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, methodologies, ethical obligations and global concerns are also included.
  1. PRINCIPLES OF MANAGEMENT
    1. Management Functions. The application of general management principles includes the management functions of planning, organizing, directing, controlling and staffing. Be able to identify the RIM professional’s role in each of these elements. Understand communication techniques, listening skills and leadership styles and how they affect leadership ability and effectiveness.
    2. Management Theories and Concepts. Management theories are vehicles through which the practice of management can be prescribed. This section covers classic theories from Taylor, Gilbreth and Weber, along with more current theories from Deming, Juran and Ouichi. Understand what a management theory is and the various theories that have been commonly adopted in the business community. Know how management theories and concepts contribute to organization operations and the specific elements of the various theories that have been referenced over the years.
    3. Organizational Mission, Goals and Objectives. Goals and objectives help to formulate decision making, establish consistency and facilitate teamwork. Review how organizational, departmental and individual goals and objectives are interrelated. Identify the goals and objective of a RIM program. Be able to identify what responsibilities the RIM professional 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.
    4. Organizational Structure. Know the differences, strengths and weaknesses of the types of organizational structure such as line, line and staff, committee, network, matrix, team and informal. Be able to identify situations where each organizational structure can be applied in a RIM program.
    5. Decision-Making. Study the steps in the decision-making process and evaluate the models available. Understand terms such as problem analysis brainstorming, decision matrices, payoff tables, decision tree analysis and group decision support systems. Know the various decision making techniques, the advantages and disadvantages of each and when these techniques should be applied.
  2. HUMAN RESOURCES/STAFFING
    1. Determining the need for human resources is a major activity in the planning function. Know how to plan and organize an effective, efficient workforce in a RIM program. Understand staffing options such as internal employees, full-time, part-time, temporary personnel, outsourcing and consultants. Evaluate the purpose, advantages and disadvantages of each option. Understand the human resource function and be able to describe the procedures and criteria used to select personnel.
    2. Training and Development. An organization must accurately identify its training needs and how training is to be delivered. Know the advantages and disadvantages of the different methods and techniques of training and education of employees such as online, hands-on, distance learning, in-house seminars, outside sources and team trainers. Know the psychological factors that should be considered when developing a training program.
    3. Performance Evaluation. Examine various methods of evaluating employees and rewarding performance such as critical-incident techniques, rating scales, and narrative. Learn how often an employee should be evaluated and who should do the appraising.
    4. Job Descriptions. Know what information should be included in a job description for RIM positions plus how the RIM professional must provide for increasing both job depth and job scope for employees. Examine methods for determining the appropriate compensation (salary and other incentives) for varying levels of employees and how that compensation schedule should fit into the framework of compensation administration within the organization.
    5. Employee Relations. Understand the varying styles of workplace communication and how they affect relationship between employee and management. Identify factors that aid in creating an environment of worker enthusiasm, morale and desire to work. Identify the ways in which employees can be motivated including benefits, pay and other incentives. Examine the motivational theories of Herzberg and Maslow. Also examine Theories X, Y and Z management styles as they apply to worker motivation.
    6. Workplace Diversity. While diversity in the workplace brings about many benefits to an organization, it can also lead to challenges. 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. Be able to identify challenges that could be inherited and what a manager could do to address them. Understand the difference between a monolithic, a plural and a multicultural organization.
  3. METHODOLOGIES
    1. Project Management. 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. Know what a Work Breakdown Structure (WBS) is and how it should be managed and monitored. Be familiar with project management terms such as scope, baseline and dependency, critical and noncritical path. Understand the use of project management tools such as the Gantt and PERT charts.
    2. Business Process Management. Understand how Business Process Management (BPM) is used to bring technology, people and processes together to improve operational efficiency. Know the terminology used in the BPM model. Understand how BPM can drive enterprise content management. Be able to describe the six activities that define BPM: vision, design, modeling, execution, monitoring and optimization.
