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

□ Sarbanes-Oxley Act Findings Coverage

Policy Maintenance

□ Policy Owner

□ Senior Management 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 Management 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

□ Rollout

□ Implementation Date

□ Posted to Policy Site?

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