2. 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)
3. 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
4. Characteristics of an Effective
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.
5. Characteristics of an Effective
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.
6. 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?
7. 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?
8. 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.
9. Feedback in the Control Process
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.
10. Feedback in the Control Process
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.
11. 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
12. 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.
13. 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.
14. 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)
15. STANDARDS IN RECORDS SYSTEM
Efficiency guidelines
to find out how well the records system
are performing.
to determine:
the effectiveness
efficiency of the filing system
16. STANDARDS IN RECORDS 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.
17. STANDARDS IN RECORDS SYSTEM
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
18. STANDARDS IN RECORDS SYSTEM
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.
19. STANDARDS IN RECORDS SYSTEM
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
20. 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
21. 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.
22. 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.
23. 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
24. Records Management Manual
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
25. Records Management Manual
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
26. Records Management Manual
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
27. Records Management Manual
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
28. Records Management Manual
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
29. Records Management Manual
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
30. Records Management Manual
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
31. Records Management Manual
Disadvantage
written policies are not always interpreted
in the way intended
changing conditions require more flexibility
than is usually found in written policies
32. Records Management Manual
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
33. Records Management Manual
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
34. Records Management Manual
Advantage: Administrative Procedures
Manual
standardized operations
communication facilitated throughout
organization
manuals used as training and job
orientation media
established policies are clarified
35. Records Management Manual
coordination of effort ensured
reference sources established
authority and responsibility established
policies preserved even though personnel
changes occur
control of forms throughout organization
established
36. Records Management Manual
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
37. Records Management Manual
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
38. Records Management Manual
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
39. Records Management Manual
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
40. Records Management Manual
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
41. Records Management Manual
mail management
micrographic control
inactive records control
records retention schedule and disposition
vital records management
copy reproduction control
archives management
42. Records Management Manual
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
43. Records Management Manual
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
44. Records Management Manual
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
45. Records Management Manual
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
46. Records Management Manual
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
47. Records Management Manual
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
48. Records Management Manual
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
49. Records Management Manual
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