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Improving Regulatory Compliance with ECM

Whether your compliance challenges are associated with

Sarbanes-Oxley (SOX)	HIPAA	FERPA
Gramm Leach Bliley (GLBA)	Open Records Laws	the SEC
the USA Patriot Act	Model Audit Rule	CFR Part 11
the Freedom of Information Act	the Data Protection Act	or other regulations

DocFinity can help you ensure that your regulatory demands are met.

DocFinity allows you to implement practices to ensure continued corporate compliance, improve electronic audits, or even facilitate an initial new round of compliance measures. It offers the ability to implement, test, verify, and automate your compliance plan, providing thorough protection, confidentiality, security, documentation, and audit trails.

Ensure privacy and security of customer information — Enact privacy, security, and accountability measures on any document that contains a person’s identifiable information, including e-mail, electronic, fax, scanned paper documents, voicemail, and phone conversations. The ability to store, access, and secure your documents—as well as perform detailed audit trails—in a secure, centralized repository helps organizations’ compliance efforts significantly.

Produce records upon request — Whether you need to comply with a company audit, an e-discover request, Open Records, or Right-To-Know regulations, DocFinity helps organizations produce records immediately upon request. You can even make documents available on the Internet, expediting access both internally and to the public.

Manage records — Records management capabilities allow you to set default retention schedules, backups, audit trails, data migration, destruction schedules, etc.

Automate compliance procedures — Automate retention and destruction schedules, as well as renewal of documents such as contracts. Automation allows you to standardize your processes and removes the potential for human error.

Implement and document internal controls — Validate the accuracy and integrity of financial management and to establish procedures for reporting obligations. Business process management (BPM) software enables organizations to establish audit trails to monitor access to financial documents; apply security precautions to limit user rights related to document alteration; implement retention/destruction schedules; and archive final forms of documents.

Enact disaster recovery — A centralized, tamper-proof repository ensures the accuracy and quality of archived information. DocFinity also allows you to electronically create backups of documents in the event of a business catastrophe.

The DocFinity suite can help you comply with government regulations, no matter what your size or industry. Contact us for additional information regarding ways in which ECM can improve your business processes.