This Department Order establishes a system for the management and control of forms, including development, revision, production, ordering, storage, distribution and accountability. Emphasis is on maintaining a standardized, responsive, cost-effective, quality-controlled means of production that generates user-friendly forms.

The Division Director for Support Services is responsible for ensuring the effective and efficient development, revision, consolidation, review of all forms and the production of electronic forms.

The Workforce Development Administrator is responsible for the production of all non-electronic forms for the Department, maintaining statistical records on production volume and costs, and providing updated price lists to budget units and Forms Liaisons.

The Deputy Director, Division Directors, Regional Operations Directors, Wardens and Administrators are responsible for the accurate and timely determination of form needs and the efficient warehousing, storage and use of forms. They are also responsible for ensuring that staff complies with the following procedures when developing new forms or revising existing forms.

114.01    FORMS COORDINATOR - The Policy Unit Forms Coordinator shall:

1.1    The Deputy Director, Division Directors, Wardens, Deputy Wardens and Administrators shall appoint a Forms Liaison for their area of responsibility and notify, in writing, the Forms Coordinator. Updated information shall be provided as changes occur.

1.2    Each Forms Liaison shall:

1.2.1    Assist users by receiving and coordinating their requests for the development or revision of forms with the Forms Coordinator.

1.2.2    Coordinate with the appropriate Business Administrator, to order all printed forms from ACI, ensure inventory completion of forms shipments received, coordinate storage and distribution within the institution, unit or work area, and process billings for payment.

1.2.3    Determine institution/unit needs and submit a consolidated order to ACI upon receiving notification of new or revised forms from the Forms Coordinator.

1.2.4    Serve as the area coordinator for the Division/Institution.

1.2.5    Serve as the coordinator for field-testing forms.

1.2.6    Serve as the subject matter expert providing information, education and training to staff on the forms management system.

1.2.7    In conjunction with the appropriate Division/Institution budget unit, maintain prescribed records in accordance with section 114.06.

1.2.8    Serve as a point of contact for purchased forms and return of printed forms.

1.2.9    Maintain usage data to assist in projecting stock levels and requirements for ordering.

1.1    Forms in use Department-wide shall not be modified to make them unique to a specific institution or bureau, without authorization from the Forms Coordinator. Forms that are unique to a specific function or organizational unit shall be requested, developed, approved and modified in the same manner as forms used Department-wide. Example: A psychiatric form developed specifically for use by Baker Ward.

1.2    Forms shall be reviewed in conjunction with the review of the authorizing Department Order. Forms may be revised more frequently as requested by the OPR, or if required by a change in written instruction, statute or to update the form design.

1.4    New or revised forms that are designated for distribution to the Inmate Unit Health Record shall be approved by the Health Services Bureau Administrator or designee prior to finalization of any new or revised forms.

1.5.2    The Deputy Director, Division Directors, Wardens and Administrators who use electronic forms may purchase licensing for approved software as needed in accordance with Department Order #102, Information Technology.

1.2.2.5    Upon publication of a new/revised form in the Forms Announcement in accordance with Department Order #101, System of Written Instruction, provide instructions to ACI and Forms Liaisons on the disposition of the forms that are superseded as outlined in section 114.01.

1.1    On Cycle Printing- ACI will process two on-cycle forms orders each fiscal year. The delivery date for forms ordered shall be 90 days from the date the order is due back.

1.1.1    The first on-cycle forms order/price list will be mailed to the Forms Liaisons by July 15. This order must be received by ACI by August 15. Orders will be delivered by ACI by November 15.

1.1.2    The second on-cycle forms order/price list will be mailed to the Forms Liaisons by January 15. This order must be received by ACI by February 15. Orders will be delivered by ACI by May 15.

1.1.3    ACI shall provide the Forms Liaisons with updated pricing information on printed forms per pre-packaged unit, and the number of forms per pre-packaged unit. The pricing information shall remain unchanged until written notification is provided to the Forms Liaison by ACI. Once the order is consolidated, the actual price including discounts shall be sent to the appropriate Business Administrator.

1.1.4    The on-cycle order form shall establish the pricing for the smallest order. If the order is for a quantity larger than identified on the pricing list, a discount may be allowed by ACI. ACI shall notify ordering entities of any discounts for large quantity orders.

1.1.5    Orders for printed forms shall be prepared only by the Forms Liaison at each Institution or Division.

1.1.6    Forms Liaisons shall consolidate orders. Forms shall be ordered in sufficient quantities to meet the needs of local customers, dependent upon local warehousing/storage/operations capacity.

1.1.7    Users are encouraged to minimize the frequency of reorders and off-cycle orders to assist in taking advantage of quantity price-breaks, and minimize processing costs for purchase orders.