    3. Change Management. Understand how empowering employees to accept and embrace changes in their current business environment can assist with the implementation of a RIM program. Understand the steps needed to develop a structured approach to shifting/transitioning individuals, teams and organizations from a current state to a desired future state.
  4. FINANCIAL CONSIDERATIONS
    1. Estimating Resources. Understand how to estimate the resources you will need to support a RIM program. Resources may include personnel, equipment, materials, money, facilities and supplies.
    2. Program Budgeting. 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. Know the different types of budgets such as zero-based budgeting. Be able to prepare a budget for a RIM program. Identify the various ways of analyzing and controlling costs such as personnel, supplies and materials, equipment, work process and ongoing versus setup. Be able to walk through the steps of the budgeting process.
    3. Cost Analysis. Using cost analysis is an economic decision-making approach in the assessment of whether a proposed project, program or policy is worth doing. Economic evaluation, cost allocation, efficiency assessment, cost-benefit analysis, or cost-effectiveness analysis represent a continuum of types of cost analysis that can have a place in program evaluation. Understand the benefits of performing a cost analysis, elements of a cost analysis study and terms such as opportunity costs and intangible items.
    4. Cost Justification. Determine and be able to describe ways of justifying programs, equipment and personnel. Two approaches are cost-avoidance justification and expense-reduction justification. Examine concepts such as risk analysis, current value and incremental costs as they apply to program justification. Know the components and how to prepare a cost/benefit analysis. In many cases these comparisons will result in a written report or proposal that will be presented to management for approval.
    5. Forecasting and Benchmarking. Know the definitions of forecasting and benchmarking and understand the difference between them. Evaluate the techniques of each and be able to give examples of how each could be used in a RIM program.
    6. Financial Audits. Financial audits provide reasonable assurance that the financial statements present the true financial position, results of operations and cash flows in an organization in conformity with generally accepted accounting principles. Understand what the role of the RIM professional should be during a financial audit and how RIM principals can assist with the process. Know terms such as cash and accrual basis, cash flow management, chart of accounts, debits and credits, double-entry system, fair value accounting and general ledger. Be familiar with International Standards of Auditing (ISA) issued by the International Auditing and Assurance Standards Board (IAASB).
    7. Writing Requests for Proposals/Quotations/Information. Developing a RIM program may involve purchasing services or systems. An important part of this process is writing a Request for Proposal. Know the necessary components of a Request for Proposal (RFP), Request for Quotation (RFQ), or a Request for Information (RFI) and how to write each of the requests. Understand terms such as Tier 1 vendor and Tier 2 vendor and the difference between them. Know related terms such as outsourcing, solution provider and service level agreement.
  5. PLANNING
    1. Analyze the size and breadth of the RIM program in an organization. Determine management’s responsibility and intent on what actions should be taken to achieve the RIM objectives.
    2. Formulating a Strategy. Know how to develop a plan to conduct a records survey to determine the “what, when, where and by whom?” Be able to conduct an analysis of a business process, its problems, system needs, requirements and evaluation of alternative solutions to the problem. Practice by taking a RIM project through the following steps: identify the problem, study the alternatives, select an alternative, implement the selected alternative, review the impact, follow up and maintain.
    3. Setting Goals and Determining Objectives. Goals and objectives help to formulate decision making, establish consistency and facilitate teamwork. Review how organizational, departmental and individual goals and objectives are interrelated. Identify the goals and objective of a RIM program. Be able to identify what responsibilities the RIM professional has when designing programs to fit into the culture, mission and goals of the organization. Identify how a RIM program fits into the overall goals and objectives of an organization if the organization is growing, stabilizing, retrenching, or downsizing.
    4. Role of RIM Manager and Staff. The RIM manager is someone who is responsible for records and information management in an organization. The scope of responsibilities may vary based on many factors such as the industry, structure, size and location of an organization. Know the responsibilities of the RIM manager and the staff of a RIM program. Understand how the degree of responsibility varies as the RIM program evolves. Understand how the RIM staff should interact with other areas of the organization and how to identify and service customers of the RIM program.
