Policy Integration And Regulatory Compliance

Customer Case Study - Policy Integration & Regulatory Compliance

Business Situation

The customer: one of the nation's leading companies in providing reading materials for the blind, visually impaired, and learning disabled, including products in Braille, audio, large type, and text on computer. As part of their business activities, the company routinely works with regulated institutions that are held to various accreditation standards such as FFIEC, COBIT and ISO 17799.

In order to maintain regulatory compliance with clients in the financial sector, the company was required to institute policies, procedures, and regulations that previously had not been implemented within their organization, such as:

• Security policies
• Human Resource policies
• Network documentation

What We Did

Loricca assisted the company in creating and implementing these policies in order to stay in compliance with a large financial institution As a first step, Loricca gathered policy and regulatory compliance standards required by the company's client, then performed a gap analysis to determine deficiencies in their procedures and policies requirements during focus meetings with the client.

Following the results of the gap analysis and the determination of the deficiencies, Loricca proposed the required documentation and assessment validation to obtain and maintain compliance with their client. Specifically, Loricca:

• Instituted an ISO 17799 analysis to determine security-related gaps
• Developed documentation included Polices/Procedures, Business Continuity Plan, Acceptable Use Policy, Change Management Standards, Code of Conduct, Data Classification parameters, Incidence Response Plan, Network Architecture with Runbook, and a Physical Security Plan

Results

The company instituted the new policies and is currently in compliance with their financial industry client