Exam 4 - Records Identification, Retention, Protection, and Disposition Flashcards
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
C. may be subject to discovery
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
b) top management support
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.
D. central repositories
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
c) business impact
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
B. transfer to plastic containers filled with clean, cold water
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.
C. record series
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
e) review
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
a) destruction of records with elapsed retention periods.
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
A. reduced retrieval costs
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.
D. Appraisal
In describing electronic media for a records inventory, include type, size, and:
a) format
b) color
c) density
d) longevity
e) sequence
A. format
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.
B. offline
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
A. testing
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.
E. manuscript collection
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
D. business continuity
_____ 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
D. appraisal
_____ 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
D. volume of records
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
C. effectiveness of the new system
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
A. performed only in the presence of authorized employees
_____ 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
c) Instant messaging
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
E. increases the speed of retrieval while decreasing storage space
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
B. records storage shelving units
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.
E. obtaining support and publicity
______ retention criteria are sometimes described as operation or user retention parameters.
a) Legal
b) Fiscal
c) Historical
d) Secondary
e) Administrative
e) Administrative
Enterprise-wide functional retention schedules are known as _____ retention schedules.
a) general
b) master
c) program
d) non-record
e) business
A. general
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.
D. evaluate the situation
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
E. recopying
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.
C. critical records are sometimes omitted
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
a) records series
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.
D. the flow of authority can be visualized
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.
C. copies of the original laws
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
A. quantity
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
B. Microfilm
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
d) legal
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.
E. publish and distribute the schedule
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
A. form
The archival term “appraisal” is synonymous with:
a) valuation.
b) abbreviation.
c) maceration.
d) lamination.
e) alienation
A. valuation
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
e) departmental
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.
A. to ensure records have met their retention requirements
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
D. finding aid
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.
D. destroy obsolete records
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.
C. register
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
c) certificate of destruction
Which of the following is a method of destroying obsolete records?
a) pulverizing
b) blocking
c) evaporating
d) permuting
e) freezing
A. pulverizing
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.
C. risk analysis
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
E. discovery needs
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.
B. utilizing an existing copy already routinely held in a relatively secure place
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.
A. acid free fiber boxes
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
A. General
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
D. administrative
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
C. a complete and accurate listing of records series
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
A. hold
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
e) evidentiary
Acid-free, lignin-free, and undyed are attributes of archival:
a) documents.
b) vaults.
c) storage facilities.
d) storage boxes.
e) file cabinets.
D. storage boxes
A vital records protection program is, in effect, a (an) ______ for essential information.
a) software
b) categorization
c) taxonomy
d) insurance policy
e) EDMS
d) insurance policy
Upon receiving a collection of records, an archivist’s first step is to _____ them.
a) repair
b) arrange
c) label
d) accession
e) inventory
E. inventory
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
d) primary
Determination of secondary value of records is principally the concern of:
a) archivists.
b) records managers.
c) records analysts.
d) general counsel.
e) executives.
A. archivists
________ 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
c) Data mapping
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
D. data warehouse
__________ 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)
d) Recovery Time Objective (RTO)
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
C. records series
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
c) outside consultants
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
C. Retention program
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
d) qualitative
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
C. legal
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
B. limitation of action
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
e) phased
_____ 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
A. ESI
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.
c) an existing records series is combined with another.
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
d) preliminary summary
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
d) scanning and microfilming
The value a record has for research purposes is _____ value.
a) legal
b) evidential
c) fiscal
d) discovery
e) informational
E. informational
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.
D. assess compliance
____ 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
C. risk analysis
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
c) an organizational chart
_____ 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
d) Transferring
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.
E. takes meaningful steps to improve compliance with program
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.
C. destruction of records stopped
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.
B. precedent
An accounting ledger inherently has _____ value.
a) administrative
b) fiscal
c) legal
d) evidential
e) informational
B. fiscal
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
C. PPTX file
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
C. ECM
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
C. destruction
The records retention schedule can best be implemented through:
a) directives
b) executive education
c) administrative communication
d) increased productivity
e) training
E. training
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.
C. legal counsel
The materials received by an archival repository as a unit are a(an):
a) acquisition.
b) shipment.
c) transfer.
d) inventory.
e) arrangement.
a) acquisition.
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
D. fire destroying an occupied office building
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.
E. preserve archival records
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.
E. consistent with retentions for other records with similar content
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
b) secondary
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
B. systems
________ 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
d) Archives
_____ 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
d) Degaussing
____ 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
b) Business continuity
