CA Industry Regulations & Compliance 3 — Questions and Answers
Question 1: What is the primary purpose of a litigation hold (legal hold) notice in the context of records management?
- To accelerate scheduled destruction of non-relevant records
- To suspend routine disposition of records potentially relevant to litigation (Correct answer)
- To transfer custody of records to opposing counsel
- To encrypt sensitive records during discovery
Correct 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.
Question 2: Under the Electronic Freedom of Information Act Amendments of 1996 (E-FOIA), agencies are required to make what types of records available electronically?
- Only classified records upon declassification
- Frequently requested records and reading room materials (Correct answer)
- All records older than 25 years
- Only records requested by members of Congress
Correct 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.
Question 3: The Privacy Act of 1974 applies to which type of entity?
- Private corporations with more than 500 employees
- Federal agencies maintaining systems of records on individuals (Correct answer)
- State governments receiving federal funding
- Healthcare providers billing Medicare
Correct 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.
Question 4: Which standard provides a framework for information security management systems and is relevant to protecting archival records?
- ISO 15489
- ISO 27001 (Correct answer)
- ISO 9001
- ISO 14721
Correct 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.
Question 5: What does the term 'chain of custody' mean in the context of archival records and legal compliance?
- The sequence of archivists who processed a collection
- The documented chronological transfer of records maintaining their integrity and authenticity (Correct answer)
- The hierarchical chain of command authorizing records destruction
- The order in which records must be digitized under federal law
Correct 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.
Question 6: Under the Americans with Disabilities Act (ADA), which records must employers retain and for how long?
- Medical records for 10 years after employment ends
- Personnel and employment records for at least 1 year (Correct answer)
- Payroll records for 7 years
- Safety training records for 5 years
Correct 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.
Question 7: Which principle in international archival law holds that records created by a government entity that absorbed another should remain with the successor entity?
- Pertinence
- Territorial provenance (Correct answer)
- Respect des fonds
- Functional pertinence
Correct 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.
CA Industry Regulations & Compliance 3
What is the primary purpose of a litigation hold (legal hold) notice in the context of records management?