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RMP-3, Forms Management GuidelinesSeptember 15, 1986
I. References
Accounting Manual A115-25, Accounting Forms
California Information Practices Act of 1977
California Public Records Act
Federal Family Educational Rights and Privacy Act
Federal Privacy Act of 1974
Business and Finance Bulletin RMP-1, University Records Management Program
Business and Finance Bulletin RMP-2, Records Disposition Program and
Procedures
Business and Finance Bulletin RMP-8, Legal Requirements on Privacy of and
Access to Information
II. Introduction
The purpose of RMP-3, "Forms Management Guidelines," is to delineate
responsibilities for forms review in order to ensure that all forms
employed by the University of California meet legal and policy
requirements. State and Federal legislation imposes certain restrictions
on the collection of information regarding individuals, both in the type
of information which may be requested and in the use to which the
information may be put.
It is also important that the University obtain forms in an economical
manner. RMP-3 provides guidance on the available options for forms
production.
III. Definitions
A. Form
For the purpose of these guidelines, a form is any piece of paper
containing information, printed or produced by whatever means, with
blank spaces left for the entry of additional data or information
used in the operation of the University. Forms may be purchased
from commercial suppliers or be produced internally on office
duplicating equipment.
B. Form Orderer
The person responsible for determining the number of forms to be
ordered, issuing requisitions, and working with vendors or
University facilities is known as the form orderer. That person
may be different from the form owner.
C. Form Owner
The person/office responsible for a form's content is the form
owner. That person may be different from the form orderer. There
should be only one owner per form, although content may be
coordinated with several persons/offices.
D. Nonpersonal Information
As defined by University policies (Business and Finance Bulletin
RMP-8, Staff Personnel Policy 605.18 and Academic Personnel Manual
Section 160-20b), nonpersonal information is: individual's name,
date of hire, current position title, current rate of pay,
organizational unit assignment, including office address and
office telephone number, and current job description. Any other
information about an individual is either personal or confidential
and collection and dissemination of such information is restricted.
IV. Minimum Content Requirements
A. Basic Requirements
The basic information which must be preprinted on all departmental
and interdepartmental forms includes:
1. Title of form
2. University of California campus designation
3. Departmental identification
4. Approved University records retention period
5. Form number, if any
6. Instructions for completion of form
7. Distribution instructions, if multi-part form
8. Printing date (and revision date, if applicable) e.g., 7/82R
9. Applicable privacy notices to fulfill requirements of the
Federal Privacy Act and the California Information Practices
Act
B. Content Concerns
Collection of information which is other than nonpersonal (see
"Definitions," above) is restricted by law and University policy.
Form owners should consult with Campus Forms and Information
Practices Coordinators to ensure the necessary review of forms
prior to publication.
V. Statement of Responsibilities
A. University Records Management Committee Chair
The Chair of the University Records Management Committee has
responsibility for establishing records policies and procedures for
the University, including forms management policy and the
establishment and distribution of records disposition schedules for
all University forms, in accordance with the procedures outlined in
Business and Finance Bulletin RMP-2, Records Disposition Program and
Procedures.
B. Office of the Assistant Vice President-Information Systems and
Administrative Services
In coordination with the University Records Management Committee, the
Office of the Assistant Vice President-Information Systems
and Administrative Services conducts a Forms Management Program for
high usage forms. This program is designed to assist Office of the
President offices and campuses as requested in establishment of
forms that are well designed, easy to complete, economical to
produce, process and file, and allow for pooling of individual forms
into a large order to reduce cost. This program is optionally
available to any Office of the President office or campus department
which elects to participate. However, certain forms used
Universitywide are ordered through the Planned Purchasing Program.
Departments using these forms must use the ones obtained through the
program. For information on mandatory forms available through the
Planned Purchasing Program, as well as forms available on a
voluntary basis, see Appendix B.
Office of the President Forms Coordinator (OPFC)
Under the aegis of the Assistant Vice President-Information Systems
and Administrative Services Forms Management Program, the OPFC
provides a variety of services connected with forms design and forms
ordering. In particular, the OPFC will:
1. Order forms in accordance with announced schedules (or on
request) and established procedures. At this time, the OPFC
coordinates consolidated orders for: 1) continuous forms,
2) flat and NCR forms, 3) snapouts, 4) checks (payroll and
vendor), 5) tax forms (continuous and flat), 6) financial aid
forms.
