Best Practices in Forms Management
Managing Data
Definitions
Documents Forms Records Document Management Forms Management Records Management
Definition Document
• A document is a container of information. • The container makes it possible to organize,
present, and manage the information related to an event, person, or topic.
• The way data are organized and presented in the container provides meaning and context to the information.
• A document could be a form, letter, spreadsheet, memorandum, photograph, video clip, or report.
• The document can exist in any media. New York State Office for Technology – EDMS Cookbook
Comparative Definitions
Form A form is a specialized document that
contains one or more fields for the capture and / or display of variable data.
CGSB – A structured template or tool, irrespective of media in which it appears, used to capture, compile, transmit, communicate and record specific business information
Record
Record A specific instance of a form (or other
document) is a record. A document that is unique to a specific transaction becomes a record.
Form Types
pForms – paper, or other physical substrates
eForms – digital forms used in non-browser environments
iForms – digital forms used within browsers
vForms – forms generated dynamically from scripts, printer files, and code
Document Management Document Management –
focus on issues such as searching, archiving, retrieving, scanning, indexing and process management
Term is also used to describe other functions such as print management, content management, document destruction, and more
Elements can also include document creation, indexing, reproduction, etc.
Forms Management
Forms Management – includes specifications, analysis data, forms creation, approval management, user interactions, forms production and deployment, and inventory management
Records Management
Records Management – • designation of official records • retention requirements • legal accessibility • destruction authorizations • storage and archiving methods
Relationships
Form Document Record Forms Management Document Management Records Management
Document Hierarchy
Document Management
DOCUMENT
Forms Management
RECORD
RECORD
RECORD
RECORD
RECORD
RECORD
RECORD
Records Management
. . . etc.
Report
Statement
FORM
The Forms Design Workflow
Workflow Analysis Process Analysis Forms Analysis Design Analysis Container Design
Mapping & Programming
Testing Deployment Forms Control Metrics &
Reporting
Four Elements of Every Form
Introduction to Forms Four Elements of Every Form
INTENT - justification for the existence of the form
CONTAINER - physical layout of data capture vehicle
DATA - variable information captured on the form
IMAGE - interface among users, data and systems
National Standard of Canada
The National Standard of Canada Scope:
• Sets out best practices for the establishment and operation of a Forms Management Program
• Appendices provide details on policy and staffing, performance measurement, planning, resource utilization and outsourcing
Elements of Best Practices
Strategy Structure Staffing Policies, Processes and Procedures Technology Forms Control Metrics and Reporting
Managing the Forms Population Collecting data about each form Managing Distinctions Relating to business systems Managing source files and deployment Managing reviews Keeping track of requests Establishing form relationships Managing specifications Conducting forms analysis Managing discontinuance Managing form projects Developing form history files Managing reporting
Collecting Data
General information Form owners Form Coordinators
Let’s take a look…
Managing Distinctions
Distinctions are personalized data designed into the form container
Distinctions result in form revision projects when those distinctions change – as they do regularly!
Identifying affected forms easily and quickly is essential
Relating to Business Systems
All forms support one or more business systems
Forms should be associated with the workflow and processes they support
Managing changes to the workflow and processes requires review of related forms
Forms can be unique to a province, language, country and line of business
Managing Source Files and Deployment
Forms can have one or more source files
Forms can be deployed in multiple formats and to multiple systems
Keeping track prevents overlooking a change, resulting in multiple editions being deployed
Managing Reviews
There can be many reasons for reviews: • Regular • Legal • Regulatory • Accessibility • Security • Privacy • Policy
Managing Reviews
Reviews can occur at varying intervals: • Scheduled (annual, year-end) • Ad hoc (on-demand) • Macro (looking for opportunities)
Keeping Track of Requests
Every day, things come up that can affect the form at next revision. Often, these requests are written on notes and placed in the form file or tucked away in the forms staff’s memory. There should be a more systematic method.
Form Relationships
Forms with similar content such as provincial variations, multi-language forms, templates, etc.
Form suites, such as kits, where multiple forms need to be reviewed and managed together
Keeping track of these relationships simplifies the review and revision process
Managing Specifications
Forms populations consist of many product types, each with its own set of detailed specifications
Frequently need to provide specifications to vendors
eForms have their own unique specifications that need to be managed
Forms Analysis
Assessments provide a method for continuous improvement of forms • General • Copy • Specifications
Assessments support general analysis, day-to-day complaints and Call for Forms reviews
Discontinuance
Most forms have a short life cycle Managing obsolescence and
discontinuance is a difficult task and is frequently given a low priority
Regular discontinuance reviews help keep forms fresh and compliant
Can support legal requirements by providing evidence of discontinuance and replacement
Managing Projects
Keeps projects on track Provides status information Separates by type, level and
category Keeps track of costs, comments and
approvals Tracks resource utilization Reports forms management
contribution
Form History Files
Shows all projects (actions) over the life of each form
Provides a complete development history
Maintains approvals, edition control and deployment data
Records are permanent and never deleted (may be archived)
Can replace paper files
Management Reporting
Summarizes large amounts of data into useful information
Queries and reports assist in tracking and reporting detailed information
Can be tailored to what each level of management requires
Additional Features
Can serve as data source for: • Catalogues • Portals • SharePoint • Project Requests • Customized queries • More
Thank You
Ray H. Killam, CFSP, CFC Essociates Group, Inc.
www.essociatesgroup.com