9/12/2014. Part 3: Records Systems, Storage and Retrieval. Basic Concepts

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Records Systems, Storage and Retrieval

• Basic Concepts • Filing Systems • Filing System Design • Records Storage and

Retrieval • File Conversions • Records Storage Facilities • Records Center Operations • Commercial Records Centers

CRM Exam Prep Product July 2014

Part 3: Records Systems, Storage

and Retrieval

• Information access methods • Methods, processes and procedures • Implement, maintain and enforce RIM systems

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1. Active records continue to be used with sufficient frequency justify:

a. keeping them in the office of creation. b. disposing of them immediately. c. storing them in offsite storage. d. converting them to microfilm.

e. retaining them longer than their retention period.

Sample Question 1

Basic Concepts

Controlling Volume of Information

• Eliminating unnecessary content, files and information • Understand active vs. inactive status

• Differences between on-line, near-line, and off-line • Differences between off-site, centralized and

decentralized

2. Electronic records storage costs can be decreased by moving data to the appropriate storage platform based on _____ and usage. a. volume b. availability c. value d. convenience e. recovery time

Sample Question 2

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Basic Concepts

Classifying Information

• Classification defined • Filing categories • Classification categories:

• Departmental, functional, primary/secondary, subject, and uniform classification.

Basic Concepts

Basic File Groups

• Logical collections • Different categories:

• Cartographic materials, case files, convenience copies, correspondence, and reference materials

3. An attorney manages legal matters as _____ files. a. reference

b. convenience c. history d. case

e. correspondence

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Basic Concepts

Media Selection

• Media selection criteria • Lifecycle requirements

• Electronic media vs. paper or hardcopy characteristics

4. Placing files likely to be retrieved together, near each other on a CD-ROM, the amount of _____ is decreased. a. seek time b. compression c. flicker ratio d. misfiles e. redundancy

Sample Question 4

Filing Systems

Classification Systems

• Types of systems:

• Encyclopedic, geographic, hierarchical systems • File arrangements:

• Alphabetic, alpha-numeric, numeric, chronologic, phonetic, and subject methods

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5. ____ filing rules set standards to ensure the consistency of filing decisions.

a. Conversion b. Alphabetic c. Compatible d. Numerical e. Archived

Sample Question 5

Filing Systems

Physical

• Advantages and disadvantage of filing paper • Microfilm types

• Microfilm readers • CAR and COM systems

6. When selecting a service bureau for COM, a primary consideration should be the:

a. distance to its major water supply.

b. health and safety procedures that are practiced. c. condition of the facility’s landscape.

d. facility’s security procedures. e. material used to construct the facility.

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Filing Systems

Electronic Document Management Systems

• Directory and folder structures • Structured and unstructured data • Electronic format advantages • COLD systems

Filing Systems

Special Storage Requirements

• Special storage requirements for diskettes, paper, microfilm, magnetic and optical media

• Environmental control needs

• Engineering drawings, maps, specialty forms

7. The metallic layers of magnetic tapes and recordable optical disks are susceptible to oxidation from: a. air exposure b. acidic paper c. water damage d. fluctuating temperatures e. excessive light

Sample Question 7

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Filing Systems Design

Design and Planning

• File design factors • Selection criteria

• Active vs. inactive storage requirements • Filing manuals

Filing Systems Design

Location and Control

• Centralized vs. Decentralized file systems • Analyzing user needs

• Confidentiality requirements

• Security for Personally Identifiable Information (PII)

8. A primary disadvantage of centralized file rooms is that: a. administrative personnel will be less efficient. b. records will be prematurely destroyed. c. records may not be located close to users. d. inconsistent recordkeeping practices are created. e. security is compromised for confidential records.

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Records Storage and Retrieval

Indexing

• Pointers to information

• Direct vs. indirect access systems

• Index types: alphabetical, analytical, chain, coordinated, full-text indexing

• Contextual, truncated and cross-referencing

Records Storage and Retrieval

Retrieval

• Storing and recovering data

• Locate information based on user needs • Manual vs. electronic retrieval systems • Search methods

9. The _____version of electronic records contain more complete information and provide greater functionality than printed copies produced from them.

a. native b. microfilm c. email d. PDF e. database

Sample Question 9

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File Conversions

Planning and Evaluation

• Planning for a media conversion project • File conversion implementation steps • Migrating from manual to automated

10. Converting documents to digital storage in an electronic filing system ensures:

a. retention schedules are not permitted. b. decentralized access to information.

c. users can establish their own indexing terminology. d. easier data migration.

e. compliance with legal retention requirements.

