CDT Records Management & Compliance 3

Question 1

What is the Gramm-Leach-Bliley Act's primary relevance to document management?

Accepted Answer

It requires financial institutions to protect customers' nonpublic personal information

Answer

GLBA requires financial institutions to implement safeguards to protect the security and confidentiality of customers' nonpublic personal information.

Question 2

Which term describes the process of moving records from active to inactive storage?

Accepted Answer

Accession

Answer

Accession refers to the transfer of records from one location or custodian to another, such as from active office space to a records center.

Question 3

Under SOX Section 802, what is the criminal penalty for knowingly destroying documents relevant to a federal investigation?

Accepted Answer

Up to 20 years imprisonment

Answer

SOX Section 802 imposes criminal penalties of up to 20 years imprisonment for knowingly altering, destroying, or falsifying documents to obstruct a federal investigation.

Question 4

What is the primary advantage of a taxonomy in an electronic records management system?

Accepted Answer

It provides a consistent classification structure for locating and managing records

Answer

A taxonomy provides a hierarchical classification structure that enables consistent filing, retrieval, and management of electronic records across the organization.

Question 5

Which standard provides a framework for managing business records in any format?

Accepted Answer

ISO 15489

Answer

ISO 15489 is the international standard for records management, providing principles and requirements for creating, capturing, and managing records in any format.

(CDT) Certified Document Technologist Practice Test

(CDT) Certified Document Technologist Practice Test

CDT Records Management & Compliance 3