ICRM Handbook 2014-04-29 16th Ed

The CRM Handbook
Institute of Certified Records Managers

www.icrm.org

FOREWORD

This is the 16
th
edition of The CRM Handbook. The purpose of this Handbook is to provide
information to persons preparing to take the examination to become a Certified Records
Manager. It is hoped that the Handbook will assist applicants in understanding the examination
process and serve as a study guide. Information on the examination and the Institute of
Certified Records Managers (ICRM) is included. In addition, sample questions along with
suggestions on how to prepare for and take the examination are furnished. For an updated
Bibliography and application information, go to the ICRM website: www.icrm.org.
Your comments and suggestions are welcome and may be sent to the ICRM at:
admin@icrm.org

16
th
Edition2014
Copyright 2014 Institute of Certified Records Managers
Institute of Certified Records Managers, 04/2014 Page ii

TABLE OF CONTENTS
FOREWORD .................................................................................................................................................................... ii
TABLE OF CONTENTS .................................................................................................................................................... iii
SECTION 1 - INTRODUCTION TO THE INSTITUTE OF CERTIFIED RECORDS MANAGERS (ICRM) ..................................... 1
INTRODUCTION ......................................................................................................................................................... 1
CERTIFICATION .......................................................................................................................................................... 2
APPLICATION PROCESS .............................................................................................................................................. 4
EXAMINATION PROCESS ............................................................................................................................................ 9
CERTIFICATION MAINTENANCE ............................................................................................................................... 13
CODE OF ETHICS ...................................................................................................................................................... 21
SAMPLE LETTER (DOCUMENTING EXPERIENCE) ...................................................................................................... 23
SECTION 2 TAKING THE EXAMINATION .................................................................................................................... 25
EXAMINATION OUTLINE .......................................................................................................................................... 26
ANNOTATED OUTLINE ............................................................................................................................................. 37
STRATEGIES FOR PASSING THE CERTIFIED RECORDS MANAGER EXAM .................................................................. 74
TECHNIQUES FOR PASSING PARTS I-V MULTIPLE CHOICE .................................................................................... 85
TECHNIQUES FOR PASSING PART VI CASE STUDIES .............................................................................................. 97
ACRONYMS ACCEPTED BY THE ICRM EXAMINATION DEVELOPMENT COMMITTEE ............................................. 104
SECTION 3 SAMPLE EXAMINATION......................................................................................................................... 105
INTRODUCTION ..................................................................................................................................................... 105
PART I MANAGEMENT PRINCIPLES AND THE RECORDS AND INFORMATION (RIM) PROGRAM ........................ 106
PART II RECORDS AND INFORMATION: CREATION AND USE .............................................................................. 111
PART III RECORDS SYSTEMS, STORAGE AND RETRIEVAL .................................................................................... 116
PART IV RECORDS APPRAISAL, RETENTION, PROTECTION, AND DISPOSITION................................................... 121
PART V TECHNOLOGY ......................................................................................................................................... 126
PART VI SAMPLE CASE STUDY ............................................................................................................................. 132

Institute of Certified Records Managers, 04/2014 Page iii
The CRM Handbook
Section 1 Introduction to the ICRM
SECTION 1 - INTRODUCTION TO THE INSTITUTE OF CERTIFIED
RECORDS MANAGERS (ICRM)
INTRODUCTION
The Institute of Certified Records Managers (ICRM) is an international certifying organization of
and for records and information management (RIM) professionals. The ICRM was incorporated
in 1975 to meet the requirement to have a standard by which persons involved in records and
information management could be measured, accredited and recognized according to criteria
of experience and capability established by their peers.
The ICRM is an independent, non-profit organization administered by a Board of Regents (the
Board) in accordance with the Constitution and By-laws of the Institute.
The primary objective of the ICRM is to develop and administer a program for the certification
of RIM professionals, including certification examinations and a certification maintenance
program. The ICRM serves as an official certifying body for ARMA International and the
certifying body for Nuclear Information Records Management Association (NIRMA).
Certified Records Managers (CRMs) include RIM professionals from a growing number of
countries world-wide. Each individual is experienced in active and inactive records systems,
and related disciplines such as archives, business continuity planning, and information
technology. CRMs receive the CRM designation by meeting both educational and work
experience certification requirements established by the ICRM and by passing the required
examinations.

Institute of Certified Records Managers, 04/2014 Page 1
The CRM Handbook
CERTIFICATION
Responsibilities of Certification
To remain a CRM in good standing (and thereby be authorized to use the personal designation
of CRM) a person must conform to requirements set by the Board. This includes fulfilling the
requirements for ICRM Certification Maintenance Points as outlined below. CRMs are expected
to conform to the ICRM Code of Ethics and participate in activities to improve the Records and
Information Management (RIM) profession. The Board may revoke the Certification of any
CRM it determines is not in good standing.
Benefits of Certification
Professionals who acquire industry-recognized certifications enhance their expertise in a
number of diverse, critical areas. Industry-recognized certifications such as the CRM
demonstrate a commitment to the profession and lifelong learning and can enhance your
advancement potential. Earning your CRM demonstrates to your employer (and prospective
employers) that you have a lifelong commitment to your profession. The CRM credential is
widely perceived within the records and information profession as the benchmark for
professional achievement.
These credentials can also have potential financial returns; according to the 2011 Salary Guide
from Robert Half International, candidates with professional designation can earn a starting
salary up to 10 percent above the market average. Todays organizations are increasingly
specifying CRM required or CRM preferred in job announcements when seeking new hires.
The CRM designation is recognized and accepted as evidence of a proven level of education,
knowledge and experience in records and information management. Earning the CRM means
that one has:
Demonstrated appropriate education and/or professional work experience;
Passed rigorous examinations;
Agreed to abide by a professional Code of Conduct;
Committed to maintaining an active credential through meeting continuing certification
requirements.
Research has shown that CRMs and CRM Candidates believe that attaining certification status
results in enhanced professionalism and personal growth. The records and information
management knowledge gained through the certification process and the improved attitude of
self-esteem and confidence can result in CRMs obtaining increased job responsibility with
commensurate salary benefits.
CRMs have access to a Newsletter and a Membership Directory. CRMs, Candidates and anyone
showing interest in the designation are welcome to attend the Annual Business Meeting and
The CRM Handbook
reception (held in conjunction with ARMA Internationals annual conference). Individuals who
have qualified as Candidates, but who have not yet completed the process also have access to
the ICRM Newsletter.
The ICRM is a volunteer organization. CRMs assist in the development of professionalism in
records management and the promotion of the value of certification for records managers.
They share their experience and knowledge by participating in ICRM committees and through
writing, teaching, and speaking.
The annual membership fee is currently $200.00 (U.S.) for Active CRMs and $15.00 (U.S.) for
Retired CRMs.
The Certification Process
Attaining the CRM designation is based on educational background, work experience and
passing a six-part examination.
The six-part examination is divided into:
Part I Management Principles and the Records and Information (RIM) Program
Part II Records and Information: Creation and Use
Part III Records Systems, Storage and Retrieval
Part IV Records Appraisal, Retention, Protection and Disposition
Part V Technology
Part VI Case Studies

Parts I to V each consist of 100 multiple-choice questions. Part VI consists of a 60 point and a
40 point case study, each of which require an essay response.

The CRM Handbook
APPLICATION PROCESS
Applying for the Examination
Prospective Candidates must complete and submit an online application with supporting
documentation indicating acceptable education and professional work experience along with a
non-refundable application fee. At this point, the prospective candidate is now an Applicant.
The application and supporting documentation is reviewed and evaluated by the ICRMs
Certification Standards Committee to determine if the qualification requirements have been
met.
Examinations are administered by Pearson VUE, an independent testing service. Pearson VUE
has over 4,000 independent third-party testing centers worldwide, however, prior to applying
to be a CRM Candidate, Applicants should review the Pearson VUE website
(www.pearsonvue.com) for exam site locations.

Application Fees
Prospective Candidates pay a non-refundable fee for processing their original application and
evaluating credentials. Applicants who fail to meet mandatory qualifications are required to
resubmit a new application form (including a new processing fee if they request
reconsideration more than one year after the date of the original application). The application
fee is $100.00 USD.
Purpose of the Application Review
The Certification Standards Committee evaluates the application and the accompanying
documentation. The Committee is responsible for evaluating the evidence of the applicants
education and experience. The Committee does not evaluate factors such as the persons
effectiveness as a records manager nor as a community minded citizen. Neither does the
Committee evaluate the applicants records management knowledge or their capability to pass
the six-part exam. The exams will test the level of knowledge and writing skills.
Since the Committee makes its judgment solely on the documentation submitted, appropriate
documentation must be provided. Experience has shown that submission of complete and
accurate documentation with the application will significantly increase an applicants
opportunity to become a Candidate.
The CRM Handbook
If the applicant is not approved with the first submission, and the Committee determines that
additional documentation might produce a more favorable response, the Committee may offer
the applicant the opportunity to provide additional material.
Applicants Responsibility for Documentation
Applicants bear the full burden of providing written confirmation of their qualifications. Each
applicant is responsible for uploading all the documentary evidence that the Committee may
require to make a determination of eligibility. The Committee members are not obligated to
follow up on references or other documentation.
The applicant needs to complete the application form. Using statements on the application
such as see attached resume are not acceptable.
The official language of the form is English. If needed documentation is not available in English,
the applicant may be asked to provide a satisfactory translation.
Qualifications
The preferred qualifications for applying for the CRM are a college degree (four-year or
bachelors degree) and one year of professional records and information management (RIM)
experience. One additional year of professional RIM experience may be substituted for each
year of college not completed (i.e. a high-school graduate with five years of professional RIM
experience could apply). For example:
Bachelor degree (Graduate degree implies completion of Bachelor degree) PLUS one
year professional level RIM experience OR
3 years college PLUS two years professional level RIM experience OR
2 years college PLUS three years professional level RIM experience OR
1 year college PLUS four years professional level RIM experience OR
High School Diploma or GED PLUS five years professional level RIM experience

Education
The minimum acceptable education is graduation from high school (completion of 12 grades) or
equivalent (e.g. GED Certificate) in conjunction with five years professional level RIM
experience.
The preferred education is a 4-year (bachelors) degree from an accredited institution of higher
education. The academic major (course of study) need not have been in a records related field.
Partial credit (in half-year increments) may be given for acceptable credit hours short of a
bachelors degree.
The CRM Handbook
The only college or university course work or other education acceptable is that which would be
creditable toward a bachelors degree at an accredited institution of higher education.
Professional seminars, conferences or workshops are not acceptable even when CEUs are
granted. All claimed education must be documented. Academic degrees may be documented
by either official transcripts or a photocopy of the diploma. Partial education (credit hours
short of a degree) must be documented by official transcripts. Items such as grade reports or
training certificates are not acceptable.
If the status of the educational institution is not known to the Committee, the applicant may be
asked to provide evidence of its accreditation. If academic credits are not expressed in typical
US college semester or quarter hours, the applicant may be asked to provide evidence for
conversion to the equivalent of such units.
For international applicants, the institution of higher education must hold an accreditation
equivalent to that granted by a US accreditation organization. The ICRM may, at its discretion,
require international applicants to provide proof of a college or university degree/diploma
award to show that it is equivalent to a US award.
Professional Work Experience
The minimum acceptable professional (RIM) experience is one year in conjunction with a
Bachelor degree or higher.
Acceptable professional work experience may have been acquired if a person has:
Conducted studies and surveys
Developed, designed, and implemented records or information management systems
Had direct managerial or operational responsibility for RIM programs
Has taught in an accredited college/university (on a full time basis) courses in RIM
The Committee requires external, written verification signed by the employer of claimed
experience containing sufficient detail to determine if the work meets the standards described
above. Verification must include dates the applicant held the job responsibilities described.
The documentation can come directly from the employer or can be submitted by the applicant.
Employer can include a supervisor, manager, company owner or director, or someone from
the Human Resources office.
Formal, detailed job descriptions can be submitted. An acceptable job description contains:
1. The job title;
2. The position, scope, and duties in detail;
3. The organization name;
The CRM Handbook
4. The employees (incumbents) name;
5. the effective date(s) and;
6. Is dated and signed by both the employee and an appropriate organization official
If job descriptions meeting the above criteria are not available, letters from employers or
clients can be considered as long as they contain the needed information. (See SECTION 1 -
INTRODUCTION TO THE INSTITUTE OF CERTIFIED RECORDS MANAGERS (ICRM) SAMPLE
LETTER (DOCUMENTING EXPERIENCE).)
Positions involving some acceptable duties and responsibilities can be considered partially
qualifying. The Committee will determine percentage of time to be credited.
Unnecessary and Unwanted Material
Many applications are approved with only the application and two documents accompanying
the application (a copy of the diploma and a certified job description or letter from the
employer). Voluminous submissions are neither desired nor helpful. Specific items NOT to
include are:
Resumes and other personally prepared items. Personally prepared material cannot be
considered unless it is validated by an appropriate third party
Evidence of conferences, seminars or other (non-college) training attended or
presented
Copies of publications, speeches, awards, plaques, etc.
Award and congratulatory letters (unless they are the only evidence of work experience
Evidence of ARMA (or other professional) loyalties and accomplishments. Being
President of the local chapter is not qualifying job experience
General letters of recommendation or endorsement from any source that are primarily
personal and which do not contain needed details of job performance. Applicants are
not approved on their personality or the personal endorsements of colleagues they
are approved on the basis of documented education and job performance
Copies of certifications, licenses or credentials from other professions. A certification
for tax preparation or financial planning is not creditable
Timelines
An applicant is not considered a CRM Candidate and will not be scheduled for the exams
until the Committee approves the application. If the Committee determines that additional
documentation is needed to support the application, the applicant will be asked to supply the
additional material. An applicant who is asked to provide the Committee with additional
documentation has one year after the original application date to provide it. If documentation
The CRM Handbook
is not provided in that time frame the file is considered closed. If the applicant then wishes to
be reconsidered (a resubmission) another application fee will be charged.
Limits of the Certification Standards Committee Responsibility
In the event the Committee cannot or does not render a decision on an application in time for
a scheduled exam, the Committees liability is limited to providing an extension of time for the
applicant to submit acceptable material. Such an extension shall be at no additional charge to
the applicant.
Appeals
A decision by the Certification Standards Committee is final unless formal written appeal
procedures are followed. An appeal can be filed by any unapproved applicant by addressing a
letter requesting such an appeal to the Appellate Process Committee of the Institute.
ICRM ID and Password
Candidates will receive an ICRM ID and password when theyve been approved as an ICRM
Candidate. If that ID or password is lost, contact the ICRM Business Office at admin@icrm.org.
Please allow one week to receive the ID and password.

The CRM Handbook
EXAMINATION PROCESS
Attaining the CRM designation is based on educational background, professional work
experience and successful completion of a six-part examination consisting of:
Part I Management Principles and the Records and Information (RIM) Program
Part II Records and Information: Creation and Use
Part III Records Systems, Storage and Retrieval
Part IV Records Appraisal, Retention, Protection and Disposition
Part V Technology
Part VI Case Studies

Parts I through V each consist of 100 multiple-choice questions. Part VI consists of case study
problems. All examination questions are in English. The answers to Part VI must be written in
the English language. The multiple-choice questions in Parts I through V are chosen as equally
as possible from all parts of the subject matter outline (see Section 2).
The questions in each part are based on fundamental records and information management
practices, and are meant to represent the best practices in the industry. Questions are NOT
included in the test bank if they refer solely to the practices of a specific country, vendor or
company.
If English is not the Candidates native language, they are entitled to an additional 20 minutes
of test time for each of Parts I through V, and an additional one hour of test time for Part VI.
Candidates requiring this additional time should request approval from the Regent for Exam
Administration (examadmin@icrm.org) prior to registering for an exam.
Registering for Exams Using the ICRM Website
Once approved through the application process, a Candidate is eligible to register for exams
during the next open registration period using the ICRM website. Registration for an exam is a
two-step process. 1) Log on to the ICRM website (www.icrm.org) and click on View Personal
Details. Then click on Exam Status. Select the exam cycle you wish to test, then select the
exams you wish to take during that cycle. You will need to wait up to 24 hours for the
information to be transferred to Pearson VUE. Return to this screen, and your exam status will
change to Authorized. 2) Once the status of the exam is Authorized click on the current
exam cycle (far left of the screen under Exam Cycle). (Note: The screen will also be a direct
link to the Pearson VUE ICRM landing page.) You can then schedule your exam and arrange for
payment directly with Pearson VUE. Consult the ICRM website for dates, deadlines, and check
payment options.
The CRM Handbook
Examination Fees
Registration to take specific parts of the examination is done through the ICRM member
database. An applicant must be accepted as a Candidate before registering for examinations. A
Candidate must pass Parts I through V before registering to take Part VI. Examinations are
given by Pearson VUE, a third-party independent testing service. A fee per examination is
charged for each of Parts I through VI. Registration to take any part of the exam is done
through the ICRM member database with a link to the Pearson VUE site to register and pay
fees. These fees are only refundable if an applicant cancels a scheduled exam with Pearson
VUE more than 24 hours prior to the examination.
Registration and fees must be submitted to Pearson VUE, the testing service, by the deadline
established for each examination. All payments must be in United States currency. Please go
to www.icrm.org for a listing of the current examination fees.
Taking the Examination
A Candidate may sit for all of Parts I through V of the examination during the same testing
week, or they may take as many, and in any sequence they desire Part VI can be taken only
after the candidate has passed the first five parts. Candidates may retake any part of the
examination as often as necessary, however, an exam can only be taken once during a given
exam cycle. (See Completion Time Required.)
Examinations are administered by Pearson VUE, an independent testing service. Pearson VUE
has over 4,000 Pearson VUE owned and independent third-party testing centers worldwide.
Part VI Test Administration
Part VI is an essay type examination administered by Pearson VUE. The test is administered on
a computer, however, there is no spell check and formatting such as cut and paste is very
limited. Bullets, underlining and bolding are not available. There are erasable notepads
available at Pearson VUE centers. Part VI is restricted to Pearson VUE owned and controlled
testing centers. These testing centers provide an optimal testing experience. Alternate sites
can be opened for Part VI if necessary.
Part VI tests are timed, and allotted 240 minutes (four hours). However, the first five (5)
minutes are designated for administration issues such as reading and responding to the non-
disclosure agreement. Once they agree to the non-disclosure agreement, the Candidate has
235 minutes to complete the exam.
The 60 point examination question is presented first, and must be completed prior to
continuing to the 40 point exam question. Once the Candidate completes the 60 point question
The CRM Handbook
and submits it, they CAN NOT return to it. All editing must be completed before continuing to
the 40 point question.
Once the 60 point question is completed and submitted, the candidate will be given a 10
minute break. Upon return from the break, two 40 point questions are available for viewing.
The Candidate has the opportunity to read both 40 point questions before selecting which
question to answer. Once that selection is made, the Candidate CAN NOT return to the
question not chosen.
Both the 60 point and the two 40 point questions allow you to read the entire question before
answering. The answer consists of several parts, and each part is presented individually. For
example, all questions begin by asking for a Statement of the Problem. Once the Candidate
types in the two or three sentence Statement of the Problem, he can advance to the second
screen Summary of Overall Findings, and so on through the entire problem. Screen prints of
Part VI exam examples are located in Section 3.
Completion Time Required
All six parts of the examination must be passed within a period of five consecutive years. If a
Candidate fails to do so, they must reactivate their eligibility and the part(s) taken and passed
initially must be repeated so that the passing of all parts occurs consecutively within a five-year
period. The time for passing the exam begins from the date of approval as a Candidate, or the
date of Reactivation.
Grades
The passing score for each part of the examination is 70%. Candidates taking Parts I through V
at a Pearson VUE testing site will receive their exam results immediately upon completion of
testing. Part VI exam answers are graded by a manual process. A test grade of 60% to 69% for
Part VI is automatically re-graded by different graders prior to the Candidate receiving the
grade. Candidates will be notified via email by the Regent for Exam Administration once all Part
VI exams are graded and confirmed. This process takes approximately 6 weeks to complete.
Examination Dates
Parts I through V are offered Monday through Friday in the first full week of February, May,
August and November each year. Candidates may select the day, time and location that meet
their particular schedule. Part VI is ONLY offered on the Thursday following the week that Parts
I through V are offered. Candidates who have passed Parts I through V may, if a test site is
available, take Part VI on the Thursday following the week they passed the last of Parts I
through V. (Due to the short time frame for this extended registration, there is no guarantee a
site will be available.)
The CRM Handbook
Examination Schedule
Candidates are allowed 80 minutes for each part when taking Parts I through V, including 5
minutes for administrative purposes. Part VI (Case Studies) has a four hour time period,
including 5 minutes for administrative purposes.
Refunds
Candidates can cancel exams up to 24 hours prior to the scheduled exam by calling Pearson
VUE directly. Candidates failing to show up for scheduled exams, or calling less than 24 hours
prior to their scheduled exam, forfeit any fees paid.
Re-grades and Appeals
A Candidate who fails Part VI by less than eight points (63%--69%), and who has a legitimate
reason to believe that there was a grading error, may make a written request to appeal the
failing grade. Appeal deadlines vary by cycle and will be provided in the exam results
notification.
Review of contested grades will be performed by the Appeals Committee and shall be
processed within 30 days following receipt of the appeal by the Committee. Decisions of the
Appeals Committee are final. The Appeals Committee does not provide feedback on appeals.
Feedback
Feedback is provided to Candidates who are unsuccessful in passing an examination part. The
feedback for Parts I through V is individualized and provided before the Candidate leaves the
testing center. Feedback consists of the outline parts of that particular part that contained the
questions missed. Candidates can then use that feedback to guide their further study.
Feedback for Part VI is also individualized and provided by the graders who graded each
question (the 60 point and 40 point questions are graded by different people). Feedback is in
narrative form providing information on how the Candidate performed in technical knowledge,
writing ability, problem analysis and appropriateness of answer.

The CRM Handbook
CERTIFICATION MAINTENANCE
The Institute of Certified Records Managers believes it is vital that Certified Records Managers
remain current in the dynamic field of Records and Information Management (RIM). This is
handled through Certification Maintenance Points (CMP). This ensures that members:
1. Maintain professional competence
2. Update existing knowledge and skills
3. Attain new or additional knowledge and skills

Requirements
Active CRMs must earn and submit 100 points for approved educational activity during
each five-year period following initial certification
The five-year certification maintenance cycle for each CRM begins on January 1 or July 1,
whichever immediately follows the (passed) examination date
o Points may be submitted beginning with the date of the passed Part 6 exam
Carry-Over Points
o Points earned during the last year of the five-year cycle that exceed the required
100 hours necessary to maintain certification, can be carried over into the next
five-year cycle (up to a maximum of 50 hours)
o Carry over points must be entered / postmarked within six months of the activity
date AND entered / postmarked before the end of the certification maintenance
cycle
About Points
Points are awarded for each half hour of active involvement in a qualifying educational
activity
Qualifying educational activities are grouped into 11 categories
No more than 30 points will be granted for any single activity within a category. A single
activity is defined as one event, such as one course, one seminar, one conference, etc.
Sample Point Amounts
o A professional association monthly meeting with 1 hour of educational material = 1
point
o A 2-day seminar with 6 hours of qualifying education each day = 12 points
o One 3-credit university course = 30 points
Point Exclusions
o No points will be awarded for any educational activity lasting less than 30 minutes
The CRM Handbook
o Lunch, coffee breaks, business meetings, vendor exhibit viewing, social activities,
and award presentations do not qualify for points
o Except in the last year of your cycle, CMPs in excess of the required 100 points are
generally declined
o "Fully retired" CRMs do not need to maintain certification and are not eligible to
apply for CMPs. For more information about retired status, click here
Categories of CMP Activities and Acceptable Documentation
CRMs should update their knowledge and skills in any of the areas covered by the CRM
examination. Activities that qualify for Certification Maintenance Points (CMP) must be related
to the CRM exam outline and may fall within the following categories:
1. Attend a College / University Course: Courses that are presented by accredited colleges and
universities. Course content should relate to the CRM examination outline. Course work on
business tools (e.g., software training) does qualify. A qualifying 3 credit undergraduate or
graduate college course would equate to 30 CMPs. Supporting documentation: Copy of
transcript and course outline or description with schedule. Evidence of satisfactory
completion may be a certificate, grade report, transcript or other documentation from the
sponsor. General university courses required of all undergraduates to obtain a degree do
not qualify for credit. Transcripts will not be retained by the ICRM once points have been
awarded.
2. Attend a Seminar / Conference: A formal, structured program of qualifying educational
material and sponsored by any recognized agency, institution or professional society /
association. This includes the educational content during regular society / association
meetings provided the content is related to the CRM exam outline. Supporting
documentation for activities lasting longer than two hours: Program description, schedule
and proof of attendance in the form of a canceled check, registration receipt, or completion
certificate.
3. Attend a Course / Education Activity Conducted by a Vendor: A structured program of
qualifying educational material presented to a "live audience" by a firm or individual which
is not sponsored by any other organization. Routine sales presentations and product
demonstrations do not qualify for points. Supporting documentation for activities lasting
longer than two hours: Program description, schedule and proof of attendance in the form
of a canceled check, registration receipt, or completion certificate.
4. Attend a Meeting / Activity with Educational Content other than a Professional Society /
Association Meeting: Any activity that offers qualifying educational content, except as
specified in other categories, (e.g., professional society meetings, ARMA chapter meetings,
web seminars, etc.). Supporting documentation for activities lasting longer than two hours:
Program description, schedule and proof of attendance in the form of a canceled check,
registration receipt, or completion certificate.
5. Attend an Employer / Company-Sponsored Educational Activity: Activity / courses
sponsored or conducted by employers that contain qualifying educational material. Training
on company operations or personnel policies do not qualify. Supporting documentation for
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activities lasting longer than two hours: Program description, schedule, certificate of
attendance or verifying signature.
6. Professional Society / Association Educational Activity Development: Participation in the
development of "workshop" programs, videos/DVDs /BluRay discs, webinars and audio
presentations, curriculum development program, research studies, etc. [Administrative and
logistical planning or operational activities such as program planning, selecting speakers,
etc. do not qualify]. See Category 2 for professional association / society meetings.
Supporting documentation: Program description, project outline, other documentation of
activity.
7. Teaching/ Lecturing / Presenting/ Panel Participation: "Live audience" instruction, and/or
presentations, webinar/webcast presenter. Also includes in-house records and information
management training and/or management presentations. Points for the session will be
awarded on a one point-for-one hour basis for the initial and any subsequent presentations.
Single Presenter
o Points for the session will be awarded on a one point-for-one hour basis for the
initial and any subsequent presentations
o The first time a presentation is given, credit for preparation of the material will be
awarded at three times the duration of the presentation
Example: a NEW one-hour presentation would be awarded as follows: presentation
1 point + preparation 3 points = 4 points.
Subsequent presentations of the same material will not be awarded preparation
points
Joint / Panel Presentations
o Points for the session will be awarded on a one point-for-one hour basis for the
initial and any subsequent presentations
o The first time a panel/joint presentation is given, preparation credit will be awarded
at two times the duration of the presentation
Example: a NEW one-hour joint / panel presentation would be awarded as follows:
presentation 1 point + preparation 2 points = 3 points
Subsequent presentations of the same material will not be awarded preparation points.
Supporting documentation for requests that are greater than two CMPs: Copy of
announcement, presentation outline or course catalog entry. Length of presentation is also
required.

