Bridging the IG Compliance Gap: From Policy to Execution

Law firms’ information governance (IG) policies are designed to protect sensitive client data, mitigate risks, and ensure regulatory compliance. Mattern’s 2024 IG Survey shows that while 94% of firms surveyed have some kind of IG policy in place, only 4% are fully compliant with their policies. The gap between policy and execution exposes firms to legal, financial, and reputational risks. Why is this so challenging, and what can be done to ensure compliance isn’t just a document but a well-executed strategy?

The Disconnect Between Policy and Execution

Law firms operate in a complex environment where compliance, security, and operational efficiency must align. While most firms have IG policies in place, several common barriers prevent effective implementation:

• Resistance to Change – Even with clear guidelines, habits and legacy processes are hard to break. Staff may be reluctant to adopt new protocols, especially if they perceive them as burdensome.

• Lack of Clear Accountability – Policies often fail when no one is directly responsible for enforcement. Without strong leadership commitment, compliance becomes an afterthought.

• Fragmented Systems and Processes – Many firms use outdated or disparate systems that don’t integrate well, making execution inefficient and error-prone.

• Insufficient Training and Awareness – Policies are ineffective if employees don’t understand their role in compliance or if training is limited to a one-time event rather than an ongoing initiative.

• Resource Constraints – Compliance efforts require dedicated time and expertise. When firms prioritize billable work over governance, IG initiatives suffer.

Bridging this gap requires a combination of strategic planning, technology, and cultural change. Here’s how firms can move from policy to action.

Aligning IG with Business Strategy

Information governance is not just about compliance; it’s about protecting the firm’s future. Effective IG execution supports business objectives by mitigating risks, reducing costs, and improving efficiency. To achieve this alignment:

• Create an IG Steering Committee – Strong governance starts at the top. When firm leadership champions IG initiatives, the message resonates across all levels.

• Integrate IG into Business Goals – Instead of treating IG as a separate initiative, incorporate it into broader strategic objectives such as operational efficiency, cybersecurity, and client service excellence.

• Develop Clear and Enforceable Policies – IG policies should be practical, actionable, and enforceable. Avoid overly complex guidelines that make compliance difficult.

The Financial Case for Strong IG Compliance

For firms focused on profitability, poor IG execution can be costly. We have seen the headlines of firms being involved in data breaches, and cybercrime is only increasing.  Improving compliance doesn’t just mitigate risks—it can also drive financial benefits:

• Avoid Costly Non-Compliance Penalties – Regulatory bodies continue to tighten data protection laws, increasing the financial impact of violations.

• Enhance Operational Efficiency – Streamlined processes reduce the time spent on redundant tasks, allowing staff to focus on higher-value work.

• Limit Liability Risks – Proper IG implementation minimizes exposure to legal challenges related to data mismanagement or security breaches.

• Reduce Off-site Records Storage - Off-site storage has become increasingly costly necessitating a plan to reduce this inventory. 

• Optimize All Vendor Relationships – Effective IG policies extend to third-party vendors, ensuring that outsourced services align with firm policies and reduce external risks.

Firms that proactively invest in IG see long-term cost savings and a competitive edge in the market.

Strengthening IG Compliance in Day-to-Day Operations

The practical execution of IG policies depends on well-defined roles, responsibilities, and processes. To ensure seamless integration into daily workflows:

• Assign Accountability – Clearly define who is responsible for IG compliance at every level, from leadership to administrative staff.

• Leverage Technology – Implement automation tools to streamline document management, retention policies, and security controls.

• Regularly Audit and Update Policies – Compliance is an ongoing process. Conduct routine audits to identify gaps and refine policies based on new regulations or operational needs.

• Encourage a Culture of Compliance – Foster an environment where compliance is part of the firm’s DNA, rather than a one-time checklist item.

Making IG Execution Work for Everyone

IG policies impact every employee. For compliance efforts to be successful, they must be practical and accessible. This means:

• Providing Continuous Communication – Ongoing education aensures that employees remain informed about policy changes and best practices.

• Simplifying Compliance Processes – Streamline documentation and reporting processes to make compliance easier for employees to follow.

• Creating Feedback Loops – Encourage employees to provide input on policy effectiveness and usability. Continuous improvement is key to sustainable compliance.

• Recognizing and Rewarding Compliance – Acknowledge and incentivize employees who demonstrate a commitment to IG best practices.

Firms that prioritize user-friendly IG policies will see stronger adherence across all levels.

Closing the Compliance Gap

Closing the gap between IG policy and execution requires a firm-wide commitment to structured, enforceable, and practical solutions. By aligning IG with business strategy, making a financial case for compliance, and embedding it into daily operations, firms can transform policy from theory into practice. For firms looking to strengthen their IG execution, expert guidance can make a significant difference. Contact Mattern Associates at info@matternassoc.com to learn how tailored IG strategies can improve compliance, efficiency, and long-term success.