Industry Regulations & Compliance Flashcards

What is the primary purpose of a litigation hold (legal hold) notice in the context of records management?

Answer: To suspend routine disposition of records potentially relevant to litigation

A litigation hold suspends the normal retention schedule to preserve records that may be relevant to anticipated or pending litigation, preventing spoliation.

Under the Electronic Freedom of Information Act Amendments of 1996 (E-FOIA), agencies are required to make what types of records available electronically?

Answer: Frequently requested records and reading room materials

E-FOIA requires agencies to make frequently requested records and electronic reading room materials available online without a formal request.

The Privacy Act of 1974 applies to which type of entity?

Answer: Federal agencies maintaining systems of records on individuals

The Privacy Act of 1974 restricts how federal agencies collect, maintain, use, and disseminate personally identifiable information in systems of records.

Which standard provides a framework for information security management systems and is relevant to protecting archival records?

Answer: ISO 27001

ISO 27001 is the international standard for information security management systems and is used to protect sensitive information, including archival records, from unauthorized access.

What does the term 'chain of custody' mean in the context of archival records and legal compliance?

Answer: The documented chronological transfer of records maintaining their integrity and authenticity

Chain of custody documents every person or organization that handled records, establishing authenticity and integrity—critical for records used as legal evidence.

Under the Americans with Disabilities Act (ADA), which records must employers retain and for how long?

Answer: Personnel and employment records for at least 1 year

The ADA requires employers to retain personnel and employment records for at least 1 year from the date of making the record or taking the action, whichever is later.

Which principle in international archival law holds that records created by a government entity that absorbed another should remain with the successor entity?

Answer: Territorial provenance

Territorial provenance holds that records follow the territory—when governmental succession occurs, records of the predecessor remain with the successor state or entity governing that territory.