Environmental & Risk Management / Compliance Management / Compliance Program Manager

Managing Compliance Requirements

For each Compliance Program, the Program Manager examines the regulation, and then creates and schedules program requirements for each action mandated by the regulation.

Requirements often occur on a recurring schedule; for these requirements, you enter the recurring schedule and the application uses that schedule to generate the requirement's events, the future occurrences of the requirement.

If the requirement does not follow a specific schedule, you can enter that event manually. See Managing Non-Recurring Events.

The Manage Compliance Requirements task enables you to comprehensively manage requirements. From this task, you can add and edit requirements, generate events for the requirement, manually add an event, and associate documents, locations, notifications, and communication logs for the requirement.

The following table describes the work you can do from each of the tabs of the Manage Requirements task:

Tab	Task Description	How To...
Select Requirement	Locate and select a requirement to work with it on the other tabs	Using the Filter Console for Requirements Selecting Requirements.
Define Requirement	Add a new requirement, and, optionally, enter a recurring schedule for it so that you can generate events for it. Events are specific occurrences of the requirement. You can also edit a requirement from this tab. For example, you can add or change the Responsible Person (Compliance Program Coordinator), regulatory contact, vendor, the Date Scheduling Start, Date Scheduling End, the Requirement Priority, or the Compliance Level Code.	Adding Requirements Generating Scheduled Events
Locations	After selecting a requirement, you can add the locations where the requirement is needed. This enables you to locate and report on events by their location, and, optionally, to generate separate events for each of the locations the event is associated with. Requirement locations are usually the most specific, as they describe the buildings, rooms, equipment, or employees that require some specific action or remediation to achieve compliance. You can specify the location for the requirement as precisely as needed. For example, for a requirement for boiler maintenance, you could specify the building, floor, room, or equipment code for the boiler. Requirement Locations are inherited by the requirement’s program for reporting and filtering purposes.	Adding and Editing Compliance Locations for Regulations, Programs or Requirements
Events	Add a new event that does not follow a recurring schedule. Review and edit all events for a selected requirement, including both events that you generated using a recurring schedule, or those that you manually entered. You can edit the responsible person, vendor, regulatory contact, date schedule start or end, or date completion required. Export the events to a Word Docx file (by clicking DOCX), or to an Excel spreadsheet (by clicking XLS.)	Adding and Editing Events for a Requirement
Documents	Associate documents, such as a PDF of a permit or license, with this requirement.	Adding Documents for Compliance Records
Notification Templates	Associate a notification template with this requirement, so that the appropriate users receive reminders of critical events. This notification template will be assigned to all the requirement's events if you select Yes for the Activate Notifications? field when generating events. You can change the notification assignment for a particular event, if needed. When you assign a template to a requirement, it does not affect any existing events, it only affects any new events that are generated or manually created.	Adding New Notification Templates for Programs and Requirements Assigning or Unassigning Notification Templates for Programs or Requirements
Communication Logs	Add communication logs for the selected requirement.	Adding Communication Logs for Compliance Records

Using the Filter Console for Requirements

Using the Filter console, you can locate requirements by selecting from a variety of criteria. For example, you can filter by specific requirement, by regulation, compliance program, requirement category or type, compliance level, the time frame that the requirement is active, or the person responsible for the requirement.

Note the following when setting restrictions using the following as criteria:

Date From and Date To. When you enter the Date From and Date To in the Filter console, the restriction includes requirements that are active during any portion of the time frame. The Date Requirement Start and Date Requirement End define the active period.
Compliance Level. When you enter the Compliance Level in the Filter, the filter restricts to show requirements having this compliance level entered for them. The match is done on the program's compliance level if the requirement’s compliance level is empty.
Priority. Priority is a drop-down list with the selections: High, Medium, Low. These priorities match Requirement Priority or Compliance Priority using the following scale:
- High matches priority values from 1-3.
- Medium matches values from 4-6, and
- Low matches values from 7-9.
Vendor Code, Responsible Person, or Regulatory Contact. When you enter these values, the application includes requirements that have this vendor, responsible person, or regulatory contact associated with either the program or the requirement.
Locations:When you select the Locations Select Value button, you can select any of the following:
- Geo-Region ID, Country Code, Region Code,
- State Code, City Code, County Code,
- Site Code, Property Code
- Building Code, Floor Code,Room Code,
- Equipment Standard, Equipment Code, Employee Name
The Save Selected action copies all your selections to the Location field. The saved Location entries are applied to the filter to get the list of requirements that the location is associated with.
Geographic Location Fields.In both edit forms and the Filter console, geographic locations are filtered by the values you select that are “higher up” in the hierarchy. For example, regions are filtered by selected country, states are filtered by selected region and/or country, building is filtered by selected property, site, city, state, region, and/or country, etc. When you select a location value, the values for locations that are higher up in the hierarchy for your selection are copied into the Filter. For example, if a building is selected, the application copies the building’s property, county (from property), site, city, state, region, and country to the form, if this data has been entered for the building. Making selections lower in the hierarchy first can reduce data entry.

Select Requirements

The Manage Compliance Requirements task uses a tabbed interface. When you open this task, you must first select a requirement to navigate to the other tabs from which you manage the requirement.

To select a requirement:

Use the Filