Management Principles and the RIM Program
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1 Management Principles and the Records and Information Management (RIM) Program Management Principles and the RIM Program Principles of Management Human Resources/Staffing Methodologies Financial Considerations Planning Directing & Monitoring a RIM Program Ethical Responsibilities Global Concerns of a RIM Program Additional RIM Program Components Principles of Management Management Functions Planning Organizing Directing Controlling 1
2 Sample Question 1 1. The process of accomplishing tasks through the efforts of others is: a. planning. b. influencing. c. controlling. d. managing. e. supervising. Principles of Management Management Theories and Concepts Abraham Maslow Herzberg Douglas McGregor (X & Y Theory) Total Quality Management (TQM) Management by Objective (MBO) Quality Circles Peter Drucker Downsizing Path/Goal theory Outsourcing Team Building Re-engineering Rightsizing William Ouchi (Theory Z) Knowledge Management W. Edwards Deming Frederick Winslow Taylor Contingency Management Sample Question 2 2. A motivating condition associated with Herzberg s concept of satisfiers are: a. authority without accountability. b. recognition. c. job security. d. financial rewards. e. job simplification. 2
3 Principles of Management Organizational Mission, Goals, and Objectives Responsibilities in developing the RIM Program Formulate decision-making RIM Program goals and objectives Principles of Management Organization Structure Line Line and staff Committee Network Matrix Team Sample Question 3 3. Matrix organizations offer the advantage of: a. allowing more discussion than action. b. reducing the need for flexibility. c. requiring workers to adapt to less change. d. motivating workers to identify with the product. e. reducing the need for interaction among workers. 3
4 Principles of Management Decision-Making Review the steps in the decision-making process. 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 Sample Question 4 4. Goal setting involves: a. establishing a committee to set project standards. b. periodic review of objectives. c. increasing the performance objectives and maintaining the same level of rewards for employees. d. using plans for future accomplishments. e. reducing ideas to their basic values. Human Resources and Staffing Staffing Planning an effective, efficient workforce Staffing options Procedures for recruitment Selection criteria Job descriptions Interviews 4
5 Sample Question 5 5. Selection is the process of applicants in order to choose the best persons for a job. a. interviewing b. applying c. hiring d. screening e. legislating Human Resources and Staffing Training and Development On-the-Job Training Online training Hands-on Distance learning In-house seminars Outside sources Team trainers Mentoring Human Resources and Staffing Performance Evaluation Employee performance evaluations Employee reward programs Peer reviews Competencies 5
6 Sample Question 6 6. The training technique in which employees are expected to act under simulated conditions is: a. mentoring. b. case study. c. brainstorming d. role playing e. feedback Human Resources and Staffing Job Descriptions Writing Job Descriptions Job Specifications Selection Criteria Compensation and benefits Sample Question 7 7. Changes in workforce, organizational structure, or regulatory requirements requires a(an): a. system redesign. b. updates to the retention schedule. c. review of policy and procedures. d. mandate to suspend ordinary destruction process. e. enterprise management report 6
7 Human Resources and Staffing Temporary Personnel, Consultants, Outsourcing, and Workplace Diversity Temporary workers Part-time workers Contingent workers Outsourced employees External consultants In-house consultants Worker diversity Sample Question 8 8. In a firm that uses a matrix organization structure, RIM managers can draw on resources from other for projects. a. technology b. companies c. systems d. markets e. departments Human Resources and Staffing Employee and Labor Relations Workplace communication Worker enthusiasm and desire to work Employee motivation Motivational theories 7
8 Human Resources and Staffing Workplace Diversity What is a workplace diversity program? Benefits and challenges Used to enhance organizational effectiveness Methodologies Project Management Major tenets of managing successful projects Project management tools and techniques Role of the project manager and team members Work Breakdown Structure (WBS) Project management tools Sample Question 9 9. A project s should be leveraged to set goals and objectives and make decisions. a. documented vision b. mission statement c. executive sponsor d. vision statement e. subject matter expert 8
9 Methodologies Business Process Management (BPM) BPM: the definition Terminology Drivers BPM Activities Methodologies Change Management Employee acceptance Steps to develop a structured approach Financial Considerations Estimating Resources Understand how to estimate resources to support a RIM Program. Resource specifics 9
10 Sample Question The success of is defined by the ability to change business processes at a speed governed by the business cycle. a. mergers and acquisitions b. scenario planning c. change management d. management by objective e. business process management Financial Considerations Program Budgeting Budget process Different types of budgets Preparing a RIM program budget Financial Considerations Cost Analysis Scope of a RIM program Determine management s responsibility Determining RIM objectives 10
