Virtual Compliance Officer® for Enterprise

automated email review
Overview
Features
Sample Applications

Identify Real Risk Proactively

Costs to preserve, find and review electronic evidence are vast and often overwhelming. The risks associated with losing a legal case or being forced to settle due to inadequate preservation of electronic evidence can often run in the millions of dollars. Manual data collection and third-party processing is both time consuming and expensive.

The Smarsh Virtual Compliance Officer® (VCO) is the first automated agent designed to enable organizations to be more efficient in e-discovery and early case assessment processes. Make informed decisions about which cases to fight and which to settle. Be more effective during email review, and to help your legal departments and agencies identify “real” risk.  

Think about the VCO as a army of reviewers at your firm's disposal, tasked with searching through all company email and taking action based on specific and customized policies. Early case assessment can be done without the expense and disruption of manual data collection. The customized rule-setting capability helps create efficiency for legal or administrative users, making fulfillment of their responsibilities much easier. Since the VCO was first introduced, it has become one of the most sought after features in our suite of services and is truly unique offering in the market. 

The Virtual Compliance Officer®

The VCO scans every message as it enters your archive. It is configured to perform a detailed visual inspection and then take the action specified by your company’s unique rules. 

  • Customizable policies | Create rules based on virtually any criteria, including sender, recipient, subject, filename, attachment, attachment text, etc.
  • Multiple review groups | Customize different rule sets/policies for different groups (departments, regions, etc.) within your organization.
  • Take actions | Configure rules to take action (open/close, custom tag, escalate or assign for review) on search results.
  • Granular permissioning | Set permissions on who can edit/modify VCO rules within your organization.
  • Prioritize rules | Scan rules in a customizable order of priority.  Users can drag and drop rules to increase or decrease the priority in an easy-to-use interface.
  • Risk-scoring | Assign point scores (weightings) to messages based on the number and severity of discovered violations. Uncover problematic conversations through inspections of your highest risk scores.
  • Filters and exclusions | Filter individuals or groups from searches, and exclude legal disclaimers or harmless language from keyword scans.
  • Save inactive rules | Save old, inactive rules in case they are needed in the future.
  • Search VCO activity | All actions taken by the VCO are logged and audited in the Smarsh Management Console and searchable for e-discovery or regulatory compliance.
  • Proactive email bulletins | Proactively deliver reminders and reports (i.e. "10 highest-risk emails of the day") to administrators via email.

Sample Applications

Smarsh’s system is setup to avoid the pitfalls of a cumbersome review process and to help uncover true compliance issue. The proprietary VCO allows clients to facilitate and automate their surveillance process via a flexible and customizable rules-based system. The goal of the VCO is to ensure an efficient and consistent compliance process by eliminating all but pertinent emails from the surveillance process, while concurrently mitigating risk within the firm. Sample applications include:

  • Automatically marking system administrator messages as compliant/reviewed
  • Identifying high risk users, scrutinize heightened supervision employees
  • Automatically flagging customer complaints for easy audit reporting
  • Assigning point scores (weightings) to emails based on the number and severity of policy violations
  • Utilizing multiple keywords lists to apply to different groups of employees within a firm. Keyword lists can based on employee job function, department, severity of keyword violation, HR purposes, etc.
  • Monitoring incoming or outgoing emails for specific files or attachments (content and/or attachment types)
  • Assigning messages to specific reviewers (based on content)
  • Automatically escalating high-risk employee emails to supervisors
  • Generating automated reports to track activity
  • Automatically marking messages as “Attorney-Client Privileged”
  • Excluding legal disclaimers from keyword (phrase) scans, eliminating false positives
  • Filtering out email blasts from specific senders eliminating false positives
  • Applying custom tags, legal holds, or granular retention policies (as needed)
  • Generating reports directly to your inbox featuring your organization’s highest-risk messages
  • Scheduling the system to proactively email VCO rule violations to compliance reviewer(s) on a daily, weekly, or monthly basis

Use the filters below to find regulations and laws relevant to you and your company.

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