PolicyTech Implementation Guide
The PolicyTech Mission
We will continue to develop user-friendly, flexible policy and procedure management software as an important element in a comprehensive compliance management objective. 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.
- 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 No need to worry about perpetuating out-of-date policies.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.
- 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 read and attest to your latest policy release.
- 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
- Quiz capability
- Master reviewers/approvers of policies
- Acrobat PDF conversion
- Reference other documents
- Rename and merge
- Require or restrict readers
- Review and approval processing
- Search (basic and advanced)
- Text formatting (using Microsoft® Word)
- Track changes (using Microsoft® Word)
- User authorizations
- User import
- Version numbers on documents
- Viewing documents
- Walk-thru document creation
Hosting Options, Setup, Configuration and Licensing
PolicyTech(TM) Hosting Options
Unlike other software products that require you to license each employee (whether they use the software or not), PPM is licensed on a Concurrent License basis. Due to our use of Concurrent Licensing many organizations have found that they can license as few as 10% of their employees. Our system only uses a license when a user is logged in; therefore, 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.
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
Basic level set-up
Web server and Database server hosted on one server (physical or virtual)
One of these database server options:
- MySQL (installed by default with PPM)
- 2000 with SP3 or 4
- 2005 (including SQLExpress)
- 2008 (including SQLExpress)
- Plan for regularly backing up database
- If planning to connect PPM to Active Directory, create a basic Domain User account and add this account to the Local Administrators group on the server.
Web server and Database server hosted on separate servers (physical or virtual)
Software requirements for the servers are:
- Windows Server 2003/2008
- Microsoft .NET 2.0
- Microsoft Word 2003 or greater (called to by PPM, not accessed by end users; only required on the web server)
- One of these database server options: *
º 2000 with SP3 or 4
º 2005 (including SQLExpress)
º 2008 (including SQLExpress)
Plan for regularly backing up database
If planning to connect PPM to Active Directory, create a basic Domain User account and add this account to the Local Administrators group on the server.
User-Level System Requirements
- Software Requirements
- Microsoft® Windows® XP/2000/Vista
- Internet Explorer® 6 or 7
- Microsoft® Word 2003/2007 **
- Adobe® Reader® ***
- PPM 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.
**** (PPM 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.
Your web-based software solution for policy and procedure management
Implementation | Project Planning
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.
PolicyTech offers two options to help you with the software introduction:
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.
TYPE TARGET EMPLOYEE*
The PolicyTech™ trainer provides 2 levels of point-and-click training in the use and navigation of the PolicyTech™ software:
- 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.
- 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.
Assessment & Evaluation
- Current Documents
- Current Workflows and Policy and Procedure Management Systems
- Staff Resources
- Training Needs
- Data Import Sources
System Design & Strategic Planning
- Setup decisions
- Document and template design
- Review and approval workflows
- Project plan
- Training strategy and schedule
- Change management
- Rollout assistance
- Post-rollout evaluation
- 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.
Training is delivered either online (combination of Internet conferencing and phone) or onsite, depending on the training package you purchased.
- Basic search skills/principles
- Working knowledge of Microsoft® Internet Explorer®.
- Working knowledge of Microsoft® Word, including track changes features.
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.
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.
APPENDIX B. Basic Workflow Best Practices
Microsoft, Internet Explorer, and Windows are either registered trademarks or trademarks of Microsoft Corporation in the United States and/or other countries.Adobe and Adobe Reader are either registered trademarks or trademarks of Adobe Systems Incorporated in the United States and/or other countries.
About NAVEX Global, Inc.
NAVEX Global’s comprehensive suite of ethics and compliance software, content and services helps organizations protect their people, reputation and bottom line. Trusted by 95 of the FORTUNE 100 and more than 12,500 clients, our solutions are informed by the largest ethics and compliance community in the world.