CRM Retention Scheduling & Disposition 1 — Questions and Answers
Question 1: What is the primary purpose of a records retention schedule?
- To organize records alphabetically for easy retrieval
- To establish how long records must be kept and when they may be disposed of (Correct answer)
- To assign access permissions to different employee roles
- To document the chain of custody for vital records
Correct answer: To establish how long records must be kept and when they may be disposed of
A records retention schedule defines the retention period for each record series and specifies authorized disposition actions, ensuring legal compliance and efficient records management.
Question 2: Which factor is LEAST likely to influence the retention period assigned to a record series?
- Applicable federal and state statutes of limitations
- The color of the folder used to store the records (Correct answer)
- Operational value of the records to the organization
- Potential litigation needs identified by legal counsel
Correct answer: The color of the folder used to store the records
Physical storage characteristics like folder color have no bearing on retention periods; periods are driven by legal, operational, fiscal, and historical value.
Question 3: In records management, the term 'disposition' refers to:
- The process of converting paper records to digital format
- The final action taken on records at the end of their retention period (Correct answer)
- The method used to index and classify incoming records
- The procedure for transferring records to an off-site facility
Correct answer: The final action taken on records at the end of their retention period
Disposition is the authorized action taken on records whose retention period has expired, which may include destruction, transfer to archives, or permanent preservation.
Question 4: A legal hold (litigation hold) requires an organization to:
- Accelerate the destruction of records related to pending litigation
- Suspend normal retention schedules and preserve relevant records indefinitely until legal matters are resolved (Correct answer)
- Transfer all records to outside legal counsel immediately
- Create duplicate copies of all organizational records as a precaution
Correct answer: Suspend normal retention schedules and preserve relevant records indefinitely until legal matters are resolved
A legal hold suspends the normal disposition of records that may be relevant to anticipated or ongoing litigation to avoid spoliation and comply with discovery obligations.
Question 5: Which of the following best describes a 'record series' in the context of retention scheduling?
- A consecutive numbering system applied to all organizational documents
- A group of related records arranged and evaluated as a unit for retention purposes (Correct answer)
- A chronological log of all records created within a single fiscal year
- A database of employee personnel files organized by department
Correct answer: A group of related records arranged and evaluated as a unit for retention purposes
A record series is a group of similar or related records that are normally used and filed as a unit and can be evaluated as a unit for retention scheduling.
Question 6: The 'trigger event' in a retention schedule is best defined as:
- An automated alert that notifies staff when a record is accessed
- The date or action that starts the clock on a record's retention period (Correct answer)
- A security breach that initiates the emergency records protocol
- The moment a record is converted from draft to final status
Correct answer: The date or action that starts the clock on a record's retention period
The trigger event is the event or date (such as contract expiration, fiscal year end, or employee termination) that marks the beginning of a record's retention countdown.
Question 7: Under the generally accepted records management principle, 'ARMA's Principles of Information Governance' (the 'Generally Accepted Recordkeeping Principles'), the principle of 'Availability' requires that:
- Records are destroyed as soon as their operational use ends
- Records are accessible and retrievable in a timely manner to authorized users (Correct answer)
- All records are available to the public upon request without restriction
- Records are duplicated and stored in multiple geographic locations at all times
Correct answer: Records are accessible and retrievable in a timely manner to authorized users
The Availability principle requires that an organization maintain records in a manner that ensures timely, efficient, and accurate retrieval by authorized personnel.
CRM Retention Scheduling & Disposition 1
What is the primary purpose of a records retention schedule?