LIBR 257 Records Management
FINAL EXAM
Kelsey Smith
A. Multiple Choice (2 points each; place X in front of your selection or use the check box)
1. Records that have no predictable value after their initial use and require the lowest degree of
protection are classified as
nonessential records.
useful records.
disposable records.
vital records.
2. An automated system for scanning, storing, retrieving, and managing images of paper records in
an electronic format is called
the Internet.
electronic records transfer.
electronic data interchange.
document imaging.
3. The life cycle of a record consists of the following phases
creation, transfer, use, migration, disposition.
creation and storage, disposition and use, maintenance, and transference.
creation, distribution, use, maintenance, and disposition.
creation and storage, maintenance, disposition, and back up.
4. Which of the following are examples of vital records?
Personnel records, sales records, financial and tax records, selected correspondence and
reports, and contracts.
General correspondence and bank statements.
Announcements and bulletins to employees, acknowledgments and routine telephone/email messages.
Legal papers, articles of incorporation, titles to property, reports to shareholders.
5. Which of the following filing segments would require a cross-reference?
Sandra Blake-Thibodeaux
Cherry Grove Baptist Church
6. Which of the following two names would come first in correct alphabetic filing order?
Gardner and Russell Lithographs
Lillian P. Gardner
7. Which of the following gives the correct sequence of the storage procedures?
inspecting, indexing, coding, cross-referencing, sorting, storing and retrieving.
storing, coding, cross-referencing, indexing, sorting, inspecting and retrieving.
indexing, inspecting, cross-referencing, coding, storing, and sorting.
inspecting, indexing, cross-referencing, coding, storing, and sorting and retrieving.
8. The major advantage of using a software tool to automatically generate a classification and/or
taxonomy is:
it's less expensive than other development methods
a human does not need to provide input into the taxonomy
the tool can categorize more documents quicker than a human
it requires less storage than a manually prepared classification
it will not require any updates
9. Indicate the order in which the names in each group should be arranged in an alphabetic file by
listing the letters of the names in correct order.
(a)
3-2-1 Shop
(b)
Thirty-Five Corporation
(c)
31 Club
Correct Order: c, a, b
10. A significant, vital, or important record of continuing value that has the legally recognized and
judicially enforceable quality of establishing some fact is a(n)
archive record.
official record.
active record.
non-record.
11. The disposal of records of no further value by incineration, maceration, pulping, or shredding
(complete obliteration of a record beyond any possible reconstitution) is
records inventory.
charge-out.
records transfer.
records destruction.
12. The length of time that records must be kept according to operational, legal, regulatory, and
fiscal requirements is the
inventory period.
retention period.
inactive period.
legal period.
13. The world's first global standard for records management, issued in 2001, was:
ISO 90000
DOD 5015.2
ISO 50489
ASCII 2000
ISO 15489
14. What is seen as a disadvantage of subject filing?
Related records are scattered throughout the files.
Related records are harder to find.
Inconsistent subject title coding on records can make storage and retrieval difficult.
Names are easier to remember than subjects.
15. Which of the following is an advantage of consecutive numeric records storage?
Expansion is easy and unlimited.
Numbers can be easily transposed.
Fewer guides are necessary for the numeric method; therefore, the cost of supplies is
lower.
Consecutive numeric is a direct access method allowing for speed in storing and retrieval.
16. In vital records management, disaster recovery plans phases are:
prevention, preparedness, and recovery.
survey, evaluation, assessment, and recovery.
survey, planning, recovery, and restoration of services.
assessment, identification of resources, and developing a manual.
17. The best practices guidelines for an electronic records management system can be found in:
ISO 90000
DOD 5015.2
ISO 15489
ASCII 2000
RIM 2001
18. Is the following statement true or false? "Equipment and supplies represent the largest
percentage of total RM costs."
