Management Principles and the RIM Program

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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

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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.

CRM Exam Prep Product July 2014

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.

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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.

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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

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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

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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

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Human Resources and Staffing

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

Temporary Personnel, Consultants, Outsourcing, and Workplace 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

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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

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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.

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Sample Question 10

10. 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

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Sample Question 11

11. 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

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Sample Question 12

12. 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 13

13. 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

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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 14

14. 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

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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 15

15. 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

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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

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Sample Question 16

16. 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

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Additional RIM Program Components

Communication and Awareness

• RIM program added-value • Marketing the program • Advertise key accomplishments

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.

Additional RIM Program Components

Sample Question 17

17. 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.

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RIM Manuals, Policies and Procedures

• Manual development • Types of manuals • Documenting revisions

• Policies and procedures development

Additional RIM Program Components

Sample Question 18

18. 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

Training and Orientation

• Training on RIM policy and procedures • Additional training needs

• Orientation program for new employees • Training for enterprise vs. RIM employees

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Sample Question 19

19. 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

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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 20

20. The first global standard for RIM is: a. DOD 5015.2.

b. ISO 9000. c. MoReq. d. ISO 4220. e. ISO 15489.

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Questions?

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