CDIA Compliance Standards 4

Question 1

The DoD 5015.02-STD (now superseded by related NARA guidance) primarily addressed records management requirements for:

Accepted Answer

Department of Defense electronic records management software

Answer

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

Question 2

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

Accepted Answer

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

Answer

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.

Question 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?

Accepted Answer

One year

Answer

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

Question 4

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

Accepted Answer

Digital signatures applied at the time of document creation or capture

Answer

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

Question 5

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

Accepted Answer

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

Answer

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.

(CDIA) Certified Document Imaging Architect Practice Test

(CDIA) Certified Document Imaging Architect Practice Test

CDIA Compliance Standards 4