    5. Management Support and Program Marketing. Understand how to align the RIM program with organizational goals and objectives. Understand how to identify stakeholder needs and how to develop presentations to address those needs. Identify what information is important to top management. Study techniques for effectively providing the information as part of selling the program to top management. >
    6. Mergers, Acquisitions, Divestitures and Joint Ventures. Be able to distinguish the difference between a merger, acquisition, divestiture and joint venture. Assess the effects that major changes in an organization may have on the RIM program. Understand how to assess the unique RIM responsibilities that may arise from major management reorganization. Be familiar with terms such as demerger, spin-off, spin-out, hostile takeover and reverse merger.
    7. Collaboration. Implementing comprehensive recordkeeping principles requires a cooperative effort among RIM, IT, legal and compliance. 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 collaboratively to help them meet their goals and objectives. 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.
    8. Determining Functions. Know the responsibilities of the RIM professional in organizing the program and the department plus the organizational skills needed to coordinate vertically and horizontally within the organization. Know and understand related definitions such as scalar principle and unity of command.
    9. Assigning Responsibilities and Authorities. Considering the overall organizational structure, know the missions, goals and objectives of the RIM program. Understand the proper placement for responsibilities and authorities within the program that will support and enable the organizational goals and objectives.
  6. ADDITIONAL RIM PROGRAM COMPONENTS
    1. Communications and Awareness. Know how to emphasize areas of the RIM program that add value to the organization. Understand the importance of promoting the RIM program to both senior management and users. 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.
    2. Incorporating Standards and Guidelines. Know what standards and guidelines are and how they assist program implementation, quality and work measurement. Be knowledgeable on publications such as GARP and the various RIM related ISO standards and understand how they can be used to assist in developing RIM standards.
    3. RIM Manuals. Know the purpose, importance and benefits of developing RIM manuals. Be aware of the various RIM manual components and the appropriate use. Understand how to control and document revisions and amendments and the necessary steps to maintain each.
    4. Policies and Procedures. Know the purpose of a policy and what should be included in the RIM policy. Understand the purpose of a procedure and how it differs from a policy. Be able to explain how policies and procedures drive compliance in the RM program.
    5. Training and Orientation. Understand the value of training the entire organization on RIM policy and procedures. Be able to identify additional training that may be 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 training and RIM concepts to be provided to the whole organization versus RIM related employees.
  7. DIRECTING AND MONITORING A RIM PROGRAM
    1. Metrics. Know how to use objectives in controlling work assignments. Know the RIM professional’s responsibility in setting program goals. Evaluate the various methods used for assessing performance of tasks. Know how to establish performance standards.
    2. Reports. Know the importance of timely reports and follow-up information. Be familiar with the methodology of reporting, how to write effective reports and who to distribute the reports to. Understand how reports provide good program visibility and give feedback to RIM employees and upper management.
    3. Auditing and Evaluation. RIM professionals sometimes create guidelines for evaluating the efficiency of the RIM program. 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; 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.
  8. ETHICAL RESPONSIBILITIES
    1. Concept of Professionalism. Understand the definition of professionalism. Understand the role of a RIM professional in society and the legal and ethical responsibilities that are associated with being a professional.
    2. ICRM Code of Ethics. Read the ICRM Code of Ethics. Know what should be included in a code of ethics. Understand how a CRM serves as a role model regarding ethics.
    3. Social Responsibilities. Organizations have an obligation to take action that protects and improves the welfare of society as a whole along with protecting the interest of the organization. Be able to explain how an organization’s social responsibilities influence RIM programs and procedures.
  9. GLOBAL CONCERNS OF A RIM PROGRAM
    1. Standards and Models. 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 how and why records are to be maintained to demonstrate conformance to quality assurance standards.
    2. Multi-National Issues. Many organizations compete at an international level. As organizations expand to many areas of the globe, know what effect this expansion will have on the RIM program. Know what resources are available to the RIM professional to respond to multinational issues.
    3. Security and Privacy. 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 and what international organizations need to do to be compliant with requirements.