CRM PREP WORKSHOPPart 1

Management Principles and the Records and Information (RIM)

Program

Management Functions

Planning, Organizing, Directing, Controlling.Apply these management principles to the RIM

program:

• Ensure retention of needed records for appropriate time periods.

• Control records.• Improve client responsiveness.• Reduce vulnerability or loss of records, particularly vital

records.• Ensure legal compliance—reduce legal exposure.

RIM Management Functions

Emphasize the life-cycle concept of records to staff.

• Establish records management policies and procedures.

• Emphasize underlying concepts.– The organization as owner of its records.– Records as an asset, not overhead.– Records management as a facet of asset

management.

RIM Management Functions

The planning, organizing, directing and controlling of the records of an organization.

• The identification, classification and retrieval, storage and protection, receipt and transmission, retention, disposal and/or preservation of the records.

• The systems, policies, procedures, operations, space, equipment and staff required to administer the records.

• The related coordination with IT and training of both users and providers of records management services.

RIM Management Functions

• Interpreting organizational mission and values.• Understanding corporate culture.

– Influence of corporate culture on the individual and RIM program.

– Blending RIM program with corporate culture.

Management Theories,Concepts and Techniques

Review classical and modern management theories and concepts:

• Maslow * Outsourcing• Hertzberg * Team Building• McGregor (X & Y) * Re-engineering• Total Quality Management (TQM) * Rightsizing• Management by Objective (MBO) * Ouchy (Z)• Quality Circles * Knowledge Management• Drucker * Deming• Downsizing * Scientific Management• Path/Goal theory * Contingency

Management

The Decision-Making Process

Review the steps in the decision-making process. Be able to apply this process to a RIM program.

1. Identify the problem.2. Develop the alternatives.3. Evaluate the alternatives.4. Select an alternative.5. Implement and refine the chosen alternative.6. Evaluate the results and follow-up.

The Decision-Making Process

Review decision-making options and identify the advantages of each option:

• Brainstorming• Delphi technique• Feasibility study• Non-programmed, routine and programmed

decisions• Committee• Feedback

Organizational Goals and Objectives

Organizational Structure:

• Strategic plans * Horizontal and vertical• Mission statements organization• Span of control * Matrix, network, informal,

team structure• Organization charts• Functional-level, decision-level, top-level, organizational-

level and mid-level managers• Difference between goals and objectives• Flat structures

Human Resources/Staffing

The overall principles of recruiting, managing, training and promoting RIM personnel.

Recruitment:

• Halo effect * Worker skills• Nepotism * Diversity – age, race,• Mentoring gender, etc• Simulation * Coaching• Selection criterion * Orientation

Training and Development

Performance Evaluation:• On-the-job training * Employee appraisal• Job enrichment * Goal setting• Mentoring * Rewards• Simulation * Upward evaluation• Role playing * Job evaluation• Remedial training * Test reliability and • Productivity validity• Programmed instruction

Job Descriptions

Employee and Labor Relations:

• Writing job descriptions * Flextime• Job specifications * Job sharing• Job criteria * Mediator• Cafeteria benefits * Employee • Turnover rate assistance

program• Grapevine (EAP)

Temporary Personnel

Consultants - Outsourcing - Workplace Diversity:

• Temporary workers * In-house consultants• Part-time workers * Worker diversity• Contingent workers• Outsourced employees• External consultants

Financial Considerations in a RIM Program

Estimating Resources – Program Budgeting:

• Operating budget• Discretionary• Committed, dedicated, avoidable• Revenue budget• Zero-based• Top-down

Cost Analysis, Cost Justification and Proposal

Writing

Return on investment (ROI)• Internal rate of return• Overhead costs• Benchmarking• Opportunity costs• Forecasting• Cost-benefit analysis• Break-even analysis• Risk analysis

Forecasting and Benchmarking

Request for Proposal (RFP)• Request for Quotation (RFQ)• Bid Evaluation Process• Feasibility Studies

Development of a RIM Program

Definitions and Objectives - The Life-Cycle Concept:

Types of Documents – reference, transitory, administrative, retention and transaction.

