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Compliance and Records Management

Documents such as invoices, CV’s or patient records vary in the amount of time for which they should be retained. Failure to keep a document for the required amount of time, or failure to destroy a document after a certain period can both result in non-compliance with data protection, HMRC or other legislation.

With a DCS Solution, retention criteria are applied to applicable documents from the moment of arrival.


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Benefits of Using Document Management Software for Compliance


Reduce the Administrative Effort


Centralise Your Records Management


Keep Time with Automated Alerts


Reduce Risk with Recovery

  • Reduce the administrative effort required in managing employee files through automating your records with 100% accuracy.
  • Free up valuable office space and use it for core business activities and centralise your records management from different offices.
  • Receive automated alerts and customised workflows to better manage your compliance deadlines.
  • Reduce risk with robust disaster recovery and business continuity processes. 
  • Reduce the risk of lost or misfiled documents.
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Practical Applications

Our Compliance Standards


GDPR and Data Protection Act


Credit Control Compliance


BS BIP 008 Compliance


ISO 15489 Compliance


HMRC Compliance

Compliance Consultancy

DCS Ltd are members of the Records Management Society. Our CDIA+ accredited business consultants can help organisations compliance with a range of assessment and audit services, including:

  • Initial assessments to review you current records management system and practices.
  • Gap analysis against best practice guidelines and key regulatory requirements.
  • Implementing document management solutions and setting rules to ensure compliance to regulatory requirements.
  • Making changes to rules set in the software to reflect any changes or new legal requirements.
  • Recommendations for improved records management practice based on a long-term view.

Employee Records

DCS has helped many of its large global clients such as Rothschild Bank, Gate Gourmet and PPG Industries automate routine, paper-based HR processes giving them the benefit of cost-effective HR operations. Scanning and archiving large volumes of employee records is the starting point for automating employee records management.


Freedom of Information Act Objectives

Compliance with handling requests under the Freedom of Information Act 2000 (FOI Act) presents challenges to all UK public bodies, and penalties for non-compliance can be heavy. DCS can help by: 

  • Enabling organisations to meet information requests in the required time – All records are easily accessible, but only to authorised users making retrieval of information quick and easy.
  • Maintaining integrity and security of records with tight user access controls – Only dedicated users with suitable rights can access confidential information reducing the risk of information breaches.
  • Eliminating any manual intervention in flow of documents in business workflow – eliminating manual intervention reduces risk of manual error and information being shared with unintended or wrong user, thus improving security of documents.

HMRC Compliance

Poor recordkeeping is the root cause of around 40% of business tax underpayment cases among SMEs. Keeping records up to date helps you to manage cash flow effectively and maintains good credit. Examples of where advantages can be gained include:

  • Monthly correction and reconciliation of accounts discrepancies – demonstrates serious commitment to a firm grip on finances.
  • Separate record of fixed assets (cars, PCs etc) – their asset numbers are easier to find than a single line item buried amongst uncountable supplier invoices.
  • Comprehensible history of records by year – HMRC checks are interested primarily in recent history, so highlight or separate it.

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Explore Compliance Management Software

Filestore, DCS's electronic document management system comes with several compliance modules to file and track your records ready for audit. Some key features of the modules include:

  • Built-in compliance check lists.
  • Easy-to-configure rules relating to records lifecycle, from declaration to disposal.
  • Ability to configure secure access of records and trace all transactions.
  • Automatically generated audit trail which gives granular details as to who read, downloaded or updated a record. 

The ability to update the module makes responding to changes in records management policy easy to undertake.

FileStore BPM automation software gives you an easy to design Visio based interface where you can define processing rules for different records or record groups.  

The process of creation to destruction of records can be automated with FileStore BPM in compliance with your records management strategy giving you the flexibility to manage millions of records without risk of any process inefficiencies.

Mailmanager digital mailroom is an all-in-one capture, electronic storage and document routing solution. Our digital mailroom has been applied in some of the world' largest global brands such as ExxonMobil and Bentley Motors. It includes the following features:

Traceability - By default, captured electronic documents are searchable and traceable. In the event of a complaint or any kind of audit, all related documents can then be retrieved rapidly. For auditing, digital archived copies can comply with BS BIP008 which gives excellent compliance compared with paper filing cabinet systems.

Legal discovery: The traceability and archiving capabilities of a digital mailroom system mean information can be searched easier. In the event of legal proceedings, this makes the process of disclosure faster and cheaper.

Document handling:  Electronic mailroom technology uses intelligent document recognition to classify incoming documents automatically. Once classified, business rules can then be applied to that document. 

Document retention: With a digital mailroom system, retention criteria are applied to applicable documents from the moment of arrival. Reports on retention requirements can then be generated as desired and warnings can be triggered as the time for retention-related action approaches.

Secure routing: Lost documents or security leakages expose businesses to non-compliance. With a digital mailroom system, when mail arrives it is digitally scanned/logged and routed for electronic delivery. This can avoid situations such as sensitive paper mail items sitting in people’s intrays when they are absent.

Visibility: Digital mailroom workflows enable you to monitor what is being received from different offices and other sources. In addition, the workflow software allows you to generate early management reports. A manager can also identify bottlenecks in staff workloads which may also negatively affect ability to meet regulatory compliance.

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Additional Resources on Compliance


Making Right to Work Checks Easier

Digital documents not only make right to work checks easier but resolve other issues surrounding security and data protection while sharing of employee records. The benefits definetly outweigh the costs.
View the Blog Post

Securitas provides tailor made security services for home, workplace and mobile security. After two acquistions they found themselves inundated with large number HR record files and wanted a better, secure way to manage HR records.

>> Read the Securitas Case Study

Times are changing fast, and with these changes, business managers are realising that they can no longer afford to stay with historical filing systems as their competitors embrace the future. Research has shown that electronic document management frees time, frees office space and increases an organisation’s efficiency – when it’s implemented properly.

 >> Read the Cost Justifying Document Management White Paper

DCS provide solutions for over 400 of the biggest businesses in the world and cover a diverse range of business sectors. Come take a look at our full brochure.

 >> Read the DCS Corporate Brochure

Scan, Archive, Retrieve White Paper

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