Annotated Outline Part 1

Part 1

Management Principles and the Records and Information Management Program

Management principles have been developed over the years to help managers perform their jobs more successfully. These principles and accepted theories should be applied when organizing and managing a Records and Information Management (RIM) program. Part 1 includes topics such as staffing, budgeting, cost analysis and control, organizational placement, authority and scope of a program. Additional topics such as management theories, ethical obligations and global concerns are also included.

1. PRINCIPLES OF MANAGEMENT

   Study the steps in the decision-making process and evaluate the models available. Know the various decision making techniques and when these techniques should be applied.

   Know the various methods and concepts used to manage a business.

   Understand the major tenets of managing projects successfully. Be aware of the tools and techniques needed to guide the planning, scheduling, budgeting, organizing and controlling of a project. Understand the role of the project manager and project team members.

   Understand the importance of business concepts such as Business Process Management, Change Management and Agility. Describe methods that are driven to bring technology, people and processes together to improve operational efficiency. Know the six activities that drive organizational change and implementation: vision, design, modeling, execution, monitoring and optimization.

   Understand what is needed to shift individuals, teams and organizations from a current state to a desired future state.

   1. Management Theories and Concepts - Scientific Management theories are vehicles through which the practice of management can be prescribed. As a manager, you should understand what a management theory is and the various theories that have been commonly adopted in the business community.(Under Keywords is a list of the more widely authors of Scientific Management Theories. The names are provided to guide you to the theory, not to suggest the details of the person should be memorized)
   2. Organizational Structure - Know the various models of organizational structure and identify the differences, strengths and weaknesses of each type.

      Know the value of an organization mission statement, goals and objectives. Review how the organizational, departmental, and individual goals and objectives are interrelated. Understand how the goals and objectives of a RIM program should fit into the organizational goals. Be able to identify what responsibilities the RIM manager has when designing programs to fit into the culture, mission, and goals of the organization. Identify how a RIM program can benefit by aligning with the corporate goals and participating in cross-department collaboration.

   3. Professional Ethics

      Understand the role of a RIM professional in society and the legal and ethical responsibilities that are associated with being a professional. Be able to explain how an organization’s social responsibilities influence RIM programs and procedures.

      Know what is included in ICRM Code of Ethics. Understand the purpose of a code of ethics and the expected professional role model a CRM should emulate.

2. MANAGEMENT FUNCTIONS
   1. Human Resources - Understand the human resource function and be able to describe the procedures and criteria used to select, train, and retain personal. Includes understanding how to develop a job description, determine appropriate compensation, and competitive benefit package.

      Training and Development is a crucial element of being a successful manager. Understand how to identify an employee’s training needs and what the impact of employee coaching can be. Understand the various training techniques that can be considered along with advantages and disadvantages of each.

      Learn how often an employee evaluation should occur, who should do the appraisal, and what techniques could be considered.

      It is the responsibility of managers within organizations to use diversity as a resource in order to influence and enhance organizational effectiveness. Understand what a workplace diversity program is and how a company can benefit from it. Identify the ways in which employees can be motivated including benefits, pay, and other incentives. Understand the different styles of workplace communication and how they affect the relationship between employee and management.

      Identify factors that aid in creating an environment of worker enthusiasm, morale, and desire to work.

   2. Financial Considerations - Understand what a resource is and how to estimate what you will need to support a RIM program. Include creating a budget, cost justifying, and performing cost analysis.

      Program budgeting is the process of identifying, estimating, and justifying costs in running the RIM function. Know the purposes, advantages, and limitations of budgeting. Identify the principles of budget preparation. Be able to walk through the steps of the budgeting process.

      Understand what a financial audit is and how it provides reasonable assurance that the financial statements represent the organization’s true financial position and results of operations and cash flows in conformity with generally accepted accounting principles. Understand the role of the RIM manager during a financial audit and how RIM principals can assist with the process.

      Developing a RIM program may involve purchasing services or systems. Understand the necessary steps needed to invest in a capital purchase, outsource, or other services.

