CDIA Compliance Standards 3 — Questions and Answers
Question 1: The PCI DSS requirement to 'protect stored cardholder data' most directly influences document imaging system design by requiring:
- Color scanning of all receipts
- Encryption of cardholder data at rest and masking of PANs in stored images (Correct answer)
- Retention of all payment records for ten years
- OCR processing of all financial documents
Correct answer: Encryption of cardholder data at rest and masking of PANs in stored images
PCI DSS Requirement 3 mandates protecting stored cardholder data through encryption and truncation/masking of Primary Account Numbers (PANs).
Question 2: Which ISO standard specifically addresses information security management systems (ISMS) and is commonly used to demonstrate compliance controls for document imaging environments?
- ISO 9001
- ISO 14001
- ISO/IEC 27001 (Correct answer)
- ISO 15489
Correct answer: ISO/IEC 27001
ISO/IEC 27001 is the international standard for information security management systems, providing a framework of controls applicable to document imaging.
Question 3: What does 'chain of custody' mean in document imaging compliance?
- The sequence of software approvals needed before deployment
- A documented, unbroken trail of possession and control of a record from creation through disposition (Correct answer)
- The order in which documents are indexed in a repository
- The hierarchy of system administrators who can access encrypted files
Correct answer: A documented, unbroken trail of possession and control of a record from creation through disposition
Chain of custody documents every transfer of possession and control, ensuring records have not been tampered with — critical for legal admissibility.
Question 4: A healthcare organization's document imaging system must implement 'minimum necessary' access controls. This principle originates from which regulation?
- SOX
- HIPAA Privacy Rule (Correct answer)
- GDPR
- FERPA
Correct answer: HIPAA Privacy Rule
The HIPAA Privacy Rule's 'minimum necessary' standard requires limiting access to PHI to only the amount needed to accomplish the intended purpose.
Question 5: Under the Gramm-Leach-Bliley Act (GLBA) Safeguards Rule, financial institutions must do which of the following regarding document imaging systems?
- Convert all documents to PDF/A format
- Implement a written information security program that protects customer financial records (Correct answer)
- Retain mortgage documents for thirty years
- Obtain explicit consent before scanning customer documents
Correct answer: Implement a written information security program that protects customer financial records
The GLBA Safeguards Rule requires a comprehensive written information security program protecting nonpublic personal financial information.
Question 6: Which AIIM standard provides guidance specifically on the management of electronic records in document imaging systems, including capture, indexing, and retrieval?
- ANSI/AIIM MS44
- ANSI/AIIM MS53 (Correct answer)
- ANSI/AIIM TR48
- ANSI/AIIM MS19
Correct answer: ANSI/AIIM MS53
ANSI/AIIM MS53 provides requirements for the management of electronic records, covering capture, processing, indexing, storage, and retrieval.
Question 7: In a document imaging compliance audit, what is the purpose of a 'records inventory'?
- Counting the number of document management system users
- Identifying and cataloging all records series, their formats, locations, and retention requirements (Correct answer)
- Listing all hardware components in the scanning infrastructure
- Auditing OCR accuracy rates across all document types
Correct answer: Identifying and cataloging all records series, their formats, locations, and retention requirements
A records inventory systematically identifies all record series held by an organization, which is the foundation for a compliant retention schedule.
CDIA Compliance Standards 3
The PCI DSS requirement to 'protect stored cardholder data' most directly influences document imaging system design by requiring: