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Records Management and Information Governance

Records Management with IDT and OnBase

Records Management automatically controls the retention of your organization’s associated business records securely and according to the retention policies your organization has established.


Typically, retention cycles of a folder are triggered by an event (or the passage of time), which ties records management strategies into organizational business processes. The module provides cutoff periods, retention plans and multiple destruction options. OnBase Records Management also offers exception handling as well as an administrative management interface.

Benefits of Records Management for your Business

  • Enables complete life cycle management from document creation to declaration through its final disposition
  • Improves consistency and precision by managing multiple documents as a single record
  • Automatically declares documents as records using embedded, rules-based conditions
  • Ensures timely disposal of qualified records automatically or after required approval
  • Minimizes legal risks associated with accumulation of expired records
  • Manages all electronic records within an IDT and an OnBase ECM solution

An Innovative Design

Documents, automatically declared as records (Declare), are auto-foldered into a managed folder that is in Open Status (Manage). An Event occurs (Post Event) on the record (folder) (e.g. employee separated, court case closed). When the event is posted, the record is moved to Closed Status, locking the record and preventing modification (Retain). This initiates the Retention Plan for the record. At the end of the retention period, the record, all documents and all metadata are destroyed (Destroy).

Use Cases for

Records Management Services

  • Insurance

    Insurance agencies can use Records Management to efficiently manage all documents associated with an insurance claim. Not only will the agency or broker benefit from event-based retention, but they will also be able to ensure documents have not been altered since the claim was closed. This is especially significant if the claim would be taken to court. The agency or broker can show that all documents existed at a specific point in time and had not been altered since that point.

  • Financial Services

    Lenders can use Records Management to effectively manage all documents associated to a mortgage, installment or commercial loan. Since loans can be closed prior to the end of term, they require event-based retention. Once the loan has been closed, the event will be posted to the managed folder and the retention period will commence.

  • Back Office Operations

    Human Resources departments can use the module to manage all employee records (job applications, medical records, tax returns, etc.) and policy documents. Regardless of employment length, an organization must retain all employee documentation until they have been separated from the company. Once the employee has left the organization, an event will be posted to the managed folder and the retention period will initiate.

GRaaS

What is Information Governance and Governance Rules as a Service?

Governance is about how an organization conducts itself. It encompasses an organization’s policies and actions and includes a framework of rules and practices by which a board of executives and/or its equivalent ensures accountability, transparency, and fairness. Information governance (IG) is about the consistent management of an organization’s informational assets, cohesive policies, guidance, processes, and decision rights for a given area of responsibility. IG includes a framework of rules and practices that may be directly linked to corporate governance.

GRaaS combines a fully researched, web-accessible retention schedule—powered by the Iron Mountain® Policy Center solution—with robust, rules-based automation to apply those same written retention rules directly to documents that reside in your content services platform solution from OnBase and IDT.

Learn More About GRaaS

Why Should Organizations Assess Their Information Governance?

Most organizations are at risk of costly litigation due to noncompliance. Many organizations don’t realize how to go about properly assessing their risk level or how to begin this process. Organizations need to develop an information governance framework to begin solving these problems.

IDT’s Information Governance Assessment Overview

In almost every company, data is doubling each year, and managing all this new data can be a real challenge. IDT’s Information Governance Assessment is designed to help you discover areas of strength and opportunities for improvement. The results will empower you to increase organizational transparency and data integrity while reducing risk. The IDT Information Governance Assessment follows the ARMA International Generally Accepted Recordkeeping Principles® and Information Governance Maturity Model (IGMM). IDT’s assessment is software product agnostic and is not tied to any specific Information Management solution that a company already uses or is evaluating for ownership. As a standard, our assessment identifies the critical hallmarks of information governance and provides both a standard of conduct for governing information and metrics by which to judge that conduct. In doing so, your organization will be able to give assurance to the public and society at large that you are meeting your responsibilities with respect to the governance of information.


