Compliance &Ethics - Society of Corporate Compliance and Ethics

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www.corporatecompliance.orgCALL FOR AUTHORSShare your expertise in Compliance & Ethics Professional,published bi-monthly by the Society of Corporate Compliance and Ethics (SCCE). For professionals in thefield, SCCE is the ultimate source of compliance and ethics information, providing the most current viewson the corporate regulatory environment, internal controls, and overall conduct of business. National andglobal experts write informative articles, share their knowledge, and provide professional support so thatreaders can make informed legal and cultural corporate decisions.To do this, we need your help!We welcome all who wish to propose corporate compliance topics and write articles.CERTIFICATION is a great means for revealing anindividual’s story of professional growth! Compliance &Ethics Professional wants to hear from anyone with aCCEP, CCEP-I, or CCEP-F certification who is willingto contribute an article on the benefits and professionalgrowth derived from certification. The articles submittedshould detail what certification has meant to theindividual and his or her organization.Topics to consider include· Anticipated enforcement trends· Developments in compliance and ethicsand program-related suggestions for riskmitigation· Fraud, bribery, and corruptionCompliance & EthicsMay/June2013 ProfessionalA PUBLICATION OF THE SOCIETY OF CORPORATE COMPLIANCE AND ETHICSPlease note the followingupcoming deadlines forarticle submissions:· Securities and corporate governance· Labor and employment law· Anti-money launderingMeetMichael MillerExecutive Director for Ethicsand Compliance, Aerojet,Sacramento, CASee page 1425Seven strategiesfor preventing usersfrom hoardingdocumentsMark Diamond33You’veidentified acorporate risk—what next?C. J. Rathbun41Mind the gap!Where corporatepolicy and socialmedia meetSteve Carr47Political activity compliance:A complex but necessarysubject for complianceprofessionalsScott Stetson· July 1, 2013· September 1, 2013· November 1, 2013· January 1, 2014Earn CEUs!The CCB awards 2 CEUs to authors of articles publishedin Compliance & Ethics Professional.· Government contracting· Global competition· Intellectual property· Records management and business ethics· Best practices· Information on new laws, regulations, andrules affecting international complianceand ethics governanceIf you are interested in submitting an article for publication in Compliance & Ethics Professional,email Liz Hergert at liz.hergert @ corporatecompliance.org
Featureby Mark DiamondSeven strategies for preventingusers from hoarding documents»»Employee hoarding of electronic documents is an information governance change management problem.»»Aggressive deletion often drives underground archiving, making the problem worse.»»Addressing underground archiving requires a cross-functional approach engaging policies, processes, tools, and technologies.»»Effective approaches create a “win” for employees by understanding the reasons for their behaviors.»»Ongoing auditing is critical to assess program effectiveness.DiamondHoarding of electronic information Many IT departments have found that justis a common problem that reduces devoting more storage to the problem is at bestemployee productivity, raises IT a temporary fix. It is true that the acquisition80% rate. 3 5% to 10% are deleters. Pilers tend to driveoperational expenses, and heightens the risksand costs of regulatory action and litigation.Organizations need to assert centralized controlof deletion in order to overcomethe consequences of informationhoarding. But such efforts can runinto resistance from employees.Most organizations let informationpile up. New information is likesnow, and legacy collections of datacost—but not the operating cost—of storage istrending downward. And “the cloud” offersmanageable costs and virtually unlimitedcapacity. Still, as the volume of informationgrows—and content repositories and managementsystems proliferate—problems crop up.Queries and searches can take longer, confidentialdata can fall into the wrong hands, andconsiderable effort may required to respond toeDiscovery requests or regulatory challenges.are like glaciers: each year, layers areadded, some melt away, but the accumulationkeeps growing.Why hoarding is an end-user problemSome people are “filers.” They classify information··The size of the digital universe in 2012is estimated at 2.7 zettabytes (2.7 trilliongigabytes), and is forecast to be 40zettabytes by 2020—a 50-fold growth sincethe beginning of 2010. 1(most often manually), and rely onfolder-based navigation to find what theyneed. Other people are “pilers.” They saveall of their documents on the desktop, inthe email inbox, or wherever they originally··Businesses sent and received 89 billionemails per day in 2012, which should growto over 143 billion by year-end 2016. 2reside, delete almost nothing, and relyon search to find important information.“Deleters” get rid of information as soon as it’s··Unstructured data (e.g., files, office productivitydocuments, SharePoint, and otherinformation generated by applications)in the enterprise is growing at up to andetermined to be of no use to them.We find that more than 50% of employeesin organizations of all sizes are pilers. A somewhatsmaller percentage are filers, and fromCompliance & Ethics Professional May/June 2013+1 952 933 4977 or 888 277 4977 www.corporatecompliance.org 25
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Page 11 and 12: SCCE NewsNewsContact Eric Newman at
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Page 19 and 20: Michigan··Lisa Aragon, ITC Holdin
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Page 23: Boehme of Contentionby Donna Boehme
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Page 31 and 32: The Art of Complianceby Art Weiss,
Page 33 and 34: Featureby C. J. Rathbun, CCEP, FLMI
Page 35 and 36: Featureinclude the protocols you ne
Page 37 and 38: Featurecompliance audits are alread
Page 39 and 40: Empirically Speakingby Leslie Altiz
Page 41 and 42: Featureby Steve CarrMind the gap!Wh
Page 43 and 44: Featurecontinue to grow as the pace
Page 45 and 46: View from the Front Linesby Meric C
Page 47 and 48: Featureby Scott Stetson, Esq.Politi
Page 49 and 50: Kaplan’s Courtby Jeffrey M. Kapla
Page 51 and 52: Become a CertifiedCompliance & Ethi
Page 53 and 54: that kind of volunteering is all ri
Page 55 and 56: y Frank J. NavranYou can’t cure s
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Page 61 and 62: high ethical standards and practice
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Page 69 and 70: y Cris Mattoon, JD, CCEPAn invitati
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Heading off potential gray area hea
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sTakeawaysMay/June 2013Compliance &
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