True
False
19. A records retention schedule is a
listing of records with a stated length of time for keeping each category of records.
comparison to determine that every cost results in an equal or greater benefit.
written and approved course of action to take when disaster strikes, ensuring an
organization's.
ability to respond to an interruption in services by restoring critical business functions.
periodic inspection to verify that an operation is in compliance with a records and
information management program.
20. A periodic inspection to verify that an operation is in compliance with a records and information
management program is a(n)
knowledge management plan.
records audit.
disaster recovery plan.
efficiency ratio.
B. Essay Questions (30 points each; write maximum of 5 single-spaced pages (10 point type
is okay) for each essay question)
1. Given what you have learned from this class, do you think records managers are more
important or less important today than in the 1950s before computers? Why? Identify and
describe at least five ways in which technology has impacted the field of records
management.
Before computers were a central part of many businesses and organizations, filing
systems for paper-based records were typically straightforward, well operated by trained
personnel like department secretaries or filing clerks, and record creation did not exceed people’s
ability to store it properly. After the 1980’s when personal desktop computers found their way
into many offices and homes, the number of records created per person per day exceeded the rate
at which these records could be indexed and stored in a way that allowed for easy retrieval
(Stephens, 2007). The use of computers and the Internet today makes records managers even
more important than they were 60 years ago because it is now easier and faster than ever to
create both paper and electronic records; without a records management program, a business or
organization likely lacks an effective way to control the extensive growth of its records, which
can grow about 10% per year. (Robek, Brown & Stephens, 2002)
The invention and use of computers and the World Wide Web created what was called
the “information explosion” and today we are living in the information age. Information is now
considered a very valuable asset and the abundance of information and records created each day
causes problems for businesses, organizations, and individuals (de Lorenzo, 2012). According to
Lyman (2003, as cited Hare & McLeod, 2006), five exabytes of new information are created
each year and each person creates about 800 megabytes of information a year. Email alone
counts for about 400,000 terabytes of the new information created each year! Computers and
related electronic technology, like the Internet, digital imaging, and new digital formats all
contribute to the information explosion and the increase of importance of records managers. This
new technology, although creating more recorded information than we are capable of managing,
is not all bad news. Computers and software have changed the field of records management for
the better and has allowed for improvements in the way records managers can handle the
information explosion—“records management is the first step to manage the information
explosion” (de Lorenzo, 2012b, slide 2).
Increasing numbers of records are being “born digital,” which means information created
by computers and exist in a machine-readable format; this means new software and technology
to manage the electronic records is needed in the field of records management (Hare & McLeod,
2006). In addition to needing to file paper records in records centers or on-site filing cabinets,
now records managers need to find a way to keep track of electronic records as well. Just like
paper documents, electronic records are very important to the life of many organizations and
need to be indexed, retained, and/or disposed of just like paper records. With records now being
created in the digital format, records managers now needed new training, software, and other
technology that allowed for these records to be moved, copied, backed-up, and/or restored (de
Lorenzo, 2012a).
The creation and use of electronic records when computers came around was good for
businesses, but it also made the field of records management more complex. Electronic records
can not be retained or disposed of in the same way that paper records can be (e.g. shredding or
incinerating), which means that records managers now have to work closely with the IT
department who can assist in the disposal of electronic records and help to create various types of
software solutions for the retention and retrieval of these records. Working together with IT staff,
records managers can help organizations benefit from records management software, electronic
document imaging, and electronic document management system (EDMS) software. EDMS
allows for a single, central system for managing all records within an organization (Stephens,
2007). Records managers have an ever-increasing importance in this information age because
our information exists in a hybrid world—our records are paper, electronic, and everything inbetween (e.g. audio, video, web content, multimedia). Knowing how to manage all the formats in
which our records are in is a complex and challenging task (Hare & McLeod, 2006).
