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934 records management retention and disposal
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934 records management retention and disposal

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Questions and Answers

Who is responsible for the migration of electronic records?

  • The Building Operations Unit
  • The Records Coordinator
  • The Office of General Counsel
  • The Information Services Division (correct)

    • What should be done with hard drives that are no longer needed?

  • They should be donated to charity
  • They should be removed and crushed (correct)
  • They should be recycled
  • They should be stored in a secure facility

    • What happens if the Form 52 P.D. is not approved?

  • The Records Coordinator will file the documents
  • The Custodian of Records will shred the documents
  • The Custodian of Records will return the form to the Records Coordinator (correct)
  • The documents will be stored indefinitely

    • How are electronic records treated for disposal purposes?

    <p>They are treated the same as paper records</p> Signup and view all the answers

    What is required for the migration of records?

    <p>A documentary affidavit or certification by the vendor</p> Signup and view all the answers

    Who should be notified when electronic records need to be migrated?

    <p>The Information Technology Unit or the OCR</p> Signup and view all the answers

    What is the responsibility of the Department's CJIS/MULES vetted contractor?

    <p>Disposal of sensitive records</p> Signup and view all the answers

    What should be done with the original document when migrating records?

    <p>It should be maintained with the third-party contract file</p> Signup and view all the answers

    What type of record is still being used in daily operations or is still current by contract, agreement, or criminal/civil litigation?

    <p>Active Record</p> Signup and view all the answers

    What is the purpose of a Litigation Hold?

    <p>To preserve documents and data relevant to a criminal or civil process</p> Signup and view all the answers

    What type of record is a copy of a document that is not the official record copy?

    <p>Convenience Copy</p> Signup and view all the answers

    What is the purpose of a Department Record Retention Schedule?

    <p>To extend the period of retention for specific records or provide retention periods for records not listed on the Local Records Retention Schedule</p> Signup and view all the answers

    What is an Electronic Record?

    <p>Any information that is recorded in machine readable form</p> Signup and view all the answers

    What is an Expungement Record?

    <p>A court order to cancel part of a record</p> Signup and view all the answers

    What is the purpose of an Audit Hold?

    <p>To place a hold on a record awaiting the completion of an audit</p> Signup and view all the answers

    What is the purpose of the Local Records Board?

    <p>To establish retention schedules for all local government bodies</p> Signup and view all the answers

    What happens to a convenience copy that contains confidential or sensitive information when it is no longer needed?

    <p>It is immediately destroyed in a secure manner</p> Signup and view all the answers

    Under what condition can a record move from inactive status to active status?

    <p>When the record becomes used again for daily operations</p> Signup and view all the answers

    What is the criteria for disposing of records?

    <p>Only records that are inactive and meet the designated retention period can be disposed of</p> Signup and view all the answers

    What is the purpose of a retention schedule?

    <p>To determine how long records must be retained</p> Signup and view all the answers

    What is required to be performed on hard drives of equipment being used as a trade-in for a discount?

    <p>Department of Defense sanitation wipe</p> Signup and view all the answers

    Who is responsible for moving records to inactive status?

    <p>The Records Coordinator</p> Signup and view all the answers

    What is an active record?

    <p>A record that is currently being used or subject to a Department hold</p> Signup and view all the answers

    Where are affidavits maintained after migration is complete?

    <p>Information Services Division</p> Signup and view all the answers

    What is the purpose of the Records Coordinator in connection with the Custodian of Records?

    <p>To transfer permanent records to another storage area</p> Signup and view all the answers

    What happens to a record that is subject to multiple Department holds?

    <p>The record remains active until the last hold is lifted</p> Signup and view all the answers

    Why are records created and captured?

    <p>Whenever the contents relate to a business need for information</p> Signup and view all the answers

    What happens when a record is destroyed by decay, vermin, fire, water, or other means?

    <p>The Custodian of Records is notified</p> Signup and view all the answers

    What type of holds can be applied to records in the Department?

    <p>Litigation holds, administrative holds, or audit holds</p> Signup and view all the answers

    What overrides any record retention schedule?

