Forms / Template Design and Development 300 / 345 languages to use in light of the technology associated with the form, among others. For example The target users for an Application for an old age pension form falls in an older age group. The developer considers enlarging the type size. − On the printed version, the developer sets the typeface to a 14 pt or 16 pt type size to ensure users can easily read the form labels and information. − In the electronic version of the form, the developer includes a quick zoom function to enlarge the view on screen or presets a bigger view from the start. If a form is intended for an international audience, including users in remote areas of developing countries, the developer takes into account the most basic technology setup to ensure all users can somehow access the form. The developer also determines what language or languages the form needs to be produced in. Generally, the Forms Management Program establishes a policy outlining how to address developing forms for an international audience and guidelines included in Forms Style Guide.