Questions and Answers
What is a major challenge in disposing of electronic records compared to physical records?
What is a benefit of analyzing data in records?
Why is it important to dispose of electronic records?
What should be considered when developing a records retention and disposition schedule?
Signup and view all the answers
What is a disadvantage of not disposing of electronic records?
Signup and view all the answers
What is a consideration when creating a records retention and disposition schedule from scratch?
Signup and view all the answers
What is a benefit of reducing the amount of electronic records?
Signup and view all the answers
What should be completed before developing a records retention and disposition schedule?
Signup and view all the answers
What is the primary benefit of using a centralized dashboard for records management?
Signup and view all the answers
What is the primary purpose of a records retention and disposition schedule?
Signup and view all the answers
What is the benefit of using software to manage retention and disposition?
Signup and view all the answers
What is the purpose of a functional classification in a records retention schedule?
Signup and view all the answers
What is the primary challenge in creating and maintaining a records retention schedule?
Signup and view all the answers
What is the benefit of using a 'big bucket' approach to records retention?
Signup and view all the answers
What is the purpose of including a record category in a records retention schedule?
Signup and view all the answers
What is the benefit of using a database or records retention software to manage retention schedules?
Signup and view all the answers
What is the primary purpose of conducting legal and regulatory research in records retention?
Signup and view all the answers
What is the benefit of making a records retention schedule publicly searchable?
Signup and view all the answers
What is the primary advantage of using event-based retention periods?
Signup and view all the answers
What is the main challenge posed by email records?
Signup and view all the answers
What is the purpose of the Capstone approach?
Signup and view all the answers
What type of approach is the Capstone approach expanded to in 2023?
Signup and view all the answers
What is the purpose of a disposition review?
Signup and view all the answers
Why should data retention requirements be addressed in records retention/disposition schedules?
Signup and view all the answers
What is the purpose of using retention labels in records management?
Signup and view all the answers
What is the main benefit of using AI/ML in records management?
Signup and view all the answers
What type of records are captured from the accounts of officials at or near the top of an agency or organizational subcomponent using the Capstone approach?
Signup and view all the answers
What is an example of a messaging service included in the Capstone approach?
Signup and view all the answers
Which of the following is NOT a challenge to the implementation of a Big Bucket records retention schedule?
Signup and view all the answers
What is the primary reason for integrating tools that support retention and disposition into communication and information systems during the planning phase?
Signup and view all the answers
Which statement BEST reflects the rationale behind aggregating records series into "big buckets" for records retention and disposition?
Signup and view all the answers
Based on the content, what is the MAIN reason for the increased scrutiny on how organizations manage their data?
Signup and view all the answers
What is the MOST LIKELY reason for regularly auditing the destruction or transfer of records that have met their retention requirements?
Signup and view all the answers
Which of the following is the BEST example of a change in the external environment that might impact an organization's records retention and disposition schedule?
Signup and view all the answers
What is the MOST likely reason for emphasizing the need to make the records retention and disposition schedule, along with operational procedures, available to employees with records management responsibilities?
Signup and view all the answers
What is the primary purpose of a records retention and disposition schedule?
Signup and view all the answers
When can new columns be added to a records retention schedule concerning personal information?
Signup and view all the answers
How should operating procedures be managed after updating a records retention and disposition schedule?
Signup and view all the answers
Which approach is suggested for appraising records to determine retention requirements?
Signup and view all the answers
Why might external events influence records retention schedules?
Signup and view all the answers
What must happen if non-compliance notices are issued?
Signup and view all the answers
Which of the following best describes the impact of personal information on records retention policies?
Signup and view all the answers
Which tool can aid the records inventory process to determine retention needs?
Signup and view all the answers
What factor is not considered in determining the retention requirements of records?
Signup and view all the answers
What element must be reviewed to ensure compliance with records retention policies?
Signup and view all the answers
Study Notes
Benefits of Developing a Records Retention and Disposition Schedule
- Reduces time to locate and retrieve desired information
- Reduces costs associated with equipment, space, staff, and/or services needed to manage records
- Mitigates the risk of retaining records that could be used against the organization
- Reduces the cost of locating records in response to e-discovery and freedom of information requests
- Reduces the cost of inspecting records to redact PII (Personally Identifiable Information)
Considerations for Developing a Retention Schedule
- Determine if an existing schedule is being updated or a new one is being created from scratch
- Determine the scope of the retention schedule (enterprise-wide or specific function/work group)
- Determine if a functional retention schedule or one related to the organization's structure should be used
- Assess if a records inventory and business process analysis have been completed recently
- Research legal/regulatory considerations
- Determine resources available for development and maintenance of the retention schedule(s)
Records Retention and Disposition Schedule
- Created after completing records inventory, business process analysis, and legal research
- Includes common elements such as records series, record title and description, records office, retention requirement, and disposition method
- May also include additional information such as storage medium, volume of records, effective date, and revision number and date
- Can be managed using a database or records retention software program
Big Buckets and Records Retention Schedules
- A method to simplify records retention schedules by consolidating record types related to the same business function or process with similar retention requirements into bigger retention buckets (records series)
- Fewer buckets mean fewer retention choices and a greater likelihood of compliance with the organization's retention schedule
- Challenges include managing exceptions, such as event-driven retention requirements
Event-Based Retention Periods
- Retention period for some records begins after the occurrence of a particular event, such as contract completion
- With big buckets, the event-factor is ignored, allowing for flexible retention periods
- Workflows can be created using retention labels configured for specific content, such as a "contract," and events, such as "contract expired," are added to trigger the start of the retention period
Capstone Records Retention
- A role-based approach to managing email records, where emails from top officials and specific roles are captured and preserved as permanent
- Remaining email accounts are considered temporary and preserved for a set period based on the agency's needs
- The Capstone approach has been expanded to include other types of electronic messages
Data Retention Policies and Records Retention Schedules
- Data retention policies and records retention schedules must comply with legal and regulatory retention requirements as well as consider the business value of the data and records
- A data retention policy introduces personal information as a new element to consider in decision-making
- A records retention schedule can be updated to include columns to describe personal information contained in records and justify longer retention
Summary
- The primary purpose of a records retention and disposition schedule is to ensure that records are retained only as long as necessary and then disposed of when they no longer have value
- The schedule is created after completing records inventory, records appraisal, and legal research
- Records managers must update operating procedures to reflect changes to existing operations and monitor internal and external environments for changes that may impact the schedule.
Studying That Suits You
Use AI to generate personalized quizzes and flashcards to suit your learning preferences.
Description
This quiz covers the advantages of having a records retention and disposition schedule, including reduced costs, time, and risk, as well as improved compliance with regulations. Learn more about the importance of effective records management.