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USA Operations Centers Electronic Information Resources & Communications Policy May 2017
As this policy is reviewed, please note the following State/Area for which exceptions exist:
Not Applicable
Specific details on each exception may be found within the General Information section of this text.
This policy outlines information and procedures regarding Joyner's electronic communications resources. The policy contains general information along with descriptions on the proper and improper uses of Joyner’s electronic information and communications resources. This policy also includes the process for management access to an employee’s electronic information resources and telephonic communication systems.
Joyner’s electronic information resources and telephonic communication systems should be used primarily for business-related purposes. Employees have the responsibility to use Joyner 's electronic information resources and telephonic communication systems in a professional, ethical, and lawful manner. Use of Joyner 's electronic information resources and telephonic communication systems is a privilege that can be revoked at any time. Inappropriate use as determined by Joyner of Joyner 's electronic information resources or telephonic communication systems may result in disciplinary action up to and including termination.
Electronic Information Resources include, but are not limited to: Joyner's network, computers, workstations, software, hardware, Internet/Intranet, electronic messaging systems (i.e., e-mail, instant messaging, online conferencing, fax machines, and digital devices) .
Telephonic Communication Systems include, but are not limited to: voice mail, telephones, pagers, and cellular phones.
Allowed Uses of Electronic Information Resources and Telephonic Communication Systems
All electronic information resources and telephonic communication systems are the property of Joyner and should be used primarily for Joyner business purposes. Limited non-business use of electronic information resources and telephonic communication systems may be permitted by management if the use does not:
Interfere with the employee's work performance;
Interfere with any other employee's work performance;
Have undue impact on the operation or expenses of the electronic information resource or telephonic communication system; or
Violate any other provision of this policy, the Code of Conduct, or any other policy, guideline, or standard of Joyner.
Prohibited Uses of Electronic Information Resources and Telephonic Communication Systems
Employees may not use Joyner 's electronic information resources or telephonic communication systems:
For any destructive programs (such as viruses);
To download or use any unauthorized or unlicensed software or computer program (review the Workstation Policies: Software Compliance Statement for more detail);
To enter into contracts, registration agreements, or licenses on behalf of Joyner unless all required approval has been obtained;
To reproduce, display, distribute, or store any materials that are sexually explicit, obscene, defamatory, harassing, illegal, or otherwise inappropriate under this policy, the Code of Conduct, or any other policy, guideline, or standard of Joyner except where such activities are within the official duties of the employee;
To reproduce, display, perform, distribute, or store any materials in a manner that violates the trademark, copyright, licensing, or other intellectual property rights of any other party.
If an employee has a reason to believe an associate is misusing or has misused Joyner's electronic information resources and/or telephonic communication systems, they should contact management, the Human Resources Department. The situation will be investigated and appropriate action will be taken.
The Duty Not to Waste Electronic Information Resources and Telephonic Communication Systems Resources
Employees must not perform acts that waste electronic information or telephonic communication system resources, unfairly monopolize resources to the exclusion of others, or otherwise waste business time. These acts may include, but are not limited to, sending or forwarding non-business or unauthorized mass mailings or chain letters; subscribing to non-business related list-servers and mailing lists; participating in non-business related message boards, games, or online chat groups.
Information on chain letters follows:
Chain letters consume and waste electronic information resources, which prohibits others from normal access to the system. A chain letter is a communication that generally provides a perceived incentive to the recipient for purposely forwarding the non-business related message on to others. Examples include e-mails where the recipient is promised money, donations to charity, or good luck for having perpetuated the "chain" of messages.
Stories or information shared among co-workers are not considered chain letters. If there are questions or concerns about chain letters contact your management or Human Resources. In most cases you will be asked to delete the message immediately. Purposefully replying to or forwarding a chain letter is a violation of this policy.
Note: When reporting a chain letter, the support team may ask you for a copy of the chain letter. It is appropriate to send the chain letter to the individual on the support team by using the "Forward" button (do not select "Reply to All") and entering the requested name. Please delete the chain letter immediately after sending it to the requesting individual.
The Duty of Care
Employees should endeavor to make each electronic communication truthful and accurate. Employees should use the same care in drafting e-mail and other electronic documents as they would for any other written communication. Employees should also keep in mind that the quality of writing reflects on Joyner and anything created or stored on an electronic information resource or telephonic communication system may be reviewed by others.
Outside Media, Files, CD's and Disks
Employees are permitted to download or copy business-related computer disks, business-related Software CD’s, business-related Music CD’s, or business-related files from the Internet to their system; accept business e-mail attachments from outsiders, or use business-related disks or business-related CD’s from non-Joyner sources, after scanning the material with Joyner’s approved virus-checking software and proper approval for use on Joyner Electronic Information Resources. If you suspect that a virus has been introduced into Joyner’s network, notify your management and IT Services immediately. Also, if the material is copyrighted, proper authorization must be obtained from the owner of the work or creation.
Employees are not permitted to download or copy non-business files from the Internet, non-business Music CD’s, non-business computer disks or non-business Software CD’s. Downloading or copying inappropriate non-business related media files is a violation of company policy regarding the use of Joyner equipment (including shared drives, hard drives and personal data devices) and company property. In some cases, it may also constitute a violation of copyright law.
Before downloading or copying any media files to any Joyner equipment or company property, employees should verify with their management that the information they are obtaining is business related and approved for use on Joyner Electronic Information Resources.
Appropriate media files are those that are business related or approved for business use on Joyner Electronic Information Resources.
Inappropriate media files are those that are non-business related and not approved for use on Joyner Electronic Information Resources.
Examples of inappropriate media files are non-business media files that include music and video files which are any file types that are used to show or display music or video. This would include songs copied from CDs, downloaded from the Internet or received by e-mail, videos or video clips copied or downloaded from the Internet or received by e-mail, TV shows or clips and any sound files.
Examples of file types used for music and video include but are not limited to files with the following extensions: .MP3; .WAV; .AU; .MPG; .MPEG; .MPEG2 CDA; .RM; .RAM; .MP2; .RA; .MID; .WMA; .WMV; .AVI; .MOV; .ASF; .SWF.
For more information on technical issues related to this policy, please contact your management.
Internet and E-mail Access Guidelines for Employees
Employees must abide by the following rules unless an exception has been provided by Enterprise Information Security or the Systems Support area:
Employees who access the Internet through a computer attached by a wireless or wired access point to Joyner's network must do so through an approved connection. If you have questions about what connections are approved, contact your Systems Support area.
Employees may not access Joyner's network utilizing non-Joyner systems or hardware.
To protect the security of Joyner business information, an employee’s personal e-mail account with a third party provider (such as but not limited to: Yahoo, Gmail) should not be used to conduct Joyner Business. Therefore, employees should not send or receive business e-mail to their personal e-mail accounts. Employees should not use Joyner equipment (including, but not limited to, laptops, desktops, and walk-up computers) to access personal e-mail accounts.
Internal Blogs
An internal blog is information distributed on our network and accessed via the intranet. It is intended to be used for communication and collaboration. The blog owner regularly posts information to the blog and readers are able to attach comments to the postings.
Internal blogs must have a stated business purpose and be requested through the established governance process.
Because of securities industry regulations, no blogs will be permitted for any broker-dealer communications without prior review by Compliance and Legal Services, and any other necessary parties.
Use of anonymous comments in blogs should be very limited. Plans to use anonymous comments must be documented in the internal blog request and Joyner management must be involved in decisions to enable anonymous comments, and any legal issues should be discussed with Legal Services (HR or technology counsel).
Joyner employees who participate in blogs must adhere to the Code of Conduct including, but not limited to, policy related to reporting information accurately, privacy, intellectual property, and protection of Joyner assets.
Instant Messaging
Instant Messaging sessions should be used primarily for business purposes.
Associates may participate within Instant Message (IM) sessions that have business value. The IM sessions must be managed in compliance:
When any participant in an IM conversation closes the IM window, or the session times out, the IM conversation will be sent to the Conversation History folder in Outlook.
Once the IM conversation reaches the Conversation History folder, it can be managed as an email. Emails with business value can be stored in Outlook or another repository if specified by a business process.
Associates will need to manage IM conversations, without business value within the Conversation History folder following the information without business value retention guidelines.
Instant Messaging sessions are prohibited from being used for broker/dealer communications (i.e. relating to Joyner’s securities business) and investment adviser communications.
Online Conferences
Associates may also participate in online conferences. The associate conducting an online conference is responsible for ensuring all documents (handouts, PowerPoint presentations, etc.) used during the meeting are managed in compliance and stored in an acceptable storage repository. Copies of handouts downloaded or printed by associates attending the meeting are considered information without business value. Instant messages within the Online Meetings are sent to all meeting participants' Conversation History folder. Once the IM conversation reaches the Conversation History folder, it can be managed as an email.
External conferencing features within online conferencing tools provided to associates are intended for associate-to-business use. The external conferencing feature is not to be used with customers, unless a documented business procedure instructs associates to do so.
Prohibited Activities
Instant Messaging and Online Conferencing Tools are prohibited from being used for broker/dealer communications (i.e. relating to Joyner’s securities business) and investment adviser communications. External conferencing features within online conferencing tools provided to associates are intended for associate to business use. The external conferencing feature is not to be used with customers, unless a specific business procedure instructs associates to do so.
Text Messages
Text messages should be used primarily for business purposes and only when other methods of communication are not available or appropriate.
Text messages should only be sent or received using Joyner issued mobile devices approved for text messaging purposes. Personally owned mobile devices should not be used for sending or receiving Joyner business-related text messages. If the information being used for a conversation contains sensitive data that has the potential to violate privacy laws if lost, stolen or misused, then it is prohibited from being transmitted via text messaging.
As part of our efforts to provide a safe and secure workplace, use of a personal mobile device is allowed to subscribe to emergency text notifications from the company as outlined in this communication.
There may be additional restrictions imposed by departmental or local management.
The Right to Access and Monitor Electronic information resources, telephonic communication systems, and all data residing therein belong to Joyner. While limited non-business use of Joyner electronic information resources and telephonic communication systems is permitted, it is understood that employees have no privacy expectations in any electronic information resources, telephonic communication systems, or data therein.
Joyner reserves the right to monitor, access, and review any aspects of its electronic information resources and telephonic communication systems, including, but not limited to, monitoring Internet use, reviewing e-mail sent and received by employees, sniffing network traffic, and reviewing files stored on any communication system. However, telephone monitoring must be done in accordance with Joyner's Telephone Monitoring and Recording Policy.