Controlling

IMR 452

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 achievedSecondly 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


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.


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 itselfThe 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 auditEffective 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 staffsManual 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 guidelinesto 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 filedmeasure 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 recordscarefully supervising the use of equipment and suppliesselecting equipment that requires smaller unit of spacecost of labor reduced by putting performance standards

into operations

Evaluating Performance

control of human behavior:poor attendanceexcessive overtimenumbers and patterns of errors in workslow response to work assignmentslow morale and lack of interestlack of concernfailure to meet performance standards

CONTROLLING PAPERWORK

Paperwork problems: causesconvenient methods available to produce

unnecessary records.'just in case' attitude without considering

the cost of records creation, use and storage.

CONTROLLING PAPERWORK

Areas of Paperworkforms [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 controlshould 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

dutiesto identify procedures for discharging such

responsibilitiesto 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 worksmoother work flow is achieved throughout the entire

organizationgreater harmony and cooperation result within and

among the various departmentswritten 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


Disadvantagewritten policies are not always interpreted

in the way intendedchanging 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 operationscommunication facilitated throughout

organizationmanuals used as training and job

orientation mediaestablished policies are clarified


coordination of effort ensuredreference sources establishedauthority and responsibility establishedpolicies preserved even though personnel

changes occurcontrol of forms throughout organization

established


Types: Operating Procedures Manualdeals 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 ManualRM manual should be planned in

accordance with:the size of the organizationfields of operationthe 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 includedorganizing a committee on manual preparationidentifying sources for manual informationcollecting and analyzing the data


Determining the subject to be includedInclude only information needed to accomplish

objectives of RM program

Logical topics:active files managementforms controlreports controlcorrespondence controldirectives management


mail managementmicrographic controlinactive records controlrecords retention schedule and dispositionvital records managementcopy reproduction controlarchives management


Organizing committee on manual preparationall members of organization should be informed

of the plan to prepare RM Manualprovides encouragement to participate in the

preparation of manualspecial 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 userinterviews with executives-personnel manager, training director or

supervisorvendors-RM equipment and suppliesprofessional organizationsbulletins and organizational circularsminute of meetings of board of directorsreports of executives conferencesjournals on RM practicesorganizational processes and procedural practices on records

management


Collecting and analyzing datafirst 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 jobequipment and materials usedrecords files and maintainedfiling proceduresstorage 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

PurposePoliciesPersonnel responsibilities

Components of the records systemRecords classificationsRecords Retention Schedule

The Coding SystemRecords classification codesRetention and disposition codes

Types of files in the records systemSubject and case filesSpecial files

Preparation of records location plansList of all records maintained at each storage location


Annual program reviewsDescription of the requirements of each review

Storage ProceduresPreparation of records to be storedWhat to store and codingClassification and codingPreparing cross referencesSorting recordsPlacing records in fileRestricted access to recordsRetrieval suggestionsCharge out systemsFolders and drawers maintenance


Records DispositionDisposition functionsHow to implement retention schedulesPacking records and labeling boxesRetrieval of inactive records from storageDestruction of records in inactive storage

Records manual maintenance and auditingGeneral proceduresMaintenance of records classifications and records

retention schedules

Controlling

Leadership & Management

control processcontrol

positive control

control processprecise

unreliable control information

effective control systemif

adequate feedback

stated objectives

status of records system