CASE STUDY
Conducting a System Analysis and Review of Electronic Records for a Professional Services Organization
Introduction
A professional services organization engaged Litcom to conduct an independent system analysis and review of its electronic records environment to support regulatory compliance, reduce risk, and validate system controls. To support this requirement, the organization engaged Litcom to conduct an independent system analysis and review of its electronic records environment and provide documented verification from an IT specialist.
Challenges
The organization relied on an electronic recordkeeping system to manage sensitive business and client information. As part of its regulatory obligations, leadership needed independent confirmation that the system met required standards for electronic records management, security, and control.
Internal teams required external validation to demonstrate compliance, reduce regulatory risk, and ensure confidence in the system’s design and operational controls. Without a structured review conducted by an IT specialist, the organization risked delays or challenges in meeting regulatory expectations.
Solution
Litcom was engaged to perform a structured system analysis and review of the organization’s electronic recordkeeping environment. The engagement followed a defined framework and included:
Conducting interviews with leadership and relevant staff to understand system usage and recordkeeping processes
Reviewing available documentation related to system design, controls, and operational procedures
Assessing the electronic records environment against applicable regulatory guidance
Preparing a formal assessment report aligned with a Government of Canada–recognized outline
Walking through findings with leadership to address questions and confirm understanding
This focused approach ensured the review was efficient, thorough, and aligned with regulatory expectations.
Results
Through Litcom’s independent system analysis, the organization achieved:
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Formal verification of its electronic recordkeeping system by an IT specialist
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Increased confidence in the system’s design, controls, and compliance posture
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Clear documentation suitable for regulatory review
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Reduced risk associated with electronic records management and compliance gaps
The engagement provided leadership with clarity, assurance, and a defensible position when demonstrating compliance to regulatory stakeholders.
Learn how Litcom helps organizations validate systems, manage compliance risk, and meet regulatory expectations with confidence. Contact us today!
