Cody Lardizabal

Program XYZ Security and Zero Tolerance Policy AGENDA  OBJECTIVES  PROCESS MAP AND TIMELINE  TIMELINES AND PROCESS  GUIDELINES AND POLICIES  AUDIT PROCESS  CONSEQUENCE MANAGEMENT  ATTACHMENT OBJECTIVES  Ensure Program XYZ employees and leaders are calibrated on and compliant to Security Policies impacting the customers and “the Client” as a business.  Provide a structure on the compliance audit process that includes process, resources, owners, timelines and communication of results.  Ensure we have Zero Tolerance for non-compliance and execute Corrective Action for those who fail to comply as aligned with Company ABC. PROCESS MAP AND TIMELINE Item / Activity Details / Resources Owner Participants Timeline Rollout to Leaders Program XYZ Security Policy and Zero Tolerance Policy Discussion with leaders Operations Manager/ Shift Manager Team Managers April 12 to April 14 MNL Rollout to Leaders MS Program XYZ Security Policy and Zero Tolerance Policy Discussion with SPs and support employees Team Managers SPs Senior SPs Workforce Analysts April 15 to April 16 MNL Floor and Employee Audit Check for understanding across SPs and support employees and floor / workstation audits Operations Manager/ Shift Manager Team Managers Starting April 16 MNL Audit Results Communication Communication of Policy Rollout Completion Rate and Audit Results to Stream Upper Management and Client POCs Operations Manager/ Shift Manager N/A Bi-weekly starting April 21 MNL GUIDELINES AND POLICIES 1) 2) 3) Paperless Environment a. No SPs are allowed to bring in or use any paper within the operations area as well as bring out any paper from operations unless documents such as those issued and approved for hard copy distribution by the HR Team. b. All team manager documents in hard copy (coaching logs, meeting notes, notebooks, cheat sheets, etc.) are to be kept and locked in individual pedestal drawers provided to them by the company. No Personal Belongings a. No SPs are allowed to bring in any personal belongings into the operations area, these are to be kept in lockers that have been issued to them by the company. No Recordable Gadgets a. No SPs are allowed to bring any recordable gadgets (mobile phones, music players, camera, netbooks, laptops, etc.) into the operations area Owner: Carlo Denis Lardizabal, Process Lead Manager, Program XYZ Date: April 22, 2013 b. 4) 5) 6) Only Managers and Support POCs who have been provided authorization through the Security Process and by the Security Group are allowed to bring in Stream-issued mobile phones or laptops into the operations area Customer Information Protection a. All employees (SPs, support employees, managers) are not allowed to save in soft or hard copy any customer-related information such as Personal Identifiable information (customer name, billing address, contact numbers, email address), credit card number and/or the last 4 digits of the customer’s credit card number b. Fortification – all employees (SPs and/or managers) must not ask any Personal Identifiable Information within any chat interaction Use of Company and Client Equipment a. All employees (SPs, support employees, managers) are not allowed to use any company equipments such as PCs or hard phones for non-business related activities b. Client proved PCs and Crash Boxes are strictly for business related use and cannot be used for the following activities: i. Social Network Websites browsing rd ii. 3 Party Websites / Search Engines rd iii. 3 Party Browsers c. Locking of Workstations – all employees (SPs, support employees, managers) are required to lock their workstation upon leaving their work area and are required to log-off from their workstation upon ending their shift daily Credentials Security a. All employees (SPs, support employees, managers) are not allowed to share any Company or Client credentials (workstation login, HR login, payroll login, Case Management login) AUDIT PROCESS 1) 2) 3) A Security Checklist will be updated and submitted by each TM daily to the Shift Manager and daily audits across employee workstations will be run by Operations Manager and Shift Manager. Stream Security Personnel will also continue doing their daily and regular floor checks within the Program XYZ operations area. The Operations Manager and Shift Manager will be responsible for ensuring audits are happening daily and audit results are being communicated to the Clients twice-a-month. This is set to be sent every Monday MNL shift covering audit results for the previous 2 weeks. CONSEQUENCE MANAGEMENT 1) 2) 3) Any employee found to be non-compliant to the Program XYZ Security and Zero Tolerance Policy will be issued Disciplinary Action as aligned with the Company’s Code of Discipline. Any Manager who fails to issue Disciplinary Action to any direct report who has incurred a Security Infraction following the process and the timeline required by the HR Group will undergo Disciplinary Action as aligned with the Company’s Code of Discipline. An immediate pullout from the account shall be implemented for any employee (SPs, support employees, managers) who has incurred an infraction against the Security and Zero Tolerance Policy deemed by the Client as either fraudulent or critical in nature. ATTACHMENTS 1) 2) Audit Checklist Discussion Acknowledgement Sheet Owner: Carlo Denis Lardizabal, Process Lead Manager, Program XYZ Date: April 22, 2013 Program XYZ TM Daily Security Checklist Team Manager Name Shift Manager Name Week Starting Security Item Shift Date (MNL) 1) No SPs with mobile phones, recordable gadgets, personal belongings or paraphernalia 2) No SPs have any pens or paper, no SP workstations with pen or paper 3) No TM documents (coaching log, clipboard, etc.) have not been left on agent workstations 4) No PII saved in soft or hard copy by any SP as audited through sideby-sides, service observes and MBWA 5) No Company or Client credentials being shared as audited through side-by-sides, service observes and MBWA 6) No workstations or Client provided Crash Boxes being used for non-business related activities as audited through MBWA 7) No workstations left unlocked by SPs going on break 8) No workstations left without logging off by any employee 9) No documents, pens or paper left on TM workstations by end-ofshift Comments (Specific Infraction and Name of Employee with Infraction if any) Owner: Carlo Denis Lardizabal, Process Lead Manager, Program XYZ Date: April 22, 2013 Shift Date (MNL) Shift Date (MNL) Shift Date (MNL) Shift Date (MNL) Acknowledgment Sheet This is to acknowledge discussion of the items noted below, its rationale, scope, definition of terms, guidelines and procedures and the Corrective Action for any infraction against policies included on the discussion. I understand it is my responsibility as an employee of the Company to respect & abide by the given Policies & that failure to do so shall lead to proper Disciplinary Action. TOPIC: Program XYZ Security and Zero Tolerance Policy Employee ID Last Name, First Name TM Name: _______________________________ TM Signature: ____________________________ Shift Manager Name: _________________________ Shift Manager Signature: ______________________ Operations Manager Name: _________________________ Operations Manager Signature: ______________________ Owner: Carlo Denis Lardizabal, Process Lead Manager, Program XYZ Date: April 22, 2013 Signature Date (MNL)