    <p>Litigation hold directive</p> Signup and view all the answers

    What is the goal of the Department regarding record maintenance?

    <p>To maintain records in a readable format</p> Signup and view all the answers

    Who is responsible for lifting a litigation hold?

    <p>Office of General Counsel</p> Signup and view all the answers

    Who designates the Records Coordinators?

    <p>Division commanders</p> Signup and view all the answers

    What is the responsibility of Records Coordinators in regards to records disposal?

    <p>To initiate the process for disposal of records that meet the prescribed retention period</p> Signup and view all the answers

    What is the purpose of separating inactive records from active records?

    <p>To protect against misuse, misplacement, damage and unauthorized destruction</p> Signup and view all the answers

    Who is the Chair of the Records Oversight Committee?

    <p>The Custodian of Records</p> Signup and view all the answers

    What is one of the functions of the Records Oversight Committee?

    <p>To review unit requests for retention periods longer than the Local Retention Schedule Guidelines</p> Signup and view all the answers

    How often will the Records Oversight Committee meet?

    <p>Annually</p> Signup and view all the answers

    What is the responsibility of the Records Coordinators in regards to record retention?

    <p>To ensure their unit follows the current record retention schedules</p> Signup and view all the answers

    What is the purpose of the Records Coordinators ensuring records are stored consistently?

    <p>To protect against misuse, misplacement, damage and unauthorized destruction</p> Signup and view all the answers

    Study Notes

    Records Management

    • The Custodian of Records approves Records Disposal Forms, Form 52.
    • Records Coordinators are designated by division commanders and work with the Custodian of Records or designee.
    • Records Coordinators ensure their unit follows current record retention schedules and stores records consistently to protect against misuse, misplacement, damage, and unauthorized destruction.

    Records Oversight Committee

    • The Custodian of Records is the Chair of the Records Oversight Committee.
    • The Committee includes members from various Department units, such as the Office of General Counsel, Internal Affairs Unit, and Human Resources Division.
    • The Committee oversees and controls the retention and disposition of Department records, reviews unit requests for retention periods, and sets retention periods for records not listed in the Local Retention Schedule.

    Records Disposal

    • The Records Oversight Committee reviews unit requests for disposal of records that meet the prescribed retention period.
    • The disposal of electronic records is treated the same as paper records, including the completion of Form 52 P.D.
    • If electronic records cannot be shredded, the Records Coordinator must contact the Information Services Division for assistance.

    Electronic Records Migration

    • Digital files stored long-term will be migrated to a new platform or format according to technology requirements to retain full accessibility.
    • The Information Services Division is responsible for the migration of electronic records and subsequent long-term storage.
    • Migration of records requires documentary affidavit or certification by the vendor to be maintained according to the Local Records Retention Schedule.

    Terminology

    • Active Record: A record still being used in daily operations or is still current by contract, agreement, or criminal/civil litigation.
    • Administrative Hold: A hold placed on a record for an administrative function.
    • Electronic Record: Any information recorded in machine-readable form, including numeric, graphic, audio, video, and text information.
    • Inactive Record: A record no longer used.

    Retention and Destruction of Records

    • Records are created and captured whenever the contents relate to a business need for information.
    • Active records may not be disposed of by the Department.
    • Inactive records may be disposed of by the Department after the designated retention period.
    • Convenience copies are not typically active records, but may become active if they become the original record.

    Preservation of Permanent Records

    • Records identified as permanent require special handling and storage.
    • The Department must work to maintain records in a readable format.
    • If a record is destroyed by decay, vermin, fire, water, or other means, the Custodian of Records must be contacted.

    Department Holds

    • Department holds include litigation holds, administrative holds, or audit holds.
    • Holds are placed as needed on any record affected, and the content is prohibited from change or deletion until the hold is removed.
    • Litigation holds override any record retention schedule that may have otherwise called for the transfer and/or disposal of the relevant documents until the hold has been lifted by the Office of General Counsel.

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    Related Documents

    934.pdf

    Description

    This quiz covers the roles and responsibilities of Records Coordinators and the Custodian of Records in ensuring proper record retention and disposal. It also touches on the importance of storing records in a secure and organized manner.

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