Law Department Compliance DeskTop®.

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Compliance DeskTop is available from LDDS.

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...a hosted, SharePoint facility that streamlines the workflow processes between law firms and their corporate clients.

Law Department DeskTop Services, LLC (“LDDS”) announces the release of the Compliance DeskTop providing a very cost-effective cloud solution for tracking, managing and analyzing corporate compliance.

Steve Lauer, Principal of Lauer & Associates, has directed the design of the Compliance DeskTop to incorporate compliance ‘best practices’ that lead a compliance officer through the necessary steps of capturing, interviewing, reviewing and, if necessary, forwarding the compliance issue to either the in-house law department or outside counsel. “The Compliance DeskTop,” offers Steve Lauer, “is a simple, cost-effective way for small to mid-sized companies to build, organize and manage a compliance program. The DeskTop also integrates the company’s legal department or its outside law firms into the workflow for those compliance issues that call for legal analysis and input.”

“But the DeskTop,” adds O. Forrest Morgan, CEO of LDDS, “goes beyond just tracking compliance issues and allows the corporation to practice preventive law and identify the divisions, products and localities which create compliance events then implement policies or training to reduce future occurrences.”

The DeskTop is designed to enable a company to organize its compliance-related policies and procedures in conformity with the expectations in the Sentencing Guidelines for Organizational Defendants, the standard for an ‘effective compliance program’ and outlined in Chapter 8 (Section §8B2.1) of the U.S. Sentencing Guidelines Manual.

Regardless of the age or development status of an organization's compliance efforts, this structure permits more effective development of those efforts to conform to the needs of the business's growth and the expectations of regulators and others.

Components of the Compliance DeskTop

Company policies and standards

The DeskTop allows the compliance department to capture all company policies, standards and other compliance-related policy documents including versioning and approvals. This provides a single place for management of compliance-related material and documents for day-to-day reference and application by compliance department personnel.

Workflows - keys to increased efficiency and greater compliance

Lauer & Associates has developed workflows that lead the user through the process of managing each compliance matter and that allow every aspect of compliance to be tracked through the various approval stages required within an organization. Those repeatable workflows, embedded in the Compliance DeskTop, ensure that important steps in managing various matters are not overlooked and that all matters are treated with the needed consistency, an important hallmark of a compliant organization.

Issue Analysis and Preventive Law

The DeskTop enables compliance officers to filter and analyze compliance issues by the source, type, product, locality and other criteria. Tracking and comparing issues between time periods and provides important information to a compliance officer or Board of Directors by illuminating the company's evolving compliance ‘profile.’

Legal Module

If a compliance issue is turned over to the in-house legal team, the information is transferred to the Legal Module of the Compliance DeskTop. This transfer restricts access to the issue and allows all subsequent documentation to be protected by privilege.

Cost and Implementation

The Compliance DeskTop is hosted on secure Microsoft SharePoint servers at Rackspace ( All a compliance officer needs is a browser to start to manage compliance documents and incidents.
The cost is $5,000. per year.
About Law Department DeskTop

Law Department DeskTop provides a hosted, SharePoint facility that streamlines the workflow processes between law firms and their corporate clients. The DeskTop consists of legal modules which either have been developed in-house or by law firms with an expertise in a particular area of the law. Clients of the DeskTop may pick and choose the modules they wish to use and integrate workflows to seamlessly manage legal workproduct. The DeskTop facility allows authorized parties to view / collaborate on the documents so that the process may be as efficient as possible. For more information on the DeskTop, please email O. Forrest Morgan at forrest(dot)morgan(at)lawdepartmentdesktop(dot)com or call (646) 559-8979

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Kate Hayes
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