8. Correspondence Courses: Correspondence courses related to the CRM exam outline.
Personal reading does not qualify for points. Supporting documentation: Proof of
completion in the form of a certificate, diploma or transcript along with course outline and
schedule.
The CRM Handbook
9. Publication of Articles, Monograms and Books: Published articles must appear in a formal
publication of regional or national distribution. Reprints of published materials do not
qualify for points.
Single Author
o Credit for this activity will be three points per full published (i.e., typeset) page.
Partial pages will be calculated accordingly. Photographs and accompanying graphics
do not qualify for points
Example: A 3-column page containing a one-column advertisement, or a 1/3 page
photograph or other graphic related to the article receives 2 points.
o Typewritten pages are calculated on a one-point-for-one-page basis
Joint Authors
o Credit for this activity will be two points per full published (i.e., typeset) page. Partial
pages will be calculated accordingly. Photographs and accompanying graphics do not
qualify for points
o Typewritten pages are calculated on a point-for-one typewritten page basis
Supporting documentation: Copy of article or, for a book, a copy of the title page and table
of contents.
10. Work-Related Activities or Other RIM-Related Activities: Other activities, including on-the-
job and other miscellaneous activities, may qualify for points if the activity results in (1) a
work product or (2) the development of knowledge for the individual or the Records and
Information Management (RIM) field. To gain points for these activities, a CRM must be
able to identify what RIM-related knowledge was gained and where the activity falls in the
CRM exam outline.
All qualifying activities in Category 10 will be judged on a case-by-case basis. This category
includes activities such as:
Manuals written (e.g., procedures, training). Supporting documentation required:
Signed Category 10 Form plus description of activity
Records management software programs written or developed. Supporting
documentation: Signed Category 10 Form plus description of activity
Records retention schedule development. Supporting documentation: Signed
Category 10 Form plus description of activity
File plans/disaster plans. Supporting documentation: Signed Category 10 Form plus
description of activity
Systems developed or implemented. Supporting documentation required: Signed
Category 10 Form plus description of activity
Reviews of professional books. Book reviews of professional books that have a
minimum of 100 pages, with any publication date, are acceptable. Professional
books are eligible if the subject matter is covered by the CRM exam outline. If
necessary, contact the Regent, Certification Maintenance to clarify the
The CRM Handbook
appropriateness of the proposed material. Supporting documentation: A review of
the book which includes:
o a copy of the title page and table of contents;
o a complete and accurate bibliographic citation;
o an introduction to the topic covered by the book, including mention of other
pertinent work;
o a summary of the text; and
o an evaluation of the text;
o The review should be 2-4 pages - typewritten or computer-produced. The
components of each review need not be in the above order, nor strictly
separated. Stylistic creativity is encouraged, literary competence is required.
Credit: Five points will be awarded for each acceptable review
Electronic Publications. Development of Records & Information Management-
related materials to be published directly on the Internet or an Intranet (e.g. not in a
separate document such as a PDF file) will be calculated on a page equivalency basis:
450 words is equivalent to one type-written page and is worth one point. If the
publication is 900 words long, 2 points would be awarded. Supporting
documentation: A web address indicating that the CRM is the author/developer is
required for Internet/Intranet sites. If the site cannot be accessed by the Regent of
Certification Maintenance, or the CRMs name is not indicated as author, a Category
10 Form including verification signature of the respective supervisor or client will be
accepted
Other Activities. Other records management activities may be appropriate for
Certification Maintenance Points. Contact the Regent, Certification Maintenance if
unsure if an activity is appropriate
When applying for Category 10 work-related points, the preferred documentation is a
description or outline of the activity plus the completed Category 10 Form which
includes the signature of a supervisor, client or activity sponsor. This form can be
scanned and uploaded with the request.

While samples of non-proprietary documents related to a Category 10 request may be
attached, the ICRM does not encourage attaching confidential, proprietary, or potential
intellectual property to the request. If verifying signature is not possible, please contact
the Regent, Certification Maintenance to discuss options for verifying the request.
11. Webinars & Online Training: Webinars, online training or online courses related to the CRM
exam outline. These activities must last at least hour and attendance must be able to be
verified. Note: Videos posted on sites such as YouTube, etc., are not generally eligible for
points because attendance cannot be verified.

Tips To Reach 100 Certification Maintenance Points
Combine a range of activities over the 5 year period
o Attend fifteen one-hour webinars = 15 points
The CRM Handbook
o Attend twelve one-hour professional association monthly meetings = 12
points
o Prepare and make two 60 minute presentations at a local professional
association = 8 points
o Attend three multi-day conferences worth 15 points each = 45 points
o Spend 20 hours developing key documentation or policies for your job
(Category 10 Work Related Activity) = 20 points
Total for the 5 years = 100 points
Claim all 100 points one category over the 5 year period
o Four 25-hour Category 10 Work Related Requests = 100 points
o Attend 20 one-hour webinars each year for 5 years: 20 x 1 x 5 = 100 points
Procedures for Requesting CMPs
Requests for Certification Maintenance Points can be made online or by preparing a request
form and sending it to the ICRM office along with required documentation.

Instructions for Entering CMP Requests Online:
The preferred method for entering CMP requests is to do so online
1. Log into the ICRM database with your e-mail address and password
2. Go to "View Personal Details"
3. Select "Credit Requests"
4. "Create New Credit Request"
If you were provided a pre-approval code on an attendance certificate, fill in the
code and select Enter Pre-Approval Code.
o Select Add
o After you select Add, you will be taken to a new screen
o If the activity is longer than two hours, supporting attendance
documentation is required. Click on Attach Documentation to upload the
attendance certificate or other supporting documentation
If the event was pre-approved, but you do not have the code, choose the option
Select From Event List. Search or browse for the event.
o Select Add
o After you select Add, you will be taken to a new screen
o If the activity is longer than two hours, supporting attendance
documentation is required. Click on Attach Documentation to upload the
attendance certificate or other supporting documentation
If the event was not pre-approved, go to the third option and select "Manually Edit
Request"
o Choose the category
o Enter the Sponsor and Title of the activity. Use the Description field if the
title is not clear in how it relates to the CRM exam outline
o Enter the number of points requested in hour increments
o Enter the date of the activity
The CRM Handbook
o Select "Add"
o Supporting documentation is not required for activities lasting 2 hours or
less. If the activity is longer than one hour, supporting documentation
regarding the activity content, duration is required. Click on Attach
Documentation to upload the supporting documentation
o While the preferred method is for you to attach the documentation directly
to the request, if you are unable to do so, you can mail or fax the
documentation. Please write your name, telephone number and email
address at the top of the page. See the Contact Us section for mailing
address or fax number
The Regent, Certification Maintenance reserves the right to request additional
documentation regarding your CMP requests
Instructions for Applying for CMPs via the Mail
Go to http://www.icrm.org, log on, then select ICRM Forms on the left side of the screen and
download either the Category 1-9 and 11 request Form or the Category 10 Form, fill it out in
full and mail along with the necessary documentation and evidence of qualifying content,
attendance, and duration of the educational activity. The Regent, Certification Maintenance
reserves the right to request additional documentation about your CMP requests.
General Information about CMPs
CMP requests for events lasting to 2 hours are automatically approved by the system and
supporting documentation is not required to be included with the request. IMPORTANT: The
Regent, Certification Maintenance may request additional information or documentation about
any or all requests, so please retain your supporting documentation for at least one year.

Documentation for requests greater than two points must be received by the ICRM within 30
days of the application date or the request will be denied.

When CMP requests for more than two points are processed, you will be emailed an updated
transcript. It is recommended that once you receive your transcript, you read it over to confirm
accuracy. If you have a question about how points were calculated and awarded, you can go
online to view the request and read any associated notes that were captured.

Requesting CMPs should be done regularly as hours are accumulated. Credit requests must be
postmarked or entered into the ICRM database within six months of the activity. However, in
the 5
th
year of your current cycle, your CMP requests, must be postmarked or entered into the
system before your cycle expires.

CRMs who meet certification maintenance requirements will receive notice from the ICRM.
CRMs failing to meet these requirements will receive formal notice indicating that they are no
longer eligible to use the CRM designation and will be dropped from the ICRM rolls. Restoration
of lost certification can be achieved only by submitting a Reinstatement Application with the
The CRM Handbook
required fee to become a Reinstatement Candidate. A Reinstatement Candidate must retake
and pass Part 6 of the CRM examination within 5 years.
Appeals
CRMs will be advised of denied points in the form of a transcript sent by email, except in the
case where request was denied due to lack of documentation, in which case an email notice is
sent. Appeals must be received within 30 days of notice of denial. Appeals should be made in
writing to the Regent, Appeals & Legislation. If the denied request(s) impacts the fulfillment of
the 100 required points in the 5-year maintenance cycle, the CRM shall not be dropped from
the rolls until such time as the appeal has been reviewed and decided upon by the Regent,
Appeals & Legislation.
Contact Us
Use the benefits of applying for your CMPs online. Access the ICRM CMP database at
www.icrm.org, log on using your email address and password, go to View Personal Details,
then Credit Requests.

Email: admin@icrm.org or: certification_maintenance@icrm.org

Call (toll-free) 877-244-3128 or 315-234-1904

Write to:
403 East Taft Road
North Syracuse, NY 13212
USA

Fax: 315-474-1784 (please limit the number of faxed pages to 10)

The CRM Handbook
CODE OF ETHICS
Certified Records Managers should maintain high professional standards of conduct in the
performance of their duties. The Code of Ethics is provided as a guide to professional conduct.
1. Certified Records Managers have a professional responsibility to conduct themselves so
that their good faith and integrity shall not be open to question. They will promote the
highest possible records and information management standards.
2. Certified Records Managers shall conform to existing laws and regulations covering the
creation, maintenance, and disposition of recorded information, and shall never
knowingly be parties to any illegal or improper activities relative thereto.
3. Certified Records Managers shall be prudent in the use of information acquired in the
course of their duties. They should protect confidential, proprietary and trade secret
information obtained from others and use it only for the purposes approved by the
party from whom it was obtained or for the benefit of that party, and not for the
personal gain of anyone else.
4. Certified Records Managers shall not accept gifts or gratuities from clients, business
associates, or suppliers as inducements to influence any procurements or decisions they
may make.
5. Certified Records Managers shall use all reasonable care to obtain factual evidence to
support their opinion.
6. Certified Records Managers shall strive for continuing proficiency and effectiveness in
their profession and shall contribute to further research, development, and education. It
is their professional responsibility to encourage those interested in records and
information management and offer assistance whenever possible to those who enter
the profession and to those already in the profession.
Ethics Review Procedure
If it is felt that a Certified Records Manager (CRM) has violated the Code of Ethics of the
Institute of Certified Records Managers (ICRM), a letter stating such must be sent to the
President of the ICRM (see website www.icrm.org for current address). This letter must identify
the CRM, state the nature of the ethics violation charge and request that the ICRM investigate
the matter. The person(s) making the charge must identify themselves. The ICRM will keep the
identification of the person(s) making the charge confidential.
Upon receipt of this letter, the President of the ICRM will establish an ad hoc Ethics Committee
and identify three individuals to serve on it, subject to the approval of the Board of Regents. No
current member of the Board may serve on this ad hoc committee.
This Committee will be provided the letter requesting the review. The Committee will contact
the person(s) making the accusation and obtain from them all available information on the
The CRM Handbook
issue. The Committee will also contact all involved parties, including the accused CRM to obtain
any additional facts.
The Committee will consider the information gathered and reach a ruling for the Board. The
ruling must reflect a unanimous vote of the Ethics Committee, repudiating or substantiating the
ethics violation charge(s).
If a CRM has been cleared of the charges, a letter stating such shall be sent to all people
contacted during the investigation.
If the Committee is unable to reach a unanimous decision concerning the charges, a second
committee consisting of three non-Board CRMs will be formed to consider the case. They will
operate in the same manner as the first committee. If the second committee cannot reach a
decision, then all charges will be dropped against the CRM. A letter stating such will be sent to
all people contacted during the investigation.
If the CRM has been found to be in violation of the Code of Ethics of the ICRM, then that
individual shall be notified by the Secretary of the ICRM that they can no longer use the CRM
designation. The CRM will not be eligible to apply for membership in the ICRM for a minimum
of 5 years, at which time they must submit an application, be accepted to sit for the exam
based on the qualifications in force at that time, take and pass all parts of the examination prior
to regaining the status of CRM.
All Ethics Committee proceedings are confidential. No information on the case, either factual or
non-factual, will be presented to the Board. The ruling of the Ethics Committee will be final. The
Committee will seal the file after all business has been completed. The sealed file will be placed
in the archives of the ICRM and confidentially destroyed after 10 years.

The CRM Handbook
SAMPLE LETTER (DOCUMENTING EXPERIENCE)
Sample Letter 1
Date
ICRM Certification Standards Committee
403 East Taft Road

Dear ICRM Certification Standards Committee:
I am Chief General Counsel for XYZ Company. Ms. Amy Wilson, XYZs Company Records
Manager, is applying to sit for the CRM exam. This letter is verification of Ms. Wilsons
professional Records and Information Management (RIM) experience while with XYZ.
Ms. Wilson has been the Company Records Manager for two years. She started working for us
in 2008. During that time she has developed and implemented a Records Retention Schedule
and Disposition procedure for the entire company.
Please let me know if you have additional questions about Ms. Wilsons experience with my
company.

Regards,

John Doe, Chief General Counsel
XYZ Company

The CRM Handbook
Sample Letter 2
Date
ICRM Certification Standards Committee
403 East Taft Road

Dear ICRM Certification Standards Committee:
I am John Doe, Chief General Counsel for SYZ Company. I understand Ms. Amy Wilson, who is
SYZs Company Records Manager, is applying to sit for the CRM exam. This letter is verification
of Ms. Wilsons professional Records and Information Management (RIM) work experience
during her employment with XYZ Company. Ms. Wilson has been the Company Records
Manager for 4 years. She started working for us in 2004. During that time she implemented
the IBM Filetrak electronic records management system, and designed and implemented an
archiving program for the Customer Information System.
Please let me know if you have additional questions about Ms. Wilsons experience with XYZ.

Sincerely,

John Doe, Chief General Counsel
The CRM Handbook
Section 2 Taking the Examination
SECTION 2 TAKING THE EXAMINATION
This section discusses several aspects of exam preparation and execution.

The Institute of Certified Records Managers does not conduct courses of study, conferences,
seminars, or workshops to teach the body of knowledge required to pass the examination.
However, sessions at various professional association conferences are scheduled to familiarize
attendees and review the examination process. Without endorsing a specific textbook or course
of study, the candidate would be wise to consider special preparation in the specific subject
matter areas outlined in this section.

The most current bibliography listing reference sources can be found on the ICRM website at
www.icrm.org. Candidates should select those materials most suited to their individual needs,
and be mindful that useful new publications are continuously being produced and added to the
bibliography.
In addition, it may prove advantageous to form, or join, a group of interested people who study
for the exam on a regular basis. Discussion with others, in addition to wide reading, can provide
insight to various records management problems and solutions. In the final analysis, individual
commitment and resolve are the most important contributing factors to successfully preparing
for, and passing, the CRM examination.

The CRM Handbook
EXAMINATION OUTLINE
Part I
Management Principles and the Records and Information (RIM) Program
A. Principles of Management
1. Management Functions
2. Management Theories and Concepts
3. Organizational Mission, Goals, and Objectives
4. Organization Structure
5. Decision-making
B. Human Resources/Staffing
1. Staffing
2. Training and Development
3. Performance Evaluation
4. Job Descriptions
5. Employee Relations
6. Workplace Diversity
C. Methodologies
1. Project Management
2. Business Process Management
3. Change Management
D. Financial Considerations
1. Estimating Resources
2. Program Budgeting
3. Cost Analysis
The CRM Handbook
4. Cost Justification
5. Forecasting and Benchmarking
6. Financial Audits
7. Writing Requests for Proposals/Quotations/Information
E. Planning
1. Scope
2. Formulating a Strategy
3. Setting Goals and Determining Objectives
4. Role of RIM Manager and Staff
5. Management Support and Program Marketing
6. Mergers, Acquisitions, Divestitures, Joint Ventures
7. Collaboration
8. Determining Functions
9. Assigning Responsibilities and Authorities
F. Additional RIM Program Components
1. Communication and Awareness
2. Incorporating Standards and Guidelines
3. RIM Manuals
4. Policies and Procedures
5. Training and Orientation
G. Directing and Monitoring a RIM Program
1. Metrics
2. Reports
3. Auditing and Evaluation
The CRM Handbook
H. Ethical Responsibilities
1. Concept of Professionalism
2. ICRM Code of Ethics
3. Social Responsibilities
I. Global Concerns of a RIM Program
1. Standards and Models
2. Multi-National Issues
3. Security and Privacy

The CRM Handbook
Part II
Records and Information: Creation and Use
A. Creating Records and Information
1. Definition and Objectives
2. Characteristics of a Record
3. Media Considerations
4. Methods of Creation/Capture/Receipt
5. Structured and Unstructured
6. Cost Considerations
B. Information Capture and Use
1. Metadata
2. Taxonomies
3. Document Control
C. Legal Compliance
1. Legislative and Regulatory
2. Litigation
3. Discovery and Investigative Research
4. Personal Identifying Information
5. Intellectual Property
D. Risk Assessment
1. Definitions
2. Objectives
E. Information Security
1. Definitions and Objectives
The CRM Handbook
2. Role of the RIM Manager
3. Security Classifications
4. Access Control
F. Electronic Communications
1. Types of Electronic Communications
2. Strategy Development
3. Policies and Acceptable Use Practices
4. Intranet and Internet
5. Collaboration Tools
6. Unified Communications
G. RIM-related Business Activities
1. Correspondence Management
2. Documentation of Policies and Procedures
3. Forms Management
4. Mail Management and Facilities
5. Reprographics

The CRM Handbook
Part III
Records Systems, Storage and Retrieval
A. Basic Concepts
1. Assessing Information Needs
2. Controlling Volume of Information
3. Classifying Information
4. Basic File Groups
5. Media Selection
B. Filing Systems
1. Classification Systems
2. Physical
3. Electronic Document Management Systems
4. Special Storage Requirements
C. File System Design
1. Design and Planning
2. Location and Control
D. Records Indexing and Retrieval
1. Indexing
2. Retrieval
E. File Conversions
1. Planning and Evaluation
2. Feasibility and Cost Studies
3. System Design
4. Records Conversion Methods
The CRM Handbook
5. Post-Conversion Considerations
F. Records Storage Facilities
1. Design Considerations
2. File Equipment
3. Records Center Shelving
4. Relocating a Records Facility
G. Records Centers Operations
1. Functions and Objectives
2. Supplies
3. Storage Containers
4. Materials Handling Equipment
5. Managing the Records Center
6. Operating the Records Center
7. Disaster Recovery
H. Commercial Records Centers
1. Outsourcing Considerations
2. Vendor Evaluations
3. Contract Considerations
4. Vendor Performance Management

The CRM Handbook
Part IV
Records Appraisal, Retention, Protection and Disposition
A. Records Inventory
1. Planning
2. Organizing
3. Conducting
B. Records Appraisal
1. Data Analysis
2. Appraisal Valuation
C. Retention Schedule Creation
1. Types
2. Layout and Design
3. Life-Cycle Milestones
4. Approval Process
D. Retention Schedule Implementation
1. Publication and Distribution
2. Promotion and Training
3. Applying the Schedule
4. Disposition
E. Retention Schedule Administration
1. Review and Update
2. Holds
3. Evaluating Compliance
The CRM Handbook
F. Vital Records Program
1. Identification of Vital Records
2. Risk Analysis
3. Protection Methods
4. Developing the Plan
5. Testing and Updating
G. Business Continuity
1. Planning
2. Implementation Procedures
3. Preservation
4. Recovery
H. Archives
1. Archival Appraisal
2. Arrangement, Description and Use
3. Conservation and Preservation of Archival Materials
4. Media Hardware/Software Considerations
5. Archival Administration

The CRM Handbook
PART V
Technology
A. System Life Cycle
1. Basic Concepts
2. Planning Systems
3. Developing and Implementing Systems
4. Operating and Administering Systems
5. Upgrading, Refreshing, Retiring and Deactivating Systems
B. Architecture and Infrastructure
1. System Architecture
2. Devices
3. Security/Accessibility
4. Data Management
5. Data Storage
C. Life-Cycle Management
1. Records Creation
2. Capture
3. Organizing Records and Data
4. Active Management
5. Preservation Issues
6. Data/System Disposition
7. System Recovery
D. Imaging Technologies
1. Micrographics
The CRM Handbook
2. Reprographics
3. Imaging Systems
E. Programs and Applications
1. Databases
2. Decision Support Systems
3. Content Management
4. Business Process Management
5. Communications
6. Collaboration
7. Web