2. Ensure that forms for which services are provided have received
the appropriate review and approval prior to production (For
example, disposition schedules,* privacy notices, and copy will
be approved by the designated campus/Office of the President
offices. Forms with a multi-campus audience will be approved by
the Chair of the University Records Management Committee. Forms
used only in the Office of the President will be approved by the
Office of the President Records Management/Information Practices
Coordinator.)
3. Work with form owners and vendors to design forms that are easy
to use and economical to produce.
4. Provide assistance and advice to campus and Office of the
President offices on request.
5. Coordinate its services with the Campus Forms Coordinators, campus
and Office of the President offices, storehouses, and purchasing.
*See Business and Finance Bulletin RMP-2, Records Disposition
Program and Procedures.
C. Campus Forms Coordinator
The Campus Records Management Coordinator will assume the role of
Campus Forms Coordinator. The Campus Forms Coordinator will serve
as liaison for campus offices or as a single point of contact for
those Office of the President offices with responsibility for forms
management.
The Campus Forms Coordinator (CFC):
1. Assists initiating campus departments in meeting forms design and
content requirements and in coordinating review by other campus
departments.
2. Forwards the necessary information for establishing appropriate
record retention schedules for new and revised campus forms to
the University Records Management Committee for review to assure
that legal, contractual and University policy retention
requirements are met.
3. Assures necessary review through Campus Information Practices
Coordinator for compliance with the requirements of privacy
legislation (i.e., the Information Practices Act of 1977, the
California Public Records Act, the Federal Privacy Act of 1974,
and the Federal Family Educational Rights and Privacy Act
[Buckley Amendments]) and inclusion of appropriate disclosure
statements.
4. Advises on ordering possibilities and coordinates ordering campus
forms through the Information Systems and Services Forms
Management Program: (The campuses may wish to assign this
responsibility to the Campus Materiel Manager rather than to the
Campus Records Management Coordinator.)
a. if the form is subject to control by the Office of the
President (e.g., forms relating to benefits, forms
designated as "intercampus accounting forms" in Accounting
Manual Section A115-25, forms subject to collective
bargaining requirements, etc.); or
b. if a campus department elects to participate in the
voluntary forms ordering pool for quantity discounts. (It
is mandatory to use the forms obtained through the Planned
Purchasing Program; see Appendix B.)
5. Assists campus departments in obtaining reviews by appropriate
Office of the President offices when the proposed form will be
used by or have impact on more than one campus.
D. Offices in the Office of the President
Offices in the Office of the President will:
1. Convey in a timely fashion to appropriate campus offices
requirements for new forms or changes to existing forms mandated
by law or University policy.
2. Assure necessary review of forms through the Chair of the
University Records Management Committee (who is also the
University-wide Information Practices Coordinator) for
compliance with privacy legislation requirements.
3. Prepare a Request for Establishment of a Disposition Schedule
(RM-2) suggesting an appropriate record retention schedule for
new and revised forms and forward the request to the University
Records Management Committee for review.
4. Participate as appropriate in the voluntary forms ordering pool
for quantity discounts. (It is mandatory to use the forms
obtained through the Planned Purchasing Program; see
Appendix B.)
5. If proposing to initiate, revise or cancel forms used by the
campuses, conduct appropriate review procedures with campus
counterparts.
E. Form Orderer
The form orderer may be the form owner, the Campus Forms Coordinator,
the Office of the President Forms Coordinator, the Campus Material
Manager, or other person. The form orderer is responsible for:
1. gathering quantities and information on copy prior to placing an
order;
2. selecting the design or production source;
3. preparing requisitions in accordance with University policy; and
4. working with the design or production source and reviewing offices
to ensure that the form is produced accurately and on time.
F. Form Owner
The form owner is responsible for:
1. the design, content and periodic review of the form;
2. ensuring that the form is reviewed by the Campus Forms
Coordinator for compliance with University regulations on
privacy and disposition schedules;
3. coordinating with other campus and Office of the President offices
that use or store the form; and
4. coordinating production (providing copy/quantity information,
approving proofs) with the form orderer, the Campus Forms
Coordinator, or the Office of the President Forms Coordinator,
as appropriate.
VI. Ordering Procedures and Alternatives
Appendix A of RMP-3 provides detailed information covering forms
terminology and design. In addition, it presents options for obtaining
design and production services. Appendix B describes those forms which
must be obtained through the Planned Purchasing Program, as well as all
forms optionally available through the program. Any form may be ordered
so as to take advantage of the quantity discounts available.
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