Environmental & Risk Management / Compliance Management / Business Process Owner - Compliance

Defining Background Data for Compliance

Use the Business Process Owner – Compliance – process to set up Compliance Management background data, such as compliance levels for your programs and requirements. There are also tasks to organize documents into a document library and to set up email notification templates that inform stakeholders of critical dates for requirement events.

Entering background data for Compliance Management is optional, but might be necessary depending on the reports and features you want to use to achieve your goals. For example, certain reports depend on specific background data, such as the compliance level, to provide their results, and sending email notifications requires defining notification messages and templates.

The following table describes the Business Process Owner - Compliance tasks and the benefits that having this background data provides. Use this table to evaluate which background data you want to maintain.

Task	Description/Benefits	Learn More
Define Compliance Levels	Compliance levels indicate the degree of compliance that a program or requirement has achieved. Defining these compliance levels enables Compliance Program Managers to associate the levels you define with the programs and requirements they enter. They are then able to generate reports that target the programs that put your organization at the greatest risk, or to identify the programs that have had the greatest success. There are multiple reports that group data by compliance level. For example, the Compliance Program Count by...Compliance Level and Priority enables you to evaluate how many high priority programs have a low compliance level. The Compliance Requirement Count by... reports group requirements by their compliance levels. The Compliance Level and Regulation Rank, Compliance Level and Regulation, and Compliance Level and Locations reports also group programs by their compliance level.	About Compliance Levels Defining Compliance Levels
Define Regulation Categories and Types	Regulation categories and types enable users to report on regulations by their category and type, and to more easily locate and select regulations. For example, the Regulation Count by Regulation Rank and Type report enables you to evaluate how many high priority regulations you have in each regulation category/type, and to drill down to see the records contributing to the total.	Defining Regulation Categories and Types
Define Regulation Contacts	Using the Define Contacts task, you define contact information for the regulatory officials with whom you work.Compliance Program Managers can then associate these contacts with regulations, compliance programs, or requirements. When tracking a requirement, if there is a need to contact the regulatory agency, this contact information is readily available as part of the compliance record.	Define Contacts
Define Program Categories and Types	You define categories and types to categorize your compliance programs, making them easier to locate and report on. For example, you could generate the Requirements Count by Compliance Level and Program report to evaluate which programs types have the most requirements with a low compliance level.	Defining Program Categories and Types
Define Requirement Categories	You define requirement categories to categorize your requirements, so that you can generate reports based on your categorizations, and more easily locate specific requirements. For example, any of the Compliance Requirements Counts by... reports can be generated for a specific requirement category.	Defining Requirement Categories
Define Notification Categories/Messages/Notifications	You can set up email notifications to alert stakeholders of critical dates for requirement events. You do so by defining notification templates that Compliance Program Managers can assign to specific programs and requirements.You can also define universal notification templates that you assign to all programs and their requirements. For example, you can set up notifications so that the responsible person is notified two weeks before an event due date, and notified again one day before the due date. Both the responsible person and the manager could be notified weekly of missed or overdue events. Setting up notifications is optional, and requires some setup, but consider using this feature if multiple stakeholders are involved and having automated communication would therefore enhance your compliance efforts.	Getting Started with Notifications Defining Notifications
Define Document Library Folders	You can define document library folders to organize all documents into a filing system that is customized to your unique business needs or structure. Documents associated with a Document folder can be easily accessed when needed, for example, when providing documentation for an audit. These documents can also be accessed from other applications that use the Document Library feature, such as Environmental Health and Safety.	Defining Document Library Folders
Define Document Categories and Types	By assigning documents a category and a type, you can track the type of document being uploaded for easy and fast retrieval in the future. You can define Document Categories and Types in addition to Document Library Folders.	Defining Document Categories and Types
Define Violation Types	You can associate violation types with your violations to better track and analyze them.After defining violation types, you can generate the Compliance Violations report by Violation Type. For example, you could create violation types of Expired License, Expired Permit, Training, Building Code, Sewer Discharge, Hazardous Chemicals, Zoning, and Fire Code. You could then report on these types to identify where your most costly violations are coming from.	Defining Violation Types
Additional ARCHIBUS Administrator task
Configure Application Parameters	The ARCHIBUS Administrator for Application Configuration can set two application parameters that affect Compliance Management: Enable/disable email notifications Setting the number of days for editing closed events.	Configuring Application Parameters for Compliance Management