Compliance &Ethics - Society of Corporate Compliance and Ethics

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FeatureCompliance & Ethics Professional May/June 2013and, in some cases, developing customizedapproaches for separate audiences.1. Create a cross-functional teamWe recommend that a cross-functional teambe formed to oversee an information governanceproject. It would include representativesfrom the Recordsand InformationManagement (RIM),Legal, and IT departments,as well asexecutives and endusers.Once eachgroup understandsthe severity of theissues at hand andthe “win” that’s in itfor them, they’ll bemore willing to participateor at least not sabotage the effort.2. Know what you haveStart by creating an information “map.”Automated tools can help, but some manualeffort will be required to determine the locationand the value of information. Employeesmake great use of unstructured data (e.g.,email, SharePoint, files, etc.) in daily work andin business processes. Such information is oftenhidden in underground archives, so be sure toinclude the data that resides on employees’ laptops,tablets, smartphones, and workstations,as well as in production systems. All of it carriespotential for exposure to regulatory, legal,or eDiscovery risk and the associated costs.3. Manage document retention anddeletion policiesUp-to-date retention schedules specify just howlong information should be retained. Early inthe process, strive for agreement among thecross-functional team members about retentionand deletion rules. Be sure that policies identifyThe objective ofan informationgovernance program,on the other hand,is to modify user andorganizational behavior.processes and the “authority” (e.g., a legal ruling,business practice, or regulatory mandate) whichjustifies retaining and deleting documents.4. Enforce consistent legal hold policiesand processesThe deletion process is often complicated byongoing litigation andlack of a process foridentifying which dataare and are not underlegal hold. Create aclear and consistentlegal hold process thatclearly delineates databeing held, preventsthe purging of datathat by policy mightotherwise be deleted,and allows the routinedeletion of data not under hold. The moreclear and unambiguous a legal hold process is,often the more aggressively older, non-relevantdata can be deleted.5. Keep it simple for end-usersOur surveys indicate that without clear direction,more than 90% of employees tend to savemore documents than they need. Their reasoningis that no one ever got in trouble for notdeleting a document. On the other hand, wefound that when given clear guidance, 80% ofemployees will follow a reasonable, intuitivepolicy.6. Apply psychology and technologyHelp employees accept and embrace changesto their current working environment. Whileintroducing the program:··Provide options: Let employees makedecisions within the boundaries of policy.··Keep documents accessible: The mereperception of “taking information away”encourages underground archiving.28 www.corporatecompliance.org +1 952 933 4977 or 888 277 4977
Feature··Programatically control deletion. Mostusers are filers and pilers; if regulatorycompliance is important, don’t rely onthem to delete information on their own.··Strive for invisibility: Nobody is any theworse off if information is deleted withoutend-user intervention… within the rules,of course!Of course, technology plays an importantrole in an effective program to stop hoarding.The best approaches enable consistent policygovernance across all repositories and reflect—rather than challenge—the way people work.7. Continue to audit and monitorOnce the elements of an information governanceprogram are in place, frequent evaluationand oversight are critical. Look for gapsbetween policy and practice. For example:··Are employees lazy, classifying informationonly according to the longest retentionperiod?··Is information still hidden in privaterepositories?··Is there too much emphasis on properlymanaging “big R” records to the detrimentof other valuable documents?Focus on employees who are not followingthe policies as the exception and not the rule.Going from a “big” problem, where hoardingis rampant and deletion is hardly defensible, toone where just a fraction of users still requiresome level of behavior modification is a bigwin for most organizations. Don’t let “perfect”be the enemy of “good enough.” ✵Mark Diamond (markdiamond@contoural.com) is the Founder and CEOof Contoural, Inc., in Los Altos, CA.1. IDC press release: IDC Predicts 2012 Will Be the Year of Mobile and CloudPlatform Wars as IT Vendors Vie for Leadership While the IndustryRedefines Itself. December 1, 2011. Available at http://www.idc.com/getdoc.jsp?containerId=prUS23177411#.UTnr7Bz_mSo2. Radicati Group: Email Market 2012-2016. October 2012. Available athttp://www.radicati.com/wp/wp-content/uploads/2012/10/Email-Market-2012-2016-Executive-Summary.pdf3. Ravi Kalakota: Big Data Infographic and Gartner 2012 Top 10 StrategicTech Trends. November 11, 2011. Available at http://practicalanalytics.wordpress.com/2011/11/11/big-data-infographic-and-gartner-2012-top-10-strategic-tech-trendsCompliance Is Just the BeginningHow do you make better ethical decisions at work? Just because aparticular choice is legal does not make it right. This two-program videoseries introduces a three-step process for handling tough ethical decisions.The first program, “3 Steps to Ethical Decisions,” introduces the threesteps we can take when faced with a tough ethical choice. The secondprogram, “Ethical Situations to Consider,” presents eight dramatizedscenarios to spark discussion about familiar ethical issues. All formatscome with a facilitator’s package including course outlines, trainingactivities, reproducible handouts, and optional PowerPoint slides.Program One: 3 Steps to Ethical Decisions (24 minutes)MEMBERS $625 | NON-MEMBERS $720Program Two: Ethical Situations to Consider (32 minutes)MEMBERS $625 | NON-MEMBERS $720Compliance Is Just the Beginning (two-program package)MEMBERS $1,062 | NON-MEMBERS $1,224FULL ONLINE PREVIEWAVAILABLE!Visit SCCE’s website:www.corporatecompliance.orgVideo training produced by QMR—The Respectful Workplace CompanyComplianceJust Beginning_halfpagead_horiz_2c_CEP0113.indd 111/28/12 12:17 PMCompliance & Ethics Professional May/June 2013+1 952 933 4977 or 888 277 4977 www.corporatecompliance.org 29
Page 7 and 8: NewsRegulatory NewsSupreme Court de
Page 9 and 10: SCCE NewsSCCE conference News12 th
Page 11 and 12: SCCE NewsNewsContact Eric Newman at
Page 13 and 14: Help Keep YourCompliance ProgramFul
Page 15 and 16: Featurequickly grasp the requiremen
Page 17 and 18: Featureinternal or external to the
Page 19 and 20: Michigan··Lisa Aragon, ITC Holdin
Page 21 and 22: ANY TIME.ANYWHERE.ANY MATTEROF RISK
Page 23 and 24: Boehme of Contentionby Donna Boehme
Page 25 and 26: Featureby Mark DiamondSeven strateg
Page 27: Featurehoarding is an information g
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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
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Page 55 and 56: y Frank J. NavranYou can’t cure s
Page 57 and 58: groups. If they are being done “i
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Page 69 and 70: y Cris Mattoon, JD, CCEPAn invitati
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Page 73 and 74: additional internal controls to ens
Page 75 and 76: Heading off potential gray area hea
Page 77 and 78: sTakeawaysMay/June 2013Compliance &
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