Client: Organizations Requiring Confirmed Compliance with Operating Standards to Conduct Work with the Government of Canada.

Problem:  Our clients had an opportunity to work with the Government of Canada to provide services for the capture, transmission and storage of electronic records. As part of the provision of these services, they were required to provide a written Statement of Compliance from an independent third-party reviewer that they were in compliance with CAN/CGSB-72.34-2017 – Electronic Records as Documentary Evidence and CAN/CGSB 72.11.93 – Microfilm and Electronic Image Documentary Evidence.

Solution: Through Baiame’s extensive experience providing risk management, internal audit and internal control assessment services to clients, we developed a tailored testing program for the CAN/CGSB requirements that enabled us to specifically confirm compliance with the standards.

Baiame supported clients in the facilitation and execution of the detailed assessment to determine whether clients were in compliance with the standards. The assessment also identified gaps and weaknesses whereby Baiame explicitly highlighted areas that required remediation and provided detailed recommendations for them to action. Post remediation, Baiame subsequently conducted the re-assessment.

The assessment utilized a five-phased approach:

1. Conduct an Initial Organizational Assessment

2. Develop an Extensive Risk-Based Audit Plan with Testing Instructions

3. Facilitate Audit Execution

4. Develop a Compliance Assessment Report with Remediation Instructions

5. Conduct Follow-Up Activities to Re-Assess Post-Remediation

6. Issue a Letter of Compliance

Impact: The project resulted in a written Statement of Compliance from Baiame Consulting, which enabled the organization to provide electronic document safeguarding services to the Government of Canada. Clients also received a detailed report, which included the assessment results, and highlighted specific areas for improvement beyond the scope of the CAN/CGSB requirements.