Exam 4 - Records Identification, Retention, Protection, and Disposition

Question 1

Reference copies of a record:
a) are official records of an organization
b) should be kept in electronic format only
c) may be subject to discovery
d) are also referred to as physical records
e) need to be backed up on removal media

Answer 1

C. may be subject to discovery

Question 2

A records inventory cannot succeed without ______ and the cooperation of individual program units.
a) accounting support
b) top management support
c) marketing
d) confidential destruction
e) outside directives

Answer 2

b) top management support

Question 3

One method of risk control that promotes the physical security of vital electronic records is:
a) open shelf filing.
b) stand-alone computers.
c) unattended repositories.
d) central repositories.
e) removable disk systems.

Answer 3

D. central repositories

Question 4

A _____ analysis differentiates critical (urgent) and non-critical (non-urgent) organization functions/activities. A function may be considered critical if dictated by law.
a) risk
b) vital records
c) business impact
d) recovery
e) disaster cost

Answer 4

c) business impact

Question 5

The first step in the recovery of water damaged microfilm is:
a) freeze immediately
b) transfer to plastic containers filled with clean, cold water
c) place in a vacuum chamber
d) remove from wet housing
e) sublimation

Answer 5

B. transfer to plastic containers filled with clean, cold water

Question 6

A group of logically-related records that supports a specific business or administrative operation is a(an):
a) inventory.
b) retention schedule.
c) record series.
d) record center.
e) filing scheme.

Answer 6

C. record series

Question 7

The phase of e-discovery when potentially responsive documents are identified for further analysis and review is:
a) identification
b) preservation
c) collection
d) processing
e) review

Answer 7

e) review

Question 8

To implement retention schedules, program units must identify records series that are eligible for retention actions including:
a) destruction of records with elapsed retention periods.
b) refiling the back log of folders
c) duplication of hardcopy documents
d) development of new classification schemes
e) development of ECM system

Answer 8

a) destruction of records with elapsed retention periods.

Question 9

Which of the following should a RIM manager consider when deciding if records should be microfilmed?
a) reduced retrieval costs
b) improved provenance
c) reduced indexing
d) reduced registration
e) records owner

Answer 9

A. reduced retrieval costs

Question 10

The process of determining the value and thus the disposition of records based upon their arrangement and relationship to other records is:
a) classification.
b) encyclopedia arrangement.
c) reference analysis.
d) appraisal.
e) concept indexing.

Answer 10

D. Appraisal

Question 11

In describing electronic media for a records inventory, include type, size, and:
a) format
b) color
c) density
d) longevity
e) sequence

Answer 11

A. format

Question 12

When paper records become inactive and are transferred to an off-site records center, it is analogous to electronic records being maintained:
a) online.
b) offline.
c) in containers.
d) in vaults.
e) in a data warehouse.

Answer 12

B. offline

Question 13

In the _____ phase of the business continuity plan, simulated scenarios of disasters are executed.
a) testing
b) planning
c) risk analysis
d) strategy
e) discovery

Answer 13

A. testing

Question 14

A collection of documents from various sources, not related to the organization maintaining the collection, is a:
a) public archives.
b) private archives.
c) library.
d) records center.
e) manuscript collection.

Answer 14

E. manuscript collection

Question 15

A _____ plan is a guideline defining how the organization will recover from a disaster or extended disruption of its operations.
a) file development
b) retention schedule
c) strategic business
d) business continuity
e) facility evacuation

Answer 15

D. business continuity

Question 16

_____ is the process of determining the value and thus the disposition of records based upon their arrangement and relationship to other records is:
a) Classification
b) Preservation
c) Reference analysis
d) Appraisal
e) Concept indexing

Answer 16

D. appraisal

Question 17

_____ is(are) collected during a records inventory.
a) Authorized retention periods
b) Destruction history
c) Cost of storage
d) Volume of records
e) Cost of office space

Answer 17

D. volume of records

Question 18

When evaluating a new ECM, the most important element to consider is the:
a) color of the source documents
b) location of existing records
c) effectiveness of the new system
d) intrinsic value of the records
e) amount of space saved

