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
What is the PRIMARY purpose of a records retention schedule in a compliance program?
Answer: To systematically manage the lifecycle of records from creation to final disposition
A records retention schedule governs the full lifecycle of records, specifying how long each record type must be kept and how it should be disposed of.
Under HIPAA, covered entities must retain documentation of their privacy policies for how long after the policy is in effect?
Answer: 6 years
HIPAA requires covered entities to retain written privacy policies and related documentation for 6 years from the date of creation or the date it was last in effect, whichever is later.
A document is marked 'Draft - Do Not Distribute.' An employee emails it externally by mistake. From a compliance standpoint, what FIRST action should be taken?
Answer: Report the incident per the incident response procedure and attempt recall
A data or document incident must be reported and an attempt made to recall the document per the organization's incident response procedure to limit exposure.
What distinguishes a 'vital record' from other organizational records?
Answer: It is essential to resume operations after a disaster or emergency
Vital records are those indispensable to the organization's continued operation during or after a disaster, such as incorporation documents, contracts, and financial records.
Which of the following is the BEST control to prevent unauthorized alteration of compliance records after they are finalized?
Answer: Implementing write-once read-many (WORM) storage
WORM storage prevents any modification or deletion of records after they are written, providing a tamper-evident audit trail essential for compliance.
In records management, what does 'disposition' refer to?
Answer: The final action taken on a record at the end of its retention period
Disposition refers to the final action taken on a record at the end of its retention period, which may include destruction, transfer to archives, or permanent preservation.
A financial institution must retain customer transaction records for regulatory purposes. Which regulation primarily governs this requirement in the US?
Answer: Bank Secrecy Act (BSA)
The Bank Secrecy Act requires financial institutions to retain transaction records, including Currency Transaction Reports, for five years to support anti-money laundering efforts.