NAVEX Global s PolicyTech coporate Overview & Implementation guide History Policy Technologies International Inc., a NAVEX Global company, is a leading developer and supplier of policy and procedure management software. PolicyTech started as a subsidiary of Imaginality Productions Inc., which was founded in 1996. With consistent attention paid to simplifying policy management processes for managers and users alike, while building in compliance-specific performance tools, PolicyTech rapidly expanded its client base. Stringent new regulations in the worldwide community have put increased emphasis on effective policy management systems, and PolicyTech continued to lead the way with best practices and quality management throughout the international business world. Since joining the NAVEX Global family of compliance solutions in spring of 2012, PolicyTech continues to grow rapidly thanks to its ease of use and attention to customer service by all employees. PolicyTech and NAVEX Global: A Shared Mission As an integral part of the NAVEX Global compliance solution, we will continue to develop user-friendly, flexible policy and procedure management software to help organizations meet their complex compliance management objectives. We strive for excellence in customer service, and achieve our goals by helping those around us achieve theirs. We believe that employee empowerment leads to company empowerment, and that our success is ensured by being models of ethical leadership and business practices. 2012 NAVEX Global. All rights reserved.
Key Benefits Distribute policies and procedures via the internet. Provide your staff with global access to policies through the internet by installing the software on your server or using our hosting service. Easily review, approve, and publish documents. Let the software manage the flow of documents throughout the review and approval process, automatically sending notification emails when necessary. Quickly access reports. Save time with reports that show when authors have documents that are overdue for review, which employees have not read their documents, and more. Create quizzes and surveys. Adding a brief quiz to policy documents helps to ensure comprehension and track readership, holding employees accountable for understanding of policies and procedures. Versioning, archiving and change history. No need to worry about perpetuating out-of-date policies. Your employees will be able to refer to the right document every time. Categorize documents conveniently. Organize documents by guidelines or standards outlined by regulatory requirements. Customize the software to fit your needs. Set up your departments, categories, and any regulatory standards you need to show compliance with. Import existing information. Import existing documents and employee information. Key Features Archival Database When a document is submitted for review the creator is given the option to replace the previous version or other documents. When the document is approved, the previous version and any other documents chosen will be automatically archived and stored in a searchable archive database. Change History PolicyTech will keep track of changes in documents from one version to the next. You can show any auditor what changes have taken place over the years. Hyperlinks Within your documents, you can add hyperlinks to websites or other documents. This allows you to refer your employees to other sources for additional information. Easy-to-Use Interface The software is specifically designed to behave much like the file browsing system on your computer. It provides powerful sort and search capabilities for browsing documents. Reports Reports will tell you when authors have documents that are overdue for review or which employees still need to 2012 NAVEX Global. All rights reserved. ds_policytechcorporate 2
read and attest to your latest policy release. Additional features Administrative flexibility Archival database Attach documents or files Automatic timed review notification Change history Customizable categories for multiple compliance standards Customizable templates Department grouping Comments by readers Document import/export Document log Filter and sort Flexible reminder system for review periods Hyperlinks Quiz capability Master reviewers/approvers of policies Messages Acrobat PDF conversion Reference other documents Rename and merge Reports Require or restrict readers Review and approval processing Search (basic and advanced) Security Text formatting (using Microsoft Word) Track changes (using Microsoft Word) User authorizations User import Version numbers on documents Viewing documents Walk-thru document creation Clients From startup to Fortune 500, PolicyTech is helping manage policies worldwide. Cedars-Sinai Health System Health Management Associates Novant Health Systems Catholic Healthcare West Ontario Association of Community Care Access Centers CentraState Healthcare System GEO Care PNC Bank United States Department of Energy Valero Energy Corporation California Department of Veteran Affairs Erickson Communities Penn National Race Course UHS-Pruitt Health Blue Cross and Blue Shield of Louisiana Jackson Rancheria Grupo Acir Rowan Regional Medical Center Los Angeles County Probation Department 2012 NAVEX Global. All rights reserved. ds_policytechcorporate 3