Answer 18

C. effectiveness of the new system

Question 19

Janitorial services in areas where vital records are stored should be:
a) performed only in the presence of authorized employees
b) outsourced to security
c) reduced to the absolute minimum required to meet health regulations
d) performed only by new employees
e) provided similar to other areas in the building

Answer 19

A. performed only in the presence of authorized employees

Question 20

_____ software is a concern for RIM managers because of the need to capture and archive messages.
a) Social
b) Legacy
c) Instant messaging
d) Word processing
e) ECM

Answer 20

c) Instant messaging

Question 21

Converting hard copy records to an electronic format:
a) requires minimal technical expertise
b) ensures 100% retrieval ratio
c) eliminates the need for a retention schedule
d) won’t be effective if there are non-standard sized documents
e) increases the speed of retrieval while decreasing storage space

Answer 21

E. increases the speed of retrieval while decreasing storage space

Question 22

A datacenter will typically contain all of the following except:
a) redundant power supplies
b) records storage shelving units
c) environment controls
d) security devices
e) data communication connections

Answer 22

B. records storage shelving units

Question 23

The first step in conducting a records inventory is:
a) developing forms to be used.
b) acquiring organizational charts.
c) establishing a budget.
d) hiring staff.
e) obtaining support and publicity.

Answer 23

E. obtaining support and publicity

Question 24

______ retention criteria are sometimes described as operation or user retention parameters.
a) Legal
b) Fiscal
c) Historical
d) Secondary
e) Administrative

Answer 24

e) Administrative

Question 25

Enterprise-wide functional retention schedules are known as _____ retention schedules. a) general b) master c) program d) non-record e) business

Answer 25

A. general

Question 26

The first step in disaster recovery for RIM is: a) begin salvage operations. b) stabilize the situation. c) begin restoration procedures. d) evaluate the situation. e) resume operations.

Answer 26

D. evaluate the situation

Question 27

Long retention requirements of electronic records exceeding the life of the media can be satisfied by: a) lamination b) encapsulation c) ionization d) magnetization e) recopying

Answer 27

E. recopying

Question 28

One disadvantage of functional retention schedules is: a) they do not include electronic records. b) they represent only one entity within the organization. c) critical records are sometimes omitted. d) auditors do not like using this approach. e) they do not include accounting records.

Answer 28

C. critical records are sometimes omitted

Question 29

During the records inventory, a records inventory form must be completed for each: a) records series b) document c) folder d) magnetic tape e) server

Answer 29

a) records series

Question 30

An organizational chart is helpful when developing a records retention schedule because: a) the functions of the department are described. b) all the personnel are listed. c) it shows which subdivision is the most important. d) the flow of authority can be visualized. e) none of the above.

Answer 30

D. the flow of authority can be visualized

Question 31

Which of the following is not included in legal research documentation? a) Jurisdictional indexes. b) Functional indexes. c) Copies of the original laws. d) Signed approvals. e) Lists of the records affected.

Answer 31

C. copies of the original laws

Question 32

During a records inventory, _____ estimates provide useful information about the amount of physical storage required to house records. a) quantity b) location c) reference d) hardware e) security

Answer 32

A. quantity

Question 33

If professional help must be delayed longer than 48 hours following a water disaster, freeze drying may be considered for: a) photographs b) microfilm c) office paper d) microfiche e) USB drives

Answer 33

B. Microfilm

Question 34

When a record exists in multiple formats the official copy is the one that satisfies _____ requirements. a) executive b) departmental c) cloud storage d) legal e) institutional

Answer 34

d) legal

Question 35

Once a retention schedule has been approved, the next step is to: a) establish life cycle milestones for each series. b) audit each department to ensure the schedule is being followed. c) decide what format to keep it in. d) begin the process of revision. e) publish and distribute the schedule.

Answer 35

E. publish and distribute the schedule

Question 36

A records inventory _____ is a tool that provides for a consistent manner to collect data. a) form b) database c) log d) spreadsheet e) schedule

Answer 36

A. form

Question 37

The archival term "appraisal" is synonymous with: a) valuation. b) abbreviation. c) maceration. d) lamination. e) alienation

Answer 37

A. valuation

Question 38

Program-specific or _____ retention schedules are reviewed initially by the program units for which they are prepared. a) functional b) general c) digital d) electronic e) departmental

Answer 38

e) departmental

Question 39

It is important to verify the proposed list of records scheduled for destruction: a) to ensure records have met their retention requirements. b) so the invoice is correct. c) because legal holds may have been released. d) so records owners can deter disposition. e) in order for records to be properly staged and stored.

