CA Industry Regulations & Compliance 2 — Questions and Answers
Question 1: Under HIPAA, what is the minimum retention period for medical records of adults in the absence of a more stringent state law?
- 5 years from date of service
- 6 years from creation or last effective date (Correct answer)
- 10 years from patient discharge
- Indefinitely until patient death
Correct answer: 6 years from creation or last effective date
HIPAA requires covered entities to retain documentation of their privacy policies and procedures for 6 years from creation or last effective date.
Question 2: Which federal act establishes the framework for managing records of the U.S. federal government, including disposition schedules?
- Presidential Records Act
- Federal Records Act (Correct answer)
- Freedom of Information Act
- National Archives Act
Correct answer: Federal Records Act
The Federal Records Act (44 U.S.C. Chapters 29, 31, 33) establishes the framework for creating, maintaining, and disposing of federal government records.
Question 3: The Sarbanes-Oxley Act Section 802 imposes criminal penalties for destroying records related to what type of proceeding?
- Tax audits
- Federal investigations or bankruptcy proceedings (Correct answer)
- Labor disputes
- Environmental compliance reviews
Correct answer: Federal investigations or bankruptcy proceedings
SOX Section 802 criminalizes knowingly altering, destroying, or falsifying records in connection with federal investigations or bankruptcy proceedings.
Question 4: What does the Uniform Disposition of Public Records Act primarily address?
- Privacy rights of government employees
- State-level authority to schedule and destroy public records (Correct answer)
- Federal preemption of state archival laws
- Digitization standards for public records
Correct answer: State-level authority to schedule and destroy public records
The Uniform Disposition of Public Records Act provides a model framework granting state agencies authority to establish schedules for retaining and destroying public records.
Question 5: Under the Family Educational Rights and Privacy Act (FERPA), how long must schools retain education records after a student's enrollment ends?
- 1 year
- 3 years
- 5 years
- FERPA does not specify a minimum retention period (Correct answer)
Correct answer: FERPA does not specify a minimum retention period
FERPA grants access and privacy rights but does not mandate a specific retention period; retention is governed by state law and institutional policy.
Question 6: Which concept in archives law allows a government to transfer physical custody of records to an archives while retaining legal ownership?
- Alienation
- Deposit (Correct answer)
- Deaccession
- Replevin
Correct answer: Deposit
Deposit allows a government body to place records in an archival repository for safekeeping while the originating agency retains legal title.
Question 7: The General Records Schedules (GRS) issued by NARA apply to which category of records?
- State government records only
- Common administrative records found across all federal agencies (Correct answer)
- Presidential library collections
- Classified national security records
Correct answer: Common administrative records found across all federal agencies
NARA's General Records Schedules authorize disposal or transfer of common administrative records—such as routine correspondence and HR files—found in virtually all federal agencies.
CA Industry Regulations & Compliance 2
Under HIPAA, what is the minimum retention period for medical records of adults in the absence of a more stringent state law?