1700     PROGRAM SUMMARY, RESOURCES, AND CONTACTS 
(Revised 09/08)

The Forms Management Program is mandated and governed by Government Code Sections 14770-14775.

The Forms Management Program is administered by the Forms Management Center (FMC) and is located in the Department Of General Services, Office of State Publishing, Forms Management Center, 344 North 7th Street (IMS P-06), Sacramento, California 95814-0212.  For inquires, telephone FMC at (916) 445-5371, CALNET 485-5371; or fax (916) 324-9908. 

This chapter provides major policy for the state's forms management program.   The Forms Management Program includes, but is not limited to, criteria for forms design, purchasing, printing specifications, delivery, and inventory control systems.  Procedures for complying with this policy are contained in handbooks available from the Forms Management Center (FMC).  A SAM 1700 Addendum is also available.  The SAM 1700 Addendum contains additional information such as the responsibilities of the Departmental Forms Coordinator (DFC).  To access the SAM 1700 Addendum (PDF), please go to: http://www.osp.dgs.ca.gov/StandardForms/Forms+Coordinators.htm

The Forms Management and Forms Design Handbooks and SAM 1700 Addendum, are part of the FMC's resource documents and are based on "best business practices" for forms programs.  They contain guidelines, procedures, instructions, terms and definitions, recommended readings, and other detailed information relating to the forms management program.  Please refer to the handbooks and SAM 1700 Addendum for additional information.  See SAM Section 1715, Forms Management Training and Guidelines.

Agency DFC's and/or other staff involved in the forms management program responsibilities should contact the FMC for detailed information relating to the forms management program.  See SAM Section 0030 for contact names and telephone numbers.

1701     STATUTORY AUTHORITY 
(Revised 9/04)

Government Code Section 14770 requires the Director of the Department of General Services, through the Forms Management Center, to ". . . establish and staff an activity within the department to be known as the 'forms management center' for the design, implementation and maintenance of a statewide forms management program."  This activity includes the study, development, coordination, and initiation of Standard State (STD.) forms (forms of interagency and common administrative usage) which is required by Government Code Section 14771(2).

Government Code Section 14771(9) requires the Director, through the Forms Management Center to establish and promulgate rules and standards to implement the state's forms management program.  These rules and standards include responsibilities of the FMC, the agencies, and agency DFC.

Government Code Section 14771 (14) requires the Director of the Department of General Services, through the Forms Management Center, to provide notice to state agencies, forms management representatives, and departmental forms coordinators, that in the usual course of reviewing and revising all public-use forms that refer to or use the terms spouse, husband, wife, father, mother, marriage, or marital status, that appropriate references to domestic partner, parent, or domestic partnership is, to be included.  

1705     ESTABLISHING THE AGENCY PROGRAM 
(Revised 09/08)

Each agency head is required by Government Code 14750(a) to "Establish and maintain an active, continuing program for the economical and efficient management of the records and information collection practices of the agency." The program shall also "ensure that the information needed by the agency shall be obtained with a minimum burden upon individuals and businesses, . . ."

Each agency is required by Government Code 14772 to appoint a forms management representative and provide necessary assistance to implement the state's forms management program within the agency.  This appointment should be on a FMC 105 and signed by the chief administrative officer or the chief executive officer of the agency and submitted to the FMC.  You may access a copy of the FMC 105 via the following website address:

http://www.osp.dgs.ca.gov/StandardForms/forms+Coordinators.htm

This forms management representative is referred to as the agency Departmental Forms Coordinator (DFC).

Best business practice recommends that the forms program be centralized in an organization.  The alternative is a cooperative effort among all concerned, i.e., a decentralized program.  Whichever arrangement is chosen, the program must have upper level support and stature in the organization to be successful.

Staff assigned to the forms management function should be determined by the number and complexity of forms used by the agency and should have the skills, knowledge, and abilities to carry out the duties detailed in SAM 1700, the SAM 1700 Addendum, and the handbooks.  FMC recommends that the coordinator have skills of at least the level of the Staff Services Analyst classification.

As part of the forms management function, agencies are required to fulfill legislative requirements needed to effectively implement the forms management program.  Such requirements may involve submitting various reports to the FMC.  See Government Code Sections 14771 and 14775.

1710     TERMS AND DEFINITIONS 
(Renumbered from 1601 and 1628, and Revised 3/96)

Business Use Forms/Reports - State forms and/or reports used to collect and/or solicit information from businesses.  See Government Codes Sections 14771 and 14775.

Public Use Forms - State forms used to collect and/or solicit information from the public.  See Government Code Section 14741.1.

STD. Forms - Forms developed for use by all agencies to carry out common administrative functions.

1715     FORMS MANAGEMENT TRAINING AND GUIDELINES 
(Revised 09/08)

As required by Government Code Section 14771(4), the FMC provides training and assistance in all aspects of establishing and implementing a forms management program.  The training consists of three classes, Forms Management, Forms Analysis and Design, and Introduction to Electronic Forms.  These classes are available to any state employee who has forms management, analysis, and/or design responsibilities.  Agency DFCs are strongly encouraged to attend these classes.

All agencies must implement an effective forms management program as detailed in the Forms Management Handbook, SAM 1700, and the SAM 1700 Addendum.  The handbook and SAM 1700 Addendum contains guidelines for the program and are used in the FMC's classes.  The Forms Design Handbook, which is used in the Forms Analysis and Design class, explains the basic techniques and criteria of proper forms design for the State of California.

1720     FORMS DESIGN STANDARDS 
(Revised 09/08)

Agencies should use the forms design standards, criteria, and techniques presented in the Forms Design Handbook whether the forms are on paper or in electronic media.  All agency forms must contain "State of California," the agency name, a form title, a form number, and a form creation or revision date.  Agency forms are forms created and used specifically by an agency.  They may be used throughout the agency and/or with entities outside the agency.

All STD. forms should identify the State of California and contain a form title, a form number, and a form revision or creation date.

Forms not included in the STD. Forms Program may not carry "STD." or any variation of that designation as a prefix to the form number.  If a form is removed from coordination as an STD. form and returned to management of the generating agency, the agency must change the number and identification at the next printing. Such forms may carry a statement such as "Formerly STD. XXX".

It is not advisable to preprint names of employees on forms unless there are compelling reasons to do so.  An exception may be made for names of elected or appointed officials.  Please refer to the SAM 1700 Addendum.

1725     ELECTRONIC AND PAPER FORMS 
(Revised 9/04)

Forms can be filled out,  and designed, on paper, or by electronic media.  Contact the FMC for information about electronic forms design, filler software, and appropriate hardware.

Proposed changes to paper and electronic forms should be reviewed for legal impact. Procedures for this review and approval are the responsibility of the agency DFC.  It is good business practice for the DFC to be involved in this review.

The FMC has most STD. forms in an electronic format.  Please contact the FMC for more information about electronic forms. 

1730     STANDARD STATE (STD.) FORMS  
(Revised 9/04)

All agencies must use STD. forms instead of creating their own agency forms whenever feasible.  You can access a list of STD. Forms by accessing the STD. Forms Website:  http://www.osp.dgs.ca.gov/StandardForms

Procedures for requesting modified, overprinted, or electronic STD. forms are in the Addendum to the Forms Management Handbook.  The Addendum also includes procedures for submitting a form for inclusion as an STD. form.

1735     BUSINESS USE INVENTORY  
(Revised 09/08)

Government Code Sections 14771 and 14775 require the ongoing development, maintenance, and review of a statewide inventory of non-tax business use forms and reports used by state agencies to collect and/or solicit information from businesses. 

This inventory is known as the Business Use Inventory and should include both agency and STD. forms and reports.  For the purpose of this inventory, a business is defined as a non-governmental entity such as a corporation, organization, partnership, business trust, etc.  The procedures for satisfying the responsibilities for the Business Use Inventory are contained in the Addendum to the Forms Management Handbook.

Government Code Section 14771(c) requires the Director of General Services to develop and maintain the statewide Business Use Inventory, and notify state agencies of their annual review requirements.

Government Code Section 14775 requires each state agency commencing December 31, 1995, to review one third of its Business Use Inventory on an annual basis. 

As part of the annual review requirements, each state agency is to eliminate those forms and/or reports that are not required by statute.  However, an agency head may certify the continued use of a form and/or report if the information provided on the form and/or report meet all of the required criteria.  The criteria are specified in the SAM 1700 Addendum.  The SAM 1700 Addendum is designed to be used in conjuction with the Forms Management Handbook.

Government Code Section 11530 states that a business may contest an agency head's certification of the continued use of a form and/or report.

1740     PUBLIC USE FORMS INVENTORY  
(Revised 9/04)

Government Code 14771(a) (12) requires that forms to be used by the public (including businesses) have assigned control numbers. The agency form number serves this purpose and must appear on the form as part of the identification.  See SAM Section 1720.

An agency may not ask for or require members of the public to supply information to the state on a form not so identified. This applies whether the information is submitted voluntarily, required to gain or retain a benefit or service, or mandatory (a penalty will be assessed for failure to provide the information).

Agencies have been given the responsibility by FMC to identify all forms used by the public and maintaining a current index and inventory of forms.  On request, agencies must report changes to their inventory to the FMC.

1745     PRIVACY AND DISCLOSURE  
(Reviewed 9/04)

State and federal laws protect people's privacy and confidential information.  An agency must obey these laws when gathering or disclosing information about an individual.  These laws include requirements concerning:

1750     DISPOSAL OF UNUSED ACCOUNTABLE FORMS  
(Reviewed 09/08)

Each agency is responsible for the appropriate disposal of unused (blank) accountable forms.  Accountable forms are unused pre-numbered forms used to record or transfer money.  Examples are checks, receipts, meal tickets, and licenses.

Destruction of accountable forms should be witnessed by a member of your agency's internal audit unit.  If there is no such unit, it must be witnessed by an agency employee who is not directly responsible for handling or accounting for the documents or the fees for which the documents are issued.

Procedures for certification of destruction are contained in the SAM 1700 Addendum.