Managed Services

Records Management & Information Governance

Implement an Effective Records and Information Governance Program

If increased regulatory and data protection mandates are causing data governance, risk and compliance challenges at your organization, you are not alone. Litigation in connection with cyberattacks, products liability, antitrust, foreign corruption, environmental protection, and misclassification of workers has touched virtually every industry.

How are other businesses responding to these challenges? By implementing advanced records management and information management strategies that govern information and help them comply more effectively with legal and regulatory obligations.

Managing information and tracking records through their lifecycle from creation to ultimate disposal or permanent archive is not easy, but at Canon Business Process Services, we know what you’re up against. We work with the world’s leading law firms and corporations to design, implement and staff records and information management programs that address paper and digital formats, security, retention policies and legal holds. We provide the people and expertise needed to help organizations manage physical and digital records. We also provide the necessary governance for internal IT teams about where the data is located, who has access to it and what security levels are need to be put in place both internally and externally.

Our experts work side by side with clients and their legal counsel to assess practices, educate and train employees, and implement change that leads to a legally defensible records management program.

We start with a Records Needs Assessment. Then Canon provides trained staff to manage active file rooms and/or off-site stored records as well as implement procedures for circulation control, storage, retrieval, and archiving. They can digitize records—including scanning, indexing, and OCR. Finally, we inventory and securely destroy records when dictated by your company’s retention schedule. Canon reviews, creates, and updates your company’s records retention schedule and archives critical information, converting it from paper to digital or microfiche format if necessary.

As a full service company, we design and implement a records classification system that spans electronic and physical records. Recognizing that most information is created and shared digitally, Canon provides you with flexible, custom services. We have experience managing client information and applying the appropriate taxonomy and retention schedules to prevent chaotic repositories. We help clients ensure the data is accessible while enabling IT departments to permanently data archive or delete it at appropriate times.

The Records Assessment: Know Your Vulnerabilities

One of the best ways to get a handle on the strengths and weaknesses of your information governance program is to start with a Records Assessment. At Canon, we work with clients to assess the state of their records management programs, and identify and close gaps between their current records process and one that better meets industry standards.

The Canon Records Assessment methodology is guided by ARMA International’s eight guiding recordkeeping principles and by the experience of Canon industry-certified records managers who work with clients across regulated and government environments. The Canon Records Assessment consists of a qualitative and quantitative review, and we use ARMA’s Maturity Model as a benchmark for evaluating client records management programs. This approach helps clients understand the full scope of their records environment across paper and electronic records.

The benefits of a Canon Records Assessment include:

  • Identification of potential vulnerabilities arising from current records management practices, and recommendations for mitigating risk
  • Ranking of your organization’s records management maturity level
  • Identification of gaps in technology or processes that can help improve your records practices
  • Documented recommendations of next steps necessary for training, or for future Records and Information Management initiatives within your organization

Canon Expertise and Leadership

Expertise and leadership in records management are recognized by the number of certifications a service provider supports and invests in. Canon solutions engineers frequently speak at ARMA and other industry conferences and they are well versed in national and international standards including ISO 15489-1:2001.

We pride ourselves on delivering high quality results to our customers. Our skilled team of experts have a combined total of over 125 certifications ranging from technology systems, imaging and project management certifications.

Leverage Our Records Management Expertise

Our analysts are ready to undertake your records project from initial planning to completion. Canon’s expertise includes:

  • Relocation or consolidation of file room(s) and records
  • Business transaction support—review, cleanse, index, and digitize selected records to be transferred as part of a divestiture or acquisition
  • Discovery and litigation support records reproduction and Bates labeling

Leveraging our Records and Information Management Services will benefit your company exponentially. Risk arising from inadequate records management practices becomes greatly reduced, as does the cost of litigation and settlement because you will have the ability to quickly access records when needed. Storage costs diminish, and you no longer need to worry about enforcing the day-to-day records activities according to policy; destruction, and consistent information classification are all handled by our trained staff.

Additionally, identifying records needed for research, audits, discovery, or investigations becomes simple. Your customer satisfaction improves due to the accuracy of your records, and meeting regulatory compliance becomes seamless. We implement records best-practices and technologies to enforce, secure, and protect your company’s records.

