Policy Approval Analysis
Policy Compliance Matrix
A
B
C
D
E
F
G
H
1
Policy Name
Category
Requirement
Actual Value
Passed
Risk Level
Notes
3
Vendor Verification
Compliance
Approved Vendor
ABC Corp (ID: V-1234)
✅ PASSED
LOW
Verified in vendor database
4
Budget Allocation
Financial
Available Budget
$45,000 remaining
✅ PASSED
LOW
Sufficient Q4 marketing budget
5
SOX Compliance
Regulatory
Proper Documentation
Invoice + PO attached
✅ PASSED
LOW
All required docs present
6
Anti-Money Laundering
Regulatory
AML Screening
Clear (Score: 0.02)
✅ PASSED
LOW
No watchlist matches
7
Time Sensitivity
Operational
Business Hours
14:32 (Business Hours)
✅ PASSED
LOW
Standard processing time
8
Dual Approval
Security
≥ $5,000 needs 2 approvers
1 approver (Sarah M.)
⚠️ EXCEPTION
MEDIUM
Manager override - time sensitive
Approval Timeline
14:30:45
Policy Analysis Started
Automated policy checking initiated
14:31:12
Risk Assessment Complete
6/7 policies passed, 1 exception flagged
14:32:05
Manager Notification
sarah.manager@co.com notified via Slack
14:35:01
Approval Granted
Manager approved with exception override
Exception Analysis
⚠️ DUAL APPROVAL EXCEPTION MEDIUM RISK
Policy Requirement: Payments ≥ $5,000 require dual approval from two managers
Actual Situation: Single approval from Sarah's direct manager
Exception Justification: Time-sensitive marketing campaign with established vendor
Mitigating Factors:
- Approved vendor in good standing
- Within requester's normal spending patterns
- Sufficient budget allocation
- Standard business hours transaction
Compensating Controls: Enhanced post-transaction monitoring enabled