Download and read the fact sheet on Information Governance

Information Governance includes a Framework of Rules and Practices that may be Directly Linked to Corporate Governance

HOW IDT’S ASSESSMENT WORKS

During our content services assessment, we conduct a series of targeted interviews, posing strategically designed questions to your key stakeholders and executives. We are specifically looking to evaluate their understanding of the current policies, procedures, and use of tools to manage corporate information.

  • The areas of concern we address:
    • Information Governance (IGP requirements included in FCPA, Sarbanes-Oxley, Dodd-Frank, and COSO)
    • IG roles and responsibilities
    • The alignment of IT with IG
    • Auditing records and information integrity
    • Information security
    • Third-party IG risk
    • Best practices to avoid improper information disclosure
    • Disaster recovery of electronic records
    • IG compliance risks
    • Litigation holds and e-discovery
    • The sufficiency of IG training and documentation

Assessment Deliverable

The outcome of our assessment is a report summarizing the data we collected, our findings, recommendations, and a score based upon the IGMM, which reveals the weaknesses and strengths of your information-handling practices. These initial assessment results provide a map for plotting risk mitigation strategies and a baseline for measuring program improvement. This process ensures accountability through subsequent periodic assessments to monitor progress toward the implementation of appropriate controls.

  • Benefits of IDT’s Information Governance Assessment:
    • Aids in evaluating employees’ understanding of and compliance with policies and procedures
    • Determines whether policies and procedures are consistently applied across the organization
    • Determines the sufficiency of training on policies and procedures
    • Determines the sufficiency of policy and procedure documentation
    • Provides feedback to Senior Management on how to modify employees’ information-handling behavior to achieve desired results
    • Identifies risks that are not effectively mitigated
    • Determines how organizations monitor and document compliance with applicable laws, regulations, and standards
    • Creates the opportunity and impetus for organizational improvement;
    • Validates that investments made in new policies, processes, or electronic software tools achieve the desired results
    • Creates a baseline to enable regular feedback to management, the board of directors, and shareholders

Testimonials

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Moving is very paper-intensive and our agents don’t get paid until the paperwork is processed. Expanding our document capture system with IDT allowed us to speed up agent payment, eliminate shipping costs, reduce central processing, and help increase agent loyalty and recruitment. It is a completely automated process and really gives us a leg up on our competitors.

Randy Valentino

VP and CTO, Bekins Van Lines

Latest Resources

IDT’s clients share our passion for results and it shows in their success. Learn more by reading our featured client results stories. Here you will find a collection of information and resources in the form of videos, events, white papers, Q&A, and have the opportunity to read and watch what our clients are saying about their ROI-driven Content Services solutions provided by Integrated Document Technologies, Inc. (IDT).