Hosting Options, Setup, Configuration and Licensing Hosting Options PolicyTech can be hosted: On PolicyTech s server On Client s server Annual Subscription Unlike other software products that require you to license each employee (whether they use the software or not), PolicyTech is licensed on a concurrent license basis. Everyone in an organzation has access to the system, then the license determines how many people can be using the system at any given time. In this way, many organizations have found that they can license as few as 10% of their employees, keeping their costs low without limiting usership. This licensing method is particularly advantageous to organizations that are shift based or share common work-stations. We are committed to making our licensing flexible to your specific organizations needs and have other options available. Trust NAVEX Global s Ethical Leadership Group Put 100+ years of ethical leadership to work for you. Contact us today to speak with one of our risk assessment advisory specialists. +1 866 297 0224 www.navexglobal.com The annual subscription fee is 18% of the one-time license fee. It is required for the first year. The 18% annual subscription investment includes: Telephone support during PolicyTech business hours (8am to 5pm MST) Email support during PolicyTech business hours (8am to 5pm MST) Major upgrades Software updates Access to weekly, fee-based online training classes Senior level technical support during installation and setup 2012 NAVEX Global. All rights reserved. ds_policytechcorporate 4
BASIC SETUP Web server and Database server hosted on one server (physical or virtual) Dedicated server recommended but PolicyTech can share a server with other applications as long as no other web site/application requiring a custom PHP environment is currently resident Hosting PolicyTech on a Domain Controller is not supported including Small Business Server Minimum hardware requirements for the server are: Pentium III 800 MHz CPU 1 GB RAM 6 GB available Hard Drive Space More may be needed depending on the size/number of documents 10 Mbps network connection Software requirements for the server are: Windows Server 2003/2008 Microsoft.NET 2.0 IIS Microsoft Word 2003 or greater (called to by PolicyTech, not accessed by end users) One of these database server options: MySQL (installed by default with PolicyTech) 2000 with SP3 or 4 2005 (including SQLExpress) 2008 (including SQLExpress) Plan for regularly backing up database If planning to connect PolicyTech to Active Directory, create a basic Domain User account and add this account to the Local Administrators group on the server. 15 or fewer concurrent users are recommended at these minimum levels. Hardware can be scaled to support greater user loads. No more than 100 concurrent users are recommended for a single server configuration Pros Lower cost with one server Cons Potential single point of failure (can be mitigated with RAID hard drive array, UPS with monitoring software, etc.) Web application and Database server share resources Lower ceiling for number of supported users 2012 NAVEX Global. All rights reserved. ds_policytechcorporate 5
Recommended Setup Web server and Database server hosted on separate servers (physical or virtual) Database could be hosted on a SQL Cluster Dedicated web server recommended but PolicyTech can share a server with other applications as long as no other web site/application requiring a custom PHP environment is currently resident Database can be hosted on existing SQL server (standalone or cluster) provided that: Mixed mode authentication enabled SQL instance configured with static port (any open port acceptable) Hosting PolicyTech on a Domain Controller is not supported including Small Business Server Minimum hardware requirements for the servers are: Pentium III 2 GHz CPU 2 GB RAM 40 GB available Hard Drive Space 100 Mbps network connection Up to 50 users can be supported with this minimum configuration. The maximum number of users that can be supported is dependent on the actual specifications of your hardware and typical use of PolicyTech by end users. Software requirements for the servers are: Windows Server 2003/2008 Microsoft.NET 2.0 IIS Microsoft Word 2003 or greater (called to by PolicyTech, not accessed by end users; only required on the web server) One of these database server options: * MySQL (installed by default with PolicyTech) Microsoft SQL: º º 2000 with SP3 or 4 º º 2005 (including SQLExpress) º º 2008 (including SQLExpress) Plan for regularly backing up database If planning to connect PolicyTech to Active Directory, create a basic Domain User account and add this account to the Local Administrators group on the server. Pros Load distributed between servers for better performance High ceiling for number of supported users (based on hardware specifications) Cons Additional cost and administration of second server 2012 NAVEX Global. All rights reserved. ds_policytechcorporate 6
