Policies and procedures

The Policies and Procedures module contains overview and detailed information related to policy approvals, policies, and policy statements.

Overview

The Policies and Procedures Overview is contained in the Policies and procedures module and provides an executive view into compliance requirements, overall compliance, and compliance breakdowns so areas of concern can be identified quickly. Users with the Compliance Administrator and Compliance Manager roles view the Policies and Procedures Overview.
Table 1. Policies and Procedures Overview reports in the base system
Name Visual Description
Control compliance Donut chart Displays the overall compliance of all the controls in the system.
Control details Donut chart Displays a breakdown of controls, grouped by owner, category, or type.
Control Overview Column Chart Displays the total number of controls related to each policy. The chart is stacked to display overall control compliance status for each policy.
Control Issues by Policy (Opened Date) Line Chart Displays the number of control issues opened each week, grouped by policy.
Policy Exceptions List Displays a list of control issues that have been closed with a response value of accept, meaning the issue was not remediated.
Total Policy Statements by Policy Bar graph Displays a count of the overall number of policy statements in each policy. The chart is stacked to display policy statements by type.

My Policy Approvals

My Policy Approvals is contained in the Policy and Compliance module and contains all policies requiring your approval. Policies go through an approval process. Compliance managers set the length of time that policies are valid, ensuring that the team reviews the policy often to affirm its validity. Policies have a type, such as a policy, procedure, standard, plan, checklist, framework, or template.

The image depicts the approval process flow that is shown at the top of each policy record.

Policies

Compliance managers catalog and publish internal policies that define a set of business processes, procedures, and or standards.

Policy Statements

Compliance managers catalog the policy statements and generate controls from those policy statements.

Policy statements only reference a single policy, although they can cover multiple citations from different authority documents. They can be organized into Classification, Category, and Type.
Note: UCF refers to policy statements as Controls. When UCF is data is imported, controls are imported into the policy statements table.