Compliance & Retention Management
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Compliance Overview
Ademero provides comprehensive tools to meet regulatory requirements and manage document retention across your organization.
Supported Regulations
Built-in support for major compliance frameworks:
Why Compliance Management Matters
Effective compliance and retention management protects organizations from regulatory penalties, legal liability, and operational disruptions while ensuring business continuity. Organizations failing to implement proper document retention and compliance controls face significant risks including regulatory fines averaging $14.82 million per violation for major frameworks like GDPR and HIPAA, legal discovery failures that result in adverse court rulings and sanctions, operational inefficiencies where employees waste hundreds of hours searching for documents that should have been retained, and reputational damage when compliance failures become public through regulatory enforcement actions or data breach notifications. Automated compliance management eliminates manual tracking errors that lead to violations, ensures consistent policy application across all departments and locations, provides audit-ready documentation that demonstrates regulatory compliance to examiners, and enables proactive risk management by identifying compliance gaps before they escalate into violations requiring remediation and disclosure.
Retention Policies
Automated retention management ensures documents are kept for required periods and disposed of properly.
Creating Retention Rules
Define retention policies based on document type, metadata, or regulatory requirements:
Retention Schedules
Common retention periods by document type:
| Document Type | Retention Period | Regulation |
|---|---|---|
| Tax Records | 7 years | IRS |
| Employee Records | 7 years after termination | DOL |
| Medical Records | 7-10 years | HIPAA |
| Contracts | Active + 7 years | General |
| Financial Statements | Permanent | SOX |
| Meeting Minutes | Permanent | Corporate |
| Invoices | 7 years | IRS |
| 3-7 years | Varies |
Retention Actions
Automated actions when retention period expires:
Legal Hold Management
Preserve documents for litigation or investigations.
Implementing Legal Holds
Steps to place documents under legal hold:
Legal Hold Features
Capabilities for legal hold management:
Matter Management
Organize legal holds by matter:
// Legal hold matter structure
{
"matterId": "LH-2024-001","name": "Acme Corp vs. Example Inc","created": "2024-01-15","custodians": ["john.doe", "jane.smith"],"keywords": ["project alpha", "contract"],"dateRange": {"start": "2023-01-01","end": "2023-12-31"},
"documentsOnHold": 1234,"status": "Active"
}Audit Trail Management
Comprehensive audit trails for compliance demonstration.
Audit Events
All actions are logged with detailed information:
| Event Type | Details Captured | Retention |
|---|---|---|
| Document Access | User, time, IP, action | 7 years |
| Permission Changes | Admin, target, before/after | 7 years |
| Content Modifications | User, changes, version | 7 years |
| Deletion Attempts | User, reason, approval | Permanent |
| Login/Logout | User, IP, session duration | 1 year |
| Configuration Changes | Admin, setting, value | 7 years |
Audit Reports
Generate compliance reports:
Privacy Compliance
Tools for data privacy regulations like GDPR.
GDPR Compliance
Features supporting GDPR requirements:
PII Management
Identify and protect personally identifiable information:
Data Subject Requests
Handle privacy requests efficiently:
// Data subject request workflow
1. Receive request (access/deletion/correction)
2. Verify identity
3. Search all systems for user data
4. Review and redact as needed
5. Provide data or confirm deletion
6. Document compliance
7. Retain request recordsHealthcare Compliance
HIPAA compliance features for healthcare organizations.
HIPAA Requirements
Built-in HIPAA compliance features:
PHI Protection
Additional safeguards for protected health information:
Financial Compliance
SOX and financial regulatory compliance.
SOX Compliance
Sarbanes-Oxley compliance features:
Financial Controls
Implement required financial controls:
| Control | Implementation | Evidence |
|---|---|---|
| Access Control | Role-based permissions | Access logs |
| Change Management | Version control | Change history |
| Approval Process | Workflow automation | Approval records |
| Segregation | Permission matrix | Role assignments |
| Monitoring | Real-time alerts | Alert logs |
Compliance Monitoring
Continuous monitoring for compliance violations.
Compliance Dashboard
Real-time compliance status monitoring:
Automated Alerts
Configure alerts for compliance issues:
Compliance Reporting
Generate reports for auditors and regulators.
Standard Reports
Pre-built compliance reports:
Custom Reports
Build reports for specific compliance needs using the report designer with compliance-specific data sources.
Best Practices
Maintain ongoing compliance:
- Regular compliance assessments
- Document retention policies clearly
- Train employees on compliance
- Test disaster recovery procedures
- Monitor regulatory changes
- Conduct internal audits
- Maintain compliance documentation
- Review and update policies annually
- Engage legal counsel for policy review
- Automate compliance where possible