RCA Regulatory Compliance & Licensing 2 — Questions and Answers
Question 1: Under GDPR, which Relativity feature is most critical for honoring a data subject's 'right to erasure' request?
- Persistent highlight sets
- Data purge and legal hold release workflows (Correct answer)
- Processing deduplication
- Review batching
Correct answer: Data purge and legal hold release workflows
Data purge workflows combined with releasing legal holds allow organizations to permanently delete a data subject's information as required by GDPR's right to erasure.
Question 2: Which Federal Rule of Civil Procedure most directly governs the timing and scope of e-discovery meet-and-confer obligations?
- FRCP Rule 34
- FRCP Rule 26(f) (Correct answer)
- FRCP Rule 37(e)
- FRCP Rule 45
Correct answer: FRCP Rule 26(f)
FRCP Rule 26(f) requires parties to confer early in litigation to discuss ESI preservation, form of production, and discovery issues.
Question 3: A Relativity administrator is asked to configure workspace permissions to comply with HIPAA's minimum necessary standard. Which approach best satisfies this requirement?
- Grant all reviewers workspace admin rights for efficiency
- Apply item-level security so reviewers only access PHI relevant to their review tasks (Correct answer)
- Disable audit logging to reduce PHI exposure in logs
- Store all PHI documents in a single folder without restrictions
Correct answer: Apply item-level security so reviewers only access PHI relevant to their review tasks
HIPAA's minimum necessary standard requires limiting access to PHI to only what is needed for a specific task, which Relativity enforces through item-level security.
Question 4: In Relativity's licensing model, what happens when a workspace exceeds the contracted data volume (GB) limit?
- The workspace is automatically archived
- Processing jobs are permanently disabled
- Relativity continues to function but the organization may incur overage charges per their contract (Correct answer)
- All active review sessions are immediately terminated
Correct answer: Relativity continues to function but the organization may incur overage charges per their contract
Exceeding contracted data volume typically results in overage charges per the licensing agreement rather than a hard system shutdown.
Question 5: Which Relativity audit log field is most important when demonstrating chain of custody compliance to opposing counsel?
- User action timestamp and artifact ID (Correct answer)
- Processing worker node name
- OCR engine version used
- Batch set name
Correct answer: User action timestamp and artifact ID
The combination of user action, timestamp, and artifact ID in the audit log establishes an unbroken chain of custody showing who accessed or modified a document and when.
Question 6: Under SEC Rule 17a-4, broker-dealers using Relativity for records retention must ensure stored records are:
- Encrypted with AES-256 and rotated every 90 days
- Non-erasable and non-rewritable (WORM compliant) for the required retention period (Correct answer)
- Accessible only to FINRA-registered administrators
- Compressed to reduce storage costs before archiving
Correct answer: Non-erasable and non-rewritable (WORM compliant) for the required retention period
SEC Rule 17a-4 mandates WORM (Write Once Read Many) storage to prevent alteration or deletion of regulated records during the required retention period.
Question 7: A Relativity environment hosted in RelativityOne is certified under which compliance framework that validates cloud security controls?
- PCI DSS Level 4
- SOC 2 Type II (Correct answer)
- ISO 9001
- CMMC Level 1
Correct answer: SOC 2 Type II
RelativityOne maintains SOC 2 Type II certification, which independently validates the operational effectiveness of its security, availability, and confidentiality controls.
RCA Regulatory Compliance & Licensing 2
Under GDPR, which Relativity feature is most critical for honoring a data subject's 'right to erasure' request?