Controlling

CONTROLLING
One of the most important management
processes in an organization.
This is essentially two distinct processes:
Firstly determining whether stated objectives
and targets have been achieved
Secondly determining whether the objectives
and targets specified were appropriate.
(suitable)

Characteristics of an Effective
Control System
The activity required should be linked to the
objectives and plans of the organization
The focus should be on what has been done
right and any assessment of what has been
done wrong should minimize the extent to which
blame is attached.
Employees should be clearly understood what is
required of him or her can effective, positive
control be exercised

Control System
If there is any tolerance it should be
clearly specified and understood.
Self belonging – employee will feel more
responsible for something to which he or
she is committed.
If an employee is to be effectively
controlled he or she should be able to
affect that which is being measured.

Control System
Targets must be realistic
All those who are subject to control should
receive adequate feedback as to their
performance and what, if any, remedial
(corrective) action is necessary.

CONTROLLING
involves the process of evaluating how
well the program meets the goals.
Elements of evaluation:
Has the department met its objectives?
How well have the supervisors and employees
met the goals assigned?

CONTROLLING
Has the department operated within
budget?
How many units of product or service
produced compared to numbers
expected?
How often employees absent from work?

Feedback in the Control Process
Control is not an end in itself
The primary aim of control is to improve
performance by ensuring that resources
are more effectively deployed and that
mistakes are rectified.
An essential element in the control
process is feedback.

Any feedback system must have a
number of characteristics:
Timely – the information generated by the
control process must be fed back in time for
remedial action to be taken
Reliable – the control process is expensive and
its counterproductive to produce unreliable
control information.

Precise – the information generated
should focus on those aspects of
performance which need to be addressed.
Right recipient – the information should be
received by that individual or group of
individuals who are both concerned with
and able to effect any necessary
improvements in performance.

CONTROL TOOLS
Periodic audit
Effective practice to measure the status of
records system.
A regular examination of records
management program to determine:
How well the program is functioning?
Find ways of improving its performance

CONTROL TOOLS
Provides information on :
Present operations - how well objectives are achieved;
whether written policies and procedures available; extent
of records management activities and problems.
Analysis of present system and its needs - layout of
files; effectiveness of procedures; qualification of staffs;
available equipment; active and inactive storage system;
security measures.
Recommended solutions to improve RMP and estimates
of cost of putting recommendation into practice.

CONTROL TOOLS IN
RECORDS SYSTEM
Records Management Manual:
Control reference for records management staffs
Manual serves as official handbook of approved
policies and procedures by:
 establishing responsibility for the various phases of
program.
 standardizing operating procedures.
 aids in training employees.

STANDARDS IN RECORDS SYSTEM
Storage and Retrieval Standards on:
how long does it takes to store a record from
the time such storage is authorized.
how long does it takes to retrieve a record from
storage.
what is the expected turnaround time (the
amount of time required to find and deliver a
record to the requestor after request is
received)

Efficiency guidelines
to find out how well the records system
are performing.
to determine:
the effectiveness
efficiency of the filing system

Efficiency ratios:
a guideline for measuring several types of
records operations that give additional
information for controlling records system.
Reference ratio = number of records requested
number of records filed
measure how often records are used.
when the ratio is below 5%, all records in the file
should be transferred to inactive storage.

Accuracy ratio = number of records retrieved
number of records requested
measures efficiency of personnel in
finding the stored records
when the ratio is below 97%, the records
system needs immediate attention

Estimated costs:
70% salaries of managers, supervisors
and operating personnel working directly
with records.
15% space occupied by records systems
including personnel.
10% equipment used in records system.
5% supplies.

Estimated cost:
cost of equipment, space and supplies is
controlled by:
eliminating unnecessary records
carefully supervising the use of equipment and supplies
selecting equipment that requires smaller unit of space
cost of labor reduced by putting performance standards
into operations

Evaluating Performance
control of human behavior:
poor attendance
excessive overtime
numbers and patterns of errors in work
slow response to work assignments
low morale and lack of interest
lack of concern
failure to meet performance standards

CONTROLLING PAPERWORK
Paperwork problems: causes
convenient methods available to produce
unnecessary records.
'just in case' attitude without considering
the cost of records creation, use and
storage.

CONTROLLING PAPERWORK
Areas of Paperwork
forms [used to record and transmit information in
standardize manner within or among
departments or organizations]
correspondence [convey written messages
between department and within organization]
reprographics [describes various elements in
copymaking]
control measures needed as they represent the
largest volume and most expensive systems in
RMP.

