Environmental & Risk Management / Compliance Management

Compliance Management Application: Overview

The Compliance Management application provides a comprehensive solution to the task of monitoring your regulatory activity. The application enables you to track your regulations, compliance programs, and requirements for both regulatory requirements and internal initiatives. You can then generate scheduled events for these requirements, enabling you to track events to completion. Optionally, you can associate locations, documents, and communications logs with compliance records, and you can define notification templates to automate the sending of email messages to stakeholders when critical dates occur.

Because regulatory requirements are so numerous, and because you might need to establish an audit trail to document your activity, managing your compliance programs can involve managing a great deal of data. The application includes features that facilitate entering data, and locating records and documents when you need them. See Best Practices for Developing Compliance Data.

First, you establish basic data on regulations, compliance programs and requirements, and use this data to generate scheduled events. Many features are optional, so after developing this basic compliance data, you can add data incrementally to support using additional features. For example, you can maintain event status to support tracking missed and overdue events, enter location information, develop a document library, or develop notification templates for sending email notifications. See Getting Started with Compliance Management: Overview.

The application provides quick and easy access to comprehensive information regarding compliance program events, locations, documents, communications logs, notifications, and violations. This repository of information can be used to establish an audit trail when it is needed, and helps you to evaluate which requirements and locations put the organization most at risk for noncompliance.

Concepts

Getting Started with Compliance Management: Overview

Best Practices for Entering Compliance Management Data

Detailed Workflow for Compliance Management

About Compliance Levels

Typical Workflow

The following is a typical workflow for getting started with the Compliance Management application

Business Process Owner - Facility - Develops facility background data for Compliance Management, if this data has not already been developed using another application. Developing this data is optional, but having facility data enables you to track regulations, compliance programs, requirements and their events by locations, such as geographic location, or site/property/building location. You can even specify the employee, equipment, or equipment standard as the location for a requirement.See Define Background Data about Your Facility. See Defining Background Data for your Facility.
Business Process Owner - Compliance - Develops compliance-related background data, such as compliance levels, regulation rank, compliance priority, regulation categories and types, regulatory contacts, and program categories and types. Entering background data for Compliance Management is optional, but is required to generate certain reports, or to send email notifications to stakeholders when critical event dates occur. See Defining Background Data for Compliance.
Compliance Project Managers - Develop additional background data, including contacts, vendors, employees, and companies (the regulatory agencies with which you work). The Compliance Project Manager can define projects if you are organizing your compliance programs into projects. See Compliance Project Manager: Overview.
Compliance Program Managers - Develop information for regulations, compliance programs, and requirements, then use the application to generate scheduled events. Optionally, add documents, communications logs, locations, violations, and notification templates. See Compliance Program Manager: Overview.
Compliance Program Coordinators - Manage all aspects of the events for which you are entered as the Responsible Person for the event's compliance program or requirement. See Compliance Program Coordinators: Overview.

Operational reports: - Access comprehensive information about regulations, compliance programs, requirements, events, documents, communications logs, and notification templates. See Operational Reports: Overview.
Management reports: Access Management reports to get a summarized, comprehensive view of your compliance programs for high-level analysis. See Management Reports: Overview.