{
  "question_text": "A subpoena arrives with an ambiguous scope. What must you do before proceeding with the response?",
  "options": [
    "Notify counsel before proceeding",
    "Produce only the records that clearly fall within the apparent scope of the subpoena",
    "Return the subpoena to the issuing agency and request a revised version with a clearer scope",
    "Log the receipt and wait for a follow-up contact that clarifies the scope"
  ],
  "correct_answer": "Notify counsel before proceeding",
  "correct_response": "An ambiguous scope is one of two conditions that require you to notify counsel before proceeding. Early counsel involvement prevents procedural errors that expose Advanced Compliance Technology, Inc. to liability.",
  "incorrect_response": "The correct answer is to notify counsel. Two conditions trigger mandatory counsel notification: a return date fewer than 10 business days away, and an ambiguous scope. Proceeding without counsel when either condition applies creates legal exposure for Advanced Compliance Technology, Inc..",
  "unsure_response": null,
  "question_bank": [
    {
      "question_text": "While compiling documents in response to a subpoena, you locate a SAR related to the named customer. What do you do with that document?",
      "options": [
        "Exclude it — SAR and SAR-related information must never be included in any subpoena production",
        "Include it — a properly served subpoena overrides the SAR confidentiality rule",
        "Consult with the requesting agency before deciding whether to include it",
        "Produce it separately under a withholding notation pending court review"
      ],
      "correct_answer": "Exclude it — SAR and SAR-related information must never be included in any subpoena production",
      "correct_response": "Federal law prohibits including any SAR or SAR-related information in a subpoena production. This rule applies regardless of the scope of the subpoena. SAR records must always be excluded.",
      "incorrect_response": "The correct answer is to exclude it. SAR and SAR-related information must never be included in any production — the prohibition is absolute under federal law. No form of legal process, including a subpoena, authorizes SAR disclosure.",
      "unsure_response": null
    },
    {
      "question_text": "After producing documents in response to a subpoena, what must you retain?",
      "options": [
        "Copies of all produced materials and a log entry recording the date produced and a description of the materials provided",
        "The original subpoena only, since produced records are now in the agency's possession",
        "A log entry only — physical copies of produced records are not required",
        "All produced materials for 90 days, after which they may be destroyed per the standard retention schedule"
      ],
      "correct_answer": "Copies of all produced materials and a log entry recording the date produced and a description of the materials provided",
      "correct_response": "Both copies of all produced materials and a completed log entry are required. Copies create a record of what was disclosed. The log entry records the date produced and a description of the materials provided.",
      "incorrect_response": "The correct answer is both copies of produced materials and a completed log entry. Neither one alone is sufficient. Copies create a record of what was disclosed, and the log entry documents when and what was produced.",
      "unsure_response": null
    }
  ],
  "enrichment_content": "<p><strong>Subpoena response steps:</strong></p><ul><li>Verify facial validity: proper court or agency caption, authorized signature, and a return date.</li><li>Notify counsel if the return date is fewer than 10 business days away <strong>or</strong> if the scope is ambiguous.</li><li>Search all records systems — transaction files, CIP records, identification copies, and monitoring logs.</li><li><strong>Never include SAR or SAR-related information</strong> in any production.</li><li>Retain copies of all produced materials and log the completed response, including the date produced and a description of what was provided.</li></ul>"
}