Improve Efficiency and Reduce Risk with Records Compliance
Recent events have shown that letting such records remain status quo comes with dramatic risk, either when relying on historical documentation for integrity analyses, or when retrieving records promptly to respond to a regulatory investigation or litigation matter.
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Records Compliance Services
Traceable, verifiable, complete, and reliable records start with a solid records management program, one that is “best fit” for your organization’s goals and constraints.
A records management program guides organizations in defensibly and effectively identifying what should be retained, for what length of time, and in what format to balance ease of access and cost considerations. Celerity can assist with the following initiatives:
- Benchmarking Current Performance. Celerity utilizes ARMA’s Information Governance Maturity Model to evaluate company recordkeeping performance and establish a realistic and defensible roadmap for improvement. Using this model, we conduct a series of interviews to ascertain current behavior and desired goals. We also discuss a range of possible tactics to improve the organization’s information governance standing, accounting for industry-specific factors, such as the prevalence of regulatory oversight, critical infrastructure risk, and the need to make data traceable, verifiable, complete and reliable. Based on this input, we provide a numeric performance grade and target, backed by qualitative findings and recommendations.
- Performing a Records Inventory: Through a series of targeted, departmental interviews, Celerity will identify the key records series within the company, along with important metadata such as owner, format, organization, volume, access requirement and more. This data is summarized and provided to management along with recommendations on how to address immediate concerns and the best path for developing or improving the RIM program. Often, we use both an online survey and in-person follow-up to achieve both the depth and breadth of input required to ensure diligence.
- Creating an ESI Data Map: Typically performed as part of the records inventory, Celerity will work with the IT team to map the network topography and identify official data storage locations. In addition, Celerity can utilize network analysis tools and physical media sampling to identify additional data types, volumes and locations. These findings feed into recommendations on improving overall records management and may identify some top-line improvements to email archiving and data file management.
- Drafting the Policy and Retention Schedule: A records management policy is the foundation of a solid RIM program. It mandates the importance of proactive management and provides an operational framework, including definitions, roles and responsibilities, applicable laws and standards and related policies (e.g., privacy, security). A records retention schedule details how long records should be kept – and when they should be disposed. Utilizing input from high-level interviews, the records inventory and ESI data map, Celerity creates the schedule by grouping similar records and assigning appropriate retention periods based on legal, regulatory and business needs. Celerity then works with counsel to revise, finalize and approve both key documents.
- Training the Organization: The most significant challenge to implementing a records management solution is the behavioral change required, a targeted and effective training program is essential. Based on learnings from the interviews and our experience with change management and training support, we can devise a mix of incentives and curricula for each end user type, from the C-suite to administrative and technical staff, to ensure successful program adoption
Gathering, organizing, and converting documents to improve access, comply with RIM program requirements, or support an analysis or initiative.
- Collection: Over the years, Celerity has collected millions of pages from a wide variety of records, including timecards, plat maps, inspection records, maintenance records, business contracts, customer contracts, invoices, aperture cards, easement agreements, engineering specifications and many more. Our electronic data records collection team includes EnCase-certified consultants who have handled massive computer imaging and targeted ESI collections in a forensically sound manner.
- Conversion: When deploying a new technology that requires legacy records to be integrated, when the cost of storing paper records is high, or when a copy of records is needed for disaster recovery purposes, companies may be faced with the need to convert large amounts of paper to digital format. Celerity offers scanning, OCR, and ESI processing services to capture document images and the metadata needed to properly catalogue them. In addition, Celerity can perform attribute coding to extract additional information for improved search, retrieval and analysis.
- Disposal: Celerity helps teams identify paper and digital record populations that can be disposed. This may be based on the records retention schedule or an awareness that redundant documents exist. If necessary, Celerity can conduct a review to determine where the target documents reside or an analysis to confirm redundancy. Celerity can also provide certificates of destruction to comply with recordkeeping guidelines.
Examination of records to assess quality and research and resolve issues.
We often start by performing a gap analysis to determine a population’s completeness. This may indicate one or more missing documents, which we can also research and resolve.
We also help by reviewing the processes of creating, maintaining, retrieving, and archiving records to determine potential issues and corrective actions.
Lastly, we help with ascertaining the accuracy of the records themselves. We usually recommend starting with statistical sampling to estimate the quality of a document population, but also can support census-based review where needed.
Once the review set is determined, we review documents for completeness, typically for signatures or required form fields, ideally tracing data to a separate source to confirm accuracy. We can perform a hard copy or an online records review at your site or at our facilities, which accommodate 40 online review workstations.
Our online review application, Oliver, can be easily customized to suit the needs of a particular document matter.