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 key difference between a 'record' and a 'document' in compliance management?
Answer: A record is evidence of a past activity; a document is working information subject to change
A record is fixed evidence of a completed business transaction or activity, while a document is working information that can still be revised or updated.
Which of the following is an example of a tertiary record storage method?
Answer: Off-site archival vault with slow retrieval
Tertiary storage refers to off-site, rarely-accessed archival storage with slow retrieval times, used for records that must be retained but are seldom needed.
An auditor requests records for a period that falls within a litigation hold. The organization's retention schedule would normally call for those records to be destroyed. What should happen?
Answer: Preserve the records in accordance with the litigation hold and provide them to the auditor
A litigation hold supersedes the retention schedule; records must be preserved and can be provided to the auditor while the hold remains active.
What is 'e-discovery' in the context of compliance and records management?
Answer: The process of identifying, collecting, and producing electronically stored information in response to legal requests
E-discovery is the process of identifying, preserving, collecting, processing, and producing electronically stored information (ESI) for litigation, investigations, or audits.
A compliance team implements a 'clean desk policy.' What records management objective does this PRIMARILY support?
Answer: Preventing unauthorized access to sensitive documents left unattended
A clean desk policy prevents unauthorized individuals from viewing or accessing sensitive documents left unattended, supporting physical information security.
Under the Federal Rules of Civil Procedure (FRCP), what is a party's obligation regarding electronically stored information (ESI) when litigation is reasonably anticipated?
Answer: The party must suspend routine ESI destruction and preserve potentially relevant information
The FRCP imposes a duty to preserve ESI as soon as litigation is reasonably anticipated, requiring suspension of normal deletion or overwriting processes.
Which of the following BEST describes a 'records management policy'?
Answer: A high-level governance document that defines principles, responsibilities, and standards for managing records
A records management policy is a governance document establishing organizational principles, roles, responsibilities, and standards that guide all records management activities.