IMST Records Management 2 — Questions and Answers
Question 1: What is a 'file plan' in records management?
- A backup and recovery plan for digital files
- A classification scheme that organizes records by subject or function to facilitate retrieval and management (Correct answer)
- A plan for converting paper files to electronic format
- A budget document for IT file storage
Correct answer: A classification scheme that organizes records by subject or function to facilitate retrieval and management
A file plan is a structured framework that categorizes and arranges records by function or subject, providing rules for naming, filing, and retaining records.
Question 2: In records management, what does 'chain of custody' refer to?
- A sequence of software releases for a records system
- The documented trail showing who has handled a record and when, preserving its integrity (Correct answer)
- A legal contract between a records vendor and a client
- The hierarchy of approval for creating new record types
Correct answer: The documented trail showing who has handled a record and when, preserving its integrity
Chain of custody documents the chronological sequence of possession, ensuring that a record has not been altered or tampered with, which is critical for legal admissibility.
Question 3: What is the primary difference between 'active' and 'inactive' records?
- Active records are digital; inactive records are paper
- Active records are regularly accessed for current business; inactive records are no longer needed for day-to-day operations but must be retained (Correct answer)
- Active records are encrypted; inactive records are not
- Active records are held by executives; inactive records are held by staff
Correct answer: Active records are regularly accessed for current business; inactive records are no longer needed for day-to-day operations but must be retained
Active records support ongoing business activities and are accessed frequently, while inactive records are retained for legal, compliance, or historical reasons but rarely referenced.
Question 4: What does 'legal hold' mean in the context of records management?
- A restriction preventing employees from accessing confidential records
- A directive to suspend normal disposition of records relevant to litigation or investigation (Correct answer)
- A legal requirement to encrypt all organizational records
- A court order mandating electronic records conversion
Correct answer: A directive to suspend normal disposition of records relevant to litigation or investigation
A legal hold (or litigation hold) suspends a record's normal retention and disposition schedule to preserve it as potential evidence in legal proceedings.
Question 5: Which principle ensures that records are trustworthy and have not been altered?
- Authenticity (Correct answer)
- Retrievability
- Accessibility
- Currency
Correct answer: Authenticity
Authenticity means a record is what it claims to be and has not been tampered with—it was created by the stated person at the stated time.
Question 6: What is 'disposition' in records management?
- The process of indexing and classifying new records
- The final action taken on a record at the end of its retention period, such as destruction, transfer, or permanent preservation (Correct answer)
- The method of encrypting records for long-term storage
- The process of converting paper records to digital format
Correct answer: The final action taken on a record at the end of its retention period, such as destruction, transfer, or permanent preservation
Disposition is the action taken when a record has reached the end of its retention period: it is either destroyed, transferred to another custodian, or permanently archived.
IMST Records Management 2
What is a 'file plan' in records management?