Records Management Flashcards

What is the recommended first step when converting a paper filing system to an electronic document management system?

Answer: Audit and purge existing records first

Auditing and purging outdated records before conversion prevents migrating unnecessary files and reduces storage costs.

Which filing rule states that personal names should be indexed by last name, then first name?

Answer: Indexing order rule

The indexing order rule defines how to break names and titles into units for consistent alphabetic or numeric filing.

A tickler file is best described as:

Answer: A chronological follow-up reminder system

A tickler file is organized by date to remind office staff of upcoming deadlines, follow-ups, or tasks.

Which storage medium provides the longest archival stability for paper documents?

Answer: Acid-free paper

Acid-free paper resists deterioration caused by acid breakdown, making it the archival standard for long-term document preservation.

What is the purpose of a charge-out record in a manual filing system?

Answer: To track which files have been removed and by whom

A charge-out record (or OUT card) documents who borrowed a file and when, so missing files can be located quickly.

Under the Sarbanes-Oxley Act, publicly traded US companies must retain audit records for a minimum of how many years?

Answer: 7 years

SOX Section 802 requires audit and review workpapers to be retained for 7 years to ensure accountability.