Answer 39

A. to ensure records have met their retention requirements

Question 40

A _____ facilitates information discovery within a collection of archival records. a) newsletter b) master retention schedule c) roster d) finding aid e) certificate of destruction

Answer 40

D. finding aid

Question 41

The objective of a record disposal program is to: a) identify vital records. b) coordinate delivery of records requested from holding area. c) validate need for storage space. d) destroy obsolete records. e) determine the type of media needed for archived information.

Answer 41

D. destroy obsolete records

Question 42

A finding aid containing entries in the form of a list is a: a) card catalog. b) calendar. c) register. d) sampling. e) numerical guide.

Answer 42

C. register

Question 43

A(An) ______ is a record that documents the disposal of specific records in conformity with an organization's formally established retention policies. a) subpoena b) affidavit of accession c) certificate of destruction d) certificate of removal e) disposal schedule

Answer 43

c) certificate of destruction

Question 44

Which of the following is a method of destroying obsolete records? a) pulverizing b) blocking c) evaporating d) permuting e) freezing

Answer 44

A. pulverizing

Question 45

Calculating the probabilities of damage or loss of records and information is a(an): a) organizational impact analysis. b) insurance policy. c) risk analysis. d) cost-benefit analysis. e) disaster assessment.

Answer 45

C. risk analysis

Question 46

Considerations when establishing the legal value of a record include: a) archival needs b) provenance principles c) company policies d) research value e) discovery needs

Answer 46

E. discovery needs

Question 47

The term “built-in dispersal” in a vital records program means: a) creating an extra copy and storing it in a vault. b) utilizing an existing copy already routinely held in a relatively secure place. c) holding copies in a designated office of record. d) creating microfilm images of records and transferring them offsite. e) creating a digital image of records and storing the data on an optical disk.

Answer 47

B. utilizing an existing copy already routinely held in a relatively secure place

Question 48

Archival documents can best be protected by storage in: a) acid free fiber boxes. b) wax-coated box. c) heavy-pointed wallet folders. d) safety deposit boxes. e) laminated boxes.

Answer 48

A. acid free fiber boxes

Question 49

The records retention schedule that lists all of an organization's records, department by department, is a(an) _____ schedule. a) general b) physical c) specific d) periodic e) updated

Answer 49

A. General

Question 50

Which of the following records could be a category in a general records retention schedule? a) operational b) merger and acquisition c) engineering d) administrative e) archival

Answer 50

D. administrative

Question 51

A records inventory should be: a) used only for the purpose of developing subject classification systems b) an unproductive, tiresome task c) a complete and accurate listing of records series d) the last step in a RIM program e) concerned only with computer records

Answer 51

C. a complete and accurate listing of records series

Question 52

A legal/litigation _____ is a temporary suspension of destruction of records that may be relevant for litigation or investigation. a) hold b) case file c) discovery d) agreement e) order

Answer 52

A. hold

Question 53

In support of legal activity, RIM managers must ensure that _____ issues are considered when retention guidelines are formulated. a) IT b) retrieval c) access d) primary e) evidentiary

Answer 53

e) evidentiary

Question 54

Acid-free, lignin-free, and undyed are attributes of archival: a) documents. b) vaults. c) storage facilities. d) storage boxes. e) file cabinets.

Answer 54

D. storage boxes

Question 55

A vital records protection program is, in effect, a (an) ______ for essential information. a) software b) categorization c) taxonomy d) insurance policy e) EDMS

Answer 55

d) insurance policy

Question 56

Upon receiving a collection of records, an archivist's first step is to _____ them. a) repair b) arrange c) label d) accession e) inventory

Answer 56

E. inventory

Question 57

The _____ value of records is derived from the original use for which they were created. a) secondary b) essential c) permanent d) primary e) legal

Answer 57

d) primary

Question 58

Determination of secondary value of records is principally the concern of: a) archivists. b) records managers. c) records analysts. d) general counsel. e) executives.