Revolutionizing Document Scanning with IoT Technology from CAPSYS

by Paul Szemplinski • 20 August 2023
In today's fast-paced world, the efficiency of document management plays a crucial role in the success of businesses and organizations. Traditional document scanning methods are not only time-consuming but also prone to errors and inefficiencies. Enter CAPSYS, a pioneer in leveraging IoT (Internet of Things) technology to revolutionize the way we approach document scanning and management. In this blog post, we'll delve into the exciting world of IoT-powered document scanning and explore how CAPSYS is leading the way in transforming this essential business process. The Power of IoT in Document Management The IoT has permeated various industries, transforming the way we interact with technology and data. In the realm of document management, IoT technology has brought about a seismic shift in how documents are captured, processed, and utilized. IoT-enabled document scanning solutions, such as those offered by CAPSYS, combine cutting-edge hardware and intelligent software to streamline and enhance document management processes. Real-time Connectivity: Traditional document scanning methods often require manual intervention, leading to delays and potential errors. With IoT technology, devices can be interconnected in real-time, allowing for instant data transfer, updates, and notifications. CAPSYS leverages this connectivity to provide a seamless and efficient document scanning experience. Remote Accessibility: IoT-enabled document scanners can be remotely accessed and controlled, making it possible for employees to initiate scanning processes from various locations. This is particularly beneficial in today's remote and hybrid work environments, where access to physical scanners may be limited. Enhanced Data Accuracy: CAPSYS employs advanced data capture technologies, including Optical Character Recognition (OCR) and Intelligent Character Recognition (ICR), which utilize machine learning algorithms to accurately extract and interpret data from scanned documents. This significantly reduces the chances of human errors and data inconsistencies. Automated Workflows: One of the standout features of IoT-powered document scanning from CAPSYS is the ability to create automated workflows. These workflows can be customized to match the unique requirements of an organization, ensuring that documents are routed to the appropriate departments, individuals, or storage locations automatically. Scalability and Integration: As businesses grow, their document management needs to evolve as well. IoT technology allows CAPSYS to create scalable solutions that can seamlessly integrate with existing software and systems, adapting to the changing needs of organizations without disruption. Security and Compliance: IoT-enabled document scanning solutions prioritize security and compliance. CAPSYS incorporates robust encryption, access controls, and audit trails to safeguard sensitive information and ensure adherence to industry regulations. Environmental Impact: By digitizing documents and reducing the need for physical storage, IoT-powered document scanning contributes to eco-friendly practices and the reduction of paper waste. The CAPSYS Advantage CAPSYS has emerged as a frontrunner in the realm of IoT-powered document scanning solutions. We have taken an innovative approach to leveraging IoT technology in document management has led to numerous benefits for businesses and organizations of all sizes: Streamlined Processes: CAPSYS solutions reduce manual tasks and accelerate document processing, leading to improved operational efficiency.  Cost Savings: By automating workflows and minimizing errors, businesses can achieve significant cost savings in terms of time, resources, and potential legal penalties. IoT Smart Connected Scanning demonstrates a 40-65% cost savings over traditional, MFP, TWAIN-based document capture. Enhanced Customer Experience: Quick and accurate document processing translates to faster response times and improved customer interactions. Future-Proof Solutions: CAPSYS' commitment to innovation ensures that their solutions evolve alongside technological advancements, future-proofing your document management strategies. Superior Image Quality: Perfect Page technology from Kodak Alaris is embedded into each and every IoT Smart Connected Scanning scanning appliance. Perfect Page produces superior image quality that is as good or better than the original. The patented image science technology is using “System on a Chip” architecture that is embedded in the firmware of every IoT Smart Connected Scanning appliance. More on that subject can be found here: https://idt-inc.com/faqs/ The marriage of IoT technology and document scanning offered by CAPSYS has ushered in a new era of efficiency, accuracy, and scalability in document management. By harnessing the power of real-time connectivity, automated workflows, and advanced data capture techniques, businesses can not only streamline their operations but also enhance security, compliance, and overall customer experience. As the digital landscape and digital document transformation continue to evolve, embracing IoT-powered document scanning solutions from CAPSYS is a strategic move that positions your organization at the forefront of innovation and success.

Top 10 Reasons IoT Smart Connected Scanning is the ideal solution for Microsoft 365 SharePoint