The CRM Handbook
ANNOTATED OUTLINE
PART I - MANAGEMENT PRINCIPLES AND THE RECORDS AND INFORMATION MANAGEMENT
PROGRAM
Management principles have been developed over the years to help managers perform their
jobs more successfully. These principles and accepted theories should be applied when
organizing and managing a Records and Information Management (RIM) program. Part I
includes topics such as staffing, budgeting, cost analysis and control, organizational placement,
authority and scope of a program. Additional topics such as management theories,
methodologies, ethical obligations and global concerns are also included.
A. PRINCIPLES OF MANAGEMENT
1. Management Functions. The application of general management principles includes the
management functions of planning, organizing, directing, controlling and staffing. Be
able to identify the RIM professionals role in each of these elements. Understand
communication techniques, listening skills and leadership styles and how they affect
leadership ability and effectiveness.
2. Management Theories and Concepts. Management theories are vehicles through which
the practice of management can be prescribed. This section covers classic theories from
Taylor, Gilbreth and Weber, along with more current theories from Deming, Juran and
Ouichi. Understand what a management theory is and the various theories that have
been commonly adopted in the business community. Know how management theories
and concepts contribute to organization operations and the specific elements of the
various theories that have been referenced over the years.
3. Organizational Mission, Goals and Objectives. Goals and objectives help to formulate
decision making, establish consistency and facilitate teamwork. Review how
organizational, departmental and individual goals and objectives are interrelated.
Identify the goals and objective of a RIM program. Be able to identify what
responsibilities the RIM professional has when designing programs to fit into the
culture, mission and goals of the organization. Identify how a RIM program can benefit
by aligning with the corporate goals and participating in cross-department collaboration.
4. Organizational Structure. Know the differences, strengths and weaknesses of the types
of organizational structure such as line, line and staff, committee, network, matrix, team
and informal. Be able to identify situations where each organizational structure can be
applied in a RIM program.
5. Decision-Making. Study the steps in the decision-making process and evaluate the
models available. Understand terms such as problem analysis brainstorming, decision
matrices, payoff tables, decision tree analysis and group decision support systems. Know
The CRM Handbook
the various decision making techniques, the advantages and disadvantages of each and
when these techniques should be applied.
B. HUMAN RESOURCES/STAFFING
1. Staffing. Determining the need for human resources is a major activity in the planning
function. Know how to plan and organize an effective, efficient workforce in a RIM
program. Understand staffing options such as internal employees, full-time, part-time,
temporary personnel, outsourcing and consultants. Evaluate the purpose, advantages
and disadvantages of each option. Understand the human resource function and be able
to describe the procedures and criteria used to select personnel.
2. Training and Development. An organization must accurately identify its training needs
and how training is to be delivered. Know the advantages and disadvantages of the
different methods and techniques of training and education of employees such as
online, hands-on, distance learning, in-house seminars, outside sources and team
trainers. Know the psychological factors that should be considered when developing a
training program.
3. Performance Evaluation. Examine various methods of evaluating employees and
rewarding performance such as critical-incident techniques, rating scales, and narrative.
Learn how often an employee should be evaluated and who should do the appraising.
4. Job Descriptions. Know what information should be included in a job description for
RIM positions plus how the RIM professional must provide for increasing both job depth
and job scope for employees. Examine methods for determining the appropriate
compensation (salary and other incentives) for varying levels of employees and how
that compensation schedule should fit into the framework of compensation
administration within the organization.
5. Employee Relations. Understand the varying styles of workplace communication and
how they affect relationship between employee and management. Identify factors that
aid in creating an environment of worker enthusiasm, morale and desire to work.
Identify the ways in which employees can be motivated including benefits, pay and
other incentives. Examine the motivational theories of Herzberg and Maslow. Also
examine Theories X, Y and Z management styles as they apply to worker motivation.
6. Workplace Diversity. While diversity in the workplace brings about many benefits to an
organization, it can also lead to challenges. It is the responsibility of managers within
organizations to use diversity as a resource in order to influence and enhance
organizational effectiveness. Understand what a workplace diversity program is and
how a company can benefit from it. Be able to identify challenges that could be
inherited and what a manager could do to address them. Understand the difference
between a monolithic, a plural and a multicultural organization.
The CRM Handbook
C. METHODOLOGIES
1. Project Management. Understand the major tenets of managing projects successfully.
Be aware of the tools and techniques needed to guide the planning, scheduling,
budgeting, organizing and controlling of a project. Understand the role of the project
manager and project team members. Know what a Work Breakdown Structure (WBS) is
and how it should be managed and monitored. Be familiar with project management
terms such as scope, baseline and dependency, critical and noncritical path. Understand
the use of project management tools such as the Gantt and PERT charts.
2. Business Process Management. Understand how Business Process Management (BPM)
is used to bring technology, people and processes together to improve operational
efficiency. Know the terminology used in the BPM model. Understand how BPM can
drive enterprise content management. Be able to describe the six activities that define
BPM: vision, design, modeling, execution, monitoring and optimization.
3. Change Management. Understand how empowering employees to accept and embrace
changes in their current business environment can assist with the implementation of a
RIM program. Understand the steps needed to develop a structured approach to
shifting/transitioning individuals, teams and organizations from a current state to a
desired future state.
D. FINANCIAL CONSIDERATIONS
1. Estimating Resources. Understand how to estimate the resources you will need to
support a RIM program. Resources may include personnel, equipment, materials,
money, facilities and supplies.
2. Program Budgeting. Program budgeting is the process of identifying, estimating and
justifying costs in running the RIM function. Know the purposes, advantages and
limitations of budgeting. Identify the principles of budget preparation. Know the
different types of budgets such as zero-based budgeting. Be able to prepare a budget
for a RIM program. Identify the various ways of analyzing and controlling costs such as
personnel, supplies and materials, equipment, work process and ongoing versus setup.
Be able to walk through the steps of the budgeting process.
3. Cost Analysis. Using cost analysis is an economic decision-making approach in the
assessment of whether a proposed project, program or policy is worth doing. Economic
evaluation, cost allocation, efficiency assessment, cost-benefit analysis, or cost-
effectiveness analysis represent a continuum of types of cost analysis that can have a
place in program evaluation. Understand the benefits of performing a cost analysis,
elements of a cost analysis study and terms such as opportunity costs and intangible
items.
4. Cost Justification. Determine and be able to describe ways of justifying programs,
equipment and personnel. Two approaches are cost-avoidance justification and
The CRM Handbook
expense-reduction justification. Examine concepts such as risk analysis, current value
and incremental costs as they apply to program justification. Know the components and
how to prepare a cost/benefit analysis. In many cases these comparisons will result in a
written report or proposal that will be presented to management for approval.
5. Forecasting and Benchmarking. Know the definitions of forecasting and benchmarking
and understand the difference between them. Evaluate the techniques of each and be
able to give examples of how each could be used in a RIM program.
6. Financial Audits. Financial audits provide reasonable assurance that the financial
statements present the true financial position, results of operations and cash flows in an
organization in conformity with generally accepted accounting principles. Understand
what the role of the RIM professional should be during a financial audit and how RIM
principals can assist with the process. Know terms such as cash and accrual basis, cash
flow management, chart of accounts, debits and credits, double-entry system, fair value
accounting and general ledger. Be familiar with International Standards of Auditing (ISA)
issued by the International Auditing and Assurance Standards Board (IAASB).
7. Writing Requests for Proposals/Quotations/Information. Developing a RIM program
may involve purchasing services or systems. An important part of this process is writing
a Request for Proposal. Know the necessary components of a Request for Proposal
(RFP), Request for Quotation (RFQ), or a Request for Information (RFI) and how to write
each of the requests. Understand terms such as Tier 1 vendor and Tier 2 vendor and the
difference between them. Know related terms such as outsourcing, solution provider
and service level agreement.
E. PLANNING
1. Scope. Analyze the size and breadth of the RIM program in an organization. Determine
managements responsibility and intent on what actions should be taken to achieve the
RIM objectives.
2. Formulating a Strategy. Know how to develop a plan to conduct a records survey to
determine the what, when, where and by whom? Be able to conduct an analysis of a
business process, its problems, system needs, requirements and evaluation of
alternative solutions to the problem. Practice by taking a RIM project through the
following steps: identify the problem, study the alternatives, select an alternative,
implement the selected alternative, review the impact, follow up and maintain.
3. Setting Goals and Determining Objectives. Goals and objectives help to formulate
decision making, establish consistency and facilitate teamwork. Review how
organizational, departmental and individual goals and objectives are interrelated.
Identify the goals and objective of a RIM program. Be able to identify what
responsibilities the RIM professional has when designing programs to fit into the
culture, mission and goals of the organization. Identify how a RIM program fits into the
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overall goals and objectives of an organization if the organization is growing, stabilizing,
retrenching, or downsizing.
4. Role of RIM Manager and Staff. The RIM manager is someone who is responsible for
records and information management in an organization. The scope of responsibilities
may vary based on many factors such as the industry, structure, size and location of an
organization. Know the responsibilities of the RIM manager and the staff of a RIM
program. Understand how the degree of responsibility varies as the RIM program
evolves. Understand how the RIM staff should interact with other areas of the
organization and how to identify and service customers of the RIM program.
5. Management Support and Program Marketing. Understand how to align the RIM
program with organizational goals and objectives. Understand how to identify
stakeholder needs and how to develop presentations to address those needs. Identify
what information is important to top management. Study techniques for effectively
providing the information as part of selling the program to top management.
6. Mergers, Acquisitions, Divestitures and Joint Ventures. Be able to distinguish the
difference between a merger, acquisition, divestiture and joint venture. Assess the
effects that major changes in an organization may have on the RIM program.
Understand how to assess the unique RIM responsibilities that may arise from major
management reorganization. Be familiar with terms such as demerger, spin-off, spin-
out, hostile takeover and reverse merger.
7. Collaboration. Implementing comprehensive recordkeeping principles requires a
cooperative effort among RIM, IT, legal and compliance. Understand the significance of
each group and their role in the RIM program. Explain which elements of the program
are important to internal groups outside of RIM and how RIM can work collaboratively
to help them meet their goals and objectives. Examine the role of professional
organizations such as ARMA, AIIM, BFMA, SAA, IT associations and the ICRM in
promoting RIM. Identify what benefits can be gained from belonging to a professional
organization.
8. Determining Functions. Know the responsibilities of the RIM professional in organizing
the program and the department plus the organizational skills needed to coordinate
vertically and horizontally within the organization. Know and understand related
definitions such as scalar principle and unity of command.
9. Assigning Responsibilities and Authorities. Considering the overall organizational
structure, know the missions, goals and objectives of the RIM program. Understand the
proper placement for responsibilities and authorities within the program that will
support and enable the organizational goals and objectives.
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F. ADDITIONAL RIM PROGRAM COMPONENTS
1. Communications and Awareness. Know how to emphasize areas of the RIM program
that add value to the organization. Understand the importance of promoting the RIM
program to both senior management and users. Know how to communicate the value
proposition of RIM program components such as cost savings, space savings,
operational efficiencies, increased accessibility of records, compliance and risk
mitigation.
2. Incorporating Standards and Guidelines. Know what standards and guidelines are and
how they assist program implementation, quality and work measurement. Be
knowledgeable on publications such as GARP and the various RIM related ISO standards
and understand how they can be used to assist in developing RIM standards.
3. RIM Manuals. Know the purpose, importance and benefits of developing RIM manuals.
Be aware of the various RIM manual components and the appropriate use. Understand
how to control and document revisions and amendments and the necessary steps to
maintain each.
4. Policies and Procedures. Know the purpose of a policy and what should be included in
the RIM policy. Understand the purpose of a procedure and how it differs from a policy.
Be able to explain how policies and procedures drive compliance in the RM program.
5. Training and Orientation. Understand the value of training the entire organization on
RIM policy and procedures. Be able to identify additional training that may be needed to
use software, use and apply the retention schedule, send records offsite, etc. Know the
importance and value of an orientation program for new employees. Identify the
different levels of training and RIM concepts to be provided to the whole organization
versus RIM related employees.
G. DIRECTING AND MONITORING A RIM PROGRAM
1. Metrics. Know how to use objectives in controlling work assignments. Know the RIM
professionals responsibility in setting program goals. Evaluate the various methods
used for assessing performance of tasks. Know how to establish performance standards.
2. Reports. Know the importance of timely reports and follow-up information. Be familiar
with the methodology of reporting, how to write effective reports and who to distribute
the reports to. Understand how reports provide good program visibility and give
feedback to RIM employees and upper management.
3. Auditing and Evaluation. RIM professionals sometimes create guidelines for evaluating
the efficiency of the RIM program. Understand the importance of the audit process.
Know how to use inspections, evaluations and audits to identify the RIM programs
efficiency and effectiveness. Know the three ratios of accuracy, activity and retrieval
efficiency; how each are calculated and what measures are considered acceptable.
Understand techniques such as investment, payback period and break-even analysis and
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know when each is best used and its advantages and disadvantages. Be able to calculate
each of these techniques.
H. ETHICAL RESPONSIBILITIES
1. Concept of Professionalism. Understand the definition of professionalism. Understand
the role of a RIM professional in society and the legal and ethical responsibilities that
are associated with being a professional.
2. ICRM Code of Ethics. Read the ICRM Code of Ethics. Know what should be included in a
code of ethics. Understand how a CRM serves as a role model regarding ethics.
3. Social Responsibilities. Organizations have an obligation to take action that protects
and improves the welfare of society as a whole along with protecting the interest of the
organization. Be able to explain how an organizations social responsibilities influence
RIM programs and procedures.
I. GLOBAL CONCERNS OF A RIM PROGRAM
1. Standards and Models. RIM programs play an important role in our global economy.
Assess why standards and models are necessary in the RIM environment. Be familiar
with national and international standards organizations, such as AIIM, ANSI, ARMA, BSI,
ISO and NISO. Understand the purpose of uniform standards of quality and the record-
keeping requirements of ISO compliance practices. Understand how and why records
are to be maintained to demonstrate conformance to quality assurance standards.
2. Multi-National Issues. Many organizations compete at an international level. As
organizations expand to many areas of the globe, know what effect this expansion will
have on the RIM program. Know what resources are available to the RIM professional to
respond to multinational issues.
3. Security and Privacy. International organizations have additional security issues to
address. Be able to identify managements responsibility and liability for international
security requirements, methodologies and threats. Understand the issues related to
privacy and what international organizations need to do to be compliant with
requirements.
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PART II RECORDS AND INFORMATION: CREATION AND USE
Part II pertains to the creation, production, distribution and use of records and information on
paper, electronic and all other media. It covers the documentation of business transactions and
activities and correspondence management. It includes methods for distributing information
within organizations through the development of programs, policies and procedures and the
creation and use of business forms and reports. Mail management (the processes involved in
moving information into, within, or out of an organization) and reprographics management (the
control of copying, duplicating and printing) are also covered.
A. CREATING RECORDS AND INFORMATION
1. Definition and Objectives. Document creation is the process of producing or
reproducing records and information, either on paper or electronically. Know the value
of monitoring document creation, why the RIM professional should evaluate new
document types and understand how to facilitate effective and efficient information
systems. Be able to define record, non-record and understand data, structured and
unstructured, information and all other related terms.
2. Characteristics of a Record. Characteristics such as authenticity, reliability, integrity and
usability should all be considered as part of the creation and use phases of a records life
cycle. The RIM professional should understand the value of recordkeeping systems, both
paper and electronic and ensure that they adequately document the activities and
transactions of an organization and serve as evidence of business activities. In addition,
record content and associated metadata should remain intact in a format that can be
migrated and exported as required to support business, legal and regulatory
requirements.
3. Media Considerations. The RIM professional should be able to assess the various types
of media and their advantages and disadvantages for their entire life cycle. Information
is stored on many types of media (paper, microforms, magnetic, electronic and optical).
The RIM professional should be knowledgeable about problems of migration and
conversion associated with each media.
4. Methods of Creation/Capture/Receipt. Information is recorded and transmitted, both
manually and through automation. The RIM professional should be able to assess each
method, along with their advantages and disadvantages as they relate to various
business processes.
5. Structured and Unstructured. The RIM professional should be able to distinguish
between the requirements to manage structured and unstructured data. As business
processes are mostly automated, these forms of data and other data attributes are
critical concepts to understand.
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6. Cost Considerations. This area covers the cost considerations associated with the
different records and information types. That includes knowing how to evaluate the cost
of production and reproduction in differing media. Also consider associated costs such
as space, equipment, supplies, labor and soft costs (opportunity, the value of
information itself and the value of response time).
B. INFORMATION CAPTURE AND USE
1. Metadata. The RIM professional needs to understand the metadata required to define,
classify and manage information as a record.
2. Taxonomies. Know how records are classified and how taxonomies work to ensure
records are retrievable during their entire life cycle.
3. Document Control. In order to control documents throughout their life cycle, the RIM
professional should understand version control and tracking. Analyzing the work-flow of
business processes allows the RIM manager to identify the records related to them.
Know and understand the various manual and systematic approaches to mapping work
processes, tracking documents and applying version control.
C. LEGAL COMPLIANCE
1. Legislative and Regulatory. Various legislative and regulatory rules and judicial decisions
impact the creation and use of information within an organization. The RIM professional
should know how to create a program that will comply with these requirements.
2. Litigation. In todays litigious business environment, its critical that the RIM
professional understand the role they have in supporting litigation. Collaboration with
legal is essential. Directives and tasks may include issuing hold notices, applying and
removing the preservation notices to physical and electronic content and assisting
others in compliance with such hold notices.
3. Discovery and Investigative Research. The discovery phase of litigation or investigative
research requires that the RIM professional be knowledgeable of the challenges and
potential methods to locate and produce the records and information required for a
legal case. Not every investigation leads to a discovery phase, however, the RIM
professional should be able to quickly respond when required to support it.
4. Personally Identifiable Information. Personally Identifiable Information (PII) refers to
the unique information that can be used either alone or with other sources to identify,
contact, or locate an individual. For legal purposes, the RIM professional should be
familiar with varying definitions depending on jurisdiction and the purposes for which
the term is being used. PII requires that the RIM professional actively monitor the
attributes of records and information that would qualify as meeting the definition and
also be able to securely manage it as such.
5. Intellectual Property. Understand the laws concerning intangible property. Be able to
define and characterize intellectual property laws such as patents, trademarks, trade
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names and trade secrets. Know and understand the RIM professionals responsibility
with respect to intellectual property.
D. RISK ASSESSMENT
1. Definitions. There are many types of risks such as business, legal and accountability that
are associated with the creation and use of information. The RIM professional should
understand and be able to explain these.
2. Objectives. The RIM professional should understand and know how to assess the RIM
risks in an organization, provide adequate security and other controls in the creation
and use of records and often track chain of custody to mitigate risk.
E. INFORMATION SECURITY
1. Definitions and Objectives. The RIM professional should understand the need to define
information security and protect information and resources so that a business or
organization can continue doing business. By applying the appropriate security
measures, the RIM professional can assist in protecting privacy and guarding against
identity theft, loss, or other risks.
2. Roles of the RIM Manager. While the RIM professional should be familiar with how the
technology of encryption and authentication works, it is even more critical that they
know when and how the technology should be applied. The RIM professional should be
able to clearly communicate how information is organized and classified both with
regard to its record requirements and its security requirements.
3. Security Classifications. There are many security classifications that can be applied to
records and information. Understand when a record is proprietary, confidential or
secret. There are increased security concerns that the RIM professional should be able
to identify. The RIM professional should also support compliance with laws and
regulations around the requirements to protect Personally Identifiable Information (PII).
4. Access Control. The RIM professional needs to understand the purpose of an
organizations records and the business that the records support in order to adequately
govern access to specific information. Access to records can be governed through
information security policies and are applied through physical limitations and electronic
restrictions. Know the advantages and disadvantages of the multiple ways to physically
and electronically secure records. Electronic communications expose organizations to
threats to their information, either by having it stolen (hackers), hijacked, having
unwanted programs (worms, viruses, etc.) imported into the organizations computers,
or other unauthorized access. Instant messaging, e-mail and other forms of electronic
communication pose problems for the capture and management of information. The
RIM professional should understand the security measures and controls necessary to
protect the organizations information.
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F. ELECTRONIC COMMUNICATIONS
1. Types of Electronic Communications. The RIM professional should understand the use
of a variety of electronic communication tools, including email, instant messaging, voice
mail and both audio and video devices. These all potentially create records that may
need to be captured and managed.
2. Strategy Development. To develop an effective electronic communications strategy, the
RIM professional should collaborate with multiple stakeholders (i.e. business units, Legal
and IT) to ensure that policies and procedures are documented, employees are trained
and the policies are enforced throughout an organization. Know how to define and
implement tasks associated with each role of an electronic communications strategy
covering the creation and management of electronic records.
3. Policies and Acceptable Use Practices. Electronic communications, including, but not
limited to email, have unique requirements guiding their use. The RIM professional
should understand these and be aware of their role in promoting and monitoring their
use. Understand what components go into policies, etiquette and guidelines to promote
the responsible use of electronic communications.
4. Intranet and Internet. Much of an organizations activity may take place via its website.
This creates records which the RIM professional should manage, store and be able to
retrieve when needed. The RIM professional should know how to deal with the variety
of materials created by intranets and internets, including identifying record material,
methods of capture, storage options, security and version controls.
5. Collaboration Tools. Collaboration tools, also referred to as collaboration software, are
often used for a team of people to work on a project collectively through the use of
software such as instant messaging, conference calls or video conferencing. Know the
RIM requirements for using a collaborative tool and how to apply them.
6. Unified Communications. Any combination of electronic communications (fax, e-mail,
voice mail, instant messaging, etc.) is a unified message. The RIM professional should
understand the special problems they pose and provide guidance on how to manage
them.
G. RIM-RELATED BUSINESS ACTIVITIES
1. Correspondence Management. Correspondence management is the control of
communications, either on hard copy or electronically, within an organization. It
includes the establishment of uniform systems for formatting, preparing and processing
information to make sure its transmission is clear, concise, courteous and relevant. This
will promote employee productivity, reduce costs and enhance information retrieval.
2. Documentation of Policies and Procedures. Policies and procedures define the actions
to be followed by members of an organization in conducting their activities. They are
provided in many forms including manuals, directives, handbooks, guidelines, notices,
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etc. The RIM professional should understand their value, the various methods of
production and distribution and what they are meant to accomplish. The RIM
professional should understand the processes used to prepare policies and procedures,
the various methods of tracking and the distribution methods. Know the methods,
advantages and disadvantages of each.
3. Forms Management. Business forms serve as the chief means of communicating
information in a methodical, standardized and repetitive way. The RIM professional
should understand how forms are created, used and managed, including the specialized
terminology of forms management. The major elements of a well-organized forms
management program includes planning and training, coordination and liaison,
procedural analysis, design standardization, registration and identification, procurement
and reproduction, distribution and storage, follow up and program reporting. Know the
elements of creating and distributing effective forms including information and design
analysis, activity flowcharts, procedures analysis, combination of overlapping forms,
layout and design, titling, identification and instructions. The RIM professional should
know how to inventory and catalog forms, classify and apply control numbers to forms.
Also know the most practical ways of producing forms, how to choose between
electronic or paper forms and printing options.
4. Mail Management and Facilities. The RIM professional should be familiar with the
processes involved in moving paper and electronic information into, within and out of
an organization, including methods of ensuring prompt receipt and transmission of
materials at minimum cost. The mail management program should have areas of control
to make certain information flows within an organization. A mail management facility
should be designed for efficient operation and utilize appropriate equipment and
computer software. The RIM professional should be able to identify the activities
involved in the management of incoming and outgoing mail, distribution schedules, cost
determination and security controls. There are special considerations for international
mail, internal and external messenger services and facsimile.
5. Reprographics. Reprographics management includes copiers, duplicators, microforms
and other mass replication systems, procedures and equipment. The programs
objectives are to control copying practices and procedures and provide necessary copies
effectively, economically and in a timely manner. The RIM professional should know
how to compare various copiers and various means of copying, advantages and
disadvantages of leasing and purchasing copiers and centralized versus distributed
facilities. The RIM professional may be required to manage the organizations printing
program and should know the advantages and disadvantages of in-house versus
external printing services, on-demand printing, outsourcing and advance systems.
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PART III RECORDS SYSTEMS, STORAGE and RETRIEVAL
Records and information maintenance and control concepts and requirements have evolved
over the years. These concepts and requirements are needed to effectively manage active and
inactive records in all forms and media. Part III includes basic concepts such as assessing needs,
controlling volume of information, and media selection. Also covered are records indexing and
classification, file system design and implementation, file operations, file conversion methods
and maintenance procedures. All associated terms and topics relating to internal and
commercial records centers such as their selection, usage and requirements are covered.
A. BASIC CONCEPTS
1. Assessing Information Needs. An effective RIM system allows easy access to
information when it is needed, regardless, of media type. Based on the type of
information, know how to assess it by understanding the methods, processes and
procedures that are necessary to implement, maintain and enforce RIM systems.
2. Controlling Volume of Information. Eliminating unnecessary content, files and
information is necessary for organizations. Understand how information moves from an
active to an inactive state and can be archived or moved off-line. Be familiar with the
terms on-line, near-line, off-line, off-site, centralized and decentralized. Understand
how to use the record retention schedule to control the volume and growth of
information, the various systematic records disposition processes and procedures and
the value of consistently in these procedures.
3. Classifying Information. Classification is the process of grouping records with similar
characteristics such as the same retention periods together. Consider the different
classes of records, their subdivisions and how they should be filed and retrieved. Know
and understand the different methods to classify information such as departmental,
functional, primary/secondary, subject and uniform classification.
4. Basic File Groups. File groups are logical collections of information identified by
common names. Know the different types of file groups such as case files, convenience
copies, cartographic materials, correspondence and reference materials.
5. Media Selection. Understand the necessary criteria used when selecting various media
types and the requirements that may vary during different phases of the informations
life cycle. Understand the storage and retrieval requirements for the different electronic
and physical mediums such as electromagnetic disk, microfilm, optical disk, paper and
tape.
B. FILING SYSTEMS
1. Classification Systems. Classification systems are distributed classes of information
grouped according to common relations or affinities. Be familiar with the different types
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of classification systems such as encyclopedic, geographic and hierarchical filling
systems. Understand the different methods and file arrangements used to classify
information such as alphabetic, alpha-numeric, chronological, numeric, phonetic,
subject and topical. Know when and why these strategies should be used and the
advantages and disadvantages of each of them. Be able to further break down each of
these file arrangements, such as the various numeric filing methods of straight numeric,
middle-digit and terminal digit philosophies. Identify the controls needed for active and
inactive file operations in classification systems.
2. Physical. Physical file systems are commonly used to organize film, paper and other
objects. Know the different types of discs, film and paper and their individual
compounds and characteristics such as silver halide, diazo and pulp. Understand the
advantages and disadvantages of using physical filing systems and know the various
types of microfilm readers. Be able to explain the application of CAR and COM systems
in the active and inactive records environment.
3. Electronic Document Management Systems. Understand how to set up directory and
folder structures in an electronic document management system to meet business
requirements and how to manage them during all phases of the information life cycle.
Be familiar with the different methods of managing structured and unstructured data,
with its associated metadata. Know the principles of managing different data types and
their media characteristics. Be able to explain the advantages and disadvantages of
storing business records in an electronic format and the unique challenges this presents.
Know the differences between on-line, near-line and off-line systems and the
appropriate uses of each. Explain the use and application of COLD in active records.
4. Special Storage Requirements. Understand the special storage requirements of the
various media types, such as paper, film, magnetic and optical. Be familiar with each of
the mediums attributes and environmental requirements such as acid free, humidity
and temperature. Know the special storage requirements of nonstandard items,
including engineering drawings, maps, continuous paper records and specialty forms. Be
familiar with different storage equipment such as carousel stands, map boxes, tubes,
etc.
C. FILE SYSTEM DESIGN
1. Design and Planning. File systems are used to manage, organize, retrieve, track, store
and update information in an efficient manner. Understand the factors used to design
and plan file systems such as the file volume, complexity, retrieval needs, circulation
control, organization size and file growth expectations. Realize the different needs of
active records that are referred to frequently and inactive records that are typically kept
for fiscal, historical, regulatory, or litigation purposes. Be familiar with filing manuals and
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their various components such as filing rules, records retention schedules, classification
outlines, indexes and conversion tables.
2. Location and Control. The location and control of file systems varies depending on the
characteristics of the information. Know if the information is active or inactive and
should be decentralized or centralized. Be able to explain the advantages and
disadvantages of each of these methodologies. Understand the different requirements
for storing and maintaining confidential, secret, internal and public information. Be
familiar with data privacy requirements and what constitutes as Personally Identifiable
Information (PII). Understand any access limitations and controls needed to protect
information.
D. RECORDS INDEXING AND RETRIEVAL
1. Indexing. Indexes are lists of names, identifiers, subject terms, or other descriptors with
pointers to associated information. Know the difference between a direct access and
indirect access system and the advantages and disadvantages of each. Be familiar with
the different types of indexes such as alphabetical, analytical, chain, coordinated,
detailed, hierarchical, full-text, minimal, numerical, objective and synthetic. Understand
when the different types of indexes should be used. Know different search types such as
contextual and truncated and the need for cross-referencing. Be aware of the use of
metadata and some of the different types such as administrative, descriptive and
structural.
2. Retrieval. Information retrieval is the technique of storing and recovering data. The
primary objective of information retrieval is to locate data when it is required based on
user requirements and search criteria. Understand the differences between manual and
electronic retrieval systems. Study the different types of searching methods such as
Boolean Logic, captions, keyword, proximity, string, structured and wild card searches.
Be able to calculate retrieval or turnaround ratios, reference ratios and accuracy ratios.
Understand the importance of uniformity in a file plan and why it is important for file
arrangement, classification, coding and files maintenance processes.
E. FILE CONVERSIONS
1. Planning and Evaluation. Describe the process of planning and implementing a media
conversion project. Know how to develop the project scope and standards for
productivity and quality. Review the process of implementing a file conversion such as
changing or reconfiguring equipment, migrating from one automated filing system to
another and migrating from a manual filing system to an automated filing system.
Understand and know how to evaluate the requirements and considerations of file
conversions such as the number of files, document sizes, space, retention periods, labor
and user requirements. Know the advantages and disadvantages of converting files.
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2. Feasibility and Cost Studies. Understand how to determine feasibility and associated
costs of file conversions and the capabilities, limitations and cost of different file
conversion solutions. Consider the various costs such as equipment, labor, maintenance,
storage and supplies. Determine cost justification strategies and calculate the return on
investment.
3. System Design. Be familiar with application independent file formats such as Portable
Document Format (PDF), Rich Text Format (RTF) and Tagged Image File Format (TIFF).
Know how to develop written instructions, validate data integrity and check quality
control. Consider the user needs and requirements of the converted information.
4. Records Conversion Methods. Be familiar with the different conversion methods such
as complete, partial, scan-on-demand and day-forward. Know possible media types to
convert records to such as CDs, DVDs, magnetic and microfilm. Understand the
advantages and disadvantages of back file conversions and when to use internal staff or
to outsource.
5. Post-Conversion Considerations. Be familiar with quality checks and procedures to
ensure data integrity. Be familiar with regulatory, litigation requirements and corporate
policies that pertain to pre-conversion and post-conversion processes and materials.
F. RECORDS STORAGE FACILITES
1. Design Considerations. When designing an area or location to store records in a new or
existing building, several sets of criteria need to be considered. Understand the records
center engineering specifications such as floor load capacity, stack height, lighting, air
conditioning, heating, ventilating, power, plumbing and fire and smoke detection
system requirements. Be aware of the safety and regulatory requirements that pertain
to records center facilities. Know the optimal humidity and temperature control
requirements for various media types stored at the records center. Be familiar with the
various fire suppression, safety and security system requirements. Review records
centers layouts for various functions such as administration, staging, viewing and
disposing of records.
2. File Equipment. Storage equipment such as file cabinets and shelf filing units are
available in a variety of types and sizes. Be familiar with the most common types of file
cabinets such as vertical, lateral, flat file, computer print-out, electronic media and
microfilm. Know the various shelf cabinet types such as open, mobile and rotating
shelves. Understand the advantages and disadvantages of each of these different
cabinet and shelf types. Be familiar with the different types of special equipment to
secure and protect records such as safes and vaults. Review the various types of
shredders and balers that are available and identify their different destruction methods
such as cross-cut, vertical strips, maceration, confetti and pulverization. Understand the
different types of filing equipment such as vertical files, drawer dividers, wire racks,
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hanging frames, tub files, carousel files, rotary files, file folders, suspended folders, file
tabs and color coding.
3. Records Center Shelving. Be familiar with the different types and sizes of shelves at
records storage facilities. Understand how shelves within a records center are
assembled, constructed and maintained. Know what types of shelves should be used for
various media types and understand their security and privacy constraints. Know how to
estimate records centers shelf space and stack area requirements.
4. Relocating a Records Facility. Understand the details needed to be agreed upon with
the moving company, such as when, where and how quickly the records will be moved
to the new facility. Be aware of the contractual language that should be included in the
agreement with all of the applicable suppliers for the records move. Know the
precautions that should be taken to ensure that records are not lost or destroyed during
the move.
G. RECORDS CENTERS OPERATIONS
1. Functions and Objectives. Records centers are specially designed warehouse facilities
that provide secure high density storage for inactive records that are infrequently
needed, but must be retained for administrative, legal, tax, or regulatory requirements.
Understand when it is necessary to use a records center and their advantages and
disadvantages.
2. Supplies. Be familiar with the variety of supplies available and understand their
application in increasing the efficiency of an active file operation. File supplies include
sorters, folders, file guides, charge-out cards, binders, signals, file fasteners, labels and
tabs. The types of supplies used are dependent on the specific needs of a file operation.
Be familiar with Radio Frequency Identification (RFID) technology and its application
within records management.
3. Storage Containers. Records centers have a variety of standard and specialty containers.
Review the specifications for standard records center containers. Know the different
types of storage containers such as the cubic foot containers and transfer cases. Be
familiar with specialty containers that are required to store records such as architectural
plans, archival records, engineering drawings, maps, microfilm, x-rays and magnetic
tape. Be able to identify the different construction requirements for storage containers
such as two-plied, reinforced and wood pulp.
4. Materials Handling Equipment. Review the various types of handling equipment that
are used in records centers, such as platform ladders, hydraulic lifts, pallet jacks, sort
racks, wheeled carts, catwalks, fire extinguishers and dollies. Be familiar with how the
handling equipment is used at a records center and be able to identify their standard
specifications and requirements.
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5. Managing the Records Center. Be familiar with the roles and responsibilities of key
personnel such as the computer programmers, facility engineers, file clerks, managers,
drivers and move staff. Know the various records centers requirements such as facility
design, security controls, regulations, record retention schedule compliance, regulatory
requirements and user/customer needs. Understand records centers charge back
methods, operating procedures and quality control techniques.
6. Operating the Records Center. Records centers have similar fundamental operational
procedures and workflow. Know the different records centers monitoring rates such as
accession, growth and disposal. Be familiar with the process of staging, processing,
locating, searching, charging-out, re-filing, inter-filing, reviewing, re-boxing, disposing
and possibly scanning of records at a records center.
7. Disaster Recovery. As with any building or facility, records centers should be prepared
for emergencies and have a disaster recovery plan. The plan should first indicate how to
protect the lives of the people within or near the facility and then the records within the
building. Understand the different methods of protecting physical and electronic
records such as duplication, safes and e-vaulting. Know the unique requirements for
protecting vital records.
H. COMMERCIAL RECORDS CENTERS
1. Outsourcing Considerations. Commercial records centers can be secure economical
alternatives to using in-house record centers, especially when considering the costs
associated with constructing warehouses, refurbishing facilities, purchasing equipment
and hiring records center employees. Be familiar with different techniques used to
compare these costs and complete a detailed cost analysis. Know the additional services
that can be provided by commercial records centers such as 24 hour support and
leveraging the latest equipment and technologies. Understand the methods and
strategies used to obtain senior management approval to use commercial records
centers.
2. Vendor Evaluations. Many factors are used when selecting commercial records centers
such as the suppliers financial strength, size, scope, services offered, costs, reputation
and quality control. Be able to evaluate the services offered by records centers and
know how to present them to senior management.
3. Contract Considerations. Several vendors offer the services of commercial records
centers and organizations typically require them to participate in a formal competitive
bid process as a prerequisite of their selection. Be familiar with how to create a Request
for Information (RFI) or Request for Quote (RFQ) and understand what information is
needed from the vendors such as pricing for delivery, filing, labor, indexing, sorting, re-
filing, destruction and permanent removal.
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4. Vendor Performance Management. When monitoring a commercial records centers
performance, reference the contract and procedures document to evaluate the agreed
upon controls and services. These documents contain key provisions and requirements
that the records center should adhere to and be measured against; such as response
times, information disclosure and quality indicators. Know how to audit these
requirements and determine if the commercial records centers are complying with them
or if the competitive bid process should be reinitiated.
The CRM Handbook
PART IV RECORDS APPRAISAL, RETENTION, PROTECTION AND DISPOSITION
Part IV covers records appraisal, retention, protection and disposition regardless of record
media or format. It focuses on the development of the records inventory, appraisal of the
records found, development of a retention schedule and protection of all records through their
final disposition. Additionally, it is necessary to understand the development and
implementation of a vital records program and a business continuity plan as a component of
the RIM program. Because final disposition may not be destruction, an understanding of
archives as well as preservation and recovery techniques regarding records is essential.
A. RECORDS INVENTORY
1. Planning. Know and understand the concepts, processes and procedures involved with a
records inventory. Interpret the correlation between the records inventory and the
volume, scope, location and complexity of an organizations records. Be able to explain
the relationship among the records inventory, the records retention schedule and the
vital records program. Understand the activities necessary to begin the records
inventory including the support and authority necessary for carrying out the project and
the commitment necessary from all levels to successfully complete the project.
2. Organizing. Be able to identify the objectives and strategies involved with conducting
the inventory. Know the staffing involved. Understand the difference between a
physical inventory and the questionnaire method and when they are used appropriately.
Be able to establish the procedures necessary for conducting the inventory. Be familiar
with the types of data to be collected and understand the usage of the data in the
development of a records program. Understand the importance of using an inventory
form as a consistent method to collect information. Know what types of information the
form should collect and why.
3. Conducting. Examine various manual and automated methods of collecting the
necessary data. Identify the staff and management involved. Understand the necessary
communication and how it will be delivered to all levels. Be able to implement a training
program for those involved with the project. This will include training of the staff
involved with the inventory and the procedures and work schedule to be followed.
B. RECORDS APPRAISAL
1. Data Analysis. Be familiar with how to analyze and use collected data and how it relates
to and is used to develop records retention schedules, organization-wide records
policies, vital records programs and archives programs.
2. Appraisal Valuation. Understand how to appraise the various records values. Know the
meaning of and be able to apply such terms as operating and administrative value, fiscal
value, legal value, evidential value, informational research value and archival value.
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C. RETENTION SCHEDULE CREATION
1. Types. Understand the types of retention schedules such as a general or functional
schedule as opposed to a program specific or departmental retention schedule and how
they are used within an organization. Know the areas of the organization that should be
involved in the development of the schedule and the purpose of a retention committee.
2. Layout and Design. Understand the elements of the retention schedule and how they
will be displayed. Evaluate the various media and formats and identify those most
appropriate for administration and compliance.
3. Life Cycle Milestones. Know the different stages of the life cycle of the records including
active, inactive and final disposition and the appropriate controls that need to be
applied during each stage. Know what event-driven retention periods and trigger dates
might be. Be sure to understand media and system considerations.
4. Approval Process. Identify the approvals required to validate the records retention
schedule within the organization. Compare the advantages and disadvantages of the
various types of approvals such as legal/corporate counsel, auditors, archivists and
committees.
D. RETENTION SCHEDULE IMPLEMENTATION
1. Publication and Distribution. Know and understand the physical and electronic
methods of publication and distribution of the retention schedule. Understand the
audience, the media and the format to be used for each.
2. Promotion and Training. . Know how to develop a strategy to promote schedule
implementation and use throughout an organization. Be able to develop a
communication and training program for the various user groups involved in
implementing the retention schedule.
3. Applying the Schedule. Be familiar with the effective methods of applying the records
retention schedule to the records of an organization. Know the key administrators and
contacts for the incorporation and application of the schedule in all applicable systems,
programs and repositories.
4. Disposition. Understand disposition options including transfer, accession and
destruction. Understand the various methods of destruction, the importance of secure
destruction and recycling options. Be able to identify records that may not be
destroyed, those that transfer to archival storage and those with other special
considerations or handling requirements. Be able to identify the controls used in
implementing final disposition such as box and file number validation, quality controls,
authorizations and certificates of destruction.
E. Retention Schedule Administration
1. Review and Update. Understand how to develop a change control process including
approvals, version control and notification processes. Be able to identify external and
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internal events, both scheduled and unscheduled, that may necessitate revising the
records retention schedule.
2. Holds. Know the importance of stakeholder guidance, directives and collaboration to
accomplish a well-documented and compliant holds program. Be able to discuss the
impact of administrative, legal, tax and audit holds. Know what they are, how they are
implemented, released, tracked and managed. Understand the need for a measurement
process to assess compliance and program quality.
3. Evaluating Compliance. Understand the elements that need to be considered to
validate a compliant record retention schedule. Understand the use of compliance
measurements, audits and approvals to ensure that the record retention schedule is
uniformly applied throughout the organization.
F. Vital Records Program
1. Identification of Vital Records. Know and understand the concepts of a vital records
program. Illustrate how to identify vital records and manage their protection. Recognize
the segments of an organization that benefit from a vital records program. Learn how
the identification of vital records can take part in the initial records inventory.
2. Risk Analysis. Know how to estimate disaster potential and the consequences of
information loss. Be able to identify the types of risk assessment and how they apply to
the vital records program. Be able to evaluate the methods and the degree of protection
needed for the various categories of vital records. Be able to perform a cost/benefit
analysis to assess the best method of protection.
3. Protection Methods. Understand the various methods for protecting vital records.
Know and understand the definition of terms such as built-in and improvised duplication
or dispersal and on-site storage. Be able to identify vital records storage equipment
(including vaults, safes, etc.) as well as access restrictions involved in their use.
4. Developing the Plan. Understand the elements of a vital records plan, the stakeholders
that need to be consulted and how to implement the plan effectively. Be able to identify
components of the published plan and the available tools for program implementation
and maintenance.
5. Testing and Updating. Examine various methods to test the program, the purpose of
audits as well as triggers and scheduling for updates.
G. BUSINESS CONTINUITY
1. Planning. Know and understand the terms associated with business continuity planning.
Be able to classify the types of disasters. Know the levels of support needed to enact the
plan. Be familiar with the resources needed to facilitate the plan both inside and outside
the organization. Understand the risk analysis involved in developing the plan.
Understand how the responsibilities for preparedness should be assigned throughout
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the organization and be familiar with contingency procedures. Understand why the plan
will require regular maintenance and updating.
2. Implementation Procedures. Be able to document procedures to be followed in case of
a disaster. Be able to define the scope of authority of the person in charge of recovery
operations and to identify emergency personnel, equipment, sources and supplies.
Know how to plan for the training of personnel and the testing of the plan. Understand
how the plan is to be maintained and updated.
3. Preservation. Understand that the business continuity plan must ensure a reasonable
level of protection for records that are private, confidential, privileged, secret, or
essential to business continuity. Know the various forms of protection including means
of storage, alternate locations and security procedures. Understand the need for a
measurement process to assess compliance and program quality.
4. Recovery. Understand the priorities involved with recovering various records. Identify
the immediate, short term and long term recovery procedures following a disaster in
which records of any media type were damaged or destroyed. Know the procedures
associated with the recovery of records damaged by water, fire, smoke, or chemicals. Be
able to relate these procedures to a business continuity plan. Be able to list the
equipment and resources that must be available at alternate locations to allow the
organization to resume business operations.
H. ARCHIVES
1. Archival Appraisal. Know and understand the criteria used to appraise records for
archival value. Be able to define the terms that describe archival values such as
historical, research, intrinsic, evidential and informational values. Understand how the
physical condition of records fits into the appraisal process.
2. Arrangement, Description and Use. Know and understand the purpose of an archive
and be able to describe archival storage techniques, locating systems and finding aids.
Be familiar with the services that are provided to researchers at an archive. Be able to
describe provenance, original order, archival finding aids, lists and indexes. Understand
the restrictions involved with copyright laws.
3. Conservation and Preservation of Archival Materials. Preservation is necessary for
those records determined to have long term and/or historical value. Methods used to
preserve these records are media dependent and in the case of electronic or digital
records, may require movement to another form for long term preservation and
availability of information. Be familiar with the conditions that can damage records and
the processes used to reverse or halt the further deterioration of records in any media.
Identify the environmental controls that are necessary for the preservation of archival
records recorded on all media. Be able to describe specifications that are required in the
building construction, safety, temperature and humidity controls. Discuss the role of
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metadata in ensuring a complete and accurate history of the preservation of records
over time.
4. Media Software/Hardware Considerations. Know and understand the issues
surrounding maintenance of the hardware and software necessary to interpret the
information that is stored on media other than paper.
5. Archival Administration. Understand the differences between a manuscript collection
and public and private archives. Be familiar with the reason for establishing each type of
archives. Know the relationship between records and archive management. Understand
how to develop policy and procedures regarding such issues as control including access
and security.

