CIO Compliance Management Role

Compliance Management Kit CIO Compliance Management Role - CIOs must understand the importance of implementing and enforcing litigation readiness processes and policies. Successful e-discovery relies on a balanced mix of people, process and technology. If a proactive process isn't established, employees' expertise and advanced technology capabilities will have significantly less impact. Also, to reduce the chance of employees sharing damaging or classified communications, CIOs should implement guidelines for the dissemination of sensitive knowledge.

CIOs should have a data discovery plan as that can reduce risk and expenses. Poor litigation preparation can consume large amounts of time and lead to higher attorney fees, as well as missed court deadlines, fines and courtroom losses. The CIO should compare the costs associated with proactive litigation readiness to the expense of unprepared discovery. Sometimes, settling a lawsuit is the most cost-effective solution, and establishing a discovery process can help facilitate the right business decisions.

CIOs should encourage active data mapping to quickly identify information and organizational systems, and to locate important data while working with the legal department to assess litigation readiness. But only 35 percent of senior executives realize that records management is vital to risk mitigation, according to a 2009 survey by management consulting firm Cohasset Associates.

Inadequate records management contributes to misplaced documents, potential discovery negligence and increased discovery costs. There's no "easy" button: Buying a tool will not single-handedly solve discovery and litigation problems. Digital forensics experts can be a valuable asset to the defensible collection and analysis of data.

Together, the CIO and the legal department have the greatest power to improve litigation processes. They should drive the message to employees: A data map is absolutely essential, and the company must be litigation-ready at all times. The legal department should reinforce the need for processes and policies and ensure that they're enforced by the human resources department and IT. Most important: When a lawsuit is anticipated or occurs, counsel must immediately establish a litigation hold, suspending all normal data destruction to prevent any chance of spoliation (withholding or destroying evidence) and subsequent lost cases.

Federal and state government regulations (see state compliance requirements) can be a big problem for today's organizations. There are more than 100 such regulations in the U.S. alone, and that number continues to grow. These are in addition to industry-specific mandates. They are all designed to safeguard the confidentiality, integrity, and availability of electronic data from information security breaches. So, what are the consequences if your organization fails to comply? Heavy fines and legal action. In short, it's serious.

Exposure for non-Compliance

Regulation

Penalty

Fine

GLBA

10 Years Prison

$1,000,000

HIPAA

10 Years Prison

$100 per occurrence maximum of $25,000 per year

SOX 10 Years Prison $15,000,000

Sec Rule 17a-4

Suspension

$1,000,000

GDPR

none

€10 million, or 2% of the worldwide annual revenue
to
€20 million, or 4% of the worldwide annual revenue

CCPA

none

$7,500 per record no cap

Compliance Management Toolkit Versions

Janco offers a full range of tools to help enterprises of all sizes to address these issues. The Compliance Management kit provides the infrastructure tools

In addition to the Compliance Management White Paper we provided the The Compliance Management tool kit in three (3) versions: Silver, Gold, and Platinum.

Compliance Management White Paper

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Compliance Management White Paper
  • Compliance Management White Paper - Summarizes mandated compliance requirements and provides a summary level work plan for how to implement Compliance Management policies and procedures.

    White Paper contains a table of manadated record retention periods and a list of all of the states and US possessions with their mandated notification requirements. Updated to include GDPR and CCPA requirement discussion

Compliance Management - Silver Edition

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Compliance Management White Paper  Secuirty Audit Program  Secuirty Audit Program  Supply Chain Audit Program  PCI Audit Program  Compliance Job Descriptions
  • Compliance Management White Paper
  • HIPAA Audit Program
  • Security Audit Program - fully editable -- Comes in MS EXCEL and PDF formats -- Meets ISO 27001, 27002, Sarbanes-Oxley, PCI-DSS and HIPAA requirements -- Over 400 unique tasks divided into 11 areas of audit focus which are the divided into 39 separate task groupings including BYOD.
  • Supply Chain ISO 28000 Audit Program -- Comes in MS EXCEL and PDF formats -- Meets ISO mandates
  • PCI Audit Program - Word and PDF
  • Compliance Management Job Descriptions (25 key positions) - Word Format - fully editable and PDF- Chief Compliance Officer (CCO), Chief Data Officer, Chief Mobility Officer, Chief Security Officer, Data Protection Officer, Director Electronic Commerce, Director IT Management and Controls, Director Sarbanes-Oxley Compliance, Manager Blockchain Architecture, Manager BYOD Support, Manager Compliance, Manager E-Commerce, Manager Enterprise Architecture, Manager Internet Systems, Manager Record Administration, Manager Transaction Processing, Manager Video and Website Content, Manager Web Content, Manager Wireless Systems, PCI-DSS Administrator, System Administrators - Linux, System Administrators - Windows, System Administrators - UNIX, Webmaster, and WiFi Network Administrator

Compliance Management - Gold Edition

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Compliance Management White Paper  Secuirty Audit Program  Secuirty Audit Program  Supply Chain Audit Pogram  PCI Audit Program  Compliance Job Descriptions  Record Management Policy  Privacy Compliance Policy
  • Compliance Management White Paper
  • HIPAA Audit Program
  • Security Audit Program
  • Supply Chain ISO 28000 Audit Program
  • PCI Audit Program
  • Compliance Management Job Descriptions (25 key positions)
  • Record Classification and Management Policy - Word - Policy which complies with mandated US, EU, and ISO requirements
  • Privacy Compliance Policy that address the EU's GDPR and the latest California Consumer Privacy Act

Compliance Management - Platinum Edition

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Compliance Management White Paper  Secuirty Audit Program  Secuirty Audit Program  Supply Chain Audit Program  PCI Audit Program  Compliance Job Descriptions  Record Management Policy  Privacy Compliance Policy  Security Manual
  • Compliance Management White Paper
  • HIPAA Audit Program
  • Security Audit Program
  • Supply Chain ISO 28000 Audit Program
  • PCI Audit Program
  • Compliance Management Job Descriptions (25 key positions)
  • Record Classification and Management
  • Privacy Compliance Policy that address the EU's GDPR and the latest California Consumer Privacy Act
  • Security Manual Template - Word - 240 plus packed pages which are usable as is. Over 3,000 companies worldwide have chosen this as the basis for their best practices to meet mandated US, EU and ISO requirements

Order Compliance Management Kit  Download Selected Pages Compliance Kit