Because of the downsizing of businesses, budgets, number of staff members, and hours of
training, many staff members cannot depend upon a departmental secretary or file clerk to file
and retrieve records for them. Now, workers are spending valuable time searching for records
that they sometimes never find, which wastes the company money. McKinley (1997, as cited in
Hare & McLeod, 2006) found that 85% of documents that are filed are never retrieved and that
20% of a worker’s time is spent looking for or filing documents. Recognizing the time staff
members waste looking for records that are not properly organized, the field of records
management has gained popularity and importance over the past few years. Many businesses
now see that records management, especially electronic records, is an integral part of the life of
their company because the organization of information is becoming increasingly important in
today’s information age.
Another reason that records managers are more important today than before the 1950’s is
that records created and/or stored on computer systems are just as susceptible to litigation as
paper records. With computer technology came the need for the field of records management to
be educated about the new laws and regulations about legally mandated retention periods for
records in the new electronic formats. Electronic records are also sensitive to acts of terrorism
(e.g. leaks of sensitive information into the wrong hands), natural disasters (e.g. floods,
earthquakes, hurricanes, etc) destroying whole computer filing systems, and corporate scandals
where electronic discovery of records is crucial (de Lorenzo, 2012b).
New record formats beginning with the introduction of computer technology into the
business world lead to an increased need for records managers to play a part in organizing the
explosion of information. Technology has also allowed the field of records management to grow
and develop. Records managers are more important than ever before as we need to control the
creation, growth, and storage of all of our records. They can also help to save businesses and
organizations money used on record storage and operating costs, they can help to keep vital
records protected and ensure that businesses are following laws and regulations. Record keeping
is now a “natural, effective, and efficient” part of businesses’ day-to-day operations (Hare &
McLeod, 2006, p. 99).
2. You have been hired as the first records manager for the Zinobu Corporation, an
international manufacturer of electronic toys. The CEO has given you full authority to
establish the program and wants you to tell her what you need! Describe at least five goals
you would want to complete in the first year and why they are important.
As the first records managers of the Zinobu Corporation, I would emphasize the need for
the business to have up-to-date information in the correct format, in the correct place, and at the
correct time. Proper management of organizational records is essential for making management
decisions that will affect the life of the company. The following are the first five goals I would
want to achieve in the first year of establishing a records management program:
1.
As records manager, I would the Designing and Implementing Record-Keeping
Systems (DIRKS) model. The DIRKS model has eight steps that can either be followed
in-order or in any order that is necessary to establish an effective record-keeping model.
The first step in the DIRKS model and the first goal I would set out to achieve would be
the “Preliminary Investigation”. Within the first few months of my assignment, I would
like to collect and examine information about Zinobu’s record-keeping needs; these
needs may include such things as legislative requirements, how records are created and
are maintained, what types of business activities are taking place, what types of
technology is being used, and what types of risks related to record-keeping are associated
with the company. This first goal is an important step for any records manager as it is
time to get to know and fully understand the record-keeping needs and goals of the
company. Completing this step will allow me to understand what the Zinobu Corporation
really needs as far as a record-keeping system goes. To complete this goal, I would need
the CEO to allow me to observe, interview staff members, and learn about any current
record-keeping practices being used.
2.
The second goal I would like to achieve during the first year of my assignment is
the step C in the DIRKS model—“Identification of Record-Keeping Requirements”. My
investigation in my preliminary investigation of the company goes deeper in this next
step as I will further examine the record-keeping requirements of the company. To do this
I will take a look at all of the interactions and activities that happen within the company,
like legal and business activities (e.g. past and present litigations and business
transactions). Learning about these activities will allow me to better determine what types
of records I will be dealing with and what types of laws and regulations I must be aware
of while creating a record-keeping program for the company. This goal is crucial to any
record-management program as it prepares the records manager for what the company
needs most when it comes to managing records in a way that would be most beneficial to
the business and legal matters of the company. Completing this goal within the first few
year of my assignment would allow me to create a program for managing the company’s
records in a way that works with them.
