Implementation & Configuration Flashcards
7 cards from real CDT practice questions. Tap to flip, then mark Knew It or Still Learning — missed cards come back until you master them.
Read the first 7 Implementation & Configuration flashcards as text
During a DMS implementation, a CDT must configure the system to handle both physical and electronic records. What is the primary configuration requirement for physical record tracking?
Answer: A location/charge-out tracking module must be configured to record where physical records are filed or checked out
Physical records management requires a location and charge-out tracking module that records the physical storage location and who currently has custody of the original document.
When configuring a DMS for an organization subject to SEC Rule 17a-4, which storage configuration is specifically required?
Answer: Non-rewriteable, non-erasable (WORM) storage to prevent alteration of required records
SEC Rule 17a-4 requires broker-dealers to store electronic records on WORM media or equivalent systems that prevent any alteration or deletion of required records.
A CDT configuring a document capture workflow notices that double-fed pages are causing missing pages in scanned batches. Which scanner configuration setting should be enabled to address this?
Answer: Enable the ultrasonic multi-feed detection sensor to halt scanning when double-feeds occur
Ultrasonic multi-feed detection identifies when two pages pass through the scanner simultaneously and stops the feed, alerting the operator to the error before pages are missed.
When configuring notifications in a DMS workflow, what is the advantage of configuring event-driven notifications over time-based polling notifications?
Answer: Users receive immediate alerts when a workflow event occurs, reducing latency compared to periodic polling intervals
Event-driven notifications trigger instantly when an action occurs, while polling checks for changes on a schedule, introducing a delay equal to the polling interval.
A CDT is configuring a DMS to support a legal hold process. Which system behavior must be configured to ensure legal hold integrity?
Answer: Retention policies and deletion rules must be suspended for documents tagged with an active legal hold
Legal holds require that normal retention and disposition rules be suspended so that documents relevant to litigation or investigation cannot be destroyed per routine schedules.
When implementing a DMS, a CDT must configure the system's disaster recovery (DR) settings. What recovery time objective (RTO) configuration parameter defines?
Answer: The maximum acceptable duration of system downtime before the organization suffers unacceptable business impact
RTO defines how quickly systems must be restored after a failure; the DR configuration must ensure recovery mechanisms can meet this time target.
A CDT is configuring document templates within a DMS to support a forms management program. Which configuration ensures completed forms are automatically routed for approval after submission?
Answer: Linking the form template to a workflow trigger that initiates a routing process upon document submission
Connecting form templates to workflow triggers enables the DMS to automatically initiate a routing and approval process as soon as a form is submitted, eliminating manual routing steps.