Success Stories
Finding records in record time
One of Connecticut’s oldest institutions of higher education had a legacy of academic excellence dating back over 100 years—but after a century of collecting paper files, the university needed a more modern way of managing records. Canon Business Process Services introduced technology to digitize millions of files and enable the university to retrieve, manage, and protect the files long into the future.
We are here to help solve your records challenges.

Melissa 33

"For the past several decades companies of all sizes across every industry have realized the need to implement a proper records management program to ensure legislative compliance, minimize their litigation risks and streamline document based storage requirements. Our clients benefit from our many years of experience in records and document management. We work closely with the client's internal teams on the initial records needs assessment through implementation and then take on the ongoing management of the program."

Melissa C.
Senior Director, Information Governance Solutions

Discover Your Records Management Maturity Level

Understanding the vulnerabilities arising from records management practices starts with knowledge of records and information governance practices. Our evaluation methodology based on the ARMA International model examines the records practices on the following eight principles. 

Accountability—Does a senior executive oversee the record keeping program? Does the organization have policies and procedures to guide records management personnel? Is the records program audited?
Transparency—Are the records processes and activities documented properly? Are they available to all personnel and interested parties?
Integrity—Are the records and information being generated authentic and reliable?
Protection—Does the record-keeping program ensure a reasonable level of protection to records and information that are private, confidential, privileged, secret, or essential to business continuity?
Compliance—Does the record-keeping program ensure compliance with applicable laws, regulatory authorities, industry standards, as well as the organization’s policies?
Availability—Are the records maintained in a manner that ensures timely, efficient, and accurate retrieval of needed information?
Retention—Are the records retained for the appropriate amount of time?
Disposition—Are the records destroyed in a secure manner when they are no longer required to be maintained by applicable laws and the organization’s policies?

Through interviews, workshops, and surveys, we work with clients to uncover both the good and bad records maintenance practices.

Retention Schedule

A comprehensive information management program is essential to good business practices. 

Business information, documents and records, are among the most vital strategic and operational assets of any organization. Efficiently managing these assets is essential for effective governance, risk management, reputation protection and strategic decision-making.

A current records retention schedule is the foundation of a sound and defensible records and information management program. Canon consultants simplify the complex and time-consuming task of creating one with their retention schedule development methodology and toolkit. While records retention sounds reasonably straightforward, it will take most organizations a considerable amount of time and money to do it right.

In today’s regulatory environment, many more records need to be retained for the proper amount of time, in the correct format, and in the most secure manner to remain in compliance with governing requirements such as GDPR, Sarbanes-Oxley, SEC 17a, HITECH, HIPAA, USA Patriot Act and Federal Rules of Civil Procedure. The necessity for a records retention schedule goes well beyond ensuring that records are retained and dispositioned in compliance with applicable laws and regulations by also focusing on business and operational requirements. A records retention schedule acts as an organization’s safe harbor during litigation. Organizations that have implemented a documented retention schedule demonstrate a good faith effort when disposing of records or maintaining them past retention requirements as part of evidence collected by defense or law enforcement agencies. Anything and everything that is defined by the organization to be a record, irrespective of type, format or media, should have a corresponding mapping to the retention schedule. 

An effective information management program includes the following:

  • Policies and procedures to create and store records in both paper and electronic format that are visibly supported by executives, including the CEO, CFO and CIO
  • Documented records retention schedule that lists records series and the expected retention period in months and years based on legal, regulatory and best practices
  • Organizational file plan that lists primary records types by functional unit so that information can be located without dependence on any one employee
  • Format-neutral taxonomy with meaningful naming conventions so that records are consistently labeled across all business units
  • Vital records program that identifies and protects those records that are critical for immediate restart of an organization’s business process after a disaster
  • Comprehensive records management implementation and training program
  • Dedicated hardware/software electronic records system repository where employees store electronic documents for long-term retention based on a records retention schedule and business rules
  • Periodic audits and an ongoing enforcement vehicle to assess the clarity of procedures and training effectiveness

We partner with organizations to develop best practices in records retention schedule development, which will mitigate risk associated with eDiscovery, litigation and security breaches while improving business processes and reducing environmental impact.  Speak with Canon today to learn more.

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