Sample Question 10

File Conversions

Feasibility and Cost Studies

• Conducting a feasibility study

• Calculating capabilities, limitations and cost of various file conversions

• Cost considerations • Cost justification strategies

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11. A _____ is a methodology used to evaluate different methods or strategies by estimating the ratio of all expenses to the benefits.

a. strategic business plan b. SWOT analysis c. conversion strategy d. data migration e. cost-benefit analysis

Sample Question 11

File Conversions

System Design

• Conversion file types

• Application independent formats • Procedure development • User needs and requirements

File Conversions

Back File and Records Conversion Methods

• Back file conversion methods • Media conversion considerations • Use of internal staff vs. service bureaus

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12. _____ is a conversion method where only current and future records are digitized.

a. Day-forward b. Reference scanning c. Scan-on-demand d. Complete digitization e. Service digitization

Sample Question 12

File Conversions

Post- Conversion Media Disposition

• Quality checks and data integrity procedures • Converted records disposition

• Compliance with policies

Records Storage Facilities

Design Consideration

• Facility design criteria • Key personnel roles • Facility specifications

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13. The _____ is a consideration when planning stack layouts in record centers relative to the size of the platform ladder.

a. width of the ladder base

b. width and length of the ladder base c. length of the ladder base d. ability to turn the ladder around e. ceiling height

Sample Question 13

Records Storage Facilities

File Equipment

• File cabinet types and supplies • Shelf filing

• Safes and vaults • Shredders and balers • Destruction methods

Records Storage Facilities

Records Center Shelving

• Shelving types and sizes • Construction and maintenance • Media shelving types

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14. _____ places a limitation on access to records or to information of a specified type imposed by general or specific requirements. a. Direct access b. Indirect access c. Restricted access d. Chain of custody e. Auto-classification

Sample Question 14

15. A certified engineer must approve all design plans for a new records center facility to ensure:

a. all record material is accommodated. b. accurate cost-projection is provided. c. sufficient structural capacity of the floor. d. how quickly containers will be shelved.

e. compliance with company policies and procedures.

Sample Question 15

Records Storage Facilities

Relocating a Records Facility

• Moving specifications • Contract development • Precautions and provisions

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Records Center Operations

Functions and Objectives

• High density storage for inactive records • Advantages and disadvantages • Coordination with retention policy

16. A records center is a specially designed, warehouse-type facility that provides high-density storage for _____ records. a. active b. medical c. inactive d. permanent e. vital

Sample Question 16

Records Center Operations

Supplies

• File operation efficiencies • File supplies and aids • RFID technology

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17. Records centers should provide a _____, or designated reference area, where records may be examined by authorized persons. a. disposal bin b. warehouse stage c. private vault d. viewing room e. commercial vault

Sample Question 17

18. _____ shelving and pallet units are used by most records centers to store containers.

a. Plastic b. Wooden c. Steel d. Mobile e. Lateral

Sample Question 18

Records Center Operations

Storage Containers

• Standard records center containers • Other storage and specialty containers • Special storage needs for drawings, plans • Archival records requirements

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Records Center Operations

Material Handling Equipment

• Records Center handling equipment: • Platform ladders, hydraulic lifts • Pallet jacks, wheeled carts, dollies • Special equipment

Records Center Operations

Managing the Records Center

• Key personnel roles and responsibilities • Security controls

• User/customer needs • Operating procedures

Records Center Operations

Operating the Records Center

• Operational procedures • Accession, growth and disposal • Locating, searching, charge-out • Refiling, interfiling

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19. Interfiling is when a new document or file is filed within a _____ container of stored records.

a. brand new b. destroyed c. existing d. replaced e. scanned

Sample Question 19

Records Center Operations

Disaster Recovery

• Emergency preparedness

• Records Center disaster recovery plan • Protection methods

• Vital records precautions

Commercial Records Center

Business Case

• Alternatives for in-house records centers • Cost analysis

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Commercial Records Center

Vendor Evaluations

• Selection criteria

• Financial strength, size, scope, services offered, costs, reputation, and quality control

• Service comparison/checklist

Commercial Records Center

Contract Considerations

• Competitive bid process • RFI or RFQ

• Pricing for delivery, filing, labor, indexing, sorting, refiling, destruction, and permanent removal

20. When using a commercial records center, ______ fees, or “hostage fees”, are those costs associated with the termination of the storage agreement.

a. filing b. destruction c. delivery d. exit e. consultant

Sample Question 20

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Commercial Records Center

Vendor Performance Management

• References

• Controls and services evaluation

• Response times, information disclosure, quality indicators, and customer survey results • Auditing and compliance requirements