Compliance Standards and Procedures

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APPENDIX 3-K: Sample Policy Implementation Master Tracker

Identify Policies for Review

☐ Policy

☐ Rank

☐ Reason for Revision

☐ SOX Findings Coverage

Policy Maintenance

☐ Policy Owner

☐ Senior Mgmt Approver

Policy Drafting

☐ Group Lead

☐ Subject Matter Expert

☐ Policy Support

☐ Adapted into Standard Format

☐ First Draft Requestor

☐ First Policy Review

☐ Revised Draft

☐ Final Review

☐ Review Committee

☐ Senior Mgmt Approval

☐ Submission to Corporate (YIN)

☐ Finalize Policy (YIN)

☐ Target Completion Date

Policy Implementation

☐ Audience Impact

☐ Level of Audience

☐ Number of audience

☐ Expected Communication type

☐ Target Communication date

☐ Draft Status

Final approval

☐ Roll-out

☐ Implementation Date

☐ Posted to Policy Site?

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