OMST Records Management 2 — Questions and Answers
Question 1: What is the recommended first step when converting a paper filing system to an electronic document management system?
- Buy new hardware
- Audit and purge existing records first (Correct answer)
- Train staff on the new software
- Scan all documents immediately
Correct answer: Audit and purge existing records first
Auditing and purging outdated records before conversion prevents migrating unnecessary files and reduces storage costs.
Question 2: Which filing rule states that personal names should be indexed by last name, then first name?
- Unit-by-unit rule
- Nothing-before-something rule
- Indexing order rule (Correct answer)
- Cross-reference rule
Correct answer: Indexing order rule
The indexing order rule defines how to break names and titles into units for consistent alphabetic or numeric filing.
Question 3: A tickler file is best described as:
- A confidential personnel folder
- A chronological follow-up reminder system (Correct answer)
- A backup file for lost documents
- A subject-based reference collection
Correct 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.
Question 4: Which storage medium provides the longest archival stability for paper documents?
- Thermal paper
- Acid-free paper (Correct answer)
- Recycled newsprint
- Standard copy paper
Correct answer: Acid-free paper
Acid-free paper resists deterioration caused by acid breakdown, making it the archival standard for long-term document preservation.
Question 5: What is the purpose of a charge-out record in a manual filing system?
- To bill clients for document retrieval
- To track which files have been removed and by whom (Correct answer)
- To log document destruction dates
- To assign security clearance levels
Correct 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.
Question 6: Under the Sarbanes-Oxley Act, publicly traded US companies must retain audit records for a minimum of how many years?
- 3 years
- 5 years
- 7 years (Correct answer)
- 10 years
Correct answer: 7 years
SOX Section 802 requires audit and review workpapers to be retained for 7 years to ensure accountability.
OMST Records Management 2
What is the recommended first step when converting a paper filing system to an electronic document management system?