Part 2: Records and Information Management: Creation and Use

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1 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 Creating Records and Information Definitions and Objectives Document creation Define record and non-record Evaluating new document types Ensuring effective and efficient information systems 1

2 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. Creating Records and Information Characteristics of a Record Document activities and transactions Importance of metadata Authenticity, reliability, integrity and usability 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 2

3 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. management d. Electronic records management e. Collaborative, web-based 3

4 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 4

5 Information Capture and Use Document Control Workflow of a lifecycle Manual and systematic approaches 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 Sample Question 6 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. 5

6 Legal Compliance Legislative and Regulatory Legislative and regulatory impact on creation and use of information Program 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. Legal Compliance Litigation Litigation support responsibilities Hold notices Media challenges Software capabilities 6

7 Legal Compliance Discovery Discovery phase of litigation Discovery defined RIM responsibilities during discovery Sample Question 8 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 9 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. 7

8 Legal Compliance Personally Identifiable Information (PII) PII definitions Secure management Unique attributes Sample Question 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 Risk Assessment Definitions and Objectives Risk assessment defined Identity theft Business, legal and accountability risks Security provisions 8

9 Sample Question Risk assessment recommendations on electronic records security may include: a. erasing backup tapes on a daily basis. b. eliminating the use of . 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 is the rendering of electronic data or documents unintelligible to unauthorized users. a. vaulting b. encryption c. authentication d. file transfer protocol e. compression 9

10 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 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 10

11 Sample Question A(n) can reduce the amount of spam and unwanted junk that a user receives. a. intermediate filter b. firewall c. 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 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. 11

12 Electronic Communications Collaboration Tools & Unified Communications Collaboration software Instant messaging, conference calls, video conferencing Combinations of electronic messaging Sample Question 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 . d. increased backup failures. e. uncontrolled file sharing. RIM-Related Business Activities Correspondence Management Uniform systems for formatting, preparation, and processing Writing styles 12

13 RIM-Related Business Activities Documentation of Policies & Procedures Policies and procedures defined Manuals, handbooks, guidelines, and directives Distribution Maintenance Sample Question 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 Forms design standardization 13

14 Sample Question 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 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. e. better utilization of mail equipment. 14

15 RIM-Related Business Activities Reprographics Control of copying practices and procedures Copier comparisons Lease vs. purchase In-house vs. external printing services Sample Question encompasses multiple means of reproducing content including scanning, photography, digital printing and xerography. a. Calligraphy b. Microphotography c. Reprographics d. Distribution e. Delivering Questions? 15

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