Information Nation: Seven Keys to Information Management Compliance, Second Edition

Chapter 17. Addressing Employee Policy Violations

IMC recognizes that employees will violate policies and procedures. In some cases, they will do it willfully, despite being fully aware of the consequences. In other cases, violations result from an organization's failure in some aspect of its Information Management program development and implementation.

The reasons that Information Management program violations occur and vary include the following:

• Lack of awareness. Employees were unaware of the policy or procedure, because of inadequate communication and dissemination.

• Confusion. Employees were confused about what the policy meant or which policy applied to them, as a result of changes in organizational structure, changes in job roles and responsibilities, undue complexity, lack of training, or other factors.

• Inconsistent enforcement and lack of oversight. Policies were not consistently enforced, so employees believed they did not have to comply with them.

• Willful acts. Employees deliberately violated the policy out of self-interest and/or criminal intent.

Make Sure Employees Understand the Consequences

Organizations must be crystal clear with employees about the consequences of violating Information Management policies and procedures. Statements outlining consequences should be a standard part of the policies to which they relate, and should be highlighted, communicated, and re-communicated. In other words, these statements should become a standard part of the corporate culture of ...