Part 2: Records and Information Management: Creation and Use

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Records and Information Management: Creation and Use

Part 2: Records and Information

Management: Creation and Use

• Creating Records and Information • Information Capture and Use • Legal Compliance

• Risk Assessment • Information Security • Electronic Communications • RIM-Related Business Activities

CRM Exam Prep Product July 2014

Creating Records and Information

Definitions and Objectives

• Document creation

• Define record and non-record • Evaluating new document types

• Ensuring effective and efficient information systems

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Sample Question 1

1. RIM is the systematic control of:

a. operational activities of the organization. b. recurring activities initiated by the RIM manager. c. Information recorded on paper.

d. a subset of information with enduring value and warranting special attention.

e. all records regardless of media from creation or receipt, through ultimate disposal.

Characteristics of a Record

• Document activities and transactions • Importance of metadata

• Authenticity, reliability, integrity and usability

Creating Records and Information

Sample Question 2

2. A record must contain the content, structure, and _____ generated by the transaction it documents. a. form

b. context c. point of view d. picture e. backup

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Creating Records and Information

Media Considerations and

Creation/Capture/Receipt

• Assess various types of media

• Understanding migration and conversion issues • Manual and through transmission

Creating Records and Information

Structured and Unstructured

• Managing structured/unstructured data • Defining the differences

• Part of the business process

Sample Question 3

3. _____ systems were designed to manage unstructured data.

a. Enterprise content management b. Electronic document management c. Email management

d. Electronic records management e. Collaborative, web-based

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Sample Question 4

4. A(n)_____ is the office designated to maintain the record of official copy of a particular record in an organization. a. offsite storage b. hot site c. archive d. office of record e. office of origin

Creating Records and Information

Cost Considerations

• Cost considerations by document type • Evaluation of production methods

• Associated costs (space, equipment, supplies, labor and soft costs)

Information Capture and Use

Metadata and Taxonomies

• Metadata requirements for record classification • Developing record classification systems in

taxonomies

• Promoting retrievable and useable records throughout the life cycle

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Document Control

• Workflow of a lifecycle

• Manual and systematic approaches

Information Capture and Use

Sample Question 5

5. _____ is the structured information that describes, locates, or manages an information resource. a. Lookup table b. Coded information c. Information systems d. Legacy systems e. Metadata

6. Instructions, exhibits, and/or other

methodologies to follow to complete tasks in a predictable and orderly way is a:

a. project. b. procedure. c. software application. d. mainframe. e. directive.

Sample Question 6

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Legislative and Regulatory

• Legislative and regulatory impact on creation and use of information

• Program compliance

Legal Compliance

Sample Question 7

7. To be received into evidence, records must meet specified criteria for creation and maintenance for the court to be satisfied the records are sufficiently: a. verifiable.

b. traceable. c. responsive. d. unfavorable. e. trustworthy.

Litigation

• Litigation support responsibilities • Hold notices

• Media challenges • Software capabilities

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Discovery

• Discovery phase of litigation • Discovery defined

• RIM responsibilities during discovery

Legal Compliance

8. Records are _____ as a result of current or anticipated litigation, audit, government investigation and suspends the normal disposition of records. a. placed on hold b. processed c. located d. considered long-term e. event-based

Sample Question 8

9. Failure to preserve records relevant to ongoing, pending or expected litigation, may result in claims of: a. tampering. b. discovery. c. spoliation. d. classification. e. infringement.

Sample Question 9

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Personally Identifiable Information (PII)

• PII definitions

• Secure management

• Unique attributes

Legal Compliance

10. _____ is the practice of defending information from unauthorized access, use, disclosure, disruption, modification, perusal, inspection, recording or destruction. a. Data Protection b. Information Security c. Records Management d. Electronic Vaulting e. Data Compliance

Sample Question 10

Risk Assessment

Definitions and Objectives

• Risk assessment defined • Identity theft

• Business, legal and accountability risks • Security provisions

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Sample Question 11

11. Risk assessment recommendations on electronic records security may include:

a. erasing backup tapes on a daily basis. b. eliminating the use of email.

c. housing tapes in an onsite tape library. d. discontinue using databases for vital records

storage.

e. backing up operating system programs.

Information Security

Definitions and Objectives

Roles of the RIM Manager

• Applying security classifications • Encryption and authentication • Identity theft

• Cooperation between RIM and IT

Sample Question 12

12. _____ is the rendering of electronic data or documents unintelligible to unauthorized users. a. vaulting

b. encryption c. authentication d. file transfer protocol e. compression

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Information Security

Security Classifications

Access Control

• RIM responsibilities for protecting information • Types of information to be secured

• Access through security policies • Information security threats

Sample Question 13

13. All of the following are considered computing system threat classifications, except: a. interception.

b. interruption. c. modification. d. fabrication. e. encapsulation.

Electronic Communications

Types of Communications

Strategy Development

• Understanding the tools

• RIM collaboration for development of policy • Importance of training

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Sample Question 14

14. A(n) _____ can reduce the amount of spam and unwanted junk email that a user receives. a. intermediate filter

b. firewall

c. email compliance policy d. instant messaging tool e. onboarding process.

Electronic Communications

Policies and Acceptable Use Practices

Intranet and Internet

• Promoting and monitoring use • Website creation of records • Intranets and Internets

– RIM implications

Sample Question 15

15. To minimize the risk of implementing IM technology, a company should:

a. use a free system available on the Internet.

b. allow employees to choose the free system they like best. c. allow individuals to purchase a system from an approved

list.

d. adopt a company-wide system and enforce its exclusive use.

e. adopt multiple systems and allow employees to choose from among them.

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Electronic Communications

Collaboration Tools &

Unified Communications

• Collaboration software

• Instant messaging, conference calls, video conferencing

• Combinations of electronic messaging

Sample Question 16

16. A risk of peer-to-peer communication is the exposure of the company’s server to: a. unproductive time.

b. unauthorized access. c. unwanted spam email. d. increased backup failures. e. uncontrolled file sharing.

RIM-Related Business Activities

Correspondence Management

• Uniform systems for formatting, preparation, and processing

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RIM-Related Business Activities

Documentation of Policies & Procedures

• Policies and procedures defined

• Manuals, handbooks, guidelines, and directives • Distribution

• Maintenance

Sample Question 17

17. A _____ is the generic term for written material that is used to communicate policy form management to employees.

a. statute of limitation (SOL) b. bulletin

c. guideline d. directive

e. standard operating procedure (SOP)

RIM-Related Business Activities

Forms Management and Control

• Communication tool used in a standardized, repetitive manner

• Forms management terminology • Forms analysis

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Sample Question 18

18. When creating an electronic form where an entry calls for an opinion in the respondent’s own words, the best feature to use is a(an):

a. drop-down box. b. check-off box. c. input field. d. radio button. e. notepad insert.

RIM-Related Business Activities

Mail Management and Facilities

• Transmission of materials

• Appropriate use of equipment and software • Incoming and outgoing mail activities • Special mail considerations

Sample Question 19

19. An advantage of retaining mail operations rather than contracting to a mailing service is:

a. lower mailing costs

b. more qualified mail handlers. c. greater security of mail operations. d. faster delivery of mail.

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RIM-Related Business Activities

Reprographics

• Control of copying practices and procedures • Copier comparisons

• Lease vs. purchase

• In-house vs. external printing services

Sample Question 20

20. _____ encompasses multiple means of reproducing content including scanning, photography, digital printing and xerography. a. Calligraphy

b. Microphotography c. Reprographics d. Distribution e. Delivering