CDIA Records Management 4 — Questions and Answers
Question 1: A company is migrating from a legacy EDMS to a new platform. Which records management concern is MOST critical during this migration?
- Ensuring the new platform has a more modern user interface
- Preserving metadata integrity and maintaining the records' authenticity during transfer (Correct answer)
- Reducing the total number of records by deleting duplicates
- Converting all records to a single proprietary format
Correct answer: Preserving metadata integrity and maintaining the records' authenticity during transfer
During system migration, preserving metadata integrity and record authenticity is paramount to ensure records remain legally defensible and usable throughout their full retention period.
Question 2: Under the Health Insurance Portability and Accountability Act (HIPAA), covered entities must retain medical records documentation for a minimum of how many years?
- 3 years
- 6 years (Correct answer)
- 10 years
- 25 years
Correct answer: 6 years
HIPAA requires covered entities to retain documentation related to policies and procedures for 6 years from creation or last effective date, though state medical records laws may require longer retention.
Question 3: What is the primary function of a 'file plan' in records management?
- A disaster recovery blueprint for restoring lost records
- A structured scheme that defines how records are organized, classified, and described within a filing system (Correct answer)
- A software configuration file controlling access rights to records
- A legal agreement defining records ownership between departments
Correct answer: A structured scheme that defines how records are organized, classified, and described within a filing system
A file plan is a structured classification scheme that defines how records should be organized, labeled, and described within a filing system, enabling consistent and retrievable recordkeeping.
Question 4: In records management, 'secondary value' of a record refers to its value for:
- Backup copies stored at a secondary offsite location
- Research, historical, or evidential purposes beyond its original operational use (Correct answer)
- Records accessed by secondary users outside the originating department
- Duplicate records kept as insurance against primary record loss
Correct answer: Research, historical, or evidential purposes beyond its original operational use
Secondary value refers to a record's usefulness beyond its original purpose, including evidential, informational, or historical value that may justify long-term or permanent retention.
Question 5: Which approach to retention scheduling applies a single retention period to all records in a department rather than distinguishing individual record series?
- Macro-appraisal
- Big bucket scheduling (Correct answer)
- Micro-scheduling
- Hybrid disposition
Correct answer: Big bucket scheduling
Big bucket scheduling applies broader, simpler retention periods across large groupings of records, reducing complexity but potentially retaining some records longer than strictly necessary.
Question 6: When implementing a legal hold, which action should records managers take FIRST?
- Delete all records outside the hold scope to reduce discovery costs
- Notify custodians of relevant records and suspend their normal disposition activities (Correct answer)
- Transfer all potentially relevant records to outside counsel immediately
- Enable automatic deletion of records older than the hold trigger date
Correct answer: Notify custodians of relevant records and suspend their normal disposition activities
The first step in a legal hold is notifying records custodians to suspend normal retention and disposition activities for potentially relevant records to avoid spoliation.
Question 7: Which ISO standard provides the most comprehensive international framework for records management principles and practices?
- ISO 27001
- ISO 15489 (Correct answer)
- ISO 9001
- ISO 14001
Correct answer: ISO 15489
ISO 15489 is the international standard specifically dedicated to records management, covering principles, policies, systems, and processes for managing records in any format.
CDIA Records Management 4
A company is migrating from a legacy EDMS to a new platform.
Which records management concern is MOST critical during this migration?