11 Sample Question Doing a cost-benefit analysis compares the cost of an activity with the expected that results from performing the activity. a. legal exposure b. financial risk c. break-even point d. benefit or revenue e. business accountability Financial Considerations Cost Justification Definitions and concepts Cost-avoidance justification Expense-reduction justification Cost-benefit analysis Financial Considerations Forecasting and Benchmarking Definitions Differences Examples of how these processes are used in a RIM program 11
12 Sample Question An organization comparing its performance to another high-performing organization is: a. competition. b. re-engineering. c. mentoring. d. benchmarking. e. subordinating. Financial Considerations Financial Audits True financial position Role of RIM manager Understand audit terminology International standards Sample Question The period of time required for the to repay the sum of the original investment is the investment payback period. a. CFO b. RFP c. RFI d. RFQ e. ROI 12
13 Financial Considerations Writing Requests for Proposals/Quotations/Information Differences between an RFP, RFQ and RFI Tier 1 or Tier 2 vendors Outsourcing, solution providers and service level agreements Sample Question A primary purpose of a is to communicate an organization s requirements to a vendor or supplier. a. Request for Proposal (RFP) b. Request for Information (RFI) c. Request for Pricing (RFP) d. Request for Tender (RFT) e. Request for Quotation (RFQ) Planning Scope Scope of a RIM program Determine management s responsibility Determining RIM objectives 13
14 Planning Formulating a Strategy Records survey Business analysis Solution evaluation Systems analysis Planning Setting Goals and Determining Objectives Formulate decision-making RIM program goals and objectives RIM manager s responsibilities Sample Question The analysis in strategic planning matches internal organizational strengths and weaknesses with external opportunities and threats. a. financial b. SWOT c. cost-benefit d. legal risk e. RFP 14
15 Planning Role of RIM Manager and Staff Responsibilities defined Interaction with other areas of the organization Customer service defined Planning Management Support and Program Marketing Importance of Management Support Selling the RIM Program Strategies for presentation and promotion Planning Mergers, Acquisitions, Divestitures, and Joint Ventures Definitions RIM program effects Unique RIM responsibilities 15
16 Sample Question Measuring process performance to provide the metrics and business intelligence needed to drive improvement strategies and discover opportunities for innovation is: a. execution. b. vision. c. analysis. d. modeling. e. optimization. Planning Collaboration What is it? Who are the partners? Professional organizations Planning Determining Functions, Assigning Responsibilities and Authorities Responsibilities of the RIM Manager RIM Program mission, goals, objectives and structure Proper placement of program and authorities within the program 16
17 Additional RIM Program Components Communication and Awareness RIM program added-value Marketing the program Advertise key accomplishments Additional RIM Program Components Incorporating Standards and Guidelines Define the two terms; know the differences. Be familiar with Generally Accepted Recordkeeping Principles ( The Principles ); ISO Standards. Development of corporate RIM Standards. Sample Question The Generally Accepted Recordkeeping Principles (The Principles) were created by ARMA and include all of the following principles, except: a. accountability. b. protection. c. compliance. d. authenticity. e. transparency. 17
18 Additional RIM Program Components RIM Manuals, Policies and Procedures Manual development Types of manuals Documenting revisions Policies and procedures development Sample Question Incorporating suggestions of users as well as policy makers into revisions is part of the of the RIM manual. a. audit review b. maintenance c. grammatical edit d. distribution e. final authorization Additional RIM Program Components Training and Orientation Training on RIM policy and procedures Additional training needs Orientation program for new employees Training for enterprise vs. RIM employees 18
19 Sample Question To begin to effectively change behaviors, employees must first: a. agree to be active players in the new process. b. be identified as change agents. c. receive project management training. d. stop current behaviors. e. embrace the idea of change. Directing and Monitoring a RIM Program Metrics, Reports, Auditing and Evaluation Work assignment objectives/measurement Task performance assessment Report methodology Program visibility and promotion Program evaluation and audits Ethical Responsibilities Professionalism, ICRM Code of Ethics, and Social Responsibility Define professionalism. RIM professional legal and ethical responsibilities ICRM Code of Ethics 19
20 Global Concerns of a RIM Program Standards and Models National and international standards importance ISO compliance practices Records maintenance Global Concerns of a RIM Program Multi-national Issues and Security and Privacy Global expansion effects Security issues and threats Privacy issues Sample Question The first global standard for RIM is: a. DOD b. ISO c. MoReq. d. ISO e. ISO
21 Questions?. 21
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