Policy Manager in Compliance 360 Version 2018

Transcription

1 Policy Manager in Compliance 360 Version 2018 Policy Manager Overview 3 Create a Policy 4 Relate a Policy to Other Policies, Departments, and Incidents 8 Edit a Policy 10 Edit a Policy by Using the Edit Command 10 Create a New Revision of a Policy 11 Check Out and Check In a Policy 12 Undo the Checkout of a Policy 12 Check In a Policy 13 Roll Back a Policy 13 Rollback Example 13 How to Roll Back a Policy 14 Approve and Publish (Lock) a Policy 15 Announce a Policy 16 Export Policies 17 Export Individual Policies 17 Export Groups of Policies 18 Download and View Exported Policies 20 Templates for Policies 22 Manage the Policy Manager Module 23 Access Permissions for Policy Manager 23 Organize Policies in Folders 24 Import Policies 25 Copyright SAI Global Compliance, Inc. All rights reserved. The SAI Global name and logo are trademarks of SAI Global PTY Limited Compliance 360 and Virtual Evidence Room are registered trademarks of SAI Global Compliance, Inc., an SAI Global company. CPT is a registered trademark of the American Medical Association. All other trademarks are those of the respective owners. Policy Manager in Compliance 360 1

2 Import Policies with IMA 25 Import Policies with the REST API 25 Workflow for Policy Manager 26 Policy Workflow Template 26 Workflow Tips and Guidelines for Policy Manager 32 Messages for Policy Manager 34 Customize Policy Manager Pages 36 Change the Default Preset Filter Option for the Policy List 37 Customize the Results List for the Policy Search and Policy Catalog Plug-Ins 38 Customize the Folder Path in the Policy Location Field 40 Customize Pages to Relate Policies and Incidents 41 Security for Policies 44 Security for Policy Search 45 Reports for Policies 45 Plug-Ins for Policy Manager 47 Plug-Ins for the Policy Manager Module 47 About the Policy Search and Policy Catalog Plug-ins 47 General Plug-Ins That May Also Be Useful 48 Policy Catalog Plug-In 49 Edit Settings for the Policy Catalog Plug-In 51 Policy Chart Large Plug-In 52 Edit the Settings for the Policy Chart - Large Plug-In 54 Policy Chart Plug-In 56 Edit the Settings for the Policy Chart Plug-In 57 Policy List Plug-In 58 Edit Settings for the Policy List Plug-In 60 Policy Search Plug-In 61 Edit the Settings for the Policy Search Plug-In 62 Perform a Search with the Policy Search Plug-In 64 View Search Results in the Policy Search Plug-In 66 Policy Manager in Compliance 360 2

3 Policy Manager Overview The Policy Manager module enables an organization to create policies and procedures and manage them through their complete life cycle, including approval, publishing, revision, and eventually retirement. The term policy is broadly used to encompass files such as company policies, procedures, guidelines, evaluation forms, new employee papers, and more. Keep Policies Current Automated alerts and task assignments trigger the review and revision cycle for policies. messages are sent to responsible parties prior to the scheduled revision date to start the revision process. Central Visibility and Control All policies are stored in a centralized repository that can be organized in a folder structure. Indexing of policy information enables users to easily identify policies that might be duplicates. Users can search through approved policies from the corporate website, and security can be set to limit access as necessary. For organizations with multiple divisions, policy authoring can be decentralized, with a central point of control for review, approval, and distribution. This enables organizations to take advantage of best practices throughout the entire company while ensuring consistency. Policy Compliance The policy management program is monitored using configurable reports and dashboards. Reporting is realtime and provides visibility into issues in the process such as policy expirations, extended reviews, and approval cycles. Policies can be linked to standards and regulations in order to simplify the organization of the evidence of compliance for audits, self-assessments, mock surveys, and final surveys. Effective, Efficient Collaboration and Approval Cycles Policy and procedure files are managed electronically from start to finish by using templates to establish standard work processes. Templates are commonly used to automate the review, edit, approval, and distribution process in a manner that is measurable and predictable. Automated workflow processing is used to route collaboration and approval activities to the necessary parties at the appropriate point in time. messages are automatically sent to assign activities and remind individuals of key milestones. Alerts are also sent automatically if due dates are in jeopardy of being missed. Policy Manager in Compliance 360 3

4 Create a Policy 1. Prepare the external file that you plan to upload as the source file for the contract. Requirements for external files include: The maximum file size is 128 MB. The file should not be encrypted. If the file is password protected, then users are prompted to enter the password when viewing the original file in Compliance 360. In addition, you cannot view a password-protected file as a PDF. 2. Go to Legal & Compliance > Policy Manager > Policies. 3. In the Division field, enter the division for the policy or click to select the division. 4. In the folder bar, select the folder for the policy. 5. In the Policy List, open the page to create a policy: To create a policy without using a template, click New. To create a policy from a template, click next to New, select Create from Template, and then select a template. Tips: If the New button is not available on the Policy List, then you cannot create or store policies in this location. Choose a sub-folder, such as a section of a manual instead of the manual. You can also click New > Shortcut to create a shortcut to work with a policy that is stored in another location. Keep in mind that this shortcut is always to the latest revision of this policy. See the Basic Functionality > Shortcuts section of the Help for more information. You can also click New > New Template to create a policy template to use as a starting point when creating new policies. 6. Enter general information for the policy on the Policy tab of the Modify Policy page. Name Division Description (Read-only) Division in which the policy is located. Policy Manager in Compliance 360 4

5 Name Policy Location Description Folder where the policy is stored. Enter the folder name or click folder. to select a Tip: You cannot store a policy in a folder where the folder name appears with a line through it. However if you expand the folder, you should be able select a subfolder (section) of the folder. Status Policy Number Title Type Revision Date Scheduled Revision Date Effective Date Review Date (Read-only) Where the policy is in the workflow process. For policy templates, the status is Template. Identifying number for the policy. Enter a number, or leave the field blank to automatically generate a number when the contract is saved. Name used to identify the policy. Type of policy, such as Form, Guideline, Policy, or Procedure. Date of the most recent revision to the policy. The current date appears in the field by default, but you can change the date if needed. Date that the policy is scheduled to be revised. Date that the policy becomes effective. Date of the most recent review of the policy. Note: Review Date differs from Revision Date. A policy review does not always result in changes to the policy. Repeal Date Workflow Step Start Date Description Date that the policy is repealed or retired. (Read-only) Date that the current workflow step started. Text that describes the policy, such as the purpose of the policy. The Description field is NOT intended to contain the policy or a large portion of the policy. Limit the description to a few sentences that help a user who is browsing through many policies to get a general idea of the policy contents. Revision Notes Workflow Template Text that describes the reason for the most recent revision of the policy, including the initial version of the policy. Predefined series of steps designed to route the policy through its life cycle. Policy Manager in Compliance 360 5

6 Name Categories Description Associated attributes for the policy that are useful as filter criteria on reports and searches. For example, you might want to use this field to specify certain types and subtypes. You can link the same category to policies regardless of the division, manual, or section. To add a category: a. Click Add. The Category Select page appears. b. From the Category Set list, select the category set, which is a group of categories. c. Select one or more categories by expanding the tree and clicking the link for each category. d. Click Close. 7. Click Save. 8. In the File section, upload a file for the policy: a. Select File from the list. b. Click Select File and then browse to and select the file to upload. You can also select a file in Windows Explorer and then drag and drop the file on the Select File button. Note: If you are using Internet Explorer 11, the drag and drop feature may not be available in certain modules. c. In the File Display Options section, select whether to display the file in its Original file format, to display a PDF version of the file, or to make both display options available. If you clear both options, then you cannot view the file from the Policy List. If you select the PDF check box, then Compliance 360 attempts to generate a PDF version of the file. The icon appears next to the file name if the PDF file was generated successfully. Notes: You can specify a URL for the policy instead of uploading a file by selecting URL from the list, entering the URL, and then clicking Save URL. If you upload your own PDF file and then you later upload a new version of the original file while editing the object, then remember to upload your own PDF file for the new version. The PDF file that you uploaded with the previous version of the original file may not be retained. Policy Manager in Compliance 360 6

7 If the icon appears next to the file name, then you can edit the file online. See the Edit a File for an Object Online topic in the Basic Functionality > Common Procedures > Working with Objects section of the Help for more information. d. (Optional) To upload your own PDF version of the file, click Select PDF and then browse to and select the PDF file. 9. In the Primary Responsible Party field, enter the name of the user who is responsible for the policy, or click to select a user. 10. In the Additional Responsible Parties field, click Add to add more users who are responsible for the policy. Or, to remove a user from the list of responsible parties, select the user and click Remove. 11. In the Tasks list, add one or more tasks to track the work that is required for the policy. See the Basic Functionality > Tasks section of the Help for more information. 12. Click the remaining tabs for the policy and enter information as necessary. Tab Related Information Rollback Workflow Teams Evidence Links Security Description Enables you to link the policy to other policies and departments. See Relate a Policy to Other Policies, Departments, and Incidents for more information. If you create a new revision of the policy by checking out the policy and then checking it back in, then the Rollback tab enables you roll back the policy to an earlier revision. See Roll Back a Policy for more information. Enables you to edit the employees who are assigned to any Collaboration and Approval steps in the workflow template that is assigned to the policy. Be sure to assign the appropriate permission levels when adding new team members. See the Basic Functionality > Workflow Templates > Workflow Teams section of the Help for more information. Enables you to link policy information to standards and regulations in order to simplify the organization of compliance evidence for audits, self-assessments, mock surveys, and final surveys. See the Basic Functionality > Evidence Links section of the Help for more information. Enables you to optionally change the security permissions for the default groups and employees who have access to the policy. You can also add or remove groups and employees. See the Basic Functionality > Security section of the Help for more information. Policy Manager in Compliance 360 7