• Types of Records – temporary, archival, permanent long-term.

• Information Systems Development – preliminary problem definition, conceptual and detailed design.

• Steps in Life Cycle – creation, distribution, retention, retrieval, protection, disposition.

The Evolution of RIM

Collaboration:

Government archives influence on RIM• Manual systems to electronic systems• Changes in employee skill requirements• Working with IT professionals• Globalization• Group problem-solving techniques

Planning a RIM Program

Scope and Policy - Formulating a Strategy:

Feasibility study• RIM Scope of influence• Defining RIM program• Work simplification study• Disaster recovery/contingency planning• SWOT analysis

Integrated Systems Approach

Role of RIM Manager and Staff - Management Support and Program Marketing - Mergers, Acquisitions, Divestitures, and Joint Ventures:

• Open systems * Strategic alliances• Subsystems * IT collaboration• Decision-support systems * Addressing

customer• Top management backing needs• Planning for change• Global considerations

Organizing a RIM Program

Determining Functions - Assigning Responsibilities and Authorities:

• Span of control * Functional organizational

• Scalar principle structure• Chain of command * Hierarchy of authority• Job rotation, job sharing * Resource allocation• Job specialization, job design• Job enlargement, job enhancement

Question #6

The responsibilities of a manager in an organi-zation’s chain of command is specified by the:

a. organizational matrix.

b. board of directors.

c. top-level managers.

d. span of control.

e. hierarchy of authority.

Answer:

The responsibilities of a manager in an organi-zation’s chain of command is specified by the:

a. organizational matrix.

b. board of directors.

c. top-level managers.

d. span of control.

e. hierarchy of authority.

Directing and Controlling a RIM Program

Setting Goals and Determining Objectives - Work Measurement:

• PERT charts * Quantity and quality • Gantt charts control• Critical path method (CPM) * Turnaround time• Retrieval efficiency ratio * Synergy• Time and motion studies * Validity, reliability• Work sampling• Routine, demand, exception reports

Reports and Follow-up

Evaluation of Program/Audits:Systems follow-up• Project status reports• Exception reports• Compare plans with results• Determine effectiveness• Monitor and evaluate program

Implementing a RIM Program

Marketing RIM - Setting Standards and Guidelines - Developing RIM Manuals:

• Selling the RIM program• Develop RIM manuals coordinated with

organizational, policy, operating and administrative procedures manuals

• ISO standards

Implementing Policies and Procedures

Training and Orientation - Providing Technical Assistance and Support:

• Conversion methods (parallel, pilot, phased)• On-the-job training• Cross-training• Mentoring, motivation• Vertical training• Affiliation

Legal Considerations of a RIM Program

Legislative and Regulatory:

• Legal responsibility• Arbitrator * Security issues• Ombudsman * Right to

privacy/confidentiality• Statute of limitations * Research value• Tax liabilities, legal requirements• Provenance principles

Intellectual Property, Contract and Agreements

• Patents * Alliances• Copyrights * Statute of Limitations• Trademarks * Global considerations• Trade secrets * Piracy• Licenses• Logos• Emblems

Ethical Responsibilities

Concept of Professionalism – ICRM Code of Ethics – Social Responsibilities:

• Value systems• Corporate culture• Code of ethics – individual and professional• Corporate watchdogs• Whistleblowers• Management leadership

Global Concerns of a RIM Program

Standards and Models:

• Infrastructure• Social structure• Financial structure• Government structure• ISO standards• ANSI standards

Multi-National Issues

• Licenses * Global strategies• Franchises * Cartels• Trade permits * Quotas• Tariffs * Price controls• Reciprocity * Boycotts• Subsidies• Bribes

Security Challenges

• Domestic instability * Confidentiality• Political instability * Ownership

access• Corruption * Copyrights• Foreign conflict * Piracy• Privacy