Essentials of Enterprise Compliance

Chapter 5. Compliance at the Desktop

After reading this chapter, you will be able to:

• Understand some of the tools available to enable enterprise compliance.

• Examine the issues when considering technology enablement to enhance compliance.

• Identify the elements of information work that influence compliance at the desktop.

• Learn the legal implications of technology enablement.

We have had a good deal of conversation about what is needed so it is now time to focus on how our enterprise can become proactive. This section is a look at what, as leaders and managers, we can reasonably expect to happen at the desktop. In the next few pages we will look at compliance-related tasks using the Information Work (IWork) desktop. Based on our previous conversation regarding the compliance demands for monitoring, measuring, transparency, and risk management, the features you will want to enable include the following:

• Auditing and logging

• Workflow management

• Digital signatures

• Records management

• Classifying e-mail

• Document policies

• Spreadsheet management

  

  Figure 5.1. COSO Alignment to Technology Enablers

• Barcodes and labeling

• Information rights management

There are products out there that provide significant versatility because you can use features and settings out of the box without writing any programmatic code. Alternatively, you can extend and customize the features to suit specific business requirements. We will ...