8 Relate a Policy to Other Policies, Departments, and Incidents You can relate a policy to other policies, to departments that are associated with the policy or that the policy affects, or to incidents. Related policies, departments, and incidents are listed on the Related Information tab for a policy. Note: A system administrator must add the Related Incidents list to the Related Information tab for a policy before you can relate a policy to an incident. See Customize Pages to Relate Policies and Incidents for more information. Relationships are bidirectional. In other words, if you add Policy A as a related policy on the Related Information tab for Policy B, then Policy B appears as a related policy on the Related Information tab for Policy A. To relate one object to another object, you must have permission to edit at least one of the objects, and at least view permission for the other object. 1. Go to the Related Information tab for the policy that you want to add related objects to: a. Go to Legal & Compliance > Policy Manager > Policies. b. In the Division field, enter the division for the policy or click to select the division. c. In the folder bar, select the folder for the policy. d. In the Policy List, find the policy and use the Actions menu to either edit, check out, or revise the policy. See Edit a Policy for information on the differences between the actions. The Modify Policy page opens, starting with the Policy tab. e. Click the Related Information tab. 2. In the Related Policies list, add policies that are related to the policy. a. Click Add. The Select Policy page opens. b. (Optional) Filter the list of policies, if necessary. c. Click Select next to the related policies. d. Click Close. You can also remove a policy from the list by clicking Delete next to the policy. 3. If the policy is related to all departments in the division, then select the Related to All Departments check box. Selecting the check box enables you to easily filter a list for policies that are associated with all departments of a division. Policy Manager in Compliance 360 8

9 4. In the Related Departments list, add departments that are associated with the policy or that the policy affects. a. Click Add. The Select Department page opens. b. (Optional) Filter the list of departments, if necessary. c. Click Select next to the related departments. d. Click Close. You can also remove a department from the list by clicking Delete next to the department. 5. In the Related Incidents list, add incidents that are related to the policy. a. Click Add. The Select Incident page opens. b. (Optional) Filter the list of incidents, if necessary. c. Click Select next to the related incidents. d. Click Close. You can also remove an incident from the list by clicking Delete next to the incident. 6. Click Save and Return. Policy Manager in Compliance 360 9

10 Edit a Policy You may need to periodically edit a policy. For example, your organization may review policies on a yearly basis. Upon review, you may need to revise the file that is uploaded for the policy, or update incorrect information in the fields that describe the policy, such as the title, policy number, or description. The following options are available for editing a policy, depending on the workflow template for the policy: Use the Actions > Edit command to edit an unpublished policy without creating another revision of the policy. You cannot change the contents of the file that was uploaded for the policy. You must check the policy out or edit the policy online to edit the uploaded file. See Edit a Policy by Using the Edit Command for detailed steps. Use the Actions > Revise command to create a new revision of a published policy. The policy returns to an unpublished status in the first step of the assigned workflow template. You cannot change the contents of the file that was uploaded for the policy. You must check the policy out or edit the policy online to edit the uploaded file. The previous revision of the published policy remains available to the Policy Search and Policy Catalog plug-ins until the next revision is published. See Create a New Revision of a Policy for detailed steps. Select Actions > Check Out next to an unpublished policy to edit the external file that was uploaded for the policy. After you finish editing the file and check in the policy, a new version of the policy is created with the updated file. See Check Out and Check In a Policy for detailed steps. If you uploaded a supported Microsoft Office file as the source of the policy, then use the Actions > Online File Edit command to open the file directly from Compliance 360 and edit the file online by using the associated Microsoft office application. This capability is called online edit. A system administrator must enable online edit in the workflow template that is associated with the policy. See the Edit a File for an Object Online topic in the Basic Functionality > Common Procedures > Working with Objects section of the Help for more information. If you create a new version of a policy by checking out or performing an online edit of the policy, and then you later decide to discard the new version, you can roll back to an earlier version of the policy. Edit a Policy by Using the Edit Command Use the Actions > Edit command for an unpublished policy to edit the policy without creating another revision of the policy. You can edit information in the fields that describe the policy or upload an updated file for the policy. The updated file replaces the original when you save the policy. Policy Manager in Compliance

11 Caution: Use Actions > Edit with caution since a version history is not maintained. A best practice is to allow only Admin users to edit a policy for the purpose of changes to policy details, such as to correct spelling in the fields for the policy, change dates, or make other minor adjustments. Using Actions > Edit to upload a replacement file for the policy is not recommended. Either revise the policy or check the policy out to create a new version so that you can roll back to a previous version if necessary. 1. Go to Legal & Compliance > Policy Manager > Policies. 2. In the Division field, enter the division for the policy or click to select the division. 3. In the folder bar, select the folder for the policy. 4. In the Policy List, find the policy and click Actions > Edit. The page to edit the policy opens, starting with the Policy tab. 5. Click each tab and edit information for the policy. The fields are the same as when you create a policy. 6. Click Save or Save and Return. Create a New Revision of a Policy Use the Actions > Revise command for a policy to create a new revision of the policy. All of the information for the policy, including the workflow template, is included in the new revision except for the scheduled revision date and any custom workflow teams that were defined for the original version. You can choose whether to include related information, such as categories. You can edit information in the fields that describe the policy, or upload an updated file for the policy. Notes: Evidence links are copied to the new revision since the same links are most likely still applicable. However, this means that both revisions of the policy are listed in the Evidence Room. If you are only interested in the latest revision, go to the Evidence Room to remove the previous revision. If a policy includes attachments and you create a new revision of the policy, then the Date Attached field for the attachments is updated in the new revision to the date that the revision was created. When you create a new revision by using Actions > Revise, the policy returns to an unpublished status in the first step in the assigned workflow template. The previous revision of the published policy remains available to the Policy Search and Policy Catalog plug-ins until the next revision is published. If you want to discard the new revision that you created, you can roll back to an earlier version of the policy. 1. Go to Legal & Compliance > Policy Manager > Policies. 2. In the Division field, enter the division for the policy or click to select the division. 3. In the folder bar, select the folder for the policy. Policy Manager in Compliance

12 4. In the Policy List, find the policy and click Actions > Revise. The Revise Policy page appears. 5. Select the related data to include in the new version of the policy. Basic policy information is included by default. 6. Click Finish. A confirmation message appears. 7. Click Yes. The page to edit the policy opens, starting with the Policy tab. 8. Click each tab and edit information for the policy. The fields are the same as when you create a policy. 9. Click Save or Save and Return. Check Out and Check In a Policy Select Actions > Check Out next to a policy to edit the external file that was uploaded for the policy. When you check out a policy, no other users can edit the policy. After you finish editing the file, you can check in the policy. A new version of the policy is created with the updated file, and other users can then edit the policy as necessary. If you check out a file but you decide that no changes are required, you can undo your checkout. Users with Admin permission to a policy can undo the checkout of any user. When you undo the checkout of a policy, a new version of the policy is not created. If you check in an updated file but later decide to discard the new version, you can roll back to an earlier version of the policy. 1. Go to Legal & Compliance > Policy Manager > Policies. 2. In the Division field, enter the division for the policy or click to select the division. 3. In the folder bar, select the folder for the policy. 4. In the Policy List, find the policy and click Actions > Check Out. A confirmation message appears. 5. Click Yes. Depending on the web browser, you may be prompted to open or save the file. The file may also be downloaded automatically to the Downloads folder on your computer. If you refresh your web browser, the policy appears in the Policy List with a status of Checked Out. 6. Make any necessary edits to the file on your computer. 7. Check in the policy. Undo the Checkout of a Policy If you decide that you do not need to make edits to the external file for a policy that you checked out, then you can undo the checkout of the policy. Policy Manager in Compliance

13 1. In the Policy List, find the policy and click Actions > Undo Check Out. A confirmation message appears. 2. Click Yes. If you refresh your web browser, the policy appears in the Policy List with a status of Checked In. Check In a Policy When you finish editing the external file for a policy that you checked out, you should check in the policy. 1. In the Policy List, find the policy and click Actions > Check In. A confirmation message appears. 2. Click Yes. The Policy Check-in page appears. 3. (Optional) In the Check In Notification section, select the users to notify about the policy updates. Click Add Employee to add individual users or Add Group to select groups, and then click Select next to each user or group. Note: You must select the users and groups to notify before you select the file to check in. If you select the file first, then the file is removed when you add users or groups for notification. This issue occurs because the page must refresh after each user or group is added, and the refresh process removes the selected file from the page. 4. In the File to Upload section, click Select File and then browse to and select the file. Note: Upload issues may occur if the file is located in multiple folders. In addition, delays or time-outs may occur if the file is extremely large. 5. (Optional) In the Comments field, enter comments about the policy update that you are checking in. 6. Click Save and Return. The status of the policy changes to Checked In, and notification messages are sent to any selected users. Roll Back a Policy Each time that you revise a policy or check out a policy and then check it back in, a new version of the policy is created to replace the previous version. The previous versions are stored along with the most current version of the file. If necessary, you can return the policy to a previous version instead of using the current version. This process is called rollback. You must have Admin permissions to roll back a policy to a previous version. Rollback Example 1. The Inclement Weather policy and procedure is the current policy and procedure (version #1) in the application. John, the responsible party for the policy and procedure, is notified by that the policy and procedure is nearing its scheduled review/revision date. John assigns specific people (Claire, Jason, and Terry) in his department to review the current policy and procedure, and make any necessary changes to it. Policy Manager in Compliance

14 2. Terry checks out a copy of the policy and procedure, saves it on his computer, and adds new text to the file. He checks in his new version of the file. Terry s version is now the current policy and procedure (version #2) that everyone sees when they view the policy and procedure. 3. Claire then checks out a copy of the current policy and procedure (Terry s version #2) and repeats the process. When Claire checks in her version (version #3), it replaces Terry s. 4. Jason repeats the process, and his version (version #4) replaces Claire s (version #3). 5. However, due to an executive-level decision, the changes that Jason made are no longer required in the policy and procedure. Claire s version, #3, will be the final version. 6. In order to make Claire s version the current one, John rolls back the policy and procedure to Claire s version. After the rollback, the current version of the policy and procedure is version #5, but the file/version is the same as Claire s version, #3. The following table illustrates the example rollback scenario. Notice that versions #3 and #5 are Claire s version. The Date Created column for version #5 is the date that John rolled back to version #3. Version # File Name Description Date Created 1 Inclement Weather.doc Original version 1/2/ Inclement Weather.doc Terry's version 2/4/ Inclement Weather.doc Claire's version 2/15/ Inclement Weather.doc Jason's version 3/27/ Inclement Weather.doc Claire's version 4/1/2018 How to Roll Back a Policy 1. Go to the Rollback tab for the policy that you want to roll back: a. Go to Legal & Compliance > Policy Manager > Policies. b. In the Division field, enter the division for the policy or click to select the division. c. In the folder bar, select the folder for the policy. d. In the Policy List, find the policy and click Actions > Edit. e. Click the Rollback tab. 2. In the Rollback List, find the version of the policy that you want to return to, and click Action > Rollback. A confirmation message appears. 3. Click Yes. 4. Click Return. Policy Manager in Compliance

15 Approve and Publish (Lock) a Policy When the work on a policy is complete, you can approve publish the policy, even if some of the workflow steps are not complete. This situation may occur, for example, if a user who is responsible for approving the policy is unavailable for an extended period and you want to publish the policy rather than waiting. Policies become available for a Policy Search or for viewing in the Policy Catalog plug-in when they are published. The latest revision of a policy, whether published or unpublished, can appear in the results when you go to Analytics > Search and perform a search. The term lock is used instead of publish for some organizations. If there are open tasks for the policy, then the tasks are automatically closed when you publish the policy. You must have Admin permissions to publish a policy. To make changes to a policy after it has been published, you must create a new revision of the policy. When you create a new revision, the policy returns to an unpublished status in the first step in the assigned workflow template. The previous revision of the published policy remains available to the Policy Search and Policy Catalog plug-ins until the next revision is published. 1. Go to Legal & Compliance > Policy Manager > Policies. 2. In the Division field, enter the division for the policy or click to select the division. 3. In the folder bar, select the folder for the policy. 4. In the Policy List, find the policy and click Actions > Approve and Publish or Actions > Lock. If the Actions > Unpublish All action is available, then you can unpublish the current revision and all previous revisions of the policy so that the policy is no longer available in the Policy Search and Policy Catalog plug-ins. Policy Manager in Compliance

16 Announce a Policy You can announce a policy to notify specific users about the policy, such as when the policy is ready for review, when a user has been added to the team that is responsible for the policy, when there is a question regarding the value of a policy addition, when you need to request suggestions due to compliance changes, and more. When you announce a policy, an message is sent to the selected users with information about the policy and, optionally, the attached policy or a link to the policy. The Announce Policy Update message is used as the announcement message. You can customize the message in Maintenance > Messaging > Messages. See the Maintenance > Messaging > Messages section of the Help for more information. 1. Go to Legal & Compliance > Policy Manager > Policies. 2. In the Division field, enter the division for the policy or click to select the division. 3. In the folder bar, select the folder for the policy. 4. In the Policy List, find the policy and click Actions > Announce. The Policy Announcement page opens. 5. In the Message Subject field, enter the text that should appear in the subject line of the message that is sent to announce the policy. 6. In the Additional Information field, enter any additional information about the policy that should appear in the message that is sent to announce the policy. 7. In the Employee/Groups list, select the users to receive the announcement message. The primary responsible party automatically appears in the list. Click Add Employee to add one or more users, or click Add Group to add one or more groups. The individual members of the group are added to the list when you add a group. To remove a user from the list, click Actions > Delete next to the user. 8. Click Save and Close. Policy Manager in Compliance

17 Export Policies You can export individual policies or groups of policies so that you can print or back up the policies. Policies are exported to a zip file that contains the policy files in their original format, as well as an XML file with an associated XSL stylesheet that enables you to view a formatted list of the exported policies organized by folder. The list includes details about each policy and provides a link so that you can open each policy file from the list. The audit trail does not include entries for when policies are exported. You can export individual policies from the Policy List, or export a group of policies from the Policy Export page in Legal & Compliance > Policy Manager > Maintenance. Export Individual Policies If a system administrator has activated the Export action on the current workflow step for the workflow template that is assigned to a policy, you can export the policy from the Policy List. An with a link to download the exported file is sent to the address of the user who is performing the export. The link is valid for 72 hours from the time the is received. After 72 hours, the application automatically purges the exported policy file for security reasons. This is different than other links in Compliance 360, which are available for seven days by default. 1. Go to Legal & Compliance > Policy Manager > Policies. 2. In the Division field, enter the division for the policies or click to select the division. 3. In the folder bar, select the folder for the policies. 4. (Optional) Filter the list of policies in the Policy List to find the policies that you want to export. 5. To export a single policy, click Actions > Export next to the policy. Or, to export multiple policies, select the check box next to the policies and then click For Selected > Export. A confirmation message appears. 6. Click Yes. A message appears to notify you that the export has begun and that an message will be sent to notify you when the export is complete. 7. Click OK. When the export completes, you can download and view the exported policies. Policy Manager in Compliance

18 Tip: If you have the necessary module access permissions, you can view the status of the export job on the Job Status page in Home. Export Groups of Policies You can export groups of policies from a division, folder, manual, or section by using the Policy Export page in Legal & Compliance > Policy Manager > Maintenance. When you export a group of policies, you can choose whether the exported file is available from a link in an that is sent to you or from a Secure File Transfer Protocol (sftp) location. Delivery to an sftp location is recommended if the size of the exported file is likely to exceed 1 GB. Keep in mind that exporting several policies or multiple folders, such as all manual folders for a division, can take a long time or cause the application to time out before the export is complete. The length of the export process depends on the number of policies and the size of the policy files. If you need the export to complete by a specific date and time, you should start the export process as early as possible. You can also perform multiple smaller exports instead of a single large export. If you still cannot export the folders or access the ZIP file, try exporting individual section folders or policies. If trouble persists, contact SAI Global for assistance. 1. If you plan to export the policies to an sftp location, then go to Maintenance > System Management > Delivery Profiles and set up a delivery profile. 2. Go to Legal & Compliance > Policy Manager > Maintenance. 3. Click Policy Export on the submenu. The Policy Export page opens. 4. Enter values in the fields to specify which policies are exported and the delivery method for the exported file. Field Type Description Module type with the policies to export. This field appears only if there is more than one module type for Policy Manager. Policy Manager in Compliance

19 Field Folders Description Select the division, manual, or folders with the policies to include in the export: a. Click Add. b. Select the check box next to the folders with the policies to export: To export all manuals in a division, select the division folder and select Include Subfolders. To export a group of manuals, select the highest applicable level in the folder tree that applies, or select individual manuals or sections. To export a manual and all of its sections, select the manual folder. If you have large files in multiple manual folders, you may want to choose a smaller sub-group of manuals to export. c. Click Select. Include Subfolders Revisions to Export Whether to include only the selected folders in the export, or to include the selected folders and all subfolders of the selected folders. You must select this option to export all policies in a division or all sections of a manual. Type of policy revisions to export: Published Revision Revision that is currently published for each policy. Latest Revision Most recent revision for each policy, whether published or not. Published Policies as of Revisions published on or before the date that you specify in the field, whether the revision is currently still published or not. For example, you could export the policies that were published and in effect (not retired) on January 5, 2018.If you select this option, you cannot select either of the other options. Policy Manager in Compliance

20 Field Delivery Method Description Method by which the compressed file with the exported policies is delivered: An with a link to the exported file is sent to the address of the user who is performing the export. The link is valid for 72 hours from the time the is received. After 72 hours, the application automatically purges the exported policy file for security reasons. This is different than other links in Compliance 360, which are available for seven days by default. sftp The exported file is sent to the file transfer site in the profile that is selected in the Delivery Profile list. Delivery Profile If sftp is selected as the Delivery Method, then select the profile with the sftp location, path, and credentials to use as the target for the export. This field appears only if sftp is selected as the Delivery Method. See the Maintenance > System Management > Delivery Profiles topic in the Help for more information on setting up a profile. 5. Click Export. A confirmation message appears. Note: If the size of the exported file exceeds the maximum file size allowed in the target folder specified in the delivery profile, then the file is not exported to the folder. Reduce the number of files included in the export and try again. 6. Click Yes. A message appears to notify you that the export has begun and that an message will be sent to notify you when the export is complete so that you can download the ZIP file. Tip: If you have module access permissions to do so, you can view the status of the export job on the Job Status page in Home. 7. Click OK. When the export completes, you can download and view the exported policies. Download and View Exported Policies 1. When the export completes, download the exported file by either clicking the link in the or downloading the file from the sftp location. 2. Use an unzip utility that is installed on your local computer to extract all of the files from the compressed export file. Policy Manager in Compliance

21 Tip: Extract the files to a location that does not have a long file path from multiple sub-folders to avoid any problems associated with the Microsoft Windows limitation on the number of characters in the file path and file name of extracted files. 3. View a table with the list of exported policies by using the most recent version of Internet Explorer to open the XML file. Tips: If you do not use Internet Explorer as your default browser, right click the XML file and select Open With and select Internet Explorer. You may need to browse your programs to find its executable file (.exe). If you try to open this file with another browser, it cannot take advantage of the stylesheet to format the information and may not open. The list contains all policies, even those that do not have an associated file. If you open the XML file with a text editor, like Notepad, you can view all metadata fields for each policy, not just the ones that appear on the Policy List. However, the information is not formatted for easy viewing because it displays the native XML tags. 4. Click the File link in the File Type column of the table to open the file that is associated with a policy. If there is no File link for the policy, then a file is not associated with the policy. Policy Manager in Compliance

22 Templates for Policies You can create a template for a policy that contains common content that should be included in similar policies. You can also include an attachment, such as a Microsoft Word file, that includes standard sections and formatting that should be used. When a new policy is created from the template, the data from the template is pulled into the new policy, decreasing data entry time. Note: Once a policy is created from the template, the linkage is not maintained. If you update the template, the policies that were created from the template do not receive the updates. The steps to create a policy template are similar to the steps to create a policy. See Create a Policy for more information. Policy Manager in Compliance