1.1.8    Forms shall be ordered in the pre-packaged amounts established by ACI. ACI may package forms in small quantity packages, usually 100 or less, dependent upon usage.

1.1.9    Requesting budget units shall prepare an order for forms as indicated by the instructions on the request and submit it to the appropriate Forms Liaison.

1.1.9.1    The Forms Liaison(s) shall consolidate the orders and fill them from either the warehouse or other central inventory.

1.1.9.2    After budget units acknowledge receipt of their orders, the appropriate Business Administrator shall process the transaction(s) for payment.

1.2    Off Cycle Ordering - Forms may be ordered during the off-cycle time period by contacting the Forms Liaison, who shall coordinate the order(s) with ACI. Prices shown on the cycle order/price list will be in effect. Volume discounts may apply when a sufficient quantity is ordered, as determined by ACI.

1.3    Printing Forms - ACI and the Forms Liaisons shall only print or authorize the printing of forms that have been approved by the Forms Coordinator.

1.3.1    Upon receipt of printing instructions, ACI shall print and prepare the forms for distribution as identified by the Forms Coordinator in accordance with section 114.04.

1.3.2    ACI shall print sufficient copies of new forms, as determined by the OPRs, in consultation with the Forms Coordinator.

1.3.3    ACI-produced forms shall be printed and contain a blue watermark of a design developed by the Forms Coordinator and approved by the Director.

1.1    Institution and Division budget units shall establish and maintain a consolidated "warehouse" inventory sufficient to meet the demonstrated needs of the entire institution or office.

1.1.1    In accordance with coordinating forms storage and distribution, the Forms Liaison shall have unrestricted access to all locations within the unit/area where large quantities of forms are stored, to allow physical inventory, permit review of form stock levels, and verify appropriate form distribution. ("Large quantities" consist of more than 500 of any individual form.)

1.2    Based on usage experience, minimum quantities of forms to be stocked shall be determined to ensure timely reordering to coincide with on-cycle ordering and the specified ACI printing and shipping time lines.

1.3    The Forms Liaison shall ensure each budget unit request for forms is filled from on-hand inventory, or arrange for forms to be produced by ACI.

1.4    ACI shall maintain data on the number and type of forms purchased by budget units from the Print Shop and Copy Service.

1.5    ACI shall provide a report that includes the title and number of each form, the budget unit and quantity purchased, date(s) of purchase, and individual and aggregate cost of each form to the Forms Coordinator on an after-cycle basis.

1.6    The Forms Liaison shall maintain a record to track the quantity of forms ordered, forms received, and amounts paid to ACI for forms purchases, both on and off cycle order. This shall constitute the forms management of records for that respective budget unit/area.

1.1    Only approved electronic forms and fillable formats, are being used.

1.2    Printed forms in use include the approved watermark.

1.3    Only currently authorized forms are in use.

1.4    Required forms management records are being maintained.

1.5    Warehouse/office stock, distribution and reorder mechanisms are in place and functioning.

FORM - A document developed in an approved, predetermined design that contains blank spaces for entering information or data. A form is designed to be processed after the entry of information or data without altering the design. Forms are generally archived and subject to records retention rules in accordance with Department Order #103. Forms are processed, approved, numbered and dated by the Forms Coordinator before they are published and distributed. Forms used by the Department shall not exceed the established maximum size of 8.5" by 11", unless exempted pursuant to ARS 39-103.

• Electronic (Computer-generated) Form - A standard form, approved for computer creation, developed by the Forms Coordinator, that consists of a computer screen image, into which staff enter information (fill-in) directly into a microcomputer system and print as required.

FORMAT - A computer generated, reproduced or printed document, the primary purpose of which is to convey information based on a published outline or sample. Examples include memorandums, routing slips, management tracking tools, lists, letters, certain types of logs and pleading documents or requests in a format required by a court. Formats are generally not maintained as a permanent record but are tied to a specific function or used to track information.

FORMS LIAISON - A staff member designated by the Deputy Director, Division Directors, Wardens or Administrators to coordinate issues related to forms used by their organizational units or functions. These staff members shall act as liaisons with the Forms Coordinator and ACI.

FORMS LISTING - A list of all forms that includes such information as the form name, form number, the type of form, date initiated or revised, the primary user of the form, whether the form is in revision, and printing instructions. The list is published by the Forms Coordinator and distributed to all institutions and bureaus.

FORMS COORDINATOR - Forms analyst in the Policy Unit who oversees the development, revisions and control numbers for Department forms.

ON CYCLE PRINTING - An ACI six months printing cycle, beginning in either August or February, when users can order forms. ACI may offer discounted prices for volume orders during this time.

OFF CYCLE PRINTING - Forms ordered outside the August or February cycles. Volume discounts may not apply.

Dora Schriro

Director

Attachment - A, New Forms Request

ARIZONA DEPARTMENT OF CORRECTIONS