CRM PREP WORKSHOP
Part 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:
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Maslow
Hertzberg
McGregor (X & Y)
Total Quality Management (TQM)
Management by Objective (MBO)
Quality Circles
Drucker
Downsizing
Path/Goal theory
Management
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Outsourcing
Team Building
Re-engineering
Rightsizing
Ouchy (Z)
Knowledge Management
Deming
Scientific Management
Contingency
The Decision-Making
Process
Review the steps in the decision-making process.
Be able to apply this process to a RIM
program.
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Identify the problem.
Develop the alternatives.
Evaluate the alternatives.
Select an alternative.
Implement and refine the chosen alternative.
Evaluate the results and follow-up.
The Decision-Making
Process
Review decision-making options and identify the
advantages of each option:
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Brainstorming
Delphi technique
Feasibility study
Non-programmed, routine and programmed
decisions
• Committee
• Feedback
Organizational Goals and
Objectives
Organizational Structure:
• Strategic plans
• Mission statements
• Span of control
* Horizontal and vertical
organization
* Matrix, network, informal,
team structure
• Organization charts
• Functional-level, decision-level, top-level, organizationallevel 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:
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Halo effect
Nepotism
Mentoring
Simulation
Selection criterion
* Worker skills
* Diversity – age, race,
gender, etc
* Coaching
* Orientation
Training and Development
Performance Evaluation:
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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:
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Writing job descriptions
Job specifications
Job criteria
Cafeteria benefits
Turnover rate
Grapevine
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Flextime
Job sharing
Mediator
Employee
assistance program
(EAP)
Temporary Personnel
Consultants - Outsourcing - Workplace
Diversity:
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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:
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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 LifeCycle 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:
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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 organization’s chain of command is specified by the:
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b.
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organizational matrix.
board of directors.
top-level managers.
span of control.
hierarchy of authority.
Answer:
The responsibilities of a manager in an organization’s chain of command is specified by the:
a.
b.
c.
d.
e.
organizational matrix.
board of directors.
top-level managers.
span of control.
hierarchy of authority.
Directing and Controlling a
RIM Program
Setting Goals and Determining
Objectives - Work Measurement:
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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:
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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
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Patents
Copyrights
Trademarks
Trade secrets
Licenses
Logos
Emblems
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Alliances
Statute of Limitations
Global considerations
Piracy
Ethical Responsibilities
Concept of Professionalism – ICRM Code
of Ethics – Social Responsibilities:
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Value systems
Corporate culture
Code of ethics – individual and professional
Corporate watchdogs
Whistleblowers
Management leadership
Global Concerns of a RIM
Program
Standards and Models:
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Infrastructure
Social structure
Financial structure
Government structure
ISO standards
ANSI standards
Multi-National Issues
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Licenses
Franchises
Trade permits
Tariffs
Reciprocity
Subsidies
Bribes
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Global strategies
Cartels
Quotas
Price controls
Boycotts
Security Challenges
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Domestic instability
Political instability
Corruption
Foreign conflict
Privacy
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Confidentiality
Ownership access
Copyrights
Piracy