User-Level System Requirements Client / User System Software Requirements Microsoft Windows XP/2000/Vista Internet Explorer 6 or 7 Microsoft Word 2003/2007 ** Adobe Reader *** PolicyTech Word module **** * Microsoft Word is required on the web server for indexing of documents and for PDF conversion (if using PDF module). All documents are stored on the database server. Your own backup solution is required. ** Microsoft Word Viewer not supported. *** Optional PDF Module available) Converted PDF files are stored on the web server and updated based on needed changes. With this module installed Microsoft Word is only needed on a client machine if they are creating or modifying documents. All readers will need Adobe Reader. **** (PolicyTech Word Module: A component designed for Microsoft ActiveX that integrates Microsoft Word with PolicyTech via thebrowser. ActiveX must be enabled to allow it to install. High Availability Configuration PolicyTech can be installed in a high availability configuration which involves two or more web servers, etc. The details of this configuration are beyond the scope of this document. Please contact Technical Services at 1-208-359-8123, choose option 2, then option 1 for more information. 2012 NAVEX Global. All rights reserved. ds_policytechcorporate 7
Your web-based software solution for policy and procedure management FULL COLOR, LATERAL a a a a 2012 NAVEX Global. All rights reserved. ds_policytechcorporate 8
Implementation Project Planning Overview PolicyTech is designed to be easy to set up and easy to use. As software that may be used throughout your entire organization, it requires planning and forethought before rolling it out to your users. In this respect, we offer several options to help you with software introduction and implementation, including: Implementation Services Training Services Document Conversion Services Technical Services Training is done only after implementation planning has occurred, whether the planning is done onsite or offsite. Implementation Services Assessment and Evaluation Current Documents Current Workflows and Policy and Procedure Management Systems Staff Resources Training Needs Data Import Sources System Design and Strategic Planning Setup decions Document and template design Review and approval workflows Project plan Training strategy and schedule Change management Rollout assistance Post-rollout evaluation Implementation Specialist The PolicyTech implementation specialist works with the client s project team to determine how to integrate their current organization workflows and documents into the PolicyTech software. The goal is to ensure an effective, smooth, and timely rollout of the PolicyTech system. 2012 NAVEX Global. All rights reserved. ds_policytechcorporate 9
Training Services The PolicyTech trainer provides 2 levels of point-and-click training in the use and navigation of the PolicyTech software: TYPE TARGET EMPLOYEE* Train the trainer Organization trainers End user Reviewers and approvers *Target employees are usually managers or supervisors responsible for creating policy and procedure documents as well as forms and job aids. The Training Training occurs after all setup and data entry decisions have been made by the organization (in other words, categories defined, template links with categories defined, workflows defined, etc., by the implementation project team). We provide application training to organization trainers who will be training end users, including document creators, reviewers, and approvers. Training is not meant to be for discussion of system installation or setup. Delivery Method Training is delivered either online (combination of Internet conferencing and phone) or onsite, depending on the training package you purchased. Prerequisites Basic search skills/principles Working knowledge of Microsoft Internet Explorer. Working knowledge of Microsoft Word, including track changes features. Optional Training PolicyTech also offers the following optional services. Please contact your sales representative for more information and pricing. Workshops. Process evaluation and design, policy and procedure writing. Consulting services. PolicyTech offers consulting services in process, policy, and procedure development and design. Add-on classes. If your organization has a large number of document owners, reviewers, and approvers, you can purchase additional and separate training for the document owners, reviewers, and approvers. 2012 NAVEX Global. All rights reserved. ds_policytechcorporate 10
APPENDIX A. Sample Project Plan To effectively implement PolicyTech, a clear project plan can be very helpful. The following table shows an example of a project plan. Please feel free to make changes to best meet your schedule and then discuss your proposed plan with your PolicyTech implementation specialist. 2012 NAVEX Global. All rights reserved. ds_policytechcorporate 11
APPENDIX B. Basic Workflow Best Practices 2012 NAVEX Global. All rights reserved. ds_policytechcorporate 12