The CRM Handbook
PART V TECHNOLOGY
Organizations use information technologies to create, retrieve, store and distribute records and
other information assets. The RIM professional also uses information technologies to manage
the life cycle of records including capture, organization, conversion, preservation and
implementation of disposition. The RIM professional should understand the characteristics,
capabilities and limitations of these technologies to participate effectively in their selection and
utilization and to incorporate RIM functionality and methodologies into existing systems when
possible. Part V includes topics such as the systems planning and selection, architecture and
infrastructure, life cycle management, imaging technologies, programs and applications.
A. SYSTEM LIFE CYCLE
1. Basic Concepts. The RIM professional should know the principal components of the
systems development life cycle (SDLC) process, the activities related to the phases and
the role of the RIM professional. This should include knowledge of the:
Variety and uses of different systems development methodology such as waterfall,
spiral, parallel, rapid application development (RAD), agile and prototyping
Benefits of using project management for information systems development
Purpose, importance and the benefits of compliance to internal, national,
international, industry specific and joint voluntary standards that impact information
management, technology and systems such as ISO, ANSI and IEEE
The effect of business globalization and the impact of related standards
The common standard acronyms of computer technology such as XML, SGML, SCSI,
SQL and HTML
2. Planning Systems. The RIM professional knows that business processes can be
improved and problems examined and solved through analysis and systems
development and implementation.
The RIM professional should be able to make decisions such as:
Determining the scope of the project
Determining who should be involved in planning system development and
implementation
Who to form strategic partnerships with
Establishing resource allocation, budget and funding
Assessing the needs and requirements of users and stakeholders
Determining where and how technology can enhance productivity or add RIM
functionality
Weighing the benefits of outsourcing vs. in-house development
Testing, piloting and evaluating the system
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Planning and managing migrations and conversions
The RIM professional should know:
The purpose and components of a systems requirements analysis and how to
measure possible solutions
The criteria used in evaluating system performance and how quantitative and
qualitative methods can be used
How to perform workflow analysis and how it is used to understand, automate and
streamline processes and to introduce technology
The concepts and purpose of benchmarking
The terms data dictionaries, data elements and data structure
The RIM professional should know how to evaluate and select vendors and products and
the evaluation methods commonly used such as scoring and weighting. This includes the
development of requirements and the evaluation of responses to RFIs, RFQs, RFPs and
project proposals.
3. Developing and Implementing Systems. Understand the requirements and roles of the
various people who develop and implement RIM systems. Know the importance of
establishing partnerships with stakeholders, IT and legal and how to obtain support and
funding.
Understand the role of the RIM professional in:
Identifying the requirements of stakeholders, customers and users and developing
the strategies to meet them
Defining, gathering and complying with requirements pertaining to external
regulations and internal policies
Defining and implementing record classification, retention, preservation and
disposition
Using prototypes, pilot projects, phased implementation, parallel implementation
and the importance of piloting and testing a system
Addressing factors that can affect data quality and system performance
4. Operating and Administering Systems. Be able to discuss the role and responsibilities of
the:
System administrators regarding operation, maintenance, changes, troubleshooting,
controlling and monitoring security and access
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RIM professional in operations and maintenance activities such as storage
management, software updates and monitoring compliance, data integrity and
effectiveness
System users in operational activities
The RIM professional should understand:
Techniques and planning for back-ups and business continuity plans in case of
disasters or emergencies
The methods of training system users using computer-based methods such as
tutorials distance learning and web-based online courses, classroom instruction,
documentation and books and handouts
The importance of maintaining system and user documentation updates and version
control
How an evaluation of system performance and human input into the system can
improve data quality, system performance and compliance
The purpose and methods of collecting feedback
5. Upgrading, Refreshing, Retiring and Deactivating Systems. The RIM professional should
know how to manage projects to upgrade, refresh, retire, deactivate or decommission a
system. Understand the need for gathering requirements, designing a plan, developing
procedures, conducting training, validating processes and data quality and documenting
final decisions and activities performed.
B. ARCHITECTURE AND INFRASTRUCTURE
1. System Architecture. The RIM manager should understand and may be involved in the
design, evaluation and planning of basic components of a computer system and its
architecture. The RIM manager should understand:
How systems vary in scale, number of users, access and geographic coverage
The use and management of data and information within the system
How the data flows between system components
The effects of hardware and software integration, connectivity and interoperability
How systems are designed, organized, optimized and when a system could benefit
from mirroring or clustering
The use of turnkey, commercial off-the-shelf (COTS) and custom systems
The RIM professional should understand telecommunications and related data
transmission technologies including the:
o Difference between analog and digital data
o Characteristics and uses of voice mail, fax and video and teleconferencing
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o Purpose, types, components and structure of networks that allow data
sharing
o Use of communication protocols such as TCPIP and standards such as
Electronic Data Interchange (EDI)
LANs and WANs are an integral part of systems architecture. The RIM professional
should be able to:
Differentiate between the related features and purposes
Explain the differences between computer and network operating systems
Explain how servers are operated, used and shared
Distinguish between name-based and IP-based servers
Describe various data storage methods including on-line, off-line and archiving
Understand options and use of a shared disk filing system in a storage area network
or Redundant Array of Independent Disks (RAID)
The RIM professional should know about the internet and intranets and:
Describe the differences, capabilities and limitations
Understand related terms such as homepages, URLs, webmasters, gateways,
firewalls and other controls
Explain how web pages are structured, accessed, maintained, updated, version
controlled, secured and linked within and between other websites
Explain user interfaces and how a web page is used for providing information or as a
portal
2. Devices. The RIM professional should be able to:
Identify the variety and use of devices used with computer systems such as servers
and printers
Distinguish between the purpose and function of devices used in a personal or
single-user system and those in an enterprise system
Explain how personal devices function and how they communicate with enterprise
or shared systems
Describe the features and uses of personal devices such as cell phones, smart
devices, tablets, PDAs (e.g., blackberries), laptops, desktop PCs, portable storage
devices and other peripherals
Discuss how wireless devices, servers, mainframe computers, printers, networks and
applications can be shared through the use of networks, modems and routers
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3. Security/Accessibility. Understand the objectives of computer security including the
protection of information from theft, loss, corruption, or natural disaster. Other
important considerations are adhering to privacy and other regulations. The RIM
professional should understand threats to a computer system and data and understand:
The methods of defining, monitoring and maintaining different levels of accessibility,
types of controls
The preventative security protection methods including access control, encryption,
data masking and hardware-based mechanisms
How to balance meeting data security, privacy and confidentiality requirements
while maintaining service and usability
Industry and global security requirements that may need extra controls, audit trails
and compliance reporting
Techniques for making computers and data accessible to people with physical
conditions that may limit their use of computers
4. Data Management. In order to manage electronic information, the RIM professional
participates in the development, execution and supervision of plans, practices, policies
and programs that control, process, maintain and protect the value of data and
information assets. The RIM professional should understand:
The basic process of creating computer programs and the different types and levels
of programming, such as machine language, high-level languages and interactive
programs
What the common office automation programs are, how they operate and their
principal features
The role of software programs to perform business functions, manage operations,
generate and maintain data
The various and common types of software and its uses
The type, purpose and role of operating systems, utilities and diagnostics
The RIM professional understands the:
Use of data and software to serve different purposes
Different methods by which data can be shared to serve multiple users, including
shared drives, shared tools and other shared electronic spaces or document rooms
Role of a database administrator in maintaining data quality while meeting the
needs of users
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Difference between duplicating and sharing data and the management and
retention consequences
5. Data Storage. The RIM professional should be able to:
List the characteristics and uses for optical disks, CDs, DVDs, USB flash drive, storage
area networks (SANs), RAID storage devices, magnetic disks and magnetic tapes
Recognize the environmental conditions that are optimal for storage of data using
the different methods
Distinguish between primary and secondary storage
List the advantages and disadvantages of preserving data in its native format,
proprietary formats, or de facto standard formats
Discuss the pros and cons of storing documents in their native formats vs. open
standard formats and the related effects on searchability and usability
Understand the uses of and manage working, back-up, archival and storage copies of
files and data
Understand older, historic data storage methods, formats and media, know methods
and manage the safe transfer of data to new media
The RIM professional should be able to:
Describe types of backups including disk mirroring or RAID 1 for replicating logical
disk volumes onto separate physical hard disks in real time to ensure continuous
availability and access
Understand the purpose, advantages, disadvantages and types of controls needed
when storing data in different repositories including cloud storage, storage area
networks (SANs), electronic document rooms, file servers and detached storage
devices
Describe malfunctions of storage devices and media and how data can be restored
Define hotsites and coldsites
Understand the use of reciprocal agreements in data storage
C. LIFE CYCLE MANAGEMENT
1. Records Creation. Be able to explain the concepts of authenticity, reliability, integrity
and usability as defined in ISO 15489, their impact on RIM and the techniques available
to ensure that records have these characteristics
2. Capture: The RIM professional recognizes that data can be obtained from varied
sources of capture and describe the characteristics, requirements and implications of
each. The RIM professional should know:
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Data capture methods such as scanned images, keyed data entry, electronic
recording devices, networks (by using packet analyzers/sniffers) and other
computers (timeshare, mainframe, minicomputers and PCs)
Hardware, configurations and combinations for data input and how the data will be
stored and used
Features of keyboards, touch screens, voice recognition, handwriting recognition,
scanners, barcode readers, video recorders, wireless devices, scientific and medical
instruments
Whether data is to be captured, migrated, or converted
How to determine whether data is readable and accessible
The metadata to be captured at records creation and throughout its life cycle for
authentic and reliable records
How files are created, structured, accessed and stored
The variety of formats for text, image, data, or sound files and their characteristics
About digital encoding of records, its use and impact
How files are compressed, encrypted, decompressed and unencrypted
How to access data in legacy systems and capture it into new systems through the
process of conversion or migration. This might include checking the data quality and
determining remedial efforts
3. Organizing Records and Data. The RIM professional recognizes that completeness,
accuracy, organization and classification of data and records is important to the success
of a system and understands:
The processes by which data can be indexed and classified using keywords,
taxonomies, or metadata
The technologies, standards and practices for applying and binding metadata to
documents and digital objects
How to use manual and automated methods such as auto-declaration and auto-
categorization to classify data and capture record status and series
How to validate data correctness and adherence to standards and requirements
The technology and techniques used to select, collect and organize data in a
meaningful way for the users and for the organization
The technology, reasons and uses for data mapping between structured and
unstructured information resources
4. Active Management. The RIM manager should understand:
How data can be processed in batch or real time modes and how it can be retrieved
and manipulated through sorting, filtering, calculating and generating reports
The purpose and methods of tagging metadata (XML, HTML, SGML)
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How information and data can be maintained and distributed as output in electronic
forms, including COLD, COM, digital photographs, videos, x-rays and sound
recordings
The importance of and methods of version control
How retrieval tools, such as indexes and search engines, work and are used for
accessibility
The role of indexing, structured searches, text retrieval, natural language processing,
Boolean searches and data tagging
The different metrics to measure the success of a search, including recall and
precision
How methods such as RFID and barcoding can assist in tracking and monitoring the
location of physical information
How audit and history files are used to verify the integrity of data and records and to
track chain of custody
5. Preservation issues. The RIM professional knows that records need to be available and
accessible, possibly in different degrees, for their entire life cycle. Preservation is
necessary for those records determined to have long-term value, historical significance
or relevance to litigation or other legal matters. A RIM professional understands:
Strategic plans are made for protecting and sometimes migrating or converting data
to meet long-term retention or hold requirements for a portion of or the entire life
cycle
The necessity of planning for the possibility of converting the data while maintaining
its integrity, readability and usability
The options and methods available to preserve various current and legacy formats
The role of metadata in ensuring a complete and accurate history of the
preservation of records over time
That a software patch, upgrades and updates are important to optimize the use of
data, to better manage the data and sometimes for aiding in backward compatibility
The advantages and disadvantages of preservation techniques including recopying,
data conversions, data and systems migrations, emulation, metadata encapsulation
and other methods
The major problems that affect the preservation of electronic, magnetic, digital and
optical media
The effects of storage methods, media and recording format on the potential for
short-term, intermediate term and long- term archival storage and media life
expectancy
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Media stability is essential for reliable recording and playback of data. There are
effects from wear, corrosion, handling and environmental conditions on electronic,
magnetic, digital and optical media
The processes used to reverse or halt the further deterioration of records in any
media
6. Data/System Disposition. The RIM professional should know:
The roles and responsibilities of the system owner, IT support staff, business owner,
legal, the records manager and others when computer systems are discontinued
The technical processes necessary for the ensuring and maintaining authenticity,
reliability, integrity and usability of the data or records from discontinued systems
That the destruction of data is based on data properties, storage media type and
security requirements
The cost factors and, the environmental, security and confidentiality concerns for
each destruction method
The various destruction methods such as shredding, recycling, maceration,
pulverization, pulping, erasing, degaussing and over writing
Which destruction methods ensure complete destruction and which methods allow
for the possibility of data restoration
The difference between deleting index pointers to data and deleting the actual data
with the goal of complete irretrievability
That several copies of a specific record may exist and be sure to include all locations
and references when destroyed
The importance of implementing date-based, event-based and contingent
dispositions in systems using manual or automated techniques
The importance of a defensible and documented process
What metadata about records destroyed should be maintained as evidence of their
destruction
7. System Recovery. The RIM professional should know, understand and plan for what to
do in the event of a disaster when data is damaged or destroyed. This might include:
Knowing the procedures associated with recovery of records damaged by water, fire,
smoke, chemicals or unintentional deletion
Creating a disaster recovery plan including immediate, short-term and long-term
recovery procedures and contacts
Having vendors selected and contracted
D. IMAGING TECHNOLOGIES
1. Micrographics. The RIM professional may encounter and have to convert microfilm or
use it for long-term preservation. Know and understand:
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The standards established by the American National Standards Institute (ANSI) and
Association of Image and Information Management (AIIM) for producing, processing
and storing microfilm
The microfilm formats, features and common usage of each
Commonly used equipment and supplies; types of film, cameras, processors,
duplicators, readers, printers and hybrid systems
The various types of readers and reader-printers that are used and how to select a
reader
How to match the readers magnification powers with the films reduction ratio
The technology used for indexing, searching and image retrieval and COM
equipment configurations
The methods of indexing such as manual and automated indexing, blips, counters,
sequential numbering and microfiche indexes
The basics of image quality, controls and tests and why they are important. For
example; how to measure density (D-Min and D-Max) and resolution
The film developing processes, factors that affect the processing and what steps are
necessary to ensure film quality including the Methylene Blue Test
The storage methods and maintenance of master and duplicate microfilm
How light, humidity, temperature and chemicals can adversely affect the long-term
storage of microfilm
2. Reprographics. The RIM professional should know reprographics and copying
equipment including:
Industry standards pertaining to copying and reprographics equipment. Review how
industry guidelines and market leaders may influence equipment design
Selection criteria and how to evaluate copying requirements and profile copying
activities. Know how to complete a cost justification analysis that may include cost
per copy, total copy, project savings, maintenance, power consumption, change-
back options, etc.
What computerized reprographics is and be able to identify functions of intelligent
copiers. Be aware of hybrid technologies, such as phototypesetting and systems that
digitize input, print output and scan microfilm. Know the use of multifunction
systems that combine duplicate office functions such as printing, faxing, copying and
scanning
The types of printers and duplicators and their use. Review desktop publishing and
its effect on office technology and printers. Know the types of non-electronic
duplicators and their requirements for intermediary masters. Be able to recommend
the different duplicators based upon quality and quantity requirements
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The types of copiers, such as personal, convenience, copy center, color, etc. Be able
to describe the use and variety of features. Compare the applications of analog
versus digital networked copiers. Review specialty copiers, such as blueline, diazo
and oversize copiers
3. Imaging Systems. The RIM professional is often involved with imaging systems and
should know and understand:
How to determine user requirements including workflow (transaction processing
and image enabling) and storage (retrieval and reference only), PC-networked and
stand-alone systems
The industry standards for image formatting and recording
That use and impact of proprietary equipment and hazards of obsolescence
How to assess selection criteria such as data transfer rate, disk access time, seek
time, media tolerance, error corrections, estimated drive life, resolution, data
compression ratios, system costs, etc.
Explain the processes for document preparation, capturing the image and
appropriate metadata; choosing software (including OCR and ICR); using templates;
indexing, storing or converting files to various formats; and burning or transmitting
images to storage media
The primary types of optical disks and which can be updated and/or erased and how
to choose the optimum media for any record type. Know the most common size
platters for each type of optical disk and have an understanding of the capacity in
terms of both mega or gigabytes of information and corresponding pages of
recorded information per disk
The types of scanners, the meaning of drop-out color and throughput and methods
of recording such as single session, incremental, or multi-session
The use of hybrid systems, such as scan-on-demand micrographics, simultaneous
scanning to microfilm and optical disks, aperture card scanning and COLD
The types of drives and peripherals, why electronic imaging systems require both
magnetic and optical drives
The use of high-resolution monitors and other acceptable monitor resolutions.
Explain display dpi, its relationship to the scanned image and refresh rate
Image output options, such as output to laser printers and fax machines
How to select storage devices and locations such as on-line, near-line and off-line
storage and how they affect access. Describe remote libraries, jukeboxes and
expansion units
E. PROGRAMS AND APPLICATIONS
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The RIM professional should have a broad understanding of the various types of programs and
applications that create, receive, store and manage records. The RIM professional is often
called upon to evaluate and choose software and manage the information generated by or held
within a system or application. Understand the purpose of the various types of programs and
applications.
1. Databases. The RIM professional should be able to:
Understand the characteristics of hierarchical, relational, network, entity and object-
oriented databases and their uses. Explain how each is organized and operated and
the RIM issues that they present
Explain the role of the database management system in controlling and managing
data and metadata including data integrity, access and security
2. Decision Support Systems. The RIM professional should be able to:
Identify the different categories of decision support systems including artificial
intelligence, business intelligence, data mining, data warehousing and data analytics
Explain their uses, patterns and statistics for further decision making
Understand how the types of decision support systems work including model-driven,
knowledge-driven, data-driven, communications-driven and document-driven
function
Explain the purpose of and differences between operational data systems, data
warehouses and data marts
Identify the RIM issues with each type of decision support system and the
approaches for addressing them
3. Content Management. The RIM professional should be able to:
Define content management, identify and explain components such as document
management, records management, workflow and case management
Know the characteristics and functions of each, describe how they relate and work
with each other and how they affect RIM requirements
4. Business Process Management (BPM). The RIM professional should be able to:
Describe business process components, workflow and mapping methods and tools,
their uses and importance for problem diagnostics and securing ongoing effective
and efficient operations
Explain how BPM can be used as a method to support and request process changes
5. Communications. The RIM professional should be able to:
Explain the technologies underlying e-mail, instant messaging, voicemail, blogs,
microblogs, texting and related applications
Identify their characteristics, how they store and manage information and the RIM
implications of each
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6. Collaboration. The RIM professional should be able to:
Identify the types, components and functionality of collaboration software
Understand how collaboration software manages information including metadata
management, storage management, access controls and similar topics
Discuss the RIM implications of using collaboration software and the approaches to
managing records in a collaborative environment
7. Web. The RIM professional should be able to understand and discuss:
The characteristics of Web 1.0 and 2.0 and explain how they differ
Web 2.0 capabilities including blogs, wikis and other tools for collaboration and
participation
How websites and portals function and the differences between them
The RIM challenges and considerations for an organization posed by Web 2.0 and
the importance and approaches to addressing them

