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Environmental & Risk Management / Compliance Management / Compliance Program Manager

Event Example

Regulatory requirements typically occur on a recurring schedule; for example, elevator safety regulations mandate timely inspections, maintenance, and permit renewals of all elevators in the buildings and properties that you own or manage. These required actions must occur on a regular basis, such as annually or biannually.

The following are examples of actions that occur on scheduled dates for an elevator compliance program. These actions would be entered as program requirements. For those actions that are performed on a regular basis, you would enter a recurring schedule for the requirement and generate the occurrences as events. If the action occurs only once, you can generate a single event for the requirement.

If a requirement does not occur on a predictable schedule, you can manually enter an event for it whenever needed.

Having required actions specified as events enables you to track specific actions to ensure that they are completed on time, and to identify exactly where compliance problems are occurring.

Here is a sample process you could follow to track elevator safety compliance:

1. Enter the regulation and compliance program for the elevator inspection.
2. Enter the requirements for the elevator safety program. For example, you could enter the following:
   1. Service maintenance contractor to perform routine inspection/maintenance.
   2. Regulation authority to perform official inspection.
   3. Internal maintenance staff to perform routine inspection/maintenance.
   4. Send verification of existence and performance of each service maintenance contract.
   5. Payment due dates for elevator certificate renewal fees.
   6. Posting of elevator renewal certificates in each elevator.
3. Associate the requirements with a location, including a specific Equipment ID for each elevator. This enables you to generate an event for each elevator that must pass inspection, and therefore would need these actions to be performed.
4. Associate notification templates with each of these requirements. When you associate a notification template with a requirement, all of its events are assigned that notification. For example, you could associate notifications that remind the Responsible Person (most likely the Program Coordinator) of an upcoming event, that alert the Responsible Person and the Compliance Program Manager if the event is missed, or overdue. Another notification could inform the Compliance Program Manager when the event is completed.
5. Associate a recurring schedule with these requirements. The applications uses the recurring schedule to generate each of these requirements as a separate event as often as specified in the schedule. For example, the service maintenance contractor's inspection could be scheduled to occur every six months.
6. Generate events for the requirements.
   • Select Yes for the Activate Notifications? field for the events, so that the associated notification templates are used.
   • You can select to generate separate events for each location. If you do so, each of the actions is scheduled as a separate event for each of your elevators for each year. Each event has its own Event Status (initially set at Scheduled), Date Start and End, and Date Completion Required to help you track the event to completion.
7. Optionally, you can associate a Communication Log with the event. For example, if the service maintenance contractor needs to reschedule, you could add this as a communication log.
8. Optionally, associate a document with the event. For example, attach a scanned signed copy of the inspection sheet from the regulatory agency.
9. As the events occur, the Risk Officer or Compliance Program Coordinator can update the Event Status to ensure that the information is kept up-to-date until the event is closed.