CCM Documentation & Record Management 3

Question 1

What is the PRIMARY purpose of a records retention schedule in a compliance program?

Accepted Answer

To systematically manage the lifecycle of records from creation to final disposition

Answer

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.

Question 2

Under HIPAA, covered entities must retain documentation of their privacy policies for how long after the policy is in effect?

Accepted Answer

6 years

Answer

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.

Question 3

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?

Accepted Answer

Report the incident per the incident response procedure and attempt recall

Answer

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.

Question 4

What distinguishes a 'vital record' from other organizational records?

Accepted Answer

It is essential to resume operations after a disaster or emergency

Answer

Vital records are those indispensable to the organization's continued operation during or after a disaster, such as incorporation documents, contracts, and financial records.

Question 5

Which of the following is the BEST control to prevent unauthorized alteration of compliance records after they are finalized?

Accepted Answer

Implementing write-once read-many (WORM) storage

Answer

WORM storage prevents any modification or deletion of records after they are written, providing a tamper-evident audit trail essential for compliance.

(CCM) Certified Compliance Manager Practice Test

(CCM) Certified Compliance Manager Practice Test

CCM Documentation & Record Management 3