Documentation & Record Management Flashcards
7 cards from real CCM practice questions. Tap to flip, then mark Knew It or Still Learning — missed cards come back until you master them.
Read the first 7 Documentation & Record Management flashcards as text
Under the Sarbanes-Oxley Act, how long must audit-related records be retained by public companies?
Answer: 7 years
SOX Section 802 requires audit firms and their clients to retain audit and review workpapers for 7 years.
Which metadata element is MOST critical when establishing the authenticity of an electronic record?
Answer: Creation timestamp and author
Creation timestamp and author metadata are the primary attributes used to establish the authenticity and provenance of an electronic record.
A compliance officer discovers that employees are storing sensitive compliance documents in personal cloud storage. What is the PRIMARY risk this creates?
Answer: Loss of organizational control and data governance
Personal cloud storage removes organizational control over access, retention, and deletion, undermining data governance and compliance obligations.
What is a 'litigation hold' (also called a legal hold) in the context of records management?
Answer: A directive suspending normal retention/disposal schedules for potentially relevant records
A litigation hold suspends the routine destruction of records that may be relevant to anticipated or pending litigation, regulatory inquiries, or audits.
Which principle states that records should be maintained in the context in which they were created to preserve their meaning?
Answer: Provenance
The principle of provenance requires that records be kept together with other records from the same creator to preserve their original context and meaning.
An organization uses a document management system that automatically applies retention rules. What term describes this automated process?
Answer: Automated records scheduling
Automated records scheduling uses software to apply pre-defined retention and disposition rules without manual intervention, improving consistency and compliance.
Which of the following best describes 'chain of custody' in compliance documentation?
Answer: A chronological record documenting who handled evidence or records and when
Chain of custody is a documented trail showing the sequence of custody, control, transfer, and analysis of records or evidence to maintain integrity.