by Paul Szemplinski • 1 November 2021
While Microsoft Office SharePoint has been around since 2001, the basic formula for scanning documents into SharePoint has been largely the same for the past 30 years. The document capture experience for SharePoint (as well as other Content Services Platform and ECM solutions) have been primarily driven by PCs and/or MFDs (Multi-Function Devices), tethered connections, software drivers such as TWAIN or ISIS, Thick Client Application Software Installations, Ongoing Patching and Hotfixes, Virus/Malware/Ransomware installation, Training Services for End Users and IT and Network/OS configuration processes conducted by your IT department. The archaic formula is needlessly complex, introduces many points of failure into the process, and is largely expensive. If you are looking for a Fast, Easy, and Economical way to scan and capture your paper-based documents into Microsoft Office 365 SharePoint – then look no further, you are in the right place! Introducing IoT Smart Connected Scanning powered by CAPSYS CAPTURE ONLINE . IoT Smart Connected Scanning powered by CAPSYS CAPTURE ONLINE completely shatters the antiquated 30-year-old formula and has revolutionized the way paper-based documents are captured. Let's dive into the Top-10 reasons on how IoT Smart Connected is revolutionizing the Microsoft Office SharePoint marketplace! An Installation and Deployment process unmatched in the Industry From unboxing the equipment, performing light assembly, powering up, and scanning your custom configured QR code – the entire experience can be completed in just under 5 minutes by non-technical users. No previous MFP or document scanning solution has ever been able to accomplish such a feat. Once that simple installation and deployment process has been completed, you are fully operational! It should be, after all, it's IoT aware, and it's SMART! Archaic and alternative document capture solutions require PCs, application software, software drivers, installation and configuration, anti-malware, anti-virus, anti-ransomware, patching, hotfixes, IT involvement, and ongoing support services. Ease of Use If the 5 minute or less installation and deployment process wasn’t enough to demonstrate simplicity, then how does the end-user experience stack up when interacting with the IoT Smart Connected Appliance? Well, during that 5 minute or less experience, CAPSYS CAPTURE ONLINE behind the scenes already provisioned your SharePoint Document Capture application portfolio on each of your IoT SMART appliances. In other words, we have already delivered an easy-to-use “Single push-button interface” that allows your end-users to begin capturing documents and delivering them to your key line of business applications such as: Accounts Payable/ERP System Human Resources/HRIS system Sales Order Processing Patient OnBoarding Insurance Underwriting Loan Processing And many more! IoT Smart Connected Scanning appliances can even perform outbound faxing services using Retarus’ Global Cloud Fax and Messaging Services . The benefit of our integration with Retarus is now you have a single device that can SCAN and FAX your documents out using a premier cloud-based faxing, SMS, and E-Mail solution provider. Near Realtime Operator Feedback Have you ever experienced after you scanned your documents with your MFP/MFD or tethered PC-based scanning application that your documents never arrived where you expected them to go? Worse yet, you didn’t come to that realization until hours, days or weeks later? With IoT Smart Connected Scanning that won’t happen and here’s why. Unique to the IoT Smart Connected Scanning platform is what we term, “positive user confirmation” capabilities. With IoT Smart Connected Scanning for SharePoint , we can determine - based on your business rules - what makes up an acceptable document submission. For example, if your batch submission requires signatures to be present on documents, or a specific set of document types MUST BE contained in the batch scanning process, we have the ability to detect the existence of those requirements in near real-time. Further, we communicate a meaningful message back on the IoT Smart Connected Appliance user such as an “Accepted” or “Rejected” status. To serve as another example, we can check that a required signature or required document type is missing from the batch. We can even tell you which document type is missing. And, we do all this before the user ever leaves the IoT Smart appliance! Patented Perfect Page Perfect Page - from Kodak Alaris - technology produces superior image quality that is as good or better than the original. The patented image science technology is using “System on a Chip” architecture that is embedded in the firmware of every IoT Smart Connected Scanning appliance. That means no third-party document scanning software applications or third-party licensed image enhancement technology such as VRS, or end-user configuration processes are required. The end result is pristine image quality, images that are ideal for OCR applications all while delivering compact image file sizes that have been optimized for Cloud storage. Nobody else in the industry, no MFP/MFD manufacturer has the Perfect Page enhancement technology. Visit https://www.idt-inc.com/faqs/ and download and read a Perfect Page brochure and watch a quick demonstration to learn more. Blazing Fast, Small Footprint and Superior Paper Handling With IoT Smart Connected Scanning for Microsoft Office 365 SharePoint , you get the ability to capture paper documents of varying weights, shapes, and sizes, simplex, duplex, black and white, color, with a number of different file format options including popular PDF and TIF formats. And, it is fast…. up to 80 pages per minute. Massively Impressive Cost Savings By as much as 40-65%. Yes, you heard that correctly. Why? Because we have eliminated all of the extra IT Tower of Babel layers that needlessly drive the costs upward. The IT Tower of Babel refers to all the layers in between your paper and your business process - PCs, document scanning application software licenses, annual software maintenance, on-premises based installation services, IT ongoing support costs, etc. When you have multiple locations, multiple decentralized capture locations, the cost differential becomes strikingly massive. Remotely Managed Once your custom QR code completes the licensing and provisioning process, your fleet of IoT Smart Connected Scanning appliances for Microsoft 365 SharePoint is fully managed remotely via the Cloud. Application changes to a single IoT Smart Connected appliance or the entire fleet of appliances are made remotely thereafter. Purpose-Built with Security and Chain of Custody in Mind IoT Smart Connected Scanning powered by CAPSYS CAPTURE ONLINE provides optional support for RFID authentication technology using industry standards such as SAML, Active Directory, LDAP, Ping Federate, or other authentication methods. RFID security connects the user to the documents being scanned. The time, place, device, person, and documents are all linked using metadata and all those attributes are carried through the entire capture process. Built into each and every IoT Smart Connected Scanning appliance powered by CAPSYS CAPTURE ONLINE is a unique, dual-channel architecture. The remote management of the IoT Smart appliance is performed on a separate distinct channel from which the documents are being captured upon. Each channel is encrypted at REST and while in transit. This unique, dual-channel architecture provides the kind of security needed to meet the most stringent requirements in today’s Edge Computing environments. A tethered-based scanning solution or even an MFP simply can’t do this. Malware, Virus and Ransomware Resilient PCs and application software are vulnerable to outside threats. PC-driven applications can leak sensitive and proprietary data outside of an organization – intentionally or unintentionally. PC-based, tether-driven scanning application software solutions must be provisioned with a security suite, patched, and monitored not only initially but on an ongoing basis. And, remember the risk and expense to do this for any organization increases by the number of decentralized locations and as well as the number of PC-based tether-driven scanning solutions deployed. IoT Smart Connected Scanning appliances are virus, malware, and ransomware resilient.  Managed Capture as a Service by CAPSYS CAPTURE ONLINE. What makes IoT Smart Connected Scanning the ideal document capture platform for Microsoft 365 SharePoint is it is all powered by CAPSYS CAPTURE ONLINE – a complete Managed Capture as a Service solution provisioned in Microsoft Azure Datacenters – both Commercial and Government Editions. Whether you need to innovative document capture at the End Points of your Business Process using IoT Smart Capture devices, decentralized capture using traditional tethered based devices, centralized capture using 200 pages per minute devices, email ingestion with attachments, or even automated fax capture – CAPSYS Technologies has the ideal Cloud solution for your organization. For more information on IoT Smart Connected Scanning powered by CAPSYS CAPTURE ONLINE please visit https://www.capsystech.com .