Answer 58

A. archivists

Question 59

________ is (are) a comprehensive inventory of an organization's IT systems that store information. a) Decentralized file systems b) Network servers c) Data mapping d) Virtual office applications e) Trusted digital repositories

Answer 59

c) Data mapping

Question 60

A _____ is a federated repository for all the data collected by an enterprise's various operational systems. a) laptop b) file share c) file room d) data warehouse e) offsite records center

Answer 60

D. data warehouse

Question 61

__________ is the acceptable amount of time to restore the functionality after a disaster. a) Maximum Tolerable Period of Disruption (MTPoD) b) Acceptable Loss Range (ALR) c) Maximum Allowable Outage (MTO) d) Recovery Time Objective (RTO) e) Recovery Consistency Objective (RCO)

Answer 61

d) Recovery Time Objective (RTO)

Question 62

A _____ is a group of logically related records that support one or more operations performed by a given program unit. a) records retention schedule b) keyword index c) records series d) file pattern e) relative index

Answer 62

C. records series

Question 63

The records inventory project can be accomplished by internal RIM staff, departmental staff or: a) auditors b) corporate attorneys c) outside consultants d) marketing e) human resources

Answer 63

c) outside consultants

Question 64

When auditing a RIM program, auditors must ensure that the _____ is structured in a logical way. a) data migration b) report analysis c) retention program d) destruction process e) encryption method

Answer 64

C. Retention program

Question 65

A(n) _________ risk assessment is particularly useful for identifying and categorizing physical security problems and other vulnerabilities. a) quantitative b) emulsion c) periodic d) qualitative e) stability

Answer 65

d) qualitative

Question 66

While appraising the _____ value of a records series, one would try to understand its potential for litigation support. a) fiscal b) secondary c) legal d) archival e) operational

Answer 66

C. legal

Question 67

The time period during which a government agency can investigate or audit an entity is a(an): a) gestation period b) limitation of action c) administrative action d) local regulatory limitation e) government retention requirement

Answer 67

B. limitation of action

Question 68

To increase the likelihood of a successful enterprise-wide implementation of a new retention schedule, a _______ rollout, at a measured pace, is strongly recommended. a) collaborative b) full c) aprameter d) destruction e) phased

Answer 68

e) phased

Question 69

_____ is information created, manipulated, communicated, stored, and best utilized in digital form, requiring the use of computer hardware and software. a) ESI b) PDF c) XML d) USB e) RTF

Answer 69

A. ESI

Question 70

Retention schedules require periodic revisions to add or delete record series which should include when: a) departmental staff changes. b) litigation occurs. c) an existing records series is combined with another. d) a court-ordered hold is put on a record. e) an ECM system is implemented.

Answer 70

c) an existing records series is combined with another.

Question 71

Before the records inventory project begins it is important to conduct a _______ to identify the location of records and estimate total volumes. a) records appraisal b) retention implementation c) duplication summary d) preliminary summary e) senior staff meeting

Answer 71

d) preliminary summary

Question 72

Methods used to reduce further deterioration and provide for permanent preservation of original paper documents include: a) deacidification and encapsulation b) freeze drying and lamination c) fumigation and microfilming d) scanning and microfilming e) vacuum drying and leaf-casting

Answer 72

d) scanning and microfilming

Question 73

The value a record has for research purposes is _____ value. a) legal b) evidential c) fiscal d) discovery e) informational

Answer 73

E. informational

Question 74

The main purpose of a records retention schedule audit is to: a) destroy folders. b) fill a shredder. c) appraise the records. d) assess compliance. e) keep statistics.

Answer 74

D. assess compliance

Question 75

____ is determining and evaluating the exposure of vital records to specific possibilities of loss. a) Inventorying records b) Records management c) Risk analysis d) Business continuity e) Project management

Answer 75

C. risk analysis

Question 76

In addition to storing the necessary data off-site, the disaster recovery team should provide: a) facility security b) a coordination index c) an organizational chart d) a record index e) a sprinkler system

Answer 76

c) an organizational chart

Question 77

_____ records to an off-site storage at the end of each fiscal year is the periodic method. a) Archiving b) Safeguarding c) Encrypting d) Transferring e) Destroying

Answer 77

d) Transferring

Question 78

An organization can enhance its prospects for a successful retention program if it conducts periodic reviews and: a) punishes all employees that are not in compliance. b) posts the results on an intranet site. c) hires a consultant to evaluate the results. d) attempts to mask the program flaws. e) takes meaningful steps to improve compliance with program.

