Creating an Enterprise Culture of Compliance
by Choban, Chadwick M., M.A., THE COLLEGE OF ST. SCHOLASTICA, 2011, 93 pages; 1493583

Abstract:

This paper identifies the changes that have taken place within the area of information compliance within the past fifteen years, with description and analysis of some of the security breach incidents and ethical scandals which influenced modern compliance practices. An analysis of current and relevant literature documents culture-change aspects including positive consequences, negative consequences and punishment, the definition of compliance, leadership and employee communication requirements, behavior modification, and executive reporting structure, governance models, as well as technical discussion about Enterprise Content Management (ECM), and other layers of Business Intelligence (BI) analytics. Further discussion articulates the documentation and information flow necessary for a full transition into an enterprise culture of compliance. This end-state is described, noting supporting practices such as clear and articulated goals at all levels of the organization, data mapping and taxonomy, governance and self-assessment, and the implementation of culture-enabling technologies such as ECM and BI/analytics. Additionally, discussion on the implementation of the solution documents the major considerations, such as executive sponsorship, creation of a sense of urgency, understanding the current state of affairs, creating and socializing a vision, and Business Process Re-engineering (BPR). In addition, culture-sustaining activities, such as definition and publishing of compliance metrics, creation of an anonymous employee concern hotline and a technical advisory board, and annual audit are also discussed.

 
AdviserBrandon D. Olson
SchoolTHE COLLEGE OF ST. SCHOLASTICA
SourceMAI/ 49-06, p. , Jun 2011
Source TypeThesis
SubjectsInformation technology; Computer science
Publication Number1493583
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