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

Transcription

1 Records Systems, Storage and Retrieval Part 3: 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 Basic Concepts Information access methods Methods, processes and procedures Implement, maintain and enforce RIM systems 1

2 Sample Question 1 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. 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 Sample Question 2 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 2

3 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 Sample Question 3 3. An attorney manages legal matters as files. a. reference b. convenience c. history d. case e. correspondence 3

4 Basic Concepts Media Selection Media selection criteria Lifecycle requirements Electronic media vs. paper or hardcopy characteristics Sample Question 4 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 Filing Systems Classification Systems Types of systems: Encyclopedic, geographic, hierarchical systems File arrangements: Alphabetic, alpha-numeric, numeric, chronologic, phonetic, and subject methods 4

5 Sample Question 5 5. filing rules set standards to ensure the consistency of filing decisions. a. Conversion b. Alphabetic c. Compatible d. Numerical e. Archived Filing Systems Physical Advantages and disadvantage of filing paper Microfilm types Microfilm readers CAR and COM systems Sample Question 6 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. 5

6 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 Sample Question 7 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 6

7 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) Sample Question 8 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. 7

8 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 Sample Question 9 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. d. PDF e. database 8

9 File Conversions Planning and Evaluation Planning for a media conversion project File conversion implementation steps Migrating from manual to automated Sample Question 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. File Conversions Feasibility and Cost Studies Conducting a feasibility study Calculating capabilities, limitations and cost of various file conversions Cost considerations Cost justification strategies 9

10 Sample Question 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 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 10

11 Sample Question 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 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 Safety and regulatory requirements 11

12 Sample Question 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 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 Shelf space and stack area requirements 12

13 Sample Question 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 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. Records Storage Facilities Relocating a Records Facility Moving specifications Contract development Precautions and provisions 13

14 Records Center Operations Functions and Objectives High density storage for inactive records Advantages and disadvantages Coordination with retention policy Sample Question A records center is a specially designed, warehousetype facility that provides high-density storage for records. a. active b. medical c. inactive d. permanent e. vital Records Center Operations Supplies File operation efficiencies File supplies and aids RFID technology 14

15 Sample Question 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 shelving and pallet units are used by most records centers to store containers. a. Plastic b. Wooden c. Steel d. Mobile e. Lateral Records Center Operations Storage Containers Standard records center containers Other storage and specialty containers Special storage needs for drawings, plans Archival records requirements Container construction requirements 15

16 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 Software use 16

17 Sample Question 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 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 Commercial records center service options 17

18 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 Sample Question 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 18

19 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 Questions? 19