   3. Global Concerns - RIM programs play an important role in our global economy. Assess why standards and models are necessary in the RIM environment. Be familiar with national and international standards organizations, such as AIIM, ANSI, ARMA, BSI, ISO, and NISO. Understand the purpose of uniform standards of quality and the record-keeping requirements of ISO compliance practices. Understand what records must be maintained to demonstrate conformance to quality assurance standards.

      Many organizations compete at an international level. Know how a RIM program is affected as an organization expands to different areas of the globe. Know where to find the resources to respond to multinational issues.

      International organizations have additional security issues to address. Be able to identify management’s responsibility and liability for international security requirements, methodologies and threats. Understand the issues related to privacy within an international organization and necessary steps needed to become compliant with requirements.

3. RIM PROGRAM
   1. Planning - Identify the goals and objective of a RIM program. Be able to analyze the size and depth of the existing RIM program in an organization and determine what actions are necessary to achieve mature RIM objectives. Identify how a RIM program fits into the overall goals and objectives of an organization; consider when an organization is growing, stabilizing, retrenching, or downsizing. Understand the proper placement for responsibilities and authorities within the program that will support and enable the organizational goals and objectives.

      Know the responsibilities of the RIM manager and the staff of a RIM program. Determine the skillset necessary to build and sustain a successful RIM program. Understand how the degree of responsibility could vary as the RIM program evolves.

      Be able to distinguish the difference between a merger, acquisition, divestiture, and joint venture. Understand how to assess the unique RIM responsibilities that may arise from major management reorganization.

      Examine the role of professional organizations such as ARMA, AIIM, BFMA, SAA, IT associations and the ICRM in promoting RIM. Identify what benefits can be gained from belonging to a professional organization.

      Study techniques for effectively communicating with senior leaders to gain support for a mature RIM program.

   2. Building - Know how plan and conduct a records survey and analyze and organize the findings. Understand how records relate to business process, organization requirements, and system needs. Be able to perform an evaluation of issues related to unmanaged information and provide alternative solutions to the problem. Know who the stakeholders are and how meet their needs.

      Be able to explain how policies and procedures drive compliance in the RM program. Understand what a policy is and how it differs from a procedure. Explain what should be included in a RIM policy and what supporting procedures may be necessary.  Know what standards and guidelines are and how they assist program implementation, quality, and work measurement. Be knowledgeable on publications such as The Principals and the various RIM-related ISO standards and understand how they can assist in developing organizational RIM standards.

      Recognize who the customers and stakeholders are and state how a stable RIM program can improve their operational efficiencies.

      A collaborative and cooperative effort among RIM, IT, legal, and compliance is necessary for success. Understand the significance of each group and their role in the RIM program. Explain which elements of the program are important to internal groups outside of RIM and how RIM can work in alignment to help them meet their goals and objectives.

      Know how to communicate the value proposition of RIM program components such as cost savings, space savings, operational efficiencies, increased accessibility of records, compliance, and risk mitigation.

      Understand the value of training the entire organization on RIM policy and procedures. Be able to identify additional training needed to use software, use and apply the retention schedule, send records offsite, etc. Know the importance and value of an orientation program for new employees. Identify the different levels of RIM training provided to the whole organization, department level coordinators, and internal RIM staff.

   3. Directing - Directing is about executing the methods to work efficiently to achieve the set organizational objectives. Recognize the managers’ goal of creating a detailed plan towards achieving a specific organizational objective. Know how to establish performance standards and the various methods used for assessing performance of tasks.

      Know how reports provide good program visibility and give feedback to RIM employees and senior leadership. Be familiar with the methodology of reporting; understand how to write effective reports and identify who would value from the information.

   4. Controlling - Understand the importance of the audit process. Know how to use inspections, evaluations, and audits to identify the RIM program’s efficiency and effectiveness. Know the three ratios of accuracy, activity, and retrieval efficiency; know how each are calculated and what measures are considered acceptable. Understand techniques such as investment, payback period, and break-even analysis and know when each is best used and its advantages and disadvantages. Be able to calculate each of these techniques.