23 Manage the Policy Manager Module The Policy Manager module provides powerful tools to customize it for your business needs. The following topics provide information on setting up, administering, and maintaining Policy Manager. Access Permissions for Policy Manager 23 Organize Policies in Folders 24 Import Policies 25 Workflow for Policy Manager 26 Customize Policy Manager Pages 36 Security for Policies 44 Reports for Policies 45 Access Permissions for Policy Manager Specific access permissions are required to work with objects in the Policy Manager module. You can control module access by selecting options on the Module Access tab either for individual employees or in the profiles that are assigned to employees. To access the Module Access tab for a user, go to Maintenance > Employee Management > Employees, click Actions > Edit next to the user, and then click the tab on the Modify Employee page. To access the Module Access tab for a profile, go to Maintenance > Employee Management > Profiles, click Actions > Edit next to the profile, and then click the tab on the Modify Profile page. The following options are available in the Policy Manager section of the Module Access tab for an employee or a profile. Option Policies Workflow Templates Export Workflow Templates Import Workflow Templates Workflow Teams Security Description Enables the user to view and manage policies. Enables the user to view and manage workflow templates for the Policy Manager module. Enables the user to export workflow templates for the Policy Manager module. Enables the user to import workflow templates for the Policy Manager module. Enables the user to view the Workflow Teams tab for objects in the Policy Manager module. Enables the user to view the Security tab for objects in the Policy Manager module. Policy Manager in Compliance

24 Option Export Policies Description Enables the user to export policies to a compressed (ZIP) file for printing or backup purposes. Note: If you have multiple module types, then check boxes for each module type appear in the Policy Manager section of the Module Access tab. To enable access to objects, you must select the check box for the objects and the check box for the module types the user should have access to. For example, if you want a user to work on policies in both the Technology Policies and the Human Resources Policies module types, then you must select the Policies check box, the Technology Policies check box, and the Human Resources Policies check box. If you select only the Policies check box, then the user cannot access policies in either of the module types. Additional module access permissions are required to access related functionality, such as forms configuration, reporting, and messages. See the following sections in the Help for more information on configuring module access for a user or profile: Maintenance > Employee Management > Employees Maintenance > Employee Management > Profiles Organize Policies in Folders You can organize policies in a folder hierarchy to group related policies together and to set up consistent workflows and security. Users with Admin permissions can add and remove folders. When you create a folder, you can specify: Icons that represent folders ( ), manuals ( ), or sections ( ). Whether to allow policies to be stored in the folder. You can enforce a structure where policies can only be stored in manuals, or in sections of manuals. Or, you may want to store objects in the manual folder if, for example, you want to include a high-level policy in the manual folder and to provide details on the policy in various sections of the manual. The default workflow template to use for policies that are created in the folder. Specifying a default workflow template can save time when creating policies. However, users can select a different workflow template when creating or editing the policy. Workflow teams, which are lists of users who are responsible for performing tasks in the collaboration and approval steps of workflow templates that are assigned to policies in the folder. Which modules the folder is visible in. Selection of module visibility is only available to folders immediately under the division folder. Subfolders of that parent folder inherit the module visibility selections. Security settings to control the users who have access to the folder. Go to Maintenance > System Management > Folders to manage folders. See the Maintenance > System Management > Folders section of the Help for more information. Policy Manager in Compliance

25 As you organize policies in a folder hierarchy, you also may want to consider using shortcuts and system folders: Shortcuts enable you to access and edit a single policy from a different folder than the folder in which the policy is located. To create a shortcut, go to Legal & Compliance > Policy Manager > Policies, select the folder in which to create the shortcut, and then click Shortcut on the Policy List. See the Basic Functionality > Shortcuts section of the Help for more information. System folders enable you to standardize folders throughout multiple divisions to store information uniformly and manage security in a central location. See the Maintenance > System Management > System Folders section of the Help for more information. Import Policies You can use either the Import Manager Application (IMA) or the REST API to import policies into Compliance 360. Import Policies with IMA IMA enables you to import policies into Compliance 360 by using an XLSX or XML template for Policy Manager. After you download the Policy Manager template from IMA, you can open the template in Microsoft Excel and enter information about each policy that you want to import, including the location of the file that you want to associate with the policy. Keep the following considerations for folders in mind when importing policies with IMA: If a policy is going to be stored in a new folder, the import process will create the folder based on the information in the Folder Path field of the IMA template. By default, the import process assigns the generic folder icon. You can change the icon that is used to identify the folder by selecting an icon from the Folder Icon list on the Modify Folder page for the folder in Compliance 360. The Policy Manager module and any associated module types must be selected on the Module Visibility tab for a folder in Compliance 360 before you can import policies into the folder. To prevent policies from being created within a folder in Compliance 360, select the No Data Objects Allowed check box on the Modify Folder page for the folder. See the Import Manager Application (IMA) section of the Help for more information. Import Policies with the REST API You can create and edit policies by using API Manager or custom applications developed to interact with Compliance 360 through the REST API. See the Maintenance > Data Management > API Manager section of the Help for more information. Policy Manager in Compliance

26 Workflow for Policy Manager A default workflow template is provided for policies in the Policy Manager module. You can create a custom workflow template for policies by copying the default template and then editing the copy to meet the needs of your organization. Do not edit the default workflow template. The following procedure explains how to access the workflow templates for policies. 1. Go to Legal & Compliance > Policy Manager > Maintenance. 2. Click Workflow Templates on the submenu. 3. In the Division field, enter the division for the workflow template or click to select the division. The default workflow templates are available in the Global division. 4. Manage the workflow templates. Task Create Edit Copy or move Description Click New, and then follow the instructions in the Create or Edit a Workflow Template topic in the Basic Functionality > Workflow Templates section of the Help. Find the template in the list, and click Actions > Edit in the Actions column. To copy a workflow template or move a workflow template from one division to another division: a. Find the template in the list, and click Actions > Copy/Move next to the template. The Workflow Template Copy window appears. b. Click Select Division and select the target division for the workflow template. c. Select whether to Copy or Move the workflow template. d. Click Finish. Delete a. Ensure that the workflow template is not used on any active objects. b. Find the template in the list, and click Actions > Delete next to the template. A confirmation message appears. c. Click Yes. See the Basic Functionality > Workflow Templates section of the Help for more information. Policy Workflow Template The default workflow template for a policy in the Policy Manager module provides the steps, actions, and rules to route a policy through its life cycle, from the Planning step when the policy is created, through the collaboration and approval processes, and finally to retirement. Policy Manager in Compliance

27 The following figure illustrates the default workflow template for a policy. Policy Manager in Compliance

28 Policy Manager in Compliance

29 Details on each step, including the corresponding status of the policy during the step and the messages that are sent by default during the step, are provided in the following table. Step / Status Step Type Description Messages Planning General Modification The policy is available for modification. This is the default step when the policy is created or when the policy is revised and a new version is created. None. Collaboration Collaboration The policy is routed to the collaboration team for review and development or update. The collaboration team consists of the users who appear in the Collaboration Team List on the Collaboration Team tab for the step. No users appear in the list by default. You must add users, groups, or a token to the list. When the policy moves to the Collaboration step, the Announce Policy Update message is sent to notify the collaboration team that the policy requires review. Twenty-one days after the policy moves to the Collaboration step, the Announce Policy Update message is sent to notify the responsible party that the collaboration is not complete. Post Collaboration Collaboration The policy is routed to the postcollaboration team for review and additional development or updates. The post-collaboration team consists of the users who appear in the Collaboration Team List on the Collaboration Team tab for the step. The responsible party for the policy appears in the list by default. When the policy moves to the Post Collaboration step, the Announce Policy Update message is sent to notify the postcollaboration team that the policy requires post-collaboration review. Twenty-one days after the policy moves to the Post Collaboration step, the Announce Policy Update message is sent to notify the responsible party that the collaboration is not complete. Policy Manager in Compliance

30 Step / Status Step Type Description Messages Pending Approval Approval The policy is routed to the approval team for review and approval. The approval team consists of the users who appear in the Approval Team List on the Approval Route tab for the step. No users appear in the list by default. You must add users, groups, or a token to the list. When the policy moves to the Pending Approval step, the Policy Review Requested message is sent to the approval team to request approval of the policy. The Policy Review Reminder message is sent to approval team members who have not responded within 7 days. The Policy Review Past Due message is sent to the responsible party 14 days after the policy moves to the Pending Approval step. The Policy Approved or Policy Rejected message is sent to the responsible party when the policy is either approved or rejected. Post Approval Collaboration The policy is routed to the collaboration team for review and additional development or updates. The collaboration team consists of the users who appear in the Collaboration Team List on the Collaboration Team tab for the step. The responsible party for the policy appears in the list by default. When the policy moves to the Post Approval step, the Announce Policy Update message is sent to the collaboration team to request final review and approval of the policy. Twenty-one days after the policy moves to the Post Approval step, the Announce Policy Update message is sent to notify the responsible party that the collaboration is not complete. Policy Manager in Compliance

31 Step / Status Step Type Description Messages Rejected Collaboration The policy was rejected by the approval team, and therefore is routed to the collaboration team for additional work. The collaboration team consists of the users who appear in the Collaboration Team List on the Collaboration Team tab for the step. No users appear in the list by default. You must add users, groups, or a token to the list. When the policy moves to the Rejected step, the Announce Policy Update message is sent to notify the collaboration team that the policy was rejected. Approved General Modification The policy was reviewed and is available for searching. The current revision of the policy is published, all open tasks are closed, and the publish date for the policy is updated. This step also includes a rule that automatically moves the policy to the Due Soon step 30 days before the scheduled revision date of the policy. The Policy Revision Due Soon message is sent to the responsible party 90 and 45 days before the scheduled revision date of the policy. Due Soon Collaboration The policy is due soon for review, update, and approval. The responsible party should revise the policy to create a new version and begin collaboration to review and update the policy. This step includes a rule that automatically moves the policy to the Past Due step 1 day after the scheduled revision date of the policy. When the policy moves to the Due Soon step (30 days before the scheduled revision date), the Policy Revision Due Soon message is sent to the responsible party, who is listed in the Collaboration Team List on the Collaboration Team tab for the step. The Policy Revision Due Soon message can be sent 14 and 7 days before the scheduled revision date of the policy. However, you must add the user, a group, or a token to the Rule Team Members list for the Date Notification rules. Policy Manager in Compliance