Records Management Manual
an essential part of records control
should specify in detail the scope of the
entire Records Management Program of
the organization
provide instruction for carrying out all
aspects of the program

Purpose:
to assign responsibility for performing assigned
duties
to identify procedures for discharging such
responsibilities
to train new employees – provides the
established system and procedures which have
been set up by organization
can be used with on the job training programs

Advantages
 saving costs of handling and use of records
 reduction of time required to give directions to
new employees
 standardization of procedures
eliminate overlapping function and duplication of work
smoother work flow is achieved throughout the entire
organization
greater harmony and cooperation result within and
among the various departments
written directions and instructions can be tested, revised
and improved

Objectives
 designate authority for the centralized control of
all records management activities
 identify the relationships between the records
management department and all other
departments
 establish uniform procedures in the creation,
processing, retention and destruction of records
through out the organization

 provide a source of instructions and guidance for
all personnel who create, use and maintain an
organization’s records
 create an understanding among all employees
of the basic principles of good records
management and recognize its advantage
 encourage constructive suggestions from
employees concerning the program

 communicate changes in records management
policies and procedures
 coordinate or combine similar records
management functions and activities throughout
the organization
 serve as a training tool for all new employees

Types: Policy Manual
 basic guide to action that prescribes the boundaries
within which activities are to take place
 reveals broad managerial action likely to take place
under certain conditions
 furnish the background for understanding the reasons for
given managerial actions
 contains decisions, resolutions and pronouncements of
the issuing organizations or unit

Advantages:
 written policies require managers to think
through their courses of action and to
predetermine what actions will be taken under
various circumstances
 a plan of action is provided for most of the
problems requiring attention; only unusual
decisions remain to be maid by top management
 more equitable treatment of all employees is
provided
 employees can function freely within the
framework of stated policy

Disadvantage
written policies are not always interpreted
in the way intended
changing conditions require more flexibility
than is usually found in written policies

Types: Organizational Manual
 provides detailed description of the
relationship of the various departments
and their respective divisions
 usually illustrated by organizational charts
accompanied by descriptions of the
various position charted
 contains general function, responsibilities
and authority and relationship with others

Types: Administrative Procedures
Manual
 contains principles of operation that affect
all dept. of the organization
 gives an overview of general procedures
to be used organization wide

Advantage: Administrative Procedures
Manual
standardized operations
communication facilitated throughout
organization
manuals used as training and job
orientation media
established policies are clarified

coordination of effort ensured
reference sources established
authority and responsibility established
policies preserved even though personnel
changes occur
control of forms throughout organization
established

Types: Operating Procedures Manual
deals with internal policies, organization
and processes of one department or
function of organization
can emphasize the performance of
individual’s tasks and jobs, departmental
practices or general practices in special
field

Filing Manual – identify the requirements and
procedures for proper filing and list those rules
and regulations necessary in making the files
and effective service instruments
Mailing Manual – gives minute instructions in all
phases of handling both incoming and outgoing
mails
Correspondence Manual – means of
standardizing the methods and products of a
correspondence-handling correspondence, intra
company correspondence, structure of letters,
words, sentences and paragraph

Planning the Manual
RM manual should be planned in
accordance with:
the size of the organization
fields of operation
the degree to which organization’s activities are
centralized or decentralized

Multi purpose RM Manual should include
organization policies, procedures and
instructions which involves the followings:
determining the subject to be included
organizing a committee on manual preparation
identifying sources for manual information
collecting and analyzing the data

Determining the subject to be included
Include only information needed to accomplish
objectives of RM program
Logical topics:
active files management
forms control
reports control
correspondence control
directives management

mail management
micrographic control
inactive records control
records retention schedule and disposition
vital records management
copy reproduction control
archives management

Organizing committee on manual
preparation
all members of organization should be informed
of the plan to prepare RM Manual
provides encouragement to participate in the
preparation of manual
special attention directed to supervisors –
excellent sources for appropriate manual
content

committee composed of individual representing
each specialty reflected in RM program
records manager serve as chairman of
committee-bears responsibility for the success
of the project –must be familiar with all aspects
of RM Program as well as the operation of
organization for which manual is to be prepared

Identifying sources for manual information
 best sources – manuals used by other organization
 other:
feedback from employees-manual user
interviews with executives-personnel manager, training director or
supervisor
vendors-RM equipment and supplies
professional organizations
bulletins and organizational circulars
minute of meetings of board of directors
reports of executives conferences
journals on RM practices
organizational processes and procedural practices on records
management

Collecting and analyzing data
first buy in – top management, head of unit,
supervisors on the need for involving their
employees to gain insight into what may be
wrong with current work procedures
checklist about the job should be prepared:
step by step procedures on the job
equipment and materials used
records files and maintained
filing procedures
storage facilities, if applicable

process of analyzing job operations and
procedures is highly essential element in data
collecting phase
after gathering information – committee classify
information into appropriate categories based
on the scope of RM program


 Records Management Manual: Content
 The records system
Purpose
Policies
Personnel responsibilities
 Components of the records system
Records classifications
Records Retention Schedule
 The Coding System
Records classification codes
Retention and disposition codes
 Types of files in the records system
Subject and case files
Special files
 Preparation of records location plans
List of all records maintained at each storage location

Annual program reviews
Description of the requirements of each review
Storage Procedures
Preparation of records to be stored
What to store and coding
Classification and coding
Preparing cross references
Sorting records
Placing records in file
Restricted access to records
Retrieval suggestions
Charge out systems
Folders and drawers maintenance

Records Disposition
Disposition functions
How to implement retention schedules
Packing records and labeling boxes
Retrieval of inactive records from storage
Destruction of records in inactive storage
Records manual maintenance and auditing
General procedures
Maintenance of records classifications and records
retention schedules

Controlling

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