A Problem | Solutions Brief from CAPSYS Technologies and Kodak Alaris

by Paul Szemplinski • 20 May 2021
I. Situation: The Nightmare That Is Shared Email Whether your organization is— Public, private, a government agency, or a not-for-profit entity In the healthcare, insurance or higher education marketplace A manufacturer, distributor, operate in the logistics field, or a very large Global 2000 company Or a small to mid-sized organization You are likely feeling the pain and bad daytime dreams that accompany Shared Email Box use within your organization. There is an influx of emails that arrive at your organization addressed to a mix of real-recipient and alias-recipient inboxes. Addresses such as AccountsPayable@xyz.com, salesorders@xyz.com, claimsadjudication@xyz.com, info@xyz.com or customerservice@xyz.gov or .org. There is no real identifiable “person” assigned to the other side of these mailboxes—at least from the sender’s perspective. Internally, on the receiving side, you do have at least one person, sometimes an entire “SWAT” team accessing these real and aliased email addresses—known as the “Shared Email Boxes.” Unfortunately, this often creates a free-for-all approach in terms of who works inbound emails and how they are handled. It’s a process that could use improvement, but it’s difficult to know where to begin. Team members are responsible for identifying which items belong to whom, working the item to its completion, and then moving that “finished” item out of the inbox into a Shared Email Box subfolder, to differentiate email items that are unread, inflight, or email items that have actually been completed. We know the process of accessing a Shared Email Box is all manual—an ad-hoc, people-driven approach (prone to error) to working the items in the Shared Email Box, and there is no genuine accountability. You may even have gotten a bit clever and... Download and Read the full post at: https://bit.ly/3ykXDx9
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