Podcast
Questions and Answers
What is a characteristic of static web content?
What is a characteristic of static web content?
- It is often used in social media sites
- It is dynamic and challenging to capture
- It assembles specific content for the visitor when requested
- It remains unchanged until manually modified (correct)
What should be done when adding new versions of documents to a website?
What should be done when adding new versions of documents to a website?
- Retain a copy of the updated document (correct)
- Publish the document without metadata
- Notify the recordkeeping system
- Delete the old version and replace it with the new one
Why should a legal hold be put into effect when removing content from a website?
Why should a legal hold be put into effect when removing content from a website?
- To notify the initiating party
- To preserve the content for archival purposes
- To reuse the content on a different website
- To comply with records retention requirements (correct)
What is the purpose of conducting a risk assessment when archiving a website?
What is the purpose of conducting a risk assessment when archiving a website?
Why are snapshots not recommended for websites with dynamic functionality?
Why are snapshots not recommended for websites with dynamic functionality?
What is a characteristic of dynamic web content?
What is a characteristic of dynamic web content?
What is the advantage of capturing and preserving dynamic websites?
What is the advantage of capturing and preserving dynamic websites?
What is required when capturing records from dynamic websites?
What is required when capturing records from dynamic websites?
Why are screenshots not sufficient for capturing records from static web pages?
Why are screenshots not sufficient for capturing records from static web pages?
What should be done when records are required for audit or legal purposes?
What should be done when records are required for audit or legal purposes?
What is the main purpose of NARA providing links to 'frozen' WhiteHouse.gov websites?
What is the main purpose of NARA providing links to 'frozen' WhiteHouse.gov websites?
What is the primary function of the Internet Archive's Archive-It service?
What is the primary function of the Internet Archive's Archive-It service?
What is the benefit of using Brozzler for web archiving?
What is the benefit of using Brozzler for web archiving?
What is the purpose of web-archiving practices in organizations?
What is the purpose of web-archiving practices in organizations?
What is the minimum period of time that New York practitioners must keep medical records on file?
What is the minimum period of time that New York practitioners must keep medical records on file?
What is the primary purpose of the Presidential Records Act?
What is the primary purpose of the Presidential Records Act?
What is the purpose of Smarsh's Web Archiving Tool?
What is the purpose of Smarsh's Web Archiving Tool?
Why do organizations need to comply with recordkeeping requirements?
Why do organizations need to comply with recordkeeping requirements?
What is the main difference between the retention requirements for medical records in New York and California?
What is the main difference between the retention requirements for medical records in New York and California?
What is the purpose of the Wayback Machine?
What is the purpose of the Wayback Machine?
What is the primary reason for organizing records into a records series?
What is the primary reason for organizing records into a records series?
What is the minimum retention period generally suggested for records if no specific requirement exists?
What is the minimum retention period generally suggested for records if no specific requirement exists?
Which of the following roles is NOT typically involved in website records management?
Which of the following roles is NOT typically involved in website records management?
What must each records series be controlled by to ensure proper management?
What must each records series be controlled by to ensure proper management?
Which factor can complicate the retention period for business records compared to personal records?
Which factor can complicate the retention period for business records compared to personal records?
When should records typically be disposed of after filing a claim for a refund that is under IRS regulations?
When should records typically be disposed of after filing a claim for a refund that is under IRS regulations?
What is the main challenge regarding web-based records compared to traditional records?
What is the main challenge regarding web-based records compared to traditional records?
Under IRS guidelines, what is a condition that would allow an individual to dispose of tax records sooner than three years?
Under IRS guidelines, what is a condition that would allow an individual to dispose of tax records sooner than three years?
In which structure could you categorize your tax-related documents to reflect their purpose?
In which structure could you categorize your tax-related documents to reflect their purpose?
What is one of the responsibilities of a records manager concerning an effective records series?
What is one of the responsibilities of a records manager concerning an effective records series?
In what state would a product liability lawsuit against the original seller of a product have the shortest statute of limitations?
In what state would a product liability lawsuit against the original seller of a product have the shortest statute of limitations?
Which of the following is NOT a factor considered when determining the retention period for records with administrative or operational value?
Which of the following is NOT a factor considered when determining the retention period for records with administrative or operational value?
In the context of the provided text, what is the primary purpose of a records retention and disposition schedule?
In the context of the provided text, what is the primary purpose of a records retention and disposition schedule?
Which of the following is NOT a type of record that the Securities and Exchange Commission requires accounting firms to retain for seven years?
Which of the following is NOT a type of record that the Securities and Exchange Commission requires accounting firms to retain for seven years?
A medical record in Texas must be retained for how long?
A medical record in Texas must be retained for how long?
How long should a corporation’s internal audit records be retained according to the Massachusetts Society of Certified Public Accountants?
How long should a corporation’s internal audit records be retained according to the Massachusetts Society of Certified Public Accountants?
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?
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?
Under what circumstances can the IRS go back more than six years in an audit?
Under what circumstances can the IRS go back more than six years in an audit?
Which of the following is NOT a factor to consider when determining business records requirements?
Which of the following is NOT a factor to consider when determining business records requirements?
What is the primary difference between a records inventory and a records appraisal?
What is the primary difference between a records inventory and a records appraisal?
According to the provided information, what is the primary goal of records appraisal?
According to the provided information, what is the primary goal of records appraisal?
Why is it essential to understand the nature of a business's legal, resourcing, and technological environment when performing a records appraisal?
Why is it essential to understand the nature of a business's legal, resourcing, and technological environment when performing a records appraisal?
Which of the following is NOT a key stakeholder involved in identifying business records requirements?
Which of the following is NOT a key stakeholder involved in identifying business records requirements?
The example of a purchase requisition form and a purchase order illustrates which concept from the provided content?
The example of a purchase requisition form and a purchase order illustrates which concept from the provided content?
Based on the provided content, which of the following statements about records appraisal is true?
Based on the provided content, which of the following statements about records appraisal is true?
What is the main purpose of maintaining metadata and linkages between records in electronic systems?
What is the main purpose of maintaining metadata and linkages between records in electronic systems?
Which of the following records would NOT be considered to have a primary value in the context of an organization's daily operations?
Which of the following records would NOT be considered to have a primary value in the context of an organization's daily operations?
Which of the following records would be MOST likely to be classified as having BOTH administrative and legal value?
Which of the following records would be MOST likely to be classified as having BOTH administrative and legal value?
Which of the following is NOT a key aspect of risk management, as described in the text?
Which of the following is NOT a key aspect of risk management, as described in the text?
What is a significant impact of GDPR on businesses outside the EU?
What is a significant impact of GDPR on businesses outside the EU?
Which of the following is NOT a type of value attributed to records as discussed in the text?
Which of the following is NOT a type of value attributed to records as discussed in the text?
What is a primary reason for the increasing complexity of the legal and regulatory environment for businesses?
What is a primary reason for the increasing complexity of the legal and regulatory environment for businesses?
The text mentions the "Cyber Essentials Audit." Based on the information provided, what is the likely purpose of this audit?
The text mentions the "Cyber Essentials Audit." Based on the information provided, what is the likely purpose of this audit?
Which of the following is a significant reason why records with historical value should be properly maintained?
Which of the following is a significant reason why records with historical value should be properly maintained?
Based on the example of the UK Electoral Commission, which of the following actions can help mitigate cyber security risks?
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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