32 Step / Status Step Type Description Messages Past Due Collaboration The scheduled revision date of the policy has passed. When the policy moves to the Past Due step (1 day after the scheduled revision date), and 7 days after the scheduled revision date, the Policy Revision Past Due message is sent to the responsible party, who is listed in the Collaboration Team List on the Collaboration Team tab for the step. Retired General Modification The policy has been retired and will no longer appear in policy searches. The policy is unpublished, and the publish date is cleared. No messages are sent by default for this step. You can configure a message to be sent on the Rules tab for the step. Workflow Tips and Guidelines for Policy Manager The following sections provide useful tips and guidelines for building workflow templates for policies in the Policy Manager module. See the Basic Functionality > Workflow Templates section of the Help for more information. Workflow Rules for Policy Workflow Templates The rules in the following table are configured on the workflow steps in the default policy workflow template. Rule Name [X] Days Notification Approval Reminder Notification Date Navigation Date Notification General Notification Publish Revision Description Sends the configured notification message [X] days after the workflow step begins. Sends the configured notification message to approval team members who have not responded within [X] days of being asked to approve the object. Moves the policy to the specified workflow step [X] days before or after the workflow step begins. Sends the configured notification message [X] days before or after the workflow step begins. Sends the configured notification message. Publishes the current revision. The rule can also optionally close tasks and update the publish date, if it is already set. Note: A Publish Current Revision action is available by default on some workflow steps in the default policy workflow template. You can activate that action so that users can manually publish the current revision of the policy, automatically update the publish date, and close tasks. Policy Manager in Compliance

33 Rule Name Unpublish Revision Description Unpublishes a revision. The rule can also optionally clear the publish date and also not republish the previous revision. Keep in mind that if you choose to clear the publish date when using this rule, then the option to export revisions published as of a particular date will not export a policy whose publish date has been cleared. You can, however, still export the latest revision. Note: An Unpublish All action available is available by default on some workflow steps in the default policy workflow template. You can activate that action so that users can manually unpublish all revisions of the policy. The action does not clear the publish date. Other workflow rules that may be useful in the policy workflow template are listed in the following table. Rule Name Compare Values Then Start Workflow Step Description Determines the value to be used and the workflow step that will follow. For example, if one field value is less than another field value, then move the policy to a particular workflow step. You must configure the following values for the rule: The field that stores the main value. The comparison operator. The field that you want to compare the main value to. The destination step in the workflow. Lookup Value Move Rule Moves the policy to the specified folder and workflow step when a lookup field is a specific value. This rule may be useful when used in conjunction with the Set Lookup Value rule. For example, you can add a lookup field called Archived with Yes and No lookup values. Then, when you move the policy to the Retired step, you can set the new lookup value to Yes and use this rule to automatically move it to a Retired folder. Lookup Value Navigation Rule Numeric Value Navigation Rule Object Security Moves the policy to the specified workflow step when a lookup field is a specific value. Moves the policy to the specified workflow step when a numeric value meets comparison criteria. Changes the security permissions for the policy for the duration of the workflow step. Policy Manager in Compliance

34 Rule Name Set Date Description Configures dates for the policy based on the workflow step. If this rule is set to execute at the start of a step, then the information in the associated date field that is used to trigger the rule when the step starts is the date used. If you clear or edit the information in that date field after the step has started, it does not change how the rule will be triggered because that date has already been set for the rule. If you do not want the rules to trigger, you can do one of the following: Before the object reaches the step on which the rule is set (such as a step that publishes the object), you can clear or edit the date field that triggers the rule. You can move the object to the next step and then move it back to restart the step. You can restart the step on which the rule is set. Prevent Policies from Appearing in a Policy Search or Policy Catalog A policy revision must be published (locked) to appear in the Policy Search and Policy Catalog plug-ins. To prevent a policy from appearing in these plug-ins, you must prevent the policy from being published. Create a separate workflow template that does not include either the Publish Revision rule or the Publish action, and then assign the workflow template to the policies. You can also activate the Unpublish All action on any step of the workflow template for the policy, and then manually unpublish a policy. However, if the workflow template that is assigned to the policy includes a step with the Publish Revision rule, then the policy may be published and become searchable again when it moves to the step with the Publish Revision rule. Messages for Policy Manager You can configure messages to be sent as an either manually or automatically as part of workflow, such as when a policy is approved. A set of default messages are provided for the Policy Manager module. You can use the default messages without editing them. However, you might want to review the messages and customize them, or create custom messages. See the Maintenance > Messaging > Messages section of the Help for more information. The following sections provide more information: Default Messages for Policy Manager Customize Messages for Policy Manager Default Messages for Policy Manager The following table lists the default messages that are available for the Policy Manager module. Policy Manager in Compliance

35 Message Name Announce Policy Update PDF Generated Policy Approved Policy Export Policy Rejected Policy Review Past Due Policy Review Reminder Policy Review Requested Policy Review Stopped Policy Revision Due Soon Policy Revision Past Due Description Notifies the policy collaboration team that someone has updated the policy. This is a manual message sent from the Announce page. Notifies employees that a request to generate a PDF has been completed. Notifies the policy responsible party that the policy has been approved by all approval route members. This is an automatic message. Notifies employees that the policy export has completed and provides a link to view the compressed file. This is an automatic message. Notifies the policy responsible party that someone in the approval route has rejected the policy. This is an automatic message sent only if a rejection occurs. This same message can be sent manually to notify the policy collaboration team that someone has rejected the policy using the Announce page. Notifies the responsible parties for the policy that not all approval route members have reviewed the policy. This is an automatic message sent 14 days after the first route step members are asked to review the policy. Reminds a policy approval route member to review a specific policy and then approve or reject it. This is an automatic message that can be sent X number of days after the initial request if the approval route step status is still pending. Asks a policy approval route member to review a policy and then approve or reject it. This is a manual message for the first approval route member, and then is automatically sent to subsequent route members if each approves the policy. Notifies a policy approval route member that the review of the policy is no longer needed. This is a manual message sent when the route is stopped. Notifies the responsible parties for the policy at 90, 45, 30, and 7 days before the scheduled revision date. This is an automatic message. Notifies the responsible parties for the policy that the policy revision was due one day ago. This is an automatic message. Customize Messages for Policy Manager Messages are composed of message blocks that identify the type of information to include in a message. You can add and remove message blocks for a message, change the order that message blocks appear in the message, and customize most message blocks. You can also include custom text in a message by using the Free Text message block. Most default messages include either the Attachment message block or the External File Attachments message block so that attachments to an object are included in messages for the object. You should review the Policy Manager in Compliance

36 security, file type, and maximum file size considerations for message attachments in the Maintenance > Messaging > Messages section of the Help to ensure that you are using the optimal message block for attachments. The types of message blocks that are available for a message depend on the object that is associated with the message. Global message blocks are discussed in the Maintenance > Messaging > Messages section of the Help. The following table provides information on the message blocks that are available only for objects in the Policy Manager module. Message Name Approve Policy Link Policy Information Process Team Member Responses View Export Link View PDF Link Description Displays a hyperlink that enables employees to approve or reject the policy. Displays information about the policy. Displays a list of responses from the process team. Displays a hyperlink that enables employees to access the export file for the policy. Displays a hyperlink that enables employees to access the PDF file for the policy. Customize Policy Manager Pages You can customize the pages (forms), fields, and buttons on the user interface pages of the Policy Manager module to fit the needs of your organization in one of the following areas of the Maintenance module: Maintenance > Display & Values > Forms Configuration Maintenance > System Management > Modules These features give you flexibility in the layout of information and field names in the module or module type, as well as in defining the list of values that employees can select from a drop-down list when entering data. For example, you can define the list of values for the Type field for a policy, such as Form, Guideline, Policy, or Procedure. These lists of values are called lookup values. Your organization may be required to attend training before some of the Forms Configuration or Modules functionality is available. See the Maintenance section of the Help for more information on customizing pages by using Forms Configuration or Modules functionality. Required Access Permissions Specific access permissions are required to customize pages, fields, and buttons by using Forms Configuration or Modules. You can control module access by selecting options on the Module Access tab either for individual users or in the profiles that are assigned to users. Policy Manager in Compliance

37 The following table lists the sections of the Module Access tab with the options that control access to Forms Configuration and Modules. Section Forms Configuration - Basic Forms Configuration - Advanced System Management Description Options enable the user to work with component fields, customize field and button labels, work with page elements, edit page settings, and edit pages. Options enable the user to create, delete, copy, import, and export pages. However, this functionality is reserved for the SAI Global GRC Professional Services team. Options enable the user to manage categories, folders, modules, module types, and delivery profiles, and use the menu editor. For more information, refer to the following topics in the Help: Maintenance > Employee Management > Employees Maintenance > Employee Management > Profiles Page Customizations for Policy Manager The following topics provide information on page customizations that you may want to consider for the Policy Manager module: Change the Default Preset Filter Option for the Policy List Customize the Results List for the Policy Search and Policy Catalog Plug-Ins Customize the Folder Path in the Policy Location Field Customize Pages to Relate Policies and Incidents General topics found in the Forms Configuration section of the Maintenance chapter include: o o Add the New Button and Workflow Actions to Related Lists Add the Revision History List to FA3 Edit Pages Change the Default Preset Filter Option for the Policy List The first time that a user logs in to Compliance 360 and views the Policy List, the list displays all published policies by default. This is because the Published preset filter option is selected by default for Show the following policies. Policy Manager in Compliance

38 If a user selects a different preset filter option, then the option is selected the next time that the user logs in and views the Policy List, since the preset filter options are sticky. However, you can change the default preset filter option from Published to Both so that both published and unpublished policies appear in the list the first time that a user views the Policy List. 1. Go to Maintenance > Display & Values > Forms Configuration. 2. From the Module list, select Policy Manager. 3. In the Pages list, find the Policy List page and click Actions > Edit next to the page. The Forms Designer page opens. 4. In the Form Layout section, find the Show the following policies field. 5. Click next to the field and select Edit. The Settings page for the field opens. 6. Select or clear the Checked by Default option: Select the check box if you want the Published preset filter option to be selected by default the first time that a user logs in and views the Policy List. Clear the check box if you want the Both preset filter option to be selected by default the first time that a user logs in and views the Policy List. 7. Click OK. Customize the Results List for the Policy Search and Policy Catalog Plug-Ins You may want to edit the following default settings for the Search Results list for the Policy Search plug-in and the Catalog Results List for the Policy Catalog plug-in: The file icon for only the PDF version of the policy appears in the File Type column of the list. You can edit the settings for the icon to display no icon, the icon for the original file format, the PDF icon, or the icons that are selected for the file display settings for the policy. Policy Manager in Compliance