Answer 78

E. takes meaningful steps to improve compliance with program

Question 79

A properly developed and implemented retention schedule can demonstrate evidence to a court that: a) the right to privacy issues are being followed. b) the company is complying with freedom of information issues. c) destruction of records stopped. d) disaster recovery issues have been addressed. e) the most cost-efficient destruction methods are being used.

Answer 79

C. destruction of records stopped

Question 80

A government agency’s ruling or opinion that establishes the agency’s position on a matter is: a) mandatory dispersal. b) precedent. c) document preservation. d) records disposition. e) accumulation.

Answer 80

B. precedent

Question 81

An accounting ledger inherently has _____ value. a) administrative b) fiscal c) legal d) evidential e) informational

Answer 81

B. fiscal

Question 82

When you create a document in Microsoft’s PowerPoint the native format is a: a) DOCX file b) USB drive c) PPTX file d) paper copy e) imaged copy

Answer 82

C. PPTX file

Question 83

When using ____, physical storage spans multiple servers and the physical environment is typically owned and managed by a hosting company. a) cloud storage b) file share c) ECM d) record center e) LAN

Answer 83

C. ECM

Question 84

A certificate of _____ may be issued to document the disposal of physical records in compliance with an approved retention schedule. a) evidence b) authenticity c) destruction d) transfer e) inventory

Answer 84

C. destruction

Question 85

The records retention schedule can best be implemented through: a) directives b) executive education c) administrative communication d) increased productivity e) training

Answer 85

E. training

Question 86

At minimum, a retention schedule should be approved by the: a) marketing director. b) facilities manager. c) legal counsel. d) public relations officer. e) maintenance crew.

Answer 86

C. legal counsel

Question 87

The materials received by an archival repository as a unit are a(an): a) acquisition. b) shipment. c) transfer. d) inventory. e) arrangement.

Answer 87

a) acquisition.

Question 88

A _____ is an example of a Class 3 disaster. a) hurricane destroying a city b) nuclear attack on a country c) flood inundating major roadways d) fire destroying an occupied office building e) records center destroyed over a weekend

Answer 88

D. fire destroying an occupied office building

Question 89

An objective of a records disposition program is to: a) place blanket holds on all records. b) microfilm all records that are not destroyed. c) develop file classification systems d) eliminate all records that are not vital records. e) preserve archival records.

Answer 89

E. preserve archival records

Question 90

The retention of instant messages should be: a) three years for all instant messages. b) determined by general counsel and applied equally to all instant messages. c) based on IT storage capacity. d) left to the individual. e) consistent with retentions for other records with similar content.

Answer 90

E. consistent with retentions for other records with similar content

Question 91

Scholarly retention criteria are sometimes characterized as _____ value to distinguish them from the primary business purpose for which records are created. a) fiscal b) secondary c) legal d) administrative e) opeartional

Answer 91

b) secondary

Question 92

Controlling the disposition of electronically stored information can be difficult if the related data is stored in different: a) binary codes b) systems c) records centers d) bit maps e) sectors

Answer 92

B. systems

Question 93

________ management is the general oversight of a program to appraise, acquire, arrange and describe, preserve and authenticate permanently valuable records. a) Records b) Library c) IT d) Archives e) Facilities

Answer 93

d) Archives

Question 94

_____ can be used to erase the contents of a hard drive, USB thumb drives, smart phones, or floppy disks. a) Maceration b) Pulverization c) Preservation d) Degaussing e) Shredding

Answer 94

d) Degaussing

Question 95

____ is the ability of an organization to maintain essential operations following a disaster. a) Operational integrity b) Business continuity c) Annualized loss expectancy d) Enhanced operations e) Qualitative analysis

Answer 95

b) Business continuity