Cecelia Jefferson discusses the unintended compliance risks of implementing technology in many different business contexts. It is critical when seeking to close compliance gaps with technology that compliance professionals dig deeper to the problems that the technology may create in real life, for example:
- For liquor stores, if drivers licenses can be scanned to ensure all purchasers’ ID’s are checked, what privacy and security problems does collecting drivers license information create?
- How difficult is the new system to train across large numbers of employees?
- Do employees face this compliance issue every day or rarely? How does this impact the effectiveness of the proposed solution?
- For hospitals, if the pharmacy is automated, what happens in the event the computer goes down? Is there a manual back-up?
- What are compliance issues discoverable by the general public, including regulators, and how does this exposure impact the decision to devote resources to the solution?
- Are the systems flexible to be changed if regulators change their interpretation of the law or prioritization of enforcement?
- How do the systems interact with a continually changing enforcement environment and changing laws?
- Is the issue so closely intertwined with the company’s brand that the risk of any noncompliance can be devastating?
Everybody has the intention to be committed to compliance, but when resources need to be devoted to compliance, the company’s true commitment comes into focus.
Cecelia Jefferson is a strategic, multi-talented compliance executive with extensive and diversified legal, compliance, and governance. She has almost two decades of experience in compliance, government and as an attorney in the state of Florida. Cecelia is the former Director of Alcohol, Tabacco, and Firearms Compliance at Walmart, Assistant General Counsel for the Florida Agency for Health Care Administration, and has held several other roles in state regulation, enforcement, and consumer protection.
Cecelia Jefferson’s email email@example.com