Practice Test Geeks(CDIA) Certified Document Imaging Architect Practice Test
← All CDIA Flashcard Decks

Compliance Standards Flashcards

7 cards from real CDIA practice questions. Tap to flip, then mark Knew It or Still Learning — missed cards come back until you master them.

Read the first 7 Compliance Standards flashcards as text

  1. The DoD 5015.02-STD (now superseded by related NARA guidance) primarily addressed records management requirements for:

    Answer: Department of Defense electronic records management software

    DoD 5015.02-STD specified design criteria for records management application (RMA) software used within the Department of Defense.

  2. What is a 'disposition authority' in the context of records compliance?

    Answer: Official authorization from NARA or an agency head that governs what happens to records at end of retention

    A disposition authority is the official legal authorization — typically a records schedule — that specifies what must happen to records at end of their retention period.

  3. An organization scanning personnel files must comply with EEOC recordkeeping requirements. What is the general retention period for personnel records related to a terminated employee under EEOC regulations?

    Answer: One year

    EEOC regulations generally require retention of personnel records for one year from the date of the personnel action for terminated employees.

  4. Which technical control in a document imaging system directly supports non-repudiation of electronic records?

    Answer: Digital signatures applied at the time of document creation or capture

    Digital signatures bind the signer's identity cryptographically to the document, making it impossible to deny having signed or created it.

  5. Under SEC Rule 17a-4, broker-dealers storing electronic records must use a storage system that is:

    Answer: Non-rewriteable and non-erasable (WORM) for the required retention period

    SEC Rule 17a-4(f) requires broker-dealers to use WORM (Write Once, Read Many) storage to ensure records cannot be altered or deleted during the retention period.

  6. FERPA (Family Educational Rights and Privacy Act) primarily impacts document imaging systems at educational institutions by governing:

    Answer: Access to and disclosure of students' education records

    FERPA protects the privacy of student education records, controlling who may access them and requiring institutional policies on disclosure.

  7. What is the key difference between a 'record' and a 'non-record' in the context of US federal records compliance?

    Answer: Records document agency functions and activities and are subject to retention schedules; non-records are convenience copies or transitory items

    Under the Federal Records Act, records document official agency activities and require formal management, while non-records (extra copies, drafts, personal notes) do not.