39 A limited version of the View Policy page with fewer fields opens by default when you click in the Title column of the list. You can edit the settings for the icon to display the full View Policy page. Add a column with information about how long it has been since a policy was revised, or the number of days until the next revision is due. Forms Configuration enables you to customize these settings. 1. Go to Maintenance > Display & Values > Forms Configuration. 2. From the Module list, select Policy Manager. 3. In the Pages list, click Actions > Edit next to one of the following pages: Policy Search Policy Search - Keyword Search Only Policy Catalog The Forms Designer page opens. 4. Click next to the Search Results list on either the Policy Search page or the Policy Search - Keyword Search Only page, or the Policies list on the Policy Catalog page, and then select Edit List. The List Designer page opens. 5. In the List Layout section, customize the icon in the Title column: a. Click next to the icon, and select Edit. The Settings page for the icon opens. b. From the Intent list, select View to view the full version of the View Policy page, or View Search to view the limited version of the View Policy page. c. Click OK. 6. In the List Layout section, customize the icons that appear in the File Type column: a. Click in the File Type column, and select Edit. The Settings page for the column opens. b. From the Display File Icons list, select one of the following options. Option None Original PDF Use File display settings Description No icons appear in the column. Only the file type icon for the original file type for the policy appears in the column. Only the PDF file type icon appears in the column. The file type icons that are selected in the File Display Options section of the policy appear in the column. c. Click OK. Policy Manager in Compliance

40 7. Add columns with additional revision information to the list by selecting one of the following fields in the Available Fields section and dragging the fields to the desired location in the list: The Days From Revision Range field displays a date range of how long it has been since a policy was revised. This information can help them decide if they need to review the actual policy itself before completing their task. The Days Until Revision field displays the number of days until the scheduled revision date for the policy. Tips: To ensure that users can sort the list by these columns, click in the column and select Edit. Then select the Usable for Sorting check box on the Settings page. Click OK to save the changes. You may want to add one or both of these fields to other policy lists as well. 8. Click Save and Return on the List Designer page. 9. Click Save and Return on the Forms Designer page. Customize the Folder Path in the Policy Location Field The Policy Location field that appears on many of the pages in the Policy Manager module displays the complete path of the policy except for the first folder, which is usually the division folder. You can edit the settings for the field in Forms Configuration to control which folders appear in the path. For example, you may want to hide the first two folders in the path if you are configuring a list to filter for a manual and the manual does not need to appear for every policy in the list. 1. Go to Maintenance > Display & Values > Forms Configuration. 2. From the Module list, select Policy Manager. 3. In the Pages list, find the page that you want to edit and click Actions > Edit next to the page. The Forms Designer page opens. 4. If you are editing the Policy Location column in a list, click next to the list and then select Edit List. The List Designer page opens. 5. Click for the Policy Location field and select Edit. The Settings page for the field opens. Policy Manager in Compliance

41 6. From the Display Format list, select one of the options in the following table. Option Folder Path That Appears Notes Last Folder only Last Two Folders...\folder...\parent folder\folder All But the First Folder...\2nd folder\remaining subfolders Useful if you want to exclude the folder that is immediately under the division folder. All But the First Two Folders First and Last Folders Full Path...\3rd folder\remaining subfolders folder immediately under the division folder\...\folder folder immediately under the division folder\remaining subfolders 7. Click OK. Customize Pages to Relate Policies and Incidents If your organization uses the Incidents module in addition to the Policy Manager module, you may want to track what incidents are related to a policy, and vice versa. You can use this information to show what incidents have occurred in violation of a policy or how a policy addresses certain incidents. To do this, you need to edit the pages (forms) for both the Policy Manager module and the Incidents module to add the appropriate lists. In both cases, you may have pages for more than one module type to edit. Keep in mind that to use these lists, a user must have permission to edit at least one object (the incident or the policy) and be able at least to view the other object in order to be able to relate the two objects. You can also allow the user to create a new related object directly from this Related Incidents list by adding the New button and workflow actions. Tip: Additional relationships to objects in other FA2 and FA3 modules may be configured. For instance, if your organization uses the Enterprise Risk Manager module, you may want to track which policies are related to a risk, and vice versa. You can use this information to show which policies have occurred in relation to a particular risk, etc. The procedures in this topic about relating policies and incidents can be used as a guide to relating policies to components in the Enterprise Risk Manager module, such as risks or controls. 1. In Forms Configuration, locate the Policy Manager module, the Policy component, and the appropriate module type, if applicable. Policy Manager in Compliance

42 2. Find the pages to which you want to add the Related Incidents list in the Pages list and click Actions > Edit. 3. For each page, in Forms Designer in the Related Components pod, find the Related Incidents component in the Incident Related Lists component group and drag it to the location on the page where you want it to display and save your changes. If you have multiple module types, make sure you select the Related Incidents component(s) that are appropriate. You probably should change the name of the table to identify which incident module type the table this is displaying, since by default the name of the table is always Related Incidents. For example, you may only want to track Financial incident types so you would select the Related Incidents component for Financial Incidents, as shown below. Then you would edit the table and change the name to something like Related Financial Incidents. If you want to track incidents from several module types, you must add a table for each one. 4. Then repeat the previous step for the appropriate pages in the Incident module, except use the Related Policies component in the Policy Related Lists component group. You might want to edit: Incident Page form on the tab for related information. Incident View page form. Tip: If you were setting up this relationship from a module component that can be revised, like Evidence Documents, you may to create a new Related Policies component field in Policy Manager with the Track related components as they are at the time this component is published option selected instead of using the default component field. Having this option selected means that when you view the related policy from a published object you see the revision of the policy in effect at the time that object was published. This option can only be set up when a Related type field is saved for the first time. 5. Then when a policy is added or edited, you would add any related incidents using the Related Incident list: Policy Manager in Compliance

43 6. The next time another user works with the incident(s) you related to the policy, the policy is displayed in the Related Policies list. You can also add related policies to an incident here. Policy Manager in Compliance

44 Add New Button and Workflow Actions You can include the New button and workflow actions in the Related list types by using Forms Configuration in the Maintenance module. Configure Add and Remove Actions You can configure the Related Component list to allow or not allow a user to add and remove relationships from this list. If the Add/Remove Related Objects option is selected on the List Settings dialog when editing this type of list control, the Add button is displayed above the list and Remove is available in the Actions menu for an object. When this is not selected, those actions are not available. Security for Policies When an object is created in the Compliance 360 system, in most cases the object inherits its security settings from the division and, if applicable, the folder in which the object is located, as well as from any parent objects of the object. For example, if you create an Accounts Payable policy in the North America folder of the Finance division, then the policy inherits the security permissions of the North America folder, which in turn inherits the security permissions of the Finance division. Individual employees and groups are automatically assigned certain security permissions at each level of the hierarchy by default. If an employee is granted different permission levels to an object based on membership in multiple groups, then the highest permission level is granted to the employee. However, if the No Access permission level is assigned to prevent access to the object, then the No Access permission level overrides all other permission levels, even if the employee is the owner of the object. Policy Manager in Compliance

45 Employees with Admin permissions can override the inherited security settings for an object on the Security tab for the object. Administrators can also grant temporary security permissions to certain employees or groups as part of the workflow for an object. By default, the responsible parties for a policy are automatically given Change permissions for the policy unless the organization has been configured to provide a different default security level to the responsible parties. If a user is removed from the list of responsible parties for a policy, then the Change permissions to the policy for the user are removed and the user's default security permissions (based on division, folder, and so on) are restored. To determine the default permission level for responsible parties for your organization, create and save a new policy, and then move the policy to a workflow step that does not have an Object Security rule that affects either the Primary Responsible Party or the Additional Responsible Parties field. Then go to the Security tab for the policy and view the default permissions in the Employees list. Contact SAI Global Support to change the default permission level for responsible parties for policies. See the Basic Functionality > Security section of the Help for more information. Security for Policy Search A policy revision must be published (locked) to appear in the Policy Search and Policy Catalog plug-ins. To prevent a policy from appearing in these plug-ins, you must prevent the policy from being published. Create a separate workflow template that does not include either the Publish Revision rule or the Publish action, and then assign the workflow template to the policies. You can also activate the Unpublish All action on any step of the workflow template for the policy, and then manually unpublish a policy. However, if the workflow template that is assigned to the policy includes a step with the Publish Revision rule, then the policy may be published and become searchable again when it moves to the step with the Publish Revision rule. Policies are always available through searches in the Search module in Analytics. To filter the Policy List to view only unpublished policies, select the Unpublished option for the Show the following policies pre-filter above the Policy List. Reports for Policies The Reporting module in Compliance 360 provides a wizard-based method for creating reports with advanced field selection, grouping, calculations, sorting, and filtering. This enables you to more easily build reports that meet the needs of your organization. Report templates enable you to define the information to display on a report, including the fields, labels, and more. After a report template is created, it can be used to create reports. These reports are then used to execute a generated report. You can also schedule reports to occur one time at a specific date and time or as a recurring event. For example, you can schedule reports to be generated on the last day of the month or the last day of the year. Policy Manager in Compliance