To complete this goal, I would need to conduct a records inventory and records
schedule, which is a complete survey of all the organization’s records and a schedule
indicating the retention period for each record series. For this to be done I would need the
CEO to allow me to have the commitment from upper management, communication with
staff about what I am doing and why, and the resources for establishing a work schedule
that would schedule my records inventory interviews and the estimated time this would
take (de Lorenzo, 2012c).
3.
The third goal is DIRKS step B, “Analysis of Business Activities,” which I
believe dives deeper into the activities that will take place during goal two,
“Identification of Record-Keeping Requirements”. For this goal, I will further investigate
the business activities of the company and gather facts about the business functions, the
transactions that take place, who performs certain activities, how business activities are
carried out, and why certain transactions and activities take place. According to Adam
(2008), this is the “who, why, where, when, and how of the organization’s business
processes.” This goal will help me get to the heart of the organization and learn about its
inner workings and procedures.
4.
The forth goal I wish to complete within a year is DIRKS step D, “Identification
of Strategies for Record-Keeping,” which creates strategies from the information
gathered in the first three goals. After completing a preliminary investigation of the
company, a records inventory, a records schedule, and learning about the business
activities of the company, I will then contemplate the requirements (legal regulations,
laws, retention schedules, square footage, software, etc.) needed to establish a recordkeeping system for the company that meets its needs and integrates smoothly into the preexisting culture of the company. It is during this goal that I will decide what strategies for
managing records will work well with this company, such as migration of paper
documents to electronic, microfilm, or other formats. To decide upon a record-keeping
strategy I will need to consider the information gathered in the previous three goals about
what types of records I will be managing, how often they need to be accessed, what their
retention and disposition schedules look like, and how vital the records are.
5.
The final goal is DIRKS step F, “Design of a Record-Keeping System.” This is
the final step before the implementation of my new records management system into the
company, which would occur during the second year, after the planning and designing is
completed. Designing a system that works for and with this company will involve the
planning of record retention schedules, a records storage and retrieval system, vital
records protection/disaster planning program, and how to use filing equipment and
interior floor space. It is also at this time that I will decide what types of equipment will
be needed for records storage (e.g. filing cabinets, off-site records center, folders, dehumidifiers, labels, etc), what type of classification system would be best to use (e.g.
alphabetical, numeric, alpha-numeric, subject, geographic, etc.), and what computer
software, if any, will be used to manage electronic records (e.g. e-mails, captured website
data, etc.) and whether or not tools will be required for migration of paper records to
electronic formats. This design period is very important and it is at this point that I will
discuss with the CEO about required equipment and preferred storage methods, like
electronic, paper, or a hybrid system. This final goal of the first year takes into account
all of the information gathered during the year about the company’s record-keeping needs
and uses that information to design an effective records management system that benefits
the company.
References
Adam, A (2008). Implementing Electronic Document and Record Management. Systems.
London: Auerbach Publications.
de Lorenzo, D. (2012)a. Electronic Records Management [PowerPoint slides]. Retrieved from
https://sjsu.desire2learn.com/d2l/lms/content/home.d2l?ou=94904
de Lorenzo, D. (2012)b. Introduction to Records Management [PowerPoint slides]. Retrieved
from https://sjsu.desire2learn.com/d2l/lms/content/home.d2l?ou=94904
de Lorenzo, D. (2012)c. Records Surveys and Retention & Disposition Schedules [PowerPoint
slides]. Retrieved from https://sjsu.desire2learn.com/d2l/lms/content/home.d2l?ou=94904
Hare C. & McLeod, J. (2006). How to Manage Records in the e-Environment (2nd ed.) London:
Routledge.
Robek, Brown & Stephens. (2002). Information and Records Management (4th ed.). New York:
Glencoe McGraw-Hill
Stephens, D. (2007). Records Management: Making the Transition from Paper to Electronic.
ARMA International.