Questions and Answers
What is a characteristic of static web content?
What should be done when adding new versions of documents to a website?
Why should a legal hold be put into effect when removing content from a website?
What is the purpose of conducting a risk assessment when archiving a website?
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Why are snapshots not recommended for websites with dynamic functionality?
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What is a characteristic of dynamic web content?
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What is the advantage of capturing and preserving dynamic websites?
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What is required when capturing records from dynamic websites?
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Why are screenshots not sufficient for capturing records from static web pages?
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What should be done when records are required for audit or legal purposes?
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What is the main purpose of NARA providing links to 'frozen' WhiteHouse.gov websites?
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What is the primary function of the Internet Archive's Archive-It service?
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What is the benefit of using Brozzler for web archiving?
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What is the purpose of web-archiving practices in organizations?
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What is the minimum period of time that New York practitioners must keep medical records on file?
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What is the primary purpose of the Presidential Records Act?
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What is the purpose of Smarsh's Web Archiving Tool?
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Why do organizations need to comply with recordkeeping requirements?
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What is the main difference between the retention requirements for medical records in New York and California?
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What is the purpose of the Wayback Machine?
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What is the primary reason for organizing records into a records series?
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What is the minimum retention period generally suggested for records if no specific requirement exists?
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Which of the following roles is NOT typically involved in website records management?
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What must each records series be controlled by to ensure proper management?
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Which factor can complicate the retention period for business records compared to personal records?
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When should records typically be disposed of after filing a claim for a refund that is under IRS regulations?
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What is the main challenge regarding web-based records compared to traditional records?
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Under IRS guidelines, what is a condition that would allow an individual to dispose of tax records sooner than three years?
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In which structure could you categorize your tax-related documents to reflect their purpose?
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What is one of the responsibilities of a records manager concerning an effective records series?
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In what state would a product liability lawsuit against the original seller of a product have the shortest statute of limitations?
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Which of the following is NOT a factor considered when determining the retention period for records with administrative or operational value?
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In the context of the provided text, what is the primary purpose of a records retention and disposition schedule?
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Which of the following is NOT a type of record that the Securities and Exchange Commission requires accounting firms to retain for seven years?
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A medical record in Texas must be retained for how long?
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How long should a corporation’s internal audit records be retained according to the Massachusetts Society of Certified Public Accountants?
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In Alabama, how long does a plaintiff have to file a product liability lawsuit from the date of injury if they are suing the original seller of the product?
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Under what circumstances can the IRS go back more than six years in an audit?
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Which of the following is NOT a factor to consider when determining business records requirements?
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What is the primary difference between a records inventory and a records appraisal?
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According to the provided information, what is the primary goal of records appraisal?
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Why is it essential to understand the nature of a business's legal, resourcing, and technological environment when performing a records appraisal?
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Which of the following is NOT a key stakeholder involved in identifying business records requirements?
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The example of a purchase requisition form and a purchase order illustrates which concept from the provided content?
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Based on the provided content, which of the following statements about records appraisal is true?
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What is the main purpose of maintaining metadata and linkages between records in electronic systems?
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Which of the following records would NOT be considered to have a primary value in the context of an organization's daily operations?
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Which of the following records would be MOST likely to be classified as having BOTH administrative and legal value?
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Which of the following is NOT a key aspect of risk management, as described in the text?
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What is a significant impact of GDPR on businesses outside the EU?
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Which of the following is NOT a type of value attributed to records as discussed in the text?
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What is a primary reason for the increasing complexity of the legal and regulatory environment for businesses?
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The text mentions the "Cyber Essentials Audit." Based on the information provided, what is the likely purpose of this audit?
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Which of the following is a significant reason why records with historical value should be properly maintained?
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Based on the example of the UK Electoral Commission, which of the following actions can help mitigate cyber security risks?
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Study Notes
Records Appraisal
- Records appraisal is the process of evaluating business activities to determine which records need to be created and captured and how long they need to be kept.
- It differs from inventory in that it determines what should be captured and retained, whereas inventory determines what is being/has been retained.
Business Records Requirements
- Records requirements are derived from business needs, regulatory requirements, and societal expectations.
- Identifying business records requirements involves working with stakeholders from business units, legal, information technology, and risk management.
Business Needs
- Records are created to serve a business need, such as documentation in a purchasing process.
- The retention period for each record is determined by its business need, e.g., 3 years for a purchase requisition form and 7 years for a purchase order.
Legal and Regulatory Requirements
- Legal and regulatory requirements are becoming more complex due to increased laws and regulations.
- Examples of regulations include the European Union's GDPR, which impacts businesses outside the EU.
Risk Management
- Risk management involves identifying, assessing, and controlling threats to an organization.
- Improper handling of records and information can lead to risks, such as cyber-attacks.
Primary and Secondary Value of Records
- Records have primary value (evidential value) and secondary value (historical, fiscal, administrative, or legal value).
- Records can possess one or more of the following four values: administrative, fiscal, legal, and historical.
Records Series
- A records series is a group of records related to a particular subject or function.
- Each record series must be controlled by a records schedule that provides mandatory instructions for retention and disposal.
Web Records: Identifying, Capturing, and Scheduling
- Web-based records are subject to the same retention and disposition requirements as paper-based or other electronic records.
- The length of time web-based records must be retained varies, typically between 3 and 10 years.
Web Archiving
- Web archiving is the process of collecting portions of the World Wide Web, preserving the collections in an archival format, and providing enduring access to that content.
- Tools such as Archive-It and the Wayback Machine are used for web archiving.
Compliance Issues
- Web-archiving practices can protect organizations from risks, including penalties for regulatory noncompliance, litigation challenges, and e-discovery costs.
- Organizations must comply with recordkeeping requirements established by regulatory bodies.
Legal and Regulatory Compliance
- Organizations must comply with federal and state laws, which vary across jurisdictions.
- Examples of regulations include accounting and tax laws, healthcare laws, and product liability laws.
Statutes of Limitations
- Statutes of limitations are federal or state laws that restrict the time in which legal proceedings can be brought against a defendant.
- Examples of statutes of limitations include product liability laws in Alabama, Louisiana, and Massachusetts.
Audit Period
- Audit periods vary, but generally, audits can include returns filed within the last three years.
- The Securities and Exchange Commission requires accounting firms to retain certain records for seven years.
Administrative Needs
- The retention requirements for records with administrative or operational value are determined by input from records creators and users.
- Records appraisal and legal research are used to develop the records retention and disposition schedule.
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Description
Learn about the concept of appraisal in records management, as described in ISO/TR 21946, and how it differs from inventory. Understand what records need to be created, captured, and retained.