Records Management & Compliance 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 Records Management & Compliance flashcards as text
What is the Gramm-Leach-Bliley Act's primary relevance to document management?
Answer: It requires financial institutions to protect customers' nonpublic personal information
GLBA requires financial institutions to implement safeguards to protect the security and confidentiality of customers' nonpublic personal information.
Which term describes the process of moving records from active to inactive storage?
Answer: Accession
Accession refers to the transfer of records from one location or custodian to another, such as from active office space to a records center.
Under SOX Section 802, what is the criminal penalty for knowingly destroying documents relevant to a federal investigation?
Answer: Up to 20 years imprisonment
SOX Section 802 imposes criminal penalties of up to 20 years imprisonment for knowingly altering, destroying, or falsifying documents to obstruct a federal investigation.
What is the primary advantage of a taxonomy in an electronic records management system?
Answer: It provides a consistent classification structure for locating and managing records
A taxonomy provides a hierarchical classification structure that enables consistent filing, retrieval, and management of electronic records across the organization.
Which standard provides a framework for managing business records in any format?
Answer: ISO 15489
ISO 15489 is the international standard for records management, providing principles and requirements for creating, capturing, and managing records in any format.
A records manager discovers that employees are storing official business emails in personal folders outside the ERMS. What is the best corrective action?
Answer: Update policy, train staff, and implement auto-classification tools
The best approach combines policy clarification, staff training, and technical controls like auto-classification to bring records into the official system.
What does 'defensible disposition' mean in records management?
Answer: Documenting and following approved retention schedules so destruction can be justified if challenged
Defensible disposition means following documented, approved retention schedules and recording the destruction process so it can be justified legally if ever questioned.