Controlling
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Transcript of 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
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.
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.
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.
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.
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.
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)
STANDARDS IN RECORDS SYSTEM
Efficiency guidelinesto find out how well the records system
are performing.to determine:
the effectiveness efficiency of the filing system
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 filedmeasure how often records are used.when the ratio is below 5%, all records in the file
should be transferred to inactive storage.
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
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.
STANDARDS IN RECORDS SYSTEM
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
Records Management Manual
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
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 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
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
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
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
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
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
Records Management Manual
Disadvantagewritten policies are not always interpreted
in the way intendedchanging conditions require more flexibility
than is usually found in written policies
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
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
Records Management Manual
Advantage: Administrative Procedures Manual
standardized operationscommunication facilitated throughout
organizationmanuals used as training and job
orientation mediaestablished policies are clarified
Records Management Manual
coordination of effort ensuredreference sources establishedauthority and responsibility establishedpolicies preserved even though personnel
changes occurcontrol of forms throughout organization
established
Records Management Manual
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
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
Records Management Manual
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
Records Management Manual
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
Records Management Manual
Determining the subject to be includedInclude only information needed to accomplish
objectives of RM program
Logical topics:active files managementforms controlreports controlcorrespondence controldirectives management
Records Management Manual
mail managementmicrographic controlinactive records controlrecords retention schedule and dispositionvital records managementcopy reproduction controlarchives management
Records Management Manual
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
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
Records Management Manual
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
Records Management Manual
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
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
Records Management Manual
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
Records Management Manual
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 Management Manual
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