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STRATEGIES FOR PASSING THE CERTIFIED RECORDS MANAGER EXAM
By
Donald B. Schewe, CRM, FAI, Ph.D.
1

The most important thing to understand about passing the Certified Records Manager Exam is
that YOU HAVE TO STUDY. No matter how much experience you have in Records and
Information Management (RIM), no matter how good you are at taking tests, no matter what
anyone else tells you, unless you study, you will not pass the Certified Records Manager
examination.
That is not because the exam is too hard, or has been deliberately designed to make you fail, or
is somehow rigged. It is because it is designed to cover the broad range of subjects records
and information management professionals encounter in a wide variety of circumstances and
an expansive array of experiences. It is not testing you only for what you encounter on your
particular job, but it is designed to test for that broad range of subjects you might be expected
to encounter on any job anywhere in the world.
And that leads to the second important point about the exam. What the Institute of Certified
Records Managers tests for is the best practices in the industry. People who fail have been
known to complain thats not how we do it at XYZ Consolidated. The exam is designed to test
for the best practices in the industry, and you wont pass the exam unless you focus on what
they are and not on what youve always done. That, by the way, is one good reason to take the
CRM exam. More than one RIM professional has discovered a better way to do their job while
studying for the exam.
So the first step is admitting to yourself that you dont know everything, and that you will have
to study to pass the exam. Once admitting that, you should build a study strategy.
Study Strategies
There are a variety of ways to study, and no one way works best for all people. What studies
done on the way people study has proven, however, is that a short amount of study repeated
many times over a long period of time is far more effective than the same amount of time all at
once just before the exam. To put that bluntly, cramming, and pulling an all-nighter is not a
good way to study.
1
Dr. Schewe has served in a number of positions on the Board of Regents of the ICRM, including
President from 1997 to 2000 and Regent for Exam Development from 2009 to 2012. From 2003
to 2008 he wrote questions for the Exam.


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There are several reasons for this. First, cramming tends to elevate your stress level, and most
people respond poorly to testing under stress. Second, your mind tends to recall factual
material from long-term memory more effectively than from near-term memory. For both of
these reasons, the best strategy is to map out a long term study program.
We are all busy people, and it is hard to find time in our already overcrowded lives to block out
large chunks of time to study. Many people have found they can be successful in allocating 30
to 45 minutes three or four days a week for study without adding major stress to their lives.
Short blocks of time like this seem to be optimal for learning (thats why most college classes
are 45-50 minutes long).
The next question is, when? This is an individual matter. Early risers, those people who wake
alert and ready to go in the morning, find getting up 30 minutes early to study to be successful.
Others find the end of the evening works best. The important thing is to pick a time that works
for you, and stick to it.
What to study
Before beginning to study, you should make a careful assessment of what you know and what
you dont know. There are a number of ways to go about this, but one that has been successful
for many Candidates in the past is to use the self-assessment tool developed by ARMA
International as part of their Core Competencies. It is free to ARMA members and quite
reasonable for others. If an individual makes an honest effort to answer the questions
accurately, this tool provides an excellent starting point.
There are a number of good general textbooks covering the field of Records and Information
Management. Several are listed in the Bibliography provided by the ICRM, and any one of
those would also be an excellent way of doing a self-assessment of what you know and what
you dont know. Many have questions after each chapter, and those should provide you with a
good evaluation of where you stand.
The ICRM has developed a presentation detailing in some depth the areas covered on the CRM
exam. This is usually a one-day or two-day presentation, and often ARMA chapters or ARMA
regional meetings offer it for a fee. It is also presented either immediately before or
immediately after the ARMA International conference each year. This should give you a good
overall picture of where you stand in relation to the whole field of knowledge covered on the
exam.
Once you have identified your strengths and weaknesses, it is still a good idea to begin your
study by covering the whole field of RIM knowledge even though there are some areas you
already feel confident in. Remember, the ICRM is testing for best practices in the industry, so
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you should make certain what you already know is considered best practice. Reading through
one of those general textbooks mentioned above is a good way of doing this.
As you continue to study, you will identify more and more areas where your knowledge is weak,
or where you still have unanswered questions. Again, the Bibliography provided by the ICRM
can be helpful. If you are studying information capture and use and dont feel you have a
good handle on metadata, look at the Bibliography under Part II for specialized works on that
subject. (Thats where the subject is covered in the Outline.)
Many people find it helpful to join a study group, and many ARMA chapters have ongoing study
groups. This is particularly helpful for those who have trouble assessing what they know and
dont know, as the other members of the group can assist by posing questions, and sharing
where they found answers. It also helps if other members of the group will share their books,
as it can become quite expensive if one tries to buy all the books one might need to study
everything thoroughly.
Cover all the information in the Outline. The questions that appear on the test are selected
from a bank of questions for each Part. Each Part has a bank of 750 to 800 questions. Each
question is tied to a specific line of the Test Outline, and a computer program pulls a roughly
equal number of questions for each line of the Outline. Therefore, if there is a line on the
Outline, you need to be prepared to answer questions on it.
Preparing to Take the Test
After you have studied and feel you are ready to take the test, you have a number of decisions
to make. The first is, how many Parts to take in the upcoming test cycle. They are not
inexpensive, and finances may dictate taking only one or two per cycle. And you may not feel
prepared for one or more of the Parts, and believe it would be a waste of money to take and
fail a Part under those circumstances. Some people cannot take the time to take them all at
once.
If your circumstances allow, experience indicates that taking all of Parts I through V during the
same test cycle offers a better chance of success than stringing them out over a longer period
of time. Partly this is because there is a great deal of overlap between the Parts, and partly this
is because people tend to spend more time studying if they are taking all the parts in one cycle.
Whatever approach you choose to take, before you actually show up to take the test, you
should prepare yourself for the exam. As mentioned above, people under stress tend to do
significantly more poorly than those not under as much stress. Therefore you should do all you
can to reduce your stress level. There are several things you should do to calm yourself:
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Several days before the exam, go to the Pearson VUE site where you will be testing. See
what its like, and how long it will take you to get there. (Having to rush through traffic
adds stress to your life, and not knowing what you are walking into is also stressful)
Plan to wear comfortable clothes. Your visit to the test site should tell you if the room is
hot or cold, and dress accordingly. You may want to have layers, so you can adjust
during the test
DO NOT STUDY the day before the exam. Studies done with college students have
shown that students who take the day off before an exam do eight to ten percent better
than those who study up to the last minute
Get a good nights sleep before going in to the exam. Try for about 30 minutes longer
than you usually sleep, but not more than that and,
Arrive at the test site at least a half hour early. Take that time to do some deep
breathing, go to the bathroom, and generally relax yourself

Taking the Exam (Parts I through V)
Parts I through V consist of 100 multiple choice questions, and Candidates whose native
language is English have 80 minutes to take each Part. At first glance, that may seem to be a
very short timeonly 48 seconds per question. But very few Candidates who have studied
have run out of time. But you need to have a strategy for taking a multiple-choice exam so you
can comfortably complete the exam in the time allotted.
An excellent strategy is called the three-pass approach. It is simple and straightforward
(assuming you have studied!). On the first pass, begin with question number one and go
straight through to question number 100, answering all those you know the answer to. People
who have studied and follow this strategy usually find that they know (i.e., they are fairly
certain they have the right answer) 55 to 60 questions. And they usually get to that point 45 to
50 minutes into the exam.
The second pass, the Candidate goes back to only those questions not answered the first time
through, and answers them. Two things tend to happen the second time through. Answers
that dont spring to the mind the first time through often are there on the second pass. And
sometimes a question later in the exam will trigger an answer to an earlier question. While one
might be less secure in the answers given the second time through, still 20 to 25 questions will
usually be answered.
The third time through answer all the questions not answered the first two times through.
Since the score is the number of questions right, and nothing is deducted for wrong answers,
answer all the questions, even if you have to guess. Even with a guess you have a 20% chance
of being correct. Usually, however, if you have studied, you can narrow down the possible
correct answers to two, and then guessing gives you a 50-50 chance of being right.
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The methods of eliminating wrong answers detailed in a later article in this Handbook will help
in eliminating wrong answers, as well as Before you Guess below. But at this point, a couple
of screen shots of an actual exam might be helpful. These are taken from the preview
software used by the ICRM to preview and verify the exam before it is given to the Candidate.
It is identical to the screen a Candidate sees at a Pearson VUE site, except the small box in the
lower right hand corner labeled Exam Information does not appear for Candidates.
The screen provides information about the time remaining and number of the question (upper
right hand corner). The Candidate selects their answer by clicking on the chosen answer, and
can then navigate to the next question by clicking on the Next in the lower right hand corner.
If one chooses, clicking on the Flag for Review in the upper right hand corner will change the
flag to all white, and provide a way of marking certain questions for further review.

Screen shot of a typical question in Parts I through V. Note count-down clock in upper
right hand corner.
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Once all 100 questions have been viewed, the following screen appears. This screen provides
three different ways to review the questions: 1) review them all; 2) review only those not
answered (shown in red as incomplete); or 3) review only those flagged.
The questions that have been flagged may or may not have been answered. One possible way
of using the flagging feature is to answer a question but flag it if it contains information that
may help you answer an earlier question you are unsure of.

Screen shot of the Item Review Screen that appears after the Candidate has seen all
100 questions the first time. Note the possibilities one has for review.

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But Before You Guess
Understanding how multiple-choice questions are written should help you answer those where
you dont immediately know the correct response. (Remember, studying and knowing the
answer is still the best way to take the exam.)
The perfect multiple-choice question has a stem (the part before the list of possible answers)
and five possible answers. Those five answers consist of:
The right answer
A logical distracter, an answer that is close to the right answer but flawed in some
way. Those who know something about the subject, but are not really up to snuff
may choose this answer
Two answers that are in the ballpark, but in left field, and only one with a very
cursory knowledge of the subject would ever choose one of these and,
One answer that is completely out of the ballpark

Thus, if the Candidate gets to the point where guessing is the only way to choose the answer,
three of the answers should be excluded from the choices. That gives one a 50% chance of
being right.
2

After the Exam
Upon completing each Part of Parts I through V the Candidate receives, before leaving the
Pearson VUE site, a one-page report of the results. Hopefully it starts out Congratulations. If
that is the way it starts, take it home with you and file it away (come on, youre a records
manager, you know that!).
If the Candidate correctly answers 69 questions or less, the report will contain a list of letters
and numbers. These are the line items of the ICRM Outline to which the questions the
Candidate missed were assigned. This report then becomes the roadmap for what to study
before retaking the exam. The Candidate will probably feel like wadding the report up and
throwing it, but dont do that. Take it home and keep, it and use it to help define what to study
for next time.
2
The ICRM uses an independent psychometrician (one who studies how exams are written and
taken) to evaluate each multiple-choice question used on an exam. That evaluation uses this
typology of multiple-choice exams to rate each question.

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Some Other Hints
Read each question (including all the possible answers) carefully before choosing your
answer. Remember, the logical distracter might, at first glance, seem like the right
answer
Get help in answering by looking for cue words. Watch for dogmatic words like
always, never, and completely
Try to answer the question without looking at the possible answers. If your answer is
one of the choices, its a pretty good chance youre correct
Remember, your first thought is most often the right one. Dont change an answer
unless you are certain your answer is wrong and,
Dont let one question worry you. More than one candidate has failed a part because
they spent so much time on one question they didnt get to all the questions.
Remember, there is no penalty for wrong answers

Taking the Exam (Part VI)
Many of the hints listed above under Preparing to Take the Test for Parts I through V apply to
preparing for Part VI. However, studying for Part VI should be entirely different than studying
for Parts I to V. Thats because what the ICRM is testing for is entirely different. Parts I through
V test the Candidates knowledge of specific facts. Part VI tests how the Candidate can take
that knowledge (which has already been demonstrated in the other Parts), apply it to a given
situation, and explain it at the Board Room level to individuals who are not particularly
knowledgeable about Records and Information Management.
Preparation for Part VI should therefore focus on two areas:
Applying the knowledge the Candidate has already proven they know to a specific
situation, and expressing that application succinctly, logically, and with the appropriate
level of detail
Developing and memorizing an outline of the steps, in order, necessary to solve all
Records and Information Management problems

Many RIM professionals do not have extensive experience in making written reports at the
Board Room level. (Consultants seem to be the exception to this rule.) Therefore they need to
get experience writing. The only way to do this is to practice. Some have successfully passed
Part VI by taking a writing course at a local community college. Others have had someone at
work who is a good writer critique their writing. Still others have used the Mentor Program of
the ICRM to practice their writing. (See the ICRM website, www.icrm.org for information on
the Mentor Program.)
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Part VI is a four hour essay exam in two parts, a 60-point question and two 40-point questions,
and the Candidate chooses one of the 40-point questions to answer. Obviously, the 60-point
question is broader in scope than the 40-point question, but both questions need to be
answered logically and completely.
People who have little experience in written presentations often find developing a presentation
in logical order difficult. To overcome this difficulty, many Candidates have found it helpful to
memorize an outline of all the steps in developing a RIM program, and the order in which they
should be accomplished, prior to going into the exam. Once confronted with the question, the
Candidate can then pick those parts of that outline that apply to this given situation. And that
outline will provide the logical progression in which the presentation should be presented.
The Part VI Testing Environment
Like Parts I through V, Part VI is given on a computer at Pearson VUE testing sites. However,
the program Pearson VUE uses does not have all the features common to most word processing
programs. It does not have spell-check and does not have a very user-friendly cut and paste
feature. Both the 60- and 40-point questions have several parts to the overall answer, and
these separate parts appear on the computer screen separately. You cannot cut and paste
from one part to another.
The software used by Pearson VUE makes the Candidate write the 60-point question before
moving on to the 40-point questions. After an opening screen that has the Candidate agree to
a non-disclosure agreement, the problem is presented. Once the Candidate has read the
problem and taken their notes, the next screen provides a place where the answer to the first
question is given. The first question to answer (in both the 60- and 40-point questions) is
Statement of the Problem, where the Candidate is asked to Explain (no more than 2-3
sentences) the basic overall problem that you think needs to be resolved in this situation.
The next screen asks for a Summary of Overall Findings. The following screens ask the other
questions in order as posed by the problem. The Candidate is free to move back and forth
between these various screens within the same problem. But the entire 60-point question
must be answered and closed out before the Candidate can answer the 40-point question. In
each of the answer screens, there is a small inset screen in the upper left-hand corner that has
the problem statement, and the Candidate can open that inset and refer to it at will.
The following screen shot illustrates an answer screen.

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Screen shot of Part VI Answer Screen for the first requirement in each question. The light
blue Exhibit box in the upper left-hand corner contains the text of the question.
Clicking on that box opens it further, and displays the text of the problem. Candidates
can resize the box as they desire.
Hints for Writing Part VI
The most common mistake graders report in Candidates who fail Part VI is failure to manage
their time. More than one Candidate has received 55+ points on the 60-point question, and 10
points or less on the 40-point question. Candidates should not only practice writing, but time
themselves writing. There are 235 minutes of writing time in Part VI, and the Candidate should
spend no more than 145 minutes (two hours and 25 minutes) on the Part VI question. That

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leaves 90 minutes for the 40-point question. The software provides a count-down clock in
the upper right hand corner of the display. When that clock reaches 90, the Candidate should
be starting the 40-point question.
Similar to that time management problem between questions is improper distribution of time
and effort within each question. Candidates spend too much time and effort on parts of the
exam that are not worth many points. Every 60-point question has, as its first section a
Statement of the Problem worth five (5) points. It clearly states Explain (no more than 3-4
sentences. . . Candidates will write three or four long paragraphs going into great detail. But
the grader can only give five (5) points out of 60 for this portion of the answer. They then have
less time to spend on the parts worth 50 of the 60 points, and consequently they do a poor job
on the rest of the question.
The next most common mistake reported by graders is failure to follow directions. Each
question states specifically what the Candidate is required to do. Read that portion carefully,
and respond accordingly. Many questions will state specifically that bullet points are not
allowed, and Candidates still answer the question using bullet points. Graders correctly take
off for failure to follow directions.
Candidates who are less familiar with written reports at the Board Room level will often phrase
their answers in less formal language and use slang or jargon. The response called for in Part VI
requires a formal presentation, and should be phrased as such. That includes proper grammar,
spelling and punctuation.
Finally, graders deduct when the Candidate does not support his course of action. Many
situations are open to more than one solution, but be sure to explain why you chose the
solution and course of action you did. Graders are given leeway to accept a variety of possible
solutions, but are told to make sure it is a reasonable solution and is supported by the facts and
assumptions.
Summary
To pass the CRM exam a Candidate must study, and study in the way that best suits their
circumstances. This requires a significant amount of effort and time, and must focus on best
practices in the industry. Candidates must also reduce stress as much as possible, and follow
the suggestions outlined above in taking the various tests. This will provide the best possibility
of passing each part of the exam.

The CRM Handbook
TECHNIQUES FOR PASSING PARTS I-V MULTIPLE CHOICE
by
Ann Balough
INTRODUCTION
Test-taking is a fact in our world. Some, like the CRM exam, are very important to our career
and reaching our goals. So it makes sense that we spend some time learning how to deal with
test anxiety and some specific techniques for taking tests.
The techniques that we will discuss can make the difference between passing and failing, if you
are familiar with the subject matter. By understanding some of the psychology of test making
and improving your analytical skills, you can reap the benefit of both your complete and
incomplete knowledge of records management. Additionally, by having a plan of action for your
test, you gain control. This control allows you to channel your nervous energy and think more
clearly.
Parts I through V of the CRM have 100 questions each. Each question has five options.
Statistically, you would get about a 20 by just guessing. You must answer at least 70 questions
correctly in order to pass (there are no re-grades of these parts because they are machine
scored). If you can answer 55 of the questions with great confidence, then statistically you can
get 9 points purely by guessing (20% of 45)not enough to pass. However, if you use the
techniques we discuss here, coupled with your knowledge, to reduce the number of
alternatives to three, you could increase your score by 15 points possibly enough to pass.
Skilled test takers can increase their scores on tests by 10 to 20%. That alone is certainly not
enough to pass the test, but it can make the difference for a knowledgeable test taker. It is
important to remember that passing the CRM exam requires answering 70% of the questions
correctly. No one will ever know if you make a 71 or a 91. There is no difference in the
certificate given. Your goal is not to make a perfect score; it is to make at least 70%. Careful
study and good test-taking techniques can help you achieve this goal.
The best test-taking technique is to know the correct answer. However, since few of us know
everything about records management, test-taking techniques and analytical skills will help
make the most of our knowledge.
PREPARING FOR THE TEST
STUDY
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When studying, remember that the outline dictates the composition of the test. There will be
some questions on every test about everything on the outline for that part of the test. The
outline is the best study guide for the test. Practice the techniques outlined. Use the practice
tests in your CRM Study guide. It helps internalize the strategies used. Test taking skills are like
any other. You must practice.
BASIC TESTING PRINCIPLES

VOCABULARY

1. Question. The individual test item. It is made up of the stem and the alternatives.
2. Stem. An incomplete statement or questions to be answered.
3. Alternatives. There are five alternative choices for each test item on the CRM Exam.
4. Distracters. The incorrect responses.
5. Keyed response. The answer the test-makers are looking for.

WAYS TO ANSWER QUESTIONS

1. Recall of knowledge (obviously the best).
2. Computation.
3. Limited association (associating elements of the alternatives with key words in the
stem).
4. Process of elimination.
5. Test construction clues.
6. Educated guess.
7. Wild guess (no clue to the answer at all).

MOST CORRECT ANSWER
There may be more than one correct answer, but there is always a best answer. The most
correct answer will almost always contain some of the following characteristics: It will be
the most encompassing and inclusive alternative and it is usually the most general and
qualified choice available. Test questions on the CRM exam are very carefully selected and
prepared. Each question goes through a rigorous examination by the Exam Development
Committee.

NOTE: It is very important to remember that you are being tested on records management
principlesnot on how you specifically apply records management to your situation. In
questions that require an expression of opinion, remember the viewpoint should be global.
This test applies to all countries and types of organizations. You need to approach the
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questions from that viewpoint. Remember this test is a test of basic records management
concepts and principles, not an evaluation of how well you do your current job.

GUESSING
Never leave a question unanswered. Your chances of getting the correct answer are zero.
Even a wild guess gives you a 20% chance of the correct answer. There is no penalty for
guessing on the CRM exam.

TEST MANAGEMENT

PLAN OF ATTACK
There is a systematic method for taking tests. By using this method, or a modified version,
you will be able to take the best advantage of your knowledge. Part of the effect comes
from the systematic analysis of the test and part comes from the psychological benefits of
gaining control over the testing situation.

TIME MANAGEMENT
Each of Parts 1-5 of the examination allows 1 hour and 15 minutes. That is 45 seconds per
question. Each question will not need an equal amount of time. Your strategy is to make
the best use of your time and achieve the highest score. If you work through the test and
spend time agonizing over certain questions and do not finish the test, you rob yourself.
Each question is worth only 1 point! That is why you work through the test three to four
times in a systematic manner. If youre having difficulty answering a specific question, mark
it review and go to the next question. You will have an opportunity to review all
questions that have been marked review.

When the test starts, pay attention to the timer in the upper right-hand corner of the
computer screen. Your goal is to try and complete the test in about one hour. You will then
have twenty minutes to review/finalize the test.

DIRECTIONS
Always read, and follow, the directions carefully. Ask questions if you are unsure.

AFTER THE TEST
As soon as youve completed Parts 1 -5 of the exam, you will receive a score report before
leaving the testing center. If youve passed the exam with a score of 70% or higher, you will
receive a report congratulating you on passing the exam (no score given). If you fail the
exam, you will receive your exact score, as well as a listing of outline parts indicating where
you had incorrect answers. As soon as the test is over, get off by yourself (probably in the
car). Take some notes on your immediate reaction. Then using your study guide, record
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your impressions and notes of what to study in the event you have to re-take this test.
These notes are for your own use. It is perfectly acceptable for you to do this for yourself.
It is not acceptable to share this information, especially if it concerns specific information
about certain questions, with others.

TEST TAKING TECHNIQUES

KEY WORDS AND PHRASES
Key terms are the meat of the question and the alternatives. They are the essence of the
statement and cannot be ignored. Often they are the essential key to the correct answer.

ABSOLUTES
Absolutes severely limit the statement they are used in. They are very restrictive. Failure to
read them will often result in an incorrect answer. A few common absolutes are:

always/never
absolutely/only
must/all
constantly/none
sole/every
necessary/invariably

Example Questions:

1. All of the following benefits will result from a successful records management
training program except:
a. boost in employee morale.
b. decrease in employee mistakes.
c. elimination of supervisory responsibility.
d. increase in work output.
e. increase in work quantity.

2. When preparing material for an alphabetic file, the clerk should:
a. glance rapidly over the contents of each page.
b. read every word on the paper to assure accurate identification.
c. always file the material by the signature.
d. all of the above.
e. none of the above.

ABSOLUTES
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Qualifiers define or modify the statement they are in. Statements containing these words
are more likely to be true. A few common modifiers are:
after frequently more
average general most
best greatest often
but highest or
chiefly in general partly
coincide last perhaps
could later probably
during least rarely
easiest lowest seldom
eventually mainly smallest
exactly maximum sometimes
except may tallest
first minimum usually
Example Question

3. Principles are:
a. inflexible once they have been set forth in statement form.
b. less permanent than company practices.
c. of little significance in the decision-making process.
d. generally accepted as fundamental truths.
e. identical to policies.

DETERMINERS
Determiners are phrases that give the statement or alternative a certain perspective. Use
these as clues to look for a specific point of view or relationship.

as judged by/you should
on the average/most likely
most nearly/the correct approach
was based on/was responsible for
most important/only part
compared with/arising out of
probably because/generally caused by
depended upon/as the result of
caused by/main advantage
grew out of/consists of
decreased by/probable cause
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Example Questions:

4. In comparison with low-usage forms, benefits from improving high usage forms
will be:
a. far less.
b. slightly less.
c. slightly greater.
d. far greater.
e. nil.

5. Informality, brevity, and low cost are the basic requirements of the following
internal written communication media:
a. report.
b. inter-office memorandum.
c. written procedure.
d. business letter.
e. office manual.

ANSWERING STRATEGIES

Longest Answer
There may be more than one correct answer, but there always is a best answer. The correct
answer will almost always contain some of the following characteristics: It will be the most
encompassing and inclusive alternative and it is usually the most general and qualified
choice available. This often means the correct answer is the longest.

Example Question

6. The term disposition as defined in records management:
a. includes but is not synonymous with the term disposal.
b. means destruction.
c. is synonymous with disposal.
d. relates only to paper records.
e. implies shredding.

A/An
Occasionally the test maker will overlook a grammatical error. You will be able to eliminate
options due to this.

Example Questions

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7. A graphic presentation of a procedure or system using symbols to represent detail
operations is called a:
a. flip chart.
b. flow chart.
c. Gantt chart
d. operation order chart.
e. symbolic logic chart.

8. Many of the principles upon which modern records management systems are
based originated in the:
a. Administrative Management Society.
b. federal government.
c. Systems and Procedures Association.
d. universities.
e. Association of Records Managers and Administrators.

Physical Position
The physical position of an alternative can be important. The positions A, C, and E are used
statistically less than B and D. Most guessers choose an extreme or the middle. Use this
technique only if you are making an uneducated guess.
Negative Questions
Watch wording on questions carefully. Negatively worded questions can be very confusing
and misleading otherwise.

Example Questions

9. Which of the following is not a trend in the records management profession?
a. More full-time records management positions are being established.
b. Records centers for storage of inactive records are gaining wider acceptance.
c. Small organizations are organizing formal programs at a faster rate than large
organizations.
d. Special methods for protecting vital records are being adopted.
e. The Association of Records Managers and Administrators is devoted to all aspects
of records management.
10. Which of the following is normally not the responsibility of a records center clerk?
a. Check in records for inactive storage.
b. Decide when records are no longer necessary and may be destroyed.
c. Maintain reference and control forms.
d. Prepare documents for microfilming.
e. Operate shredding machine.

Question and Answer Association
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Sometimes it is impossible to word the stem of a question without giving away the correct
answer. If you have developed your vocabulary, you will be able to pick out the synonym.

Example Questions

11. Applying the exception principle in records management means that a manager
has:
a. developed a satisfactory manner to perform special records work.
b. succeeded in finding a new and frequently better manner to perform a given
amount of work.
c. concentrated his attention on non-recurring problems requiring managerial
action.
d. all of the above.
12. The performance evaluation technique whereby employees objectively evaluate
the performance of their immediate supervisor is commonly called:
a. horizontal evaluation.
b. informal evaluation.
c. circular evaluation.
d. upward evaluation.
e. exit evaluation.

Related Question
Each of the first five CRM exams test specific information. It is hard to avoid having more
than one question on the subject. You may then have the opportunity to use the
information in one question to answer another that is related.

Example Questions

13. Which of the following is characteristic of Theory X management thought?
a. most employees want to avoid job responsibilities whenever possible.
b. most employees do not inherently dislike work.
c. most employees want to satisfy social, esteem, and self-actualization needs
through work.
d. a and c above.
e. b and c above.

14. According to the Theory Y view of worker behavior, the average person:
a. prefers to avoid responsibility.
b. likes work inherently.
c. cares little about security, neither financial or personal.
d. seeks responsibility under the proper conditions.
e. has much ambition.
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All of the Above
A question with an all of the above alternative turns the rest of the alternatives into
true/false questions. If more than one is true the answer is all of the above, if only one is
false all of the above cannot be the answer.

Example Questions

15. Issues in records management include:
a. an outgrowth of safety and health regulations.
b. product liability records.
c. the right of privacy in personal information.
d. the use of a universal identifying number.
e. all of the above.

16. Office copiers may be leased or purchased which:
a. copy documents of any length.
b. produce offset masters.
c. copy on ordinary bond paper.
d. use continuous roll paper.

None of the Above
This is a variation of the all of the above. It is testing your ability to find facts that do not
fit the concept or principle mentioned in the stem. In order for it to be correct, all of the
options must be false.

Example Questions

17. The life cycle concept of a record is best defined as:
a. controlling the reproduction of records.
b. control over the creation, usage, maintenance, retention, preservation, or
disposition of records.
c. controlling creation.
d. controlling disposition.
18. Authority is:
a. given only at top-management levels where commensurate responsibility can be
delegated.
b. the right to command and the power to make decisions.
c. the obligation and accountability for properly performing work that has been
assigned.
d. delegated independently of responsibility.
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Relative Position
When the options are in ascending or descending order, the relative position on the options
can be a clue to the correct answer. The correct answer is rarely the lowest or the highest
option.

Example Questions
19. A disturbing fact of inefficiency frequency is that ___ percent of the papers filed
are never referred to.
a. 20
b. 45
c. 50
d. 90
e. 95
20. Generally, the actual floor space occupied by a standard letter-sized office file
cabinet, when closed, is most nearly:
a. 1/2 square foot.
b. 3 square foot.
c. 7 square foot.
d. 11 square foot.
e. 12 square foot.

Non-parallel
The alternative is a question should be equal or alike. They should express the same type of
thought, quality or quantity. A non-parallel question asks you to compare apples and
oranges.

Example Questions

21. Many of the principles upon which modern records management systems are
based originated in the:
a. Administrative Management Society.
b. federal government.
c. Systems and Procedures Association.
d. universities.
e. Association of Records Managers and Administrators.
22. All of the following benefits will result from a successful records management
training program except:
a. boost in employee morale.
b. decrease in employee mistakes.
c. elimination of supervisory responsibility.
d. increase in work output.
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e. increase in work quality.

Judgment Questions
Judgment questions are not definite yes/no questions. You have to approach the answer
from the point of view of the writer of the test. The CRM exam is no place to have
philosophical differences. This is where it is especially important to remember the global,
multi-organizational view of the ICRM.

Example Questions

23. An advantage of using internal personnel in solving an organizations records
management problems is:
a. it will be less expensive.
b. it will take more time to develop a program.
c. organization personnel will readily accept their suggestions.
c. qualified people can be quickly found.
d. none of the above
24. Organizationally, the responsibility for records management is most often:
a. in the accounting department.
b. in the administrative services division.
c. an autonomous staff function.
d. in the systems and procedures department.

Similar Choices
In some questions, some of the options will be closely related or almost identical. The
similar choices cannot both be right, if they are the same in completeness and scope,
neither is correct.
However, one option may be more encompassing and inclusive. When this is true the
answer is either the option of greater scope or the opposite choice.

Example Questions


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26. Reduction in dictation time and retention of the advantages of a personal letter is
best achieved through the use of:
a. form letters.
b. guide letter.
c. guide paragraphs.
d. machine dictation.
e. guide forms.

Opposite Choices
A close relative of the similar choice question. The usual opposite-choice question will be
two options with one view and two others with another. You have to decide which
viewpoint is accurate and then select the more encompassing and complete option of the
two. If they are the same in scope, and you dont know which is correct, guess. If the none
of the above or all of the above are options they are distracters that cannot be true.

Example Questions

27. In comparison with low-usage forms, benefits from improving high usage forms
will be:
a. far less.
b. slightly less.
c. slightly greater.
d. far greater.
e. nil.

28. In a well-written report, the length of each paragraph should:
a. vary according to content.
b. not be longer than 300 words.
c. be pretty much the same length.
d. should lengthen gradually as the report is developed.

Overlapping Alternatives
This is fundamental to choosing the most encompassing and comprehensive option.

Example Questions

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30. The term disposition as defined in records management:
a. includes but is not synonymous with the term disposal.
b. means destruction.
c. is synonymous with disposal.
d. relates only to paper records.
e. implies shredding.

Recommended Resource: How to Master Test Taking, by Fred Anderson, Jr., 1981: Skills
Improvement, P.O. Box 595, Aurora, CO 80040, Library Of Congress Card Number 81-90062
Note: All sample questions (1-30) in this section were taken from a prior issue of this CRM
Study Guide, and many of them would no longer be asked. They are used only as an example of
types of multiple-choice questions.

Answers:

1. c
2. a
3. d
4. d
5. b
6. a
7. b
8. b
9. c
10. b
11. c
12. d
13. a
14. d
15. c
16. e
17. b
18. b
19. d
20. b
21. b
22. c
23. a
24. b
25. b
26. c
27. d
28. a
29. b
30. a
TECHNIQUES FOR PASSING PART VI CASE STUDIES
Part VI presents an opportunity for you to apply the knowledge that you have gained through
study and work experience to life-like problem scenarios, otherwise known as case studies or
practical exercises. In this examination, you must write resolutions to the issues presented in
the case studies in accordance with the instructions provided in the case studies.
All the work youve done to pass Parts I through V culminates in this final four-hour exercise.
Your success in writing answers to the case studies determines whether or not you earn the
prestigious CRM to place behind your name. With so much emphasis placed on this particular
examination, the Institute wants you to have as much information as possible about Part VI
Case Studies.
General Information
Part VI consists of writing answers to a required 60-point case study and your choice of two 40-
point case studies. The 60-point case study may address several issues or problems and
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requires a comprehensive answer. The 40-point case study may be more single focused and
require an in-depth analysis of a specific program element.
Within each practical exercise, you have access to all the information you need to arrive at
conclusions. In your answer, you may also make assumptions about facts described in the case
study problem. However, you must state your assumptions within your answer; and you must
make sure your assumptions logically support the facts presented in the case study.
Remember, you must write two successful case study answers to pass the examination. No
matter how well you write the answer to one case study, you will not receive enough points to
pass if you do not write the second case study successfully, too.
Time Management
Time management is crucial to successfully writing answers to the examination. Allot the time
you spend on the 60-point answer and the 40-point answer to make sure you have enough time
to develop both case studies. Even before you go the examination site, consider the time you
think you will need to accomplish the various case study activities. You must answer the 60-
point question before you can move on to the 40 pt. questions. Once youve completed the 40
pt. answer, you cannot go back to 60pt. case study.
Case Study Activity Times
Estimate the number of minutes you may need for each of the following: scanning the 40-point
cases to decide which case answer to write; reading cases; jotting down notes (if your testing
center has a white board); planning and organizing each answer; and writing each answer.
Heres a sample allocation for the 235 minutes of the examination:
Sample Time Allocation
Acknowledge Non-Disclosure Agreement 5 minutes
60 Point Case
Reading 20
Jotting Notes (whiteboard) 10
Planning & Organizing 20
Writing 80
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Reviewing/Editing 15
Subtotal 150 minutes
40 Point Case
Reading 15
Jotting Notes 5
Planning & Organizing 10
Writing 50
Review & Editing 10
Subtotal 90 minutes
TOTAL 240 minutes
Of course, these are sample times. You should adjust them to your own needs. These activities
are not necessarily separate functions, either. For instance, you can jot down notes as you read
the case. Do consider, however, the value of allotting some time to each of these activities.
The better planned and organized your paper, the easier it to write!
When you begin the test, a timer will appear in the upper right-hand corner of your computer
screen to let you know how much time you have remaining to take the test.
Time management is a very effective technique to use while writing your answers. By allotting
minutes to each of the case study activities, then watching the time, you ensure yourself
enough time to complete both exercises.
Answer Point of View
Through your answers to Part VI case studies, the Institute evaluates your proficiency in
problem solving and in developing professionally written answers to issues that may extend
over several aspects of records management. You are told your role, usually a consultant or a
manager, in the case study problem. You develop your answer from this point of view.
The Institute expects you to write answers that reflect resolutions which would interest
management, rather than a supervisor. Your answers should focus on resolutions at the
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department level, interdepartmental level, or even at the organizational level, and not at a
particular workstation.
In other words, you look at the problem as though you were a member of the management
team dealing with top management on a stated problem. Remember your assigned role and
develop your answer from that point of view.
Instructions
Following instructions also is crucial to successfully writing answers to the examination. You
will find three types of instructions in the examination: Prefatory; Problem; and Action.
Prefatory Instructions
Presented at the beginning of the examination, these preliminary instructions state, During the
exam you will be presented with two case studies and will have 235 minutes to complete both.
The first case study is worth 60 points. After you have completed the first case study, you will
then select one of two case studies that is worth 40 points. You will have the opportunity to
read through both case studies prior to making your selection. If you are unsure of your
response, mark the essay item as a reminder for additional consideration during your review.
To make an essay item for review, use the mouse to click in the white square in the upper left
corner of the item. A check in the white square means the essay item has been marked for
review. You may use the navigation buttons at the bottom of the screen to move forward and
backward through essay items. However, you will not be able to navigate back and forth
between case studies. At the conclusion of each essay, you will have the opportunity to review
and make changes. Do not press the End Review button until you are ready to submit your
essay. Once you have pressed the End Review button, you will not be able to go back and
review or change your essay.
Problem Instructions
As you read a case study problem, you, in your role of consultant or manager, may receive
instructions from the person to whom you are reporting in the scenario. Such instructions may
be to prepare a report that focuses on an individual issue (even though several issues are
discussed in the problem), or to react first to those issues needing to be resolved quickly in the
emergency that has just occurred.
These instructions are specific to the case study you are reading. Pay particular attention to
these instructions. They tell you what your boss expects to see in your report. These
instructions help direct you to the issues you need to cover in developing your answer.
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Action Instructions
These instructions come at the end of the case study problem in the Action/Analysis section of
the case study. Read this section carefully. In this section you are given the goal of the case
and presented with routine and specific instructions. The routine instructions include
requirements that are standard for each case study. For example, one such requirement is that
you write a clear, well-organized, narrative report.
The specific instructions include requirements that are specific to each case study. For
example, one such requirement may be that you organize and arrange your answer according
to certain categories listed in this section. Some sample categories might be:
Staffing & Training Issues
Equipment, Technology, & Space Issues
Methods and Procedures Issues
If instructed to do so, take note of the categories you should discuss and address them in your
answer. You will lose points if you do not discuss each category that you are requested to
address.
Problem Statement & Summary of the Overall Findings
Each case study requires you to begin your answer with two elements: the Problem Statement
and the Summary of the Overall Findings.
Problem Statement
The problem statement is your brief explanation of the situation that needs to be resolved.
Looking beyond the symptoms described in the scenario, you state in one or two sentences
what you believe to be the overall problem.
Suppose the turnaround time upon receipt of the request in central records for files to be
delivered to a department is not acceptable for those departments to do business in a timely
manner. Is the problem that the clerks arent working fast enough? Maybe. More likely,
however, the true problem is something else. Perhaps your company just bought the assets of
another company, as represented by those files, and the files are lost in transit to your building.
Is that the true problem? You have to follow the thread of logic in the scenario to figure out
what you think is the core problem. Then write a concise statement identifying the problem.
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Why is the Problem Statement important? Because by writing it, you focus both you and the
graders on the subject of your report.
Summary of the Overall Findings
The summary of the overall findings is your brief description of the major factors involved in the
situation. These are the points and concerns of the case study that you, in the role of
consultant or manager, discover in your survey and learn through discussions with the person
who hired you. In a few sentences you state what you believe to be the major problems and
issues that you have already identified.
For instance, in a particular scenario you may determine that the major problems and issues
appear to be threefold: low knowledge level of personnel, inadequate housing of records, and
inadequate processes. In the summary, then, you would write a brief sentence or two about
each of those three main findings. Note that these specific findings also fall into the categories
you were requested to address in the Action section of the case study.
Caution! A Problem Statement and the Summary of the Overall Findings are mandatory for
each case study. Both elements carry a point value. You will lose these points if you do not
include these elements in your answer.
Case Study Activities
Planning and Organizing
A successful answer is well-planned and organized. Devote some time to this activity before
actually writing your answer. Take a look at the notes you have jotted down. Consider the
categories you have been asked to address. Group your notes into those categories.
Writing
Construct and write your report as though you would present it to top management. Write a
clear, well-organized, narrative report that addresses the points made in your problem
statement and your summary of the overall findings. Outlines and lists are NOT acceptable
formats. Present your answer in the broad categories you were asked to address in the Action
part of the case study.
Grading
A grader judges your answers according to acceptable case study resolutions provided by the
Institute in the answer guide. If you present other well-explained and well-supported
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resolutions, your answers may be considered valid, as well. The Institute also will judge your
answer on:
Professionalism
Demonstrate in your answer your concepts of principles and practices of records management,
management concepts of organization, technology, awareness of history, and literature
sources.
Logic
Construction of answer: follow through, continuity, facts, and required calculations.
Completeness
Full response to all of the specific actions required in the case study. Provide an answer that is
neither too short nor too wordy.
Condition, Neatness, Format
Make sure your answer is presentable and readable. Spelling, grammar, and punctuation
count. Pay attention to the arrangement of information.
Readers Reception of Reply
Important points are persuasion, conviction, fact, managerial tone, and reasonableness.
Miscellaneous Ability Indicators
Pay attention to cost consciousness, efficiency, and resourcefulness.
Conclusion
Having the knowledge relating to a case study is certainly helpful in writing the answer.
However, in addition to expressing that knowledge, you must be able to structure your answer
and write it so that it represents a professional response. In writing your case study answer,
keep these elements in mind: time management, answer point of view, case instructions,
problems statement and summary of the overall findings, case study activities, and grading
criteria.
The CRM Handbook
ACRONYMS ACCEPTED BY THE ICRM EXAMINATION DEVELOPMENT COMMITTEE
The following acronyms (abbreviations) can be found throughout Parts I through V.
Candidates should become familiar with them and the terminology they represent to be able to
understand them in a question.

CAD
CAR
CD
CD-ROM
CEO
CIO
COLD
COM
DPI
DVD
EDI
EDMS
HTML
HTTP
IT
JPEG
KWIC
KWOC
LAN
OCR
PERT
PDA
PDF
RAID
RFID
RFP
RIM
ROI
SAN
SOP
SWOT
TIF
URL
WAN
WORM
XML

The CRM Handbook
Section 3 Sample Examination
SECTION 3 SAMPLE EXAMINATION
INTRODUCTION
The basic purpose of this Handbook is to assist Candidates in understanding the nature and
content of each part of the examination. This section attempts to provide, Part by Part, a
sample of questions which may appear on any exam.
For Part I through V, the Outline is the guide to question material. The ICRM has a test bank of
700-800 questions for each of those parts. Each question is linked to the Outline by line
number. (For example, Part I, Section A Principles of Management has for Line 1
Management Functions. Questions about the RIM managers role in the management
functions of planning, organizing, directing, controlling and staffing are linked to A1. ) There
may be anywhere from five to 30 questions associated with any line number. When preparing
each examination, a computer program selects an approximately equal number of questions for
each line number. All line numbers are represented on each examination, so candidates should
be prepared to answer questions on the whole range of the Outline.
Hints about taking a multiple-choice exam can be found in Strategies for Passing the CRM
Examination and Techniques for Passing Parts I V in Section 2 of this Handbook.
The sample questions are meant as samples only. They are not in the test bank and will not
appear on any exam. The answers also list the line in the Outline that each question would be
tied to where it is on the exam.

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PART I MANAGEMENT PRINCIPLES AND THE RECORDS AND INFORMATION
(RIM) PROGRAM
Part I of the CRM examination is general in nature and focuses on management principles and
techniques. Generally accepted principles of management found in introductory business and
management/information systems and planning textbooks should be reviewed carefully by the
CRM candidate. The Annotated Outline in Section 2 of this Handbook provides detailed
information about the content of Part I.
Sample questions:
1. The process of getting things done through the efforts of others is referred to as:
a. planning.
b. coercing.
c. influencing.
d. managing.
e. supervising.

2. The authority managers have by virtue of their position in an organization is referred to
as _____ power.
a. mentoring
b. subordinate
c. unity of command
d. hierarchical
e. legitimate

3. Clear delegation requires that:
a. a matrix be used.
b. subordinates be told how to carry out their tasks.
c. subordinates understand the scope of authority granted.
d. superiors divest themselves of responsibility.
e. subordinates be in competition with each other.

4. The management concept that integrates strategic planning, total management, setting
of objectives, individual motivation, measurement of results, and time is:
a. management by authority.
b. management by expertise.
c. quality management.
d. management by walking around.
e. management by objectives.

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5. Productivity is best described as:
a. the amount of hours applied to a task.
b. the amount of time required to complete a cycle.
c. a measure of quantity of a resource used per unit of quality output.
d. a method to control standards.
e. the amount of energy it takes to complete a task.

6. Which of the following is not on a job description?
a. Supervisors name.
b. Educational requirements.
c. Skills required.
d. Age.
e. Work location.

7. Compensation by an employer refers to pay:
a. and benefits.
b. and vacation time.
c. only.
d. and hours of work.
e. and opportunities for advancement.

8. An advantage of using external consultants in a RIM program is:
a. they can provide unbiased advice.
b. they understand all of the internal politics.
c. they understand the nature of the internal business.
d. they are familiar with all of the workers.
e. its the cheapest route to take.

9. An advantage of using commercial records centers is:
a. they can store records cheaper than an in-house center.
b. records are stored onsite near the users.
c. employees may speak several languages.
d. records are never lost.
e. RIM staff requirements may be outsourced.

10. Fixed costs that can be changed relatively quickly by management are:
a. capital outlay.
b. long term.
c. discretionary.
d. short term.
e. dedicated.

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11. What are the costs involved in break-even analysis?
a. Facilities and random costs.
b. Forecasted and quantity costs.
c. Product and employee costs.
d. Fixed and variable costs.
e. Planning and labor costs.

12. Budgets prepared through an assumption that each budget item has no allocation are
_____ budgets.
a. fixed
b. zero-based
c. strategic
d. non-revenue
e. expenditure-based

13. To get a firm cost of implementing new RIM software, ask for a:
a. firm fixed price.
b. visit from a vendor representative.
c. Request for Proposal.
d. Request for Quotation.
e. Request for Information.

14. A consideration when beginning to design a RIM program is to:
a. set staffing hours.
b. write new retention schedules.
c. conduct a walk-thru of the facility to identify concerns.
d. build a records center.
e. purge inactive files.

15. The RIM manual should identify _____ for performing duties.
a. minimum reading levels
b. floor load capacity
c. educational requirements
d. years of service
e. responsibilities

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16. A(An) chart describes related activities by showing work planned versus work
completed in relation to time.
a. organization
b. Gantt
c. workflow
d. PERT
e. Production

17. A benchmark used to measure some quality or practice is a:
a. regulation.
b. market.
c. milestone.
d. standard.
e. spreadsheet.

18. The only sure way to know a policy is being followed is to:
a. have lunch with department supervisors and ask them.
b. make surprise visits with a clipboard and nasty questions.
c. pay someone in each department to be your spy.
d. send a questionnaire to each department monthly.
e. audit the program on a regular basis.

19. The ICRM Code of Ethics contains the statement, CRMs shall:
a. use all reasonable care to obtain factual evidence to support their opinion.
b. use all efforts to obtain enough resources to support their respective RIM
programs.
c. strive for continuing effectiveness in demonstrating management skills.
d. never do anything wrong.
e. use corporate lawyers to write retention schedules.

20. The worlds first global standard for records management, issued in 2001, was:
a. IS0 90000.
b. DOD 5015.2.
c. ISO 15489.
d. ASCII 2000.
e. RIM 2001.

The CRM Handbook
Part I Answer Key (With respective outline part)

1. d (A1)
2. e (A1)
3. c (A1)
4. e (A2)
5. c (B3)
6. d (B4)
7. a (B5)
8. a (B1)
9. e (B1)
10. d (D2)
11. d (D3)
12. b (D2)
13. d (D7)
14. c (E2)
15. e (F3)
16. b (G1)
17. d (G1)
18. E (G3)
19. a (H1)
20. c (I1)
The CRM Handbook
PART II RECORDS AND INFORMATION: CREATION AND USE
Part II pertains to the creation, production, and distribution of information. The Annotated
Outline in Section 2 of this Handbook provides detailed information about the content of Part II.
Sample questions:
1. Organizations find that their greatest record costs usually come from records:
a. storage.
b. retrieval.
c. disposition.
d. creation.
e. retention.
2. Metadata, described in the broadest sense, is the core set of elements needed for the
effective _____ and management of information.
a. creation
b. storage
c. retention
d. utilization
e. retrieval
3. A(An) _____ assessment is the evaluation of the possibility of incurring loss and the
amount that is acceptable for a given event.
a. damage
b. risk
c. retention
d. archival
e. strategic
4. Good e-mail etiquette discourages the use of capitalized letters in your message, as it is
often considered the electronic equivalent of:
a. shouting.
b. laziness.
c. swearing.
d. whispering.
e. lying.

The CRM Handbook
5. _____ is the part of the litigation process in which opposing parties exchange relevant
documents, testimony, and other information.
a. Investigation
b. Disposition
c. Spoliation
d. Discovery
e. Compilation
6. One advantage of using written policy manuals is:
a. innovation is discouraged.
b. training new staff is no longer required.
c. employees can function freely within the framework of a policy.
d. a status quo may be established that resists change.
e. emphasis can be placed on adding resources.
7. A permanent directive remains in effect until:
a. cancelled or superseded.
b. a new director is hired.
c. a termination date is reached.
d. a merger of companies takes place.
e. it causes problems.
8. One objective of forms management is:
a. use only legal-size paper.
b. eliminate legal paper.
c. eliminate unnecessary forms or combine them where possible.
d. establish a stock control system to eliminate storage.
e. automate all forms to process electronically.
9. One way to control access to information on networked computers is to:
a. place tamper-proof locks on all work stations.
b. install a firewall between the server and outside access.
c. issue written instructions to all employees likely to divulge company secrets.
d. employ a security firm to screen all incoming and outgoing communications.
e. remove all computers and use only paper for all communications.
10. _____ facilitate the rapid collection and transmittal of information in a compact
manner.
a. Reports
b. Directives
c. Procedures
d. Memos
e. Forms
The CRM Handbook
11. Information consisting of e-mail exchanges between two people and filed in one folder
is:
a. organized material.
b. subject to deterioration over time.
c. very difficult to control over time.
d. structured data.
e. unstructured data.
12. An e-mail from the President of a company to the CFO authorizing the purchase of new
EDMS software is:
a. of concern only to the RIM manager and the CFO.
b. of momentary interest and must be supplemented with a personally signed
document.
c. not admissible as evidence in a court of law.
d. a business record and should be treated as such.
e. highly unlikely to happen in todays economic environment.
13. When a company receives a subpoena for documents which are scheduled for
destruction and already awaiting the shredding van, the RIM manager should:
a. proceed with the destruction of records already pulled but stop destruction of
other records.
b. Proceed with destruction of all records according to the records retention
schedule.
c. screen the records already pulled to hold those he believes of interest to the
court, but destroy the rest.
d. stop all destruction of records covered by the subpoena.
e. discuss with the company attorney what records can be destroyed without being
charged with spoliation.
14. Dealing with Personally Identifiable Information (PII) requires the RIM manager to:
a. deny all requests for information from outside the company.
b. place tamper-proof locks on all document storage areas.
c. restrict the disclosure of certain personal information to authorized personnel
only.
d. shred all documents before sending them to a landfill.
e. place an armed guard at the entrance to all document storage areas.
15. The legal interests of the author of a book are protected by:
a. copyright laws.
b. patents and trademarks.
c. spoliation laws.
d. standards and practices laws.
e. criminal sanctions observed worldwide.
The CRM Handbook
16. One objective of a mail management program is to:
a. ensure that all first class mail is delivered before noon.
b. use courier services whenever possible.
c. ensure correct, speedy and economical movement of mail.
d. eliminate interdepartmental mail runs.
e. return all packages over ten pounds.
17. The most common risk associated with records and information management is:
a. fire.
b. loss of a document.
c. theft of sensitive information.
d. deterioration of information over time.
e. reduction of the RIM budget.
18. An enterprise _____ is a single point of integrated, online access to information on the
Web, or housed in other applications.
a. entry
b. purge
c. backup
d. portal
e. statute
19. A private network established within an organization behind a firewall for use by
employees is a(an):
a. internet
b. intranet
c. extranet
d. bulletin board
e. data warehouse
20. One objective of a reprographics management program is the:
a. annual replacement of all equipment.
b. elimination of the lease process with copiers.
c. increase in the use of legal-size copying.
d. elimination of multifunction devices.
e. selection of the best equipment for the application.

The CRM Handbook
Part II Answer Key (with respective outline parts)

1. d (A6)
2. e (B1)
3. b (D1)
4. a (F3)
5. d (C2)
6. c (G1)
7. a (G1)
8. c (G3)
9. b (E4)
10. e (G3)
11. e (A5)
12. d (A2)
13. d (C3)
14. c (C4)
15. a (C5)
16. c (G4)
17. b (D2)
18. d (E4)
19. b (F1)
20. e (G5)

The CRM Handbook
PART III RECORDS SYSTEMS, STORAGE AND RETRIEVAL
Part III examines the maintenance of records and information management (RIM) systems. The
Annotated Outline in Section 2 of this Handbook provides detailed information about the
content of Part III.
Sample questions:
1. The practice of organizing information by identifying related records
and placing them in close proximity to one another is:
a. retrieval.
b. indexing.
c. filing.
d. disposition.
e. archiving.
2. _____filing would place all information about collies, shepherds,
setters, boxers, and terriers together.
a. Dictionary
b. Encyclopedic
c. Rational
d. Irrational
e. Hierarchical
3. Alphabetic filing rules are necessary to ensure consistent filing
practices in all of the following situations, except:
a. names that sound alike.
b. hyphenated surnames.
c. personal names with suffixes.
d. acronyms and abbreviations.
e. surnames that begin with a prefix.
4. _____ systems are distributed classes of information grouped
according to common relations or affinities.
a. Filing
b. Retrieval
c. Classification
d. Color-coding
e. Alpha-numeric

The CRM Handbook
5. A _____ system converts electronic information directly to microform.
a. COLD
b. stand-alone
c. CD-ROM
d. CAD
e. COM
6. _____ fields correspond to the indexing parameters identified for a particular
application in document indexing.
a. Non-key
b. Key
c. Search
d. Blank
e. Record
7. In a paper filing system, a _____ is a notation showing that the records you are looking
for may be filed elsewhere.
a. charge-out
b. database
c. cross reference
d. guide
e. document
8. When recorded information must be available to more than one person, a(an) _____
filing location is usually preferable.
a. centralized
b. decentralized
c. offsite
d. unique
e. unmarked
9. In an electronic-based filing system, the index is usually a computer:
a. barcode.
b. field.
c. workstation.
d. out guide.
e. database.
10. When converting information from a paper to electronic format, the RIM manager must
_____ data integrity and check for _____ control.
a. insure, volume
b. validate, quality
c. validate, uniform
d. quantify, information
e. quantify, quality
The CRM Handbook
11. Floor loading is one of the most important considerations when
implementing:
a. a new EDMS system.
b. a new e-mail system.
c. lateral filing equipment.
d. open-shelf filing equipment
e. mobile aisle shelving filing equipment.
12. Side-tab folders are typically used in _____ filing equipment.
a. vertical
b. four-drawer
c. open-shelf
d. lateral
e. hanging
13. For stability, records center shelving must be provided with:
a. earthquake-proof hardware.
b. heavy gauge steel shelves.
c. sway bars.
d. reinforced steel uprights and end caps.
e. guy wires and reinforced hold-downs.
14. Offsite records centers typically store records that are:
a. infrequently needed, but must be maintained for legal reasons.
b. infrequently needed, but require specialized temperature and humidity controls.
c. frequently needed, but incompatible with office storage equipment.
d. damaged as a result of a toxic waste spill.
e. not flattering to the companys image.
15. Records center operations perform all of the following, except:
a. entering data and indexing newly acquired containers.
b. delivering requested records to program units.
c. re-shelving previously retrieved records when returned to storage.
d. drafting blueprints and drawings.
e. destroying records when authorized by the owner.
16. When selecting a commercial records center, the RIM manager should consider all of
the following, except:
a. financial stability.
b. employee benefits provided by the center.
c. scope of services offered.
d. cost.
e. hours of operation.
The CRM Handbook
17. A commercial records center usually charges for the permanent removal of containers
from their facility. These are called:
a. transaction fees.
b. resource allocation charges.
c. draw-down deductions.
d. re-filing reimbursements.
e. exit fees.
18. In a records center, special containers are usually necessary to store:
a. correspondence.
b. case files.
c. bank checks.
d. legal-sized files.
e. calendars.
19. The guidance which best governs the destruction of the hardcopy original document
after scanning would be a:
a. service bureau requirement.
b. retention schedule.
c. vendor contract.
d. destruction list.
e. filing manual.
20. A reference analysis may involve statistics for all of the following, except:
a. the size of the folders being retrieved on a monthly basis.
b. the number of records that cannot be located.
c. how many references are made for any given records series.
d. how old records are when they cease to be used.
e. the age of the records being referenced.

The CRM Handbook
Part III Answer Key (with respective outline part)

1. c (A3)
2. b (A4)
3. a (A3)
4. c (B1)
5. e (B2)
6. b (D1)
7. c (C2)
8. a (C1)
9. e (D1)
10. b (E3)
11. e (F1)
12. c (F2)
13. c (F3)
14. a (G1)
15. d (G6)
16. b (H2)
17. e (H3)
18. c (G2)
19. b (E5)
20. a (D2)

The CRM Handbook
PART IV RECORDS APPRAISAL, RETENTION, PROTECTION, AND DISPOSITION
Part IV relates to records appraisal, retention, protection, and disposition, regardless of the
record media or format. The Annotated Outline in Section 2 of this Handbook provides detailed
information about the content of Part IV.
Sample questions:
1. The questionnaire method of conducting a records inventory has the advantage of:
a. increased accuracy over other methods.
b. increased consistency over other methods.
c. minimal involvement of the RIM staff.
d. reduced time wasted in double-checking and consolidating.
e. finding more records that are in personal desk drawers.
2. During a records inventory, _____ estimates provide useful information about the
amount of physical storage required to house records.
a. location
b. reference
c. hardware
d. security
e. quantity
3. A records inventory _____ is a tool that provides for a consistent manner to collect data.
a. form
b. database
c. log
d. spreadsheet
e. schedule
4. A _____ retention schedule specifies retention periods for designated records series
regardless of which program unit theyre maintained.
a. departmental
b. master
c. vital records
d. general
e. disposal
5. Two concepts that serve as a framework for making records retention decisions are
records appraisal and:
a. destruction methods.
b. service delivery.
c. archival needs.
d. cost-risk benefit analysis.
e. personal choices.
The CRM Handbook
6. While appraising the _____ value of a records series, one would try to understand its
potential for litigation support.
a. fiscal
b. secondary
c. legal
d. archival
e. operational
7. The term built-in dispersal in a vital records program means:
a. creating an extra copy and storing it in a vault.
b. utilizing an existing copy already routinely held in a relatively secure place.
c. holding copies in a designated office of record.
d. creating microfilm images of records and transferring them offsite.
e. creating a digital image of records and storing the data on an optical disk.
8. The final stage in the life cycle of records is:
a. maceration.
b. shredding.
c. long-term storage.
d. recycling.
e. disposition.
9. When paper records become inactive and are transferred to an off-
site records center, it is analogous to electronic records being
maintained:
a. online.
b. offline.
c. in containers.
d. in vaults.
e. in a data warehouse.
10. Once a retention schedule has been approved, the next step is to:
a. establish life cycle milestones for each series.
b. audit each department to ensure the schedule is being followed.
c. decide what format to keep it in.
d. begin the process of revision.
e. publish and distribute the schedule.
11. The main purpose of a records retention schedule audit is to:
a. destroy folders.
b. fill a shredder.
c. appraise the records.
d. assess compliance.
e. keep statistics.
The CRM Handbook
12. Vital records should be retained:
a. for 33 years.
b. permanent.
c. as long as theyre vital.
d. less than 3 years.
e. no longer than 10 years.
13. A vital record is a record containing information essential for:
a. demonstrating economic trends.
b. portraying significant individual achievements.
c. documenting historical memory.
d. protecting the rights of employees or customers.
e. documenting important research.
14. At minimum, a retention schedule should be approved by the:
a. marketing director.
b. legal counsel.
c. facilities manager.
d. public relations officer.
e. maintenance crew.
15. Calculating the probabilities of damage or loss of records and information is a(an):
a. organizational impact analysis.
b. insurance policy.
c. cost-benefit analysis.
d. risk analysis.
e. disaster assessment.
16. A major hurricane wipes out several businesses and government buildings. This would
be an example of a _____ disaster.
a. Class 1
b. Class 2
c. Class 3
d. Class 4
e. Class 7
17. The transfer of the legal and physical custody of archival records from the office of
origin to the archives is:
a. preservation.
b. referencing.
c. protection.
d. accessioning.
e. disposition.
The CRM Handbook
18. Electronic _____ is a procedure in which backup copies of vital electronic records are
transmitted to offsite storage over high-speed telecommunications facilities.
a. transfer
b. recording
c. vaulting
d. disposition
e. safeguarding
19. Records that document how an organization came into being or how it was developed,
possess _____ value.
a. primary
b. fiscal.
c. evidential
d. informational
e. operational
20. A collection of documents from various sources, not related to the
organization maintaining the collection, is a:
a. public archives.
b. private archives.
c. library.
d. records center.
e. manuscript collection.
The CRM Handbook
Part IV Answer Key (with respective outline part)

1. c (A2)
2. e (A1)
3. a (A2)
4. d (C1)
5. d (B1)
6. c (B2)
7. b (F3)
8. e (C3)
9. b (C3)
10. e (D1)
11. d (E3)
12. c (F 1)
13. d (F1)
14. b (C4)
15. d (F2)
16. b (F2)
17. d (H5)
18. c (F3)
19. c (H1)
20. e (H5)

The CRM Handbook
PART V TECHNOLOGY
Part V requires a basic knowledge of the technologies, equipment and supplies available for
creating and managing active, inactive and archival records. The Annotated Outline in Section 2
of this Handbook provides detailed information about the content of Part V.
Sample questions:
1. A _____ is a photographic information carrier that contains highly miniaturized
document images.
a. negative
b. microform
c. slide
d. disk
e. file

2. The most common microfilm width used for business documents is:
a. 48in.
b. 105mm.
c. 35mm.
d. 42 in.
e. 16mm.

3. A _____ -area network covers a limited geographic distance, such as an office, a building
or groups of buildings within close proximity of each other.
a. wide
b. single
c. local
d. defined
e. digital

4. In micrographics, _____ equates to image sharpness.
a. reduction
b. density
c. resolution
d. enhancement
e. duplication

The CRM Handbook
5. When purchasing a customer maintenance agreement from a copier vendor, you should
expect it to include:
a. training.
b. lease fees.
c. downtime.
d. free toner.
e. free upgrades.

6. Electronic document imaging systems offer all of the following benefits, except:
a. improved productivity.
b. improved file integrity.
c. convenient remote access.
d. version control.
e. elimination of storage devices.

7. A laser burns digital information into a(an):
a. WORM disc.
b. floppy disc.
c. Ultrafiche.
d. hard disk.
e. RAM.

8. By nature, _____ data is often difficult to search because it is not easily or systematically
organized into tables.
a. structured
b. line item
c. related
d. unstructured
e. report

9. In planning an Enterprise Content Management (ECM) system, charting the _____
shows whether tasks to be performed are sequential or parallel.
a. retrieval
b. business plan
c. workflow
d. filing manual
e. record type

The CRM Handbook
10. The major advantage of using a software tool to automatically generate a taxonomy is:
a. its less expensive than other development methods.
b. the tool can categorize more documents quicker than a human.
c. a human does not need to provide input into the taxonomy.
d. it requires less storage than a manually prepared classification.
e. it will not require any updates.

11. The process of stopping use of an EDMS system, transferring all the data to another
system, and removing the EDMS software is:
a. spoliation.
b. transference.
c. decommissioning.
d. incapacitating.
e. down-sizing.

12. Businesses create web sites to do all of the following, except:
a. sell products.
b. provide services.
c. provide support information.
d. deliver company contact information.
e. share trade secrets.

13. Data mining tools permit a user to query information in a data:
a. classification.
b. file.
c. center.
d. warehouse.
e. infrastructure.

14. In order to ensure information stored in electronic format is usable for as long as long as
the retention schedule mandates, it must be:
a. stored only as a COLD document.
b. stored only as a microfiche document.
c. periodically migrated to the latest version of software.
d. periodically read and re-recorded.
e. periodically refreshed and re-analyzed for viruses.

The CRM Handbook
15. A _____ is hardware and/or software that protects computers from intruders.
a. biometric
b. cookie
c. firewall
d. hacker
e. backup

16. When a selecting a computer monitor, important features to consider, aside from price,
are its viewable image size, dot pitch and:
a. resolution.
b. color.
c. scalability.
d. density.
e. magnification .

17. Data _____ is the process of periodically converting electronic records to new file
formats and/or new storage media.
a. mining
b. warehousing
c. implementation
d. stabilizing
e. migration

18. _____ technology is a method of delivering information or software updates through a
network broadcast, based on pre-specified interests or privileges.
a. Internet
b. Push
c. Spooling
d. Portal
e. Utilities

19. A _____ is a storage system designated for electronic records and their associated
metadata:
a. repository.
b. taxonomy.
c. jukebox.
d. cyber court.
e. virtual room.
The CRM Handbook

20. In an electronic records management system, single users are allowed to delete a
document or volume deletions can be initiated by a system:
a. code.
b. taxonomy.
c. flag.
d. administrator.
e. e-mail.

The CRM Handbook
Part V Answer Key (with respective outline part)

1. b (D1)
2. e (D1)
3. c (B1)
4. c (D1)
5. a (B2)
6. e (D3)
7. a (D3)
8. d (A2)
9. c (A2)
10. b (C3)
11. c (A5)
12. e (E7)
13. d (E6)
14. c (C5)
15. c (B3)
16. a (B2)
17. e (C5)
18. b (A4)
19. a (B5)
20. d (B4)

The CRM Handbook
PART VI SAMPLE CASE STUDY

60 Points

Part VI presents an opportunity for you to apply the knowledge you have gained through study
and work experience to problem scenarios, otherwise known as case studies. It consists of the
application of the subject matter contained in the other five parts of this examination. Part VI
consists of writing answers to a required 60-point case study and to your choice of one of two
40-point case studies. The 60-point case study addresses several issues and requires a
comprehensive answer. The 40-point case study addresses fewer issues and requires a shorter
answer.

Within each case study, you have access to all the data you need to arrive at a conclusion. You
should present your case in a well-organized and documented manner. Although the Institute
has provided the graders with an acceptable solution, other well explained or supported
resolutions may be considered valid.
Within each case study, you are told your role in the case study problem, usually as a consultant
or a manager. You develop your answer or case from this point of view. You are to write your
answer from a high-level point of view that would interest top management.
Within each case study, you are presented with two types of instruction: Problem and Action.
Read both instructions carefully, as they will instruct or prompt you on the expected topic(s)
and format of your answer.
Each case study requires you to begin your answer with two elements: Problem Statement and
Summary of Overall Findings. The Problem Statement is an explanation of what needs to be
resolved. The Summary of Overall Findings is a brief description of the major factors involved in
the case.
Time management is crucial while writing your answers. By allotting minutes to each of the
case study activities and watching the time, you assure yourself enough time to complete both
cases.

In addition, it is important to note that the answers may also be judged for logic, completeness,
arrangement of information, spelling, and grammar.

Please refer to Section 2 (Taking the Examination), Pages 72 77 and 95 102 for instructions
in taking Part VI of the exam.
The CRM Handbook
Sample Case Study for Handbook (60 Points)

THE CITY OF CRYSTAL FALLS
PROBLEM:
You have been the records manager (RM) of the city of Crystal Falls for seventeen years. Your
supervisor, the city clerk, has told you that the city council, the governing body of the city,
recently learned that a neighboring city lost a lawsuit brought by the national government. The
case concerned the citys sanitary landfill, which the government charged that they were
operating without the required permits. The city alleged that it did have the proper paperwork,
but since it could not produce the documents, the neighboring city had to pay a great deal of
money to settle the suit.
Two weeks ago, hackers accessed employee and retiree medical records in the Human
Resources Department computer system in Crystal Falls. City investigators determined that the
files contained information on four thousand people.
The council has become concerned that your program may need to be upgraded to protect the
city from future lawsuits, to safeguard confidential information, and to address any other
problems with the citys records. The city clerk has assigned you to research the citys records
situation, write a report on your findings, and recommend ways to improve the RIM program.
Your report should include a request for any additional resources that you need to carry out
your recommendations.
In addition to you, the Records Management Division (RMD) of the City Clerks Office consists of
a senior records technician and three records clerks. The RMD oversees an in-house records
center that stores 5,000 cubic feet of boxed paper records representing 18 of the citys 23
departments. The records center and RMD offices are in a one-story building near the city hall
(headquarters of the city government). Your staff pulls boxes of records and individual files for
departments on request and delivers them to the requesters. Departments return the records
to the RMD, and your staff reshelves or refiles them. Fifteen of the departments the RMD
serves are in the city hall. The other three are in three other locations.
Another 8,000 cubic feet of inactive records are stored off site in a commercial records center.
Original microfilm of permanent records is stored at the same site. You coordinate delivery of
records from the off-site vendor to the RMD for all records that departments request. You also
review the invoices from the off-site vendor. In the past year, only one invoice has been
accurate. Working with the vendors accounting department to correct these errors takes a
significant amount of your time.
The CRM Handbook
The RMD has an in-house microfilming program for special projects, and it also outsources
some microfilming. One staff member spends approximately a week out of every month doing
quality checks on the film that the vendor sends to the RMD and working with the vendor to
correct errors in the filming. The vendor sends staff to the RMD to film confidential records,
which have retention periods from fifty years to permanent. These include the Police
Departments criminal history records and offense reports, patient records from the Fire
Departments ambulance service, and employee and retiree medical records from the Human
Resources Department. The vendors error rate is seven percent.
Headquartered across town from the city hall, the Police Department (PD) has a separate RIM
program with its own records supervisor and eight clerks. The police records supervisor reports
to the administration division of the Police Department. The clerks do data entry on criminal
history records and file criminal history microfilm jackets prior to sending them to the RMDs in-
house records center for storage. They also scan documents into the PDs document
management system, which is a separate system that is incompatible with the system the rest
of the city government uses.
RMD staff scans the city councils official records of meetings into the citys document
management system, which is separate from the PDs. At present, they are three years behind
in scanning these records.
You investigate other aspects of the citys records situation.
HERE IS WHAT YOU DISCOVER:
The PDs clerks are paid more than the RMDs, and this causes frequent turnover in your staff.
In the past two years, you have lost four clerks to the PD. You and your senior records
technician spend several hours each week training new staff, only to have them leave in a few
months. Aside from you and your senior technician, no one on your staff has been with the city
more than two years.
The national government publishes mandatory retention schedules for cities, which have the
option of choosing to keep records longer than the schedules require. You have worked with
five departments to customize the schedules to their needs. Six other departments are on a
waiting list to work with you on retention schedules. You need to review the government
schedule with the remaining departments, though they have not yet requested your help. Your
department applies the retention schedules only to paper records at this time because of lack
of staff.
The citys records inventory, done eight years ago by an outside contractor, is unreliable. The
contractor listed blank forms as correspondence in several departments and frequently listed
The CRM Handbook
records series under the wrong departments. There may be additional errors in the inventory
that are still undiscovered.
The Public Works Departments Stormwater Division has four filing cabinets of records in a
rented warehouse four blocks from City Hall. Its supervisor and her crew store posters and
equipment in the warehouse, as well. Her department has never sent any records to the RMD
or worked with you to identify obsolete records.
A new employee in the fire chiefs office recently threw twelve boxes of confidential patient
records into an open trash container outside the Fire Department. These records must be
retained for fifty years; if paper records have been microfilmed, they can be destroyed, but the
law states that they can only be destroyed by shredding. You have heard that two other
departments have been destroying records without consulting the retention schedules or
checking with you.
The in-house records center has 200 cubic foot boxes that RMD staff retrieved for departments
that have not been refiled since being returned. There are several stacks of file folders waiting
to be refiled in the boxes from which they were retrieved at departments requests.
Action:
This case study has been designed to assess your proficiency in developing recommendations
to solve specific problems with an existing RIM program and to upgrade and update the
program for the City of Crystal Falls. Write a clear, well-organized NARRATIVE report that
clearly explains the problems and the corrective actions recommended to resolve the
problems.
Begin your report with an introductory section that contains two parts: STATEMENT OF THE
PROBLEM and SUMMARY OF OVERALL FINDINGS. The Analysis section discusses the problems
and your proposed solutions.
I. Introduction: 10 points maximum
A. Statement of the Problem 5 points total
Explain (no more than 2-3 sentences) the basic overall problem that you think needs to
be resolved in the situation. (This should not be just a description of any symptoms that
may be occurring.)
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B. Summary of Overall Findings 5 points total
Provide a brief description (no more than 3-5 sentences) of the key issues or factors that
must be resolved in order to achieve the final result. (This section should not include
recommendations.)
II. Analysis: 50 points maximum
The analysis section presents the specific problems identified in the introduction and discusses
the possible solutions for each problem area.
Your report may contain specific one-line points as long as the section includes a paragraph
explaining why the actions are appropriate. Your answer may not consist of only one-line
points.
A. Overall RIM Program 9 points total
B. The Citys Legal Position 7 points total
C. Confidential Records 7 points total
D. Electronic Records 7 points total
E. Staffing 10 points total
F. Inactive Records 10 points total
NOTE TO CANDIDATE:
State in your paper any facts that you assume in developing your answer.
Make sure these assumptions logically support your answer. Write a clear, well-organized,
analytical report that you can present to the director of administrative services.
Penalty points may be deducted by graders for incorrect format, poor grammar, incorrect
spelling, and/or poor organization of the answer. Reminder: There is no spell check, no
use of bullets, or bolding.

The CRM Handbook
Sample Case Study for Handbook (60 points)

THE CITY OF CRYSTAL FALLS
ANSWER:
GENERAL GUIDANCE (Instructions to Graders):
Please read the case study that was given to the candidate.
The goal of this case study is to evaluate the candidate's proficiency in solving specific problems
in an existing RIM program and developing recommendations to upgrade and update the
program for the City of Crystal Falls. In this case study, the candidate is asked to write a well-
organized narrative report to the city clerk of the City of Crystal Falls that clearly explains the
problems and the recommended corrective actions.
In the Action section, the candidate was told that the report could contain specific one-line
items as long as the points were accompanied by paragraphs explaining why the actions are
appropriate. The candidate was told that penalty points may be levied by graders for incorrect
grammar, incorrect spelling, and/or poor organization of the answer.
The candidate MUST introduce the report with a Statement of the Problem (not symptoms, but
problems) and a Summary of Overall Findings that were uncovered during the investigation.
After the introduction, the report should describe the specific problems found and the
suggested resolutions. Action requirement gave specific topics for the candidate to address:
overall RIM program, the citys legal position, confidential records, electronic records, staffing,
and inactive records.
The grader has leeway to award credit when the candidate discusses solutions outside of the
recommended answer as long as the candidates suggested courses of action fall within the
scope of general management and records management techniques and methods. The
candidate may also include topics not specifically mentioned in the report. These topics are
acceptable as long as they are, in the grader's opinion, relevant.
The candidate was instructed to state in the paper any facts that were assumed in developing
the answer. The candidate was also told to make sure these assumptions logically support the
answer.
SPECIFIC POINTS:
Each of the following points should be graded and weighted as follows:
I. Introduction: 10 points maximum
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This section serves as the introduction to the paper and broadly summarizes the general
problem.
A. Statement of the Problem 5 points total
The statement should be concise and direct, saying something to this effect:
Because the records management program of the City of Crystal Falls is not comprehensive, up
to date, and adequately staffed, the city is vulnerable to legal problems, information security
problems, and a host of other threats.

B. Summary of Overall Findings 5 points total
The summary should briefly address broad issues that the candidate has gleaned
from the case study problem and should describe what the candidate considers
the most critical aspects in the identified areas. For example:
Computer security is inadequate. Five of the citys twenty-three departments do not participate
in the RIM program. The microfilm vendors error rate is unacceptably high. RMD staff is
behind in scanning, re-shelving, and re-filing.
II. Analysis: 50 points maximum
This section should deal with the specific problems raised during the survey. The possible
solutions to each problem are not fixed, and the remedies selected could be one of a number of
available and proven general management and records management techniques, methods, and
procedures. The following are possible areas of discussion.
Point out issues/problems and risks they pose.
Give general recommendations for solving the problems and tell how
recommendations will solve problems.
List the steps in solving the problems.
Overall RIM program 9 points total
Because the RIM program is out of date and is not comprehensive, the city is vulnerable to legal
problems, information security problems, and a host of other threats.
Update and upgrade the RIM program and bring it into compliance with statutes, regulations,
and best RIM practices. This will protect the citys legal position, enhance the security of
information and information systems, and improve productivity.
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Verify that management supports updating and upgrading the RIM program, and secure
managements written endorsement. Secure the participation of all departments in the RIM
program.
Inventory all active and inactive records in all media. Identify vital records and confidential
records in the process of inventorying.
Meet with all departments that do not have customized retention schedules and work with
them to develop schedules.
Update existing retention schedules. Apply retention schedules to all records in all media.
Destroy obsolete records after receiving approval from the legal department and the records
custodians.
Develop filing systems for hard copy records and management systems for electronic records.
Work with the legal department and records custodians to develop RIM policies and
procedures. Conduct training sessions on RIM policies and procedures.
Audit the program at least annually.
The Citys Legal Position 7 points total
The city is vulnerable to violating national laws and to lawsuits, penalties, loss of proprietary
information, and identity theft.
Enhance the RIM program to protect the citys legal position.
Comply with national laws and regulations re: records retention.
Verify that records that have completed their retention periods are not involved in litigation or
may not be foreseen to be involved in litigation.
Destroy records systematically in the routine course of business after they have completed
their retention periods, provided they are not involved in litigation or may not be foreseen to
be involved in litigation.
Safeguard confidential records and manage them according to law. Protect electronic systems
from unauthorized access.
Ensure that records are not kept past the ends of their retention periods unless they are
involved in litigation or that litigation relating to them is foreseen, because the records can
pose legal and retrieval problems.
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Ensure that records can be retrieved when they are needed.
Confidential Records 7 points total
Confidential records are not being adequately protected. Some have been thrown away
without the RMDs review, and some have been thrown into open dumpsters. This situation
can lead to lawsuits, penalties, loss of proprietary information, and identity theft.
Safeguard confidential records from illegal destruction and unauthorized access.
Develop and apply uniform policies and procedures.
Review the confidential records listed in the records inventory and the retention schedules.
Ensure that all records custodians know which of their records are confidential and follow
policies and procedures in protecting them. Store confidential records separately and limit
access to them.
Prevent unauthorized destruction of confidential records.
Meet with the City Clerk and the Fire Department to review national records management laws
and city policies and procedures governing destruction of city records.
Advise the department to stop destroying confidential records and work with the RMD to
manage their records.
Meet with representatives of all departments to review policies and procedures governing
confidential records.
Consider a separate electronic system for confidential records of all kinds. Look into security
and access controls.
Electronic Records 7 points total
Hackers are violating the security of electronic systems. This compromises the citys legal
position, its confidential records, and the electronic systems themselves. Protect the electronic
systems to safeguard the citys information.
Review security systems and procedures for electronic systems. Develop and/or augment
security systems and procedures, including firewalls, passwords, automatic lockdown of
network computers after a set length of time during which there has been no activity, etc.
Consider a separate electronic system for confidential records of all kinds. Look into security
and access controls.
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Electronic records have not been inventoried and are not included in the retention schedules.
This situation leads to lack of management of electronic records and to retaining records past
their retention periods, as well as taking up valuable space with obsolete records.
Inventory all electronic records and apply retention schedules to them.
Delete electronic records that have: 1) reached the ends of their retention periods; 2) are not
involved in litigation, and 3) are not foreseen to be involved in litigation. This will safeguard
from lawsuits and save server space.
Staffing 10 points total
The RMD does not have enough staff to perform all the duties for which it is responsible. This
situation leads to backlogs and the inability to institute a comprehensive RIM program.
Request to add staff to enable the RMD to provide more services:
1) One records analyst for electronic records, who would advise the RMD on evolving
electronic systems and assist in interfacing with IT to track the evolution of electronic systems
and address their RIM implications, keep the electronic records inventory and retention
schedules up to date, assist in developing security systems, management systems, indexing
systems, and retrieval systems.
Check electronic records management systems and print reports of records that have met their
retention requirements. Review the records on the lists to ensure that they match the lists.
Submit lists of records due for destruction to the RM. Audit the RIM program as it applies to
electronic records.
2) One records analyst for hard copy records, who would keep records inventory and retention
schedules up to date and:
a. review all retention schedules for records of historical value and ensure that
historical records are retained, preserved, and made accessible.
b. assist in developing security systems, filing systems, management systems,
indexing systems, and retrieval systems;
c. check inactive records management systems and print reports of records that have
met their retention requirements;
d. review the boxes or files of hard copy records on the lists to ensure that they
match the lists;
e. submit lists of records due for destruction to the RM;
f. audit the RIM program as it applies to hard copy records.

3) One records center supervisor, who would:
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a. supervise the records center, including using the records technicians to help when
necessary to fill reference requests, order materials from off site, retrieve and
reshelve records, and accession records;
b. verify invoices from the off-site storage vendor;
c. prepare bid requests for off-site storage vendors and microfilming services;
d. keep and compile statistics on the operation of the records center.

The Police Department records clerks get higher pay than RMD technicians. This results in a
high turnover rate in the RMD and a great deal of time devoted to training new personnel.
Try to reduce staff turnover to cut down on time spent recruiting and training staff and to
retain experienced personnel.
Get the pay of the RMD staff raised to equal or higher than that of the clerks in the Police
Department.
Inactive Records 10 points total
There is a backlog of boxes and folders pulled from records center and sent to departments.
These need to be refiled in the records center. They take up floor space, create a fire hazard,
and hinder retrieval.
Eliminate the backlog to enhance efficiency and provide a safer work area.
Stop delivering records from the records center to departmentshave departments pick them
up, or have the maintenance department deliver them.
Require departments to check out whole boxes rather than pulling files for them. This will
eliminate the need to refile folders when departments return them.
Hire a records center supervisor to manage the work load and do many duties.
Inaccurate invoices from off-site records storage vendor require a great deal of time to review
and get corrected. Take steps to get accurate invoices from the current vendor or a new vendor
in order to save time.
Meet with the off-site records centers accounting supervisor about the problems with the
incorrect invoices. If the problem is not solved, look into changing vendors or storing all
inactive records on site or in another city-run records center. Hire a records center supervisor
to handle verifying the invoices.
The Stormwater Division has stored city records in a rented warehouse. This situation places
the records outside the citys protection and causes security concerns. Work with the staff of
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the Stormwater Division after the complete city-wide records inventory is done to get control
of their inactive records. Send the inactive records to the records center.
Review the records to find those that are past their retention periods. Check with the legal
department to see if the records are involved in litigation or are foreseen to be involved in
litigation. Recommend that records with no connection to litigation be destroyed during the
next round of records destruction.
The microfilming vendor has an unacceptably high error rate in filming. Reviewing the film and
working with the vendor to get corrections made takes a great deal of RMD staff time. Meet
with the manager of the filming department of the microfilm vendor about the unacceptable
high error rate. Stress that accuracy is absolutely vital and that the error rate must approach
zero. Tell the person that if this does not happen, you will have to get the filming done
elsewhere. If the problem is not solved, look into changing vendors or bringing the filming back
in house.
RMD staff is three years behind in scanning city council records. This hampers retrieval and
distribution of these records. Review the scanning process and seek to streamline it.
Recommendations for additional staff elsewhere, if followed, will help free the technicians to
catch up on scanning. Requiring departments to arrange transport for records they request
from the records center should free current staff to scan more of the time. Reducing turnover
can provide longer-tenured, better-trained staff.

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