46 Compliance 360 provides preconfigured report templates in a Report Template Library that is part of the Compliance Content 360 site. These classic and enhanced-style templates are designed by SAI Global report developers and are available to all customers. You can import these templates and use them as a starting point to build a report that meets your business needs without having to start from scratch. The following predefined report templates are available for the Policy Manager module. Name Policies by Evidence Links Policies by Department - Fixed Policies by Department (Legacy) Policy Audit Trail Policy Audit Trail (all revisions) Policy Data Policy Evidence Links Policy List Keyword Search Policy Workflow History Policy Workflow Step Info Policy Workflow Teams Policy Status Count Related Policies Description Displays a list of policies with evidence links. Displays a list of policies by department - fixed. Displays a list of departments and the policies related to them. Displays policy audit trail entries for the latest revision. Displays policy audit trail entries for all policy revisions. Displays policy data. Displays policies and their associated evidence links. Policy list keyword search. Available only for customers who upgraded from the legacy Policies module. Other customers use the Policy Data report template. Displays policy workflow history. Displays policy workflow step information. Displays policy workflow teams. Displays a count of policies in each status. This same information can be viewed in a graphical format by installing the Policy Chart plug-in on a Home Page tab. Displays policies and the policies that are related to them. See the Reporting section of the Help for more information and instructions on importing preconfigured report templates, and creating, executing, and scheduling reports. Policy Manager in Compliance

47 Plug-Ins for Policy Manager A plug-in is a self-contained piece of information that enables you to view and manage important information directly from a Home page tab instead of by navigating to a specific page in a module. Typically, the To Do List and Announcements plug-ins on the first tab are prominently displayed when you open the Compliance 360 application: The To Do List plug-in provides a list of all of your current work assignments, grouped by type. The Announcements plug-in enables you to view Compliance 360 announcements and internal organizational announcements. You may have additional tabs on your Home page that were added by an administrator and configured with certain plug-ins. You can personalize your Home page by creating or editing the tabs and the plug-ins on the tabs, depending on your permissions. You may also be able to select from a list of predefined tabs. See the Home section of the Help for more information. Plug-Ins for the Policy Manager Module The following table describes the plug-ins that are available for the Policy Manager module. Plug-In Name Policy Catalog Plug-In Policy Chart Large Plug-In Policy Chart Plug-In Policy List Plug-In Policy Search Plug-In Description Enables you to browse the policy manuals in a division and the published policies to which you have access. Displays a customizable chart of policy data that contains a large number of entries on both axes. You can drill down to see more information by clicking the chart components, enabling you to isolate potential issues or assess workloads. Displays a customizable chart of policy data. You can drill down to see more information by clicking the chart components, enabling you to isolate potential issues or assess workloads. Displays a customizable list of policies so that you can view and work on the policies. Enables you to find and view published (locked) policies in your company's policy catalog to which you have access. About the Policy Search and Policy Catalog Plug-ins The Policy Search and Policy Catalog plug-ins are particularly useful to have on Home page tabs that are accessed by users from an ExternaLink because the plug-ins provide an easy way for users to find and view the policies they need. These plug-ins display only the current published revision of a policy. Policy Manager in Compliance

48 Note: You can also create an ExternaLink to an individual policy when that is preferable. See See the Maintenance > Data Management > ExternaLinks section of the Help for more information. You can set up different views of the Policy Search plug-in by choosing from the search types in the Global Search Intent (Pages) field to select either a Keyword only view or the full Policy Search view that includes advanced filter options. You can also edit the list itself to select or clear the existing available fields. You can change the settings for both the Policy Search and Policy Catalog plug-ins to accommodate the needs of the business and the intended users. You can also customize these plug-ins using Maintenance > Display & Values > Forms Configuration to better suit your business needs. For example, you might want to show other file type icons besides the PDF version in the Search Results lists. You can change any field settings in Forms Configuration, such as the types of comments that appear, how the Policy Location field appears, or which fields appear in the results list. The new version can be available for users to install or to be published to a new Home Page tab. You may want to make a copy of one of your existing policy search forms, make the needed changes, and then save it. Then you would create a new Global Search intent type, which would automatically appear in the Global Search Intent (Pages) list when editing Policy Search plug-in settings. Users do not require module access to Policy Manager to view these plug-ins. However, without module access, the plug-ins must already be configured by an administrator and published for their use since the settings cannot be changed. General Plug-Ins That May Also Be Useful The following table describes additional general plug-ins that may also be useful with the Policy Manager module. Plug-In Name Custom Chart Description Enables you to create a custom chart based on a report template. Available chart types include pie charts, column charts, stacked column charts, bar charts, and stacked bar charts. See the Custom Chart Plug-in topic in the Home > My Home Page > Plug-Ins section of the Help and the Reporting > Report Templates section of the Help for more information. Policy Manager in Compliance

49 Plug-In Name Message Digest List Description Enables you to view a list of s that were sent to you by Compliance 360, view message details, and update the status of a task. After you have dealt with all of the messages in a message block (each entry in the plug-in represents a block), you can delete the message block. Before messages can appear in the Message Digest List Plug-In, you must update your personal information to send digest messages. Go to Home > Information, and then select the Send Digest Message option on the Personal Information tab. See the Message Digest List Plug-In topic in the Home > My Home Page > Plug-Ins section of the Help for more information. Report View Enables you to view a report on the Home page after the report has been executed. Usually, this is a report you need to view every day. However, you can view other reports by adding another Report View plug-in and editing the settings to select another report, or you could edit the settings of the existing plug-in. Each time you open the tab where the plug-in is displayed, the view of the report refreshes to show the latest version of the report. See the Report View Plug-In topic in the Home > My Home Page > Plug-Ins section of the Help for more information. Policy Catalog Plug-In The Policy Catalog plug-in enables you to browse the policy manuals in a division and view the published (locked) policies to which you have access. Use the folder tree in the plug-in to see the appropriate policies: Scan the folder tree to see the policy manuals or sections that you have access to in a division. Expand and collapse the tree to view specific policy manuals and sections. Select a level in the folder tree to see associated published (locked) policies. Click or in the folder bar to control whether you view only policies in the selected folder or all policies in all manuals in the folder. The following example displays a list of all policies in the Safety Manual. Policy Manager in Compliance

50 By default, the Policy Catalog plug-in displays your default division. If you have access to other divisions, you can edit the plug-in to enable you to select another division in the Division field above the Policies list. Click to view information about the policy, or click the file type icon next to the policy name (such as ) to view the policy itself. If there are many policies in the list, you can sort the list by clicking the heading of the column that you want to sort by. Notes: Click in the title bar of the plug-in to edit settings for the plug-in, filter the data that appears in the plug-in, and perform additional tasks such as renaming, copying or moving, or deleting the plug-in. See the Home > My Home Page > Home Page Plug-Ins section of the Help for more information. The settings that you can customize on the plug-in depend on whether you are accessing a pre-configured tab and plug-in or one that has been set up to allow you to partially or fully customize it. This topic describes what is available with a fully customizable tab and plug-in, such as one that you add yourself. You may not have access to all of the functionality that is described, particularly if you access this tab and plug-in by using a URL link. If a No Data Available message appears: o You may not have configured the settings, so the default configuration does not find any matching items. Policy Manager in Compliance

51 o You may have configured the settings, but no items match your criteria. Edit the plug-in settings to broaden the criteria. Edit Settings for the Policy Catalog Plug-In While this plug-in provides many different data filters to narrow the data, keep in mind that it displays only those records that match all the applied filters. Complete only as many filters as needed to get the results you are expecting. 1. Go to Home > My Home Page. 2. Select the tab that has this plug-in. If the plug-in is not on the tab, add the plug-in. See the Add a Plug-In to a Home Page Tab topic in the Home > My Home Page section of the Help for more information. 3. On the title bar for the plug-in, click and select Edit Plug-in Settings. 4. On the Edit Plug-In page, enter the name of the plug-in in the Title field. The default value is Policy Catalog. Policy Manager in Compliance

52 5. In the Data Filters section, select values in the fields to control the data that appears in the plug-in. Field Module Type Description Type of Policy Manager module. You might be using different module types for different groups in your organization., and select Edit Plug- If you change the module type, then click Save, click in Settings to complete the changes. Folder List Intent (Page) Select the default option of Policy Catalog to indicate the type of folder list used in the plug-in. Note: The Policy Catalog for ExternaLink appears only if your organization previously used the legacy Policies module. It was created to accommodate the conversion of the various Policy Search Maintenance page settings needed for accessing this information by an ExternaLink. Do not select this option for your Home page, as it may be set up to limit your ability to edit plug-in settings. Divisions Divisions by which to limit the plug-in. Click Add and select the divisions. If you do not select a division, then the icon appears next to the Division field in the plug-in so that you can select a division. If you select a single division, then the Division field does not appear on the plug-in, and only policies from the selected division appear in the Policies list. If you select two or more divisions, then the Division field appears as a drop-down list in the plug-in so that you can select a division. Include Subdivisions Folders Include Subfolders Whether to enable browsing of manuals and policies in subdivisions of the selected divisions. Folders by which to limit the plug-in. Click Add and select the folders, or leave the field blank to enable browsing of all folders to which you have access in the selected division. Whether to enable browsing of manuals and policies in subfolders of the selected folders. If you select specific folders in the Folders field, then selecting this check box is recommended, since many manuals restrict policies to section subfolders. 6. Click Save. The plug-in is updated based on the selected settings. Policy Chart Large Plug-In The Policy Chart Large plug-in displays a customizable chart with a large number of entries on both axes for policy data in the Policy Manager module. You can drill down to see more information by clicking the chart Policy Manager in Compliance

53 components, which enables you to isolate potential issues or assess workloads. This plug-in always spans the page. The following example shows policy information as a stacked bar chart with the number of policies by workflow status according to the number of days until the next revision. After you add the plug-in to your Home page, you must edit the settings before any information displays in the plug-in. You can choose from several different types of charts so that information is presented in the most useful format: Bar Column Bubble Pie Stacked Bar Stacked Column Policy Manager in Compliance

54 Tip: Select the Stacked Bar or Stacked Column chart type to display information for both a child lookup field and a parent lookup field. For more information, see the Configure a Chart Plug-In topic in the Home > My Home Page section of the Help. You can use dates and other criteria to filter what information is used to build the chart. You only need to edit settings that you want to use to narrow your results. Refer to the section on editing settings later in this topic for more information.. Notes: Click in the title bar of the plug-in to edit settings for the plug-in, filter the data that appears in the plug-in, and perform additional tasks such as renaming, copying or moving, or deleting the plug-in. See the Home > My Home Page > Home Page Plug-Ins section of the Help for more information. The settings that you can customize on the plug-in depend on whether you are accessing a pre-configured tab and plug-in or one that has been set up to allow you to partially or fully customize it. This topic describes what is available with a fully customizable tab and plug-in, such as one that you add yourself. You may not have access to all of the functionality that is described, particularly if you access this tab and plug-in by using a URL link. If a No Data Available message appears: o o You may not have configured the settings, so the default configuration does not find any matching items. You may have configured the settings, but no items match your criteria. Edit the plug-in settings to broaden the criteria. Edit the Settings for the Policy Chart - Large Plug-In While this plug-in provides many different data filters to narrow the data, keep in mind that it displays only those records that match all the applied filters. Complete only as many filters as needed to get the results you are expecting. 1. Go to Home > My Home Page. 2. Select the tab that has this plug-in. If the plug-in is not on the tab, add the plug-in. See the Add a Plug-In to a Home Page Tab topic in the Home > My Home Page section of the Help for more information. 3. Click and select Edit Plug-in Settings. Policy Manager in Compliance

55 4. In the Edit Plug-In window, edit the settings as necessary to control the data that appears in the plug-in. Field Title Subtitle Chart Type Chart-specific fields Description Change the name of the plug-in. The default value is Policy Chart - Large. Enter additional information needed to identify the chart. Select the type of chart. Depending on the type of chart you select, additional data fields appear, such as: Grouping Select the field by which to group data. X-axis Field and Y-axis Field Select the fields to use for the horizontal and vertical grids. Show check boxes Select the information to include on the chart, such as totals, values, percentages, and so on. Data Filters Enter and select the criteria by which to filter the data on the chart. Tips: We recommend that you select the Include Subfolders field if you add specific manual folders in the Folders field since many manuals restrict policies to section subfolders. Select Yes in the Has Published Revision field to narrow the data in the chart to policies with at least one published revision, even if the revision is not the latest revision. Select Any to include both policies with a published revision and policies without a published revision. Select Yes in the All Departments field to narrow the data in the chart to policies that are associated with all departments. Select Any to include both policies that are associated with all departments and those that do not have a specified department. 5. Click Save. Policy Manager in Compliance

56 Policy Chart Plug-In The Policy Chart plug-in displays a customizable chart of policy data in the Policy Manager module. You can drill down to see more information by clicking the chart components, which enables you to isolate potential issues or assess workloads. The following example shows a pie chart of policies by workflow status. After you add the plug-in to your Home page, you must edit the settings before any information displays in the plug-in. You can choose from several different types of charts so that information is presented in the most useful format: Bar Column Bubble Pie Stacked Bar Stacked Column Tip: Select the Stacked Bar or Stacked Column chart type to display information for both a child lookup field and a parent lookup field. For more information, see the Configure a Chart Plug-In topic in the Home > My Home Page section of the Help. You can use dates and other criteria to filter what information is used to build the chart. You only need to edit settings that you want to use to narrow your results. Refer to the section on editing settings later in this topic for more information.. Policy Manager in Compliance

57 Notes: Click in the title bar of the plug-in to edit settings for the plug-in, filter the data that appears in the plug-in, and perform additional tasks such as renaming, copying or moving, or deleting the plug-in. See the Home > My Home Page > Home Page Plug-Ins section of the Help for more information. The settings that you can customize on the plug-in depend on whether you are accessing a pre-configured tab and plug-in or one that has been set up to allow you to partially or fully customize it. This topic describes what is available with a fully customizable tab and plug-in, such as one that you add yourself. You may not have access to all of the functionality that is described, particularly if you access this tab and plug-in by using a URL link. If a No Data Available message appears: o o You may not have configured the settings, so the default configuration does not find any matching items. You may have configured the settings, but no items match your criteria. Edit the plug-in settings to broaden the criteria. Edit the Settings for the Policy Chart Plug-In While this plug-in provides many different data filters to narrow the data, keep in mind that it displays only those records that match all the applied filters. Complete only as many filters as needed to get the results you are expecting. 1. Go to Home > My Home Page. 2. Select the tab that has this plug-in. If the plug-in is not on the tab, add the plug-in. See the Add a Plug-In to a Home Page Tab topic in the Home > My Home Page section of the Help for more information. 3. Click and select Edit Plug-in Settings. Policy Manager in Compliance

58 4. In the Edit Plug-In window, edit the settings as necessary to control the data that appears in the plug-in. Field Title Subtitle Chart Type Chart-specific fields Description Change the name of the plug-in. The default value is Policy Chart. Enter additional information needed to identify the chart. Select the type of chart. Depending on the type of chart you select, additional data fields appear, such as: Grouping Select the field by which to group data. X-axis Field and Y-axis Field Select the fields to use for the horizontal and vertical grids. Show check boxes Select the information to include on the chart, such as totals, values, percentages, and so on. Data Filters Enter and select the criteria by which to filter the data on the chart. Tips: We recommend that you select the Include Subfolders field if you add specific manual folders in the Folders field since many manuals restrict policies to section subfolders. Select Yes in the Has Published Revision field to narrow the data in the chart to policies with at least one published revision, even if the revision is not the latest revision. Select Any to include both policies with a published revision and policies without a published revision. Select Yes in the All Departments field to narrow the data in the chart to policies that are associated with all departments. Select Any to include both policies that are associated with all departments and those that do not have a specified department. 5. Click Save. Policy List Plug-In The Policy List plug-in displays a customizable list of policies in the Policy Manager module. Policy Manager in Compliance

59 The list and the actions that are available for each policy are the same as in the Policy Manager module. You can filter the list to view only certain policies. This plug-in always spans the page. After you add the plug-in to your Home page, you can edit its settings to customize it in several ways to narrow your list of policies. You only need to edit settings that you want to use to narrow your results. You can also customize what columns appear and the order of the columns. Refer to the section on editing settings later in this topic. Notes: Click in the title bar of the plug-in to edit settings for the plug-in, filter the data that appears in the plug-in, and perform additional tasks such as renaming, copying or moving, or deleting the plug-in. See the Home > My Home Page > Home Page Plug-Ins section of the Help for more information. The settings that you can customize on the plug-in depend on whether you are accessing a pre-configured tab and plug-in or one that has been set up to allow you to partially or fully customize it. This topic describes what is available with a fully customizable tab and plug-in, such as one that you add yourself. You may not have access to all of the functionality that is described, particularly if you access this tab and plug-in by using a URL link. If a No Data Available message appears: o You may not have configured the settings, so the default configuration does not find any matching items. Policy Manager in Compliance

60 o You may have configured the settings, but no items match your criteria. Edit the plug-in settings to broaden the criteria. Edit Settings for the Policy List Plug-In While this plug-in provides many different data filters to narrow the data, keep in mind that it displays only those records that match all the applied filters. Complete only as many filters as needed to get the results you are expecting. 1. Go to Home > My Home Page. 2. Select the tab that has this plug-in. If the plug-in is not on the tab, add the plug-in. See the Add a Plug-In to a Home Page Tab topic in the Home > My Home Page section of the Help for more information. 3. On the title bar for the list, click and then select the check boxes next to the columns to include in the list. Then click Save. 4. On the title bar for the plug-in, click and select Edit Plug-in Settings. 5. On the Edit Plug-In page, enter the name of the plug-in in the Title field. The default value is Policy List. 6. In the Data Filters section, enter filtering criteria in the fields to control the data that appears in the list. Tips: We recommend that you select the Include Subfolders field if you add specific manual folders in the Folders field since many manuals restrict policies to section subfolders. Select Yes in the Has Published Revision field to narrow the data in the list to policies with at least one published revision, even if the revision is not the latest revision. Select Any to include both policies with a published revision and policies without a published revision. Select Yes in the All Departments field to narrow the data in the list to policies that are associated with all departments. Select Any to include both policies that are associated with all departments and those that do not have a specified department. 7. Click Save. The list is updated based on the selected settings. Policy Manager in Compliance

61 Policy Search Plug-In The Policy Search plug-in enables you to search for and view published (locked) policies that you have access to in your organization's policy catalog. These policies are maintained in the Policy Manager module. The plug-in spans the page and can expand from the top to the bottom of the page if you have a long list of search results. Adding this plug-in to its own Home Page tab is recommended to allow it the maximum amount of room to display search results. Note: System administrators can create an ExternaLink to the Policy Search plug-in, which is a link that can be used to provide access to the plug-in from outside the Compliance 360 application. The link can be configured with the appropriate authentication method, including auto-authenticating the user without requiring a log in, as well as the division and folders that should be available to the plug-in when it is accessed through the ExternaLink. See the Maintenance > Data Management > ExternaLinks section of the Help for more information. You can search for policies by keyword. Depending on the configuration of the plug-in, you may also be able to specify additional search criteria in the Advanced Search Options fields. By default, the Policy Search plug-in only searches policies that are published (locked). The search includes the following policy fields by default, although a system administrator can configure which fields to search: Policy Number Title Policy Manager in Compliance

62 Description Related Departments Revision Notes The search also includes the file that was uploaded for the policy unless the file is encrypted or is an MDB file, ZIP file, image file, or a PDF or similar file that originated from a scanned image file. The following sections provide more information: Edit the Settings for the Policy Search Plug-In Perform a Search with the Policy Search Plug-In View Search Results in the Policy Search Plug-In Edit the Settings for the Policy Search Plug-In When you add the Policy Search plug-in to your Home page tab, you must edit the settings for the plug-in before you can perform a policy search, unless a system administrator pre-configured the plug-in for you. System administrators can pre-configure the plug-in to provide as much or as little structured searching as is appropriate for a particular group of users, including customizing the fields that are available in the Advanced Search Options and the columns that appear in the Search Results list. Configuration of the tab and plug-in is available in Maintenance > Employee Management > Home Page Tabs. Additional search options can be added in Maintenance > Display & Values > Forms Configuration. 1. Go to Home > My Home Page. 2. Select the tab that has this plug-in. If the plug-in is not on the tab, add the plug-in. See the Add a Plug-In to a Home Page Tab topic in the Home > My Home Page section of the Help for more information. 3. On the title bar for the plug-in, click and select Edit Plug-in Settings. 4. On the Edit Plug-In page, edit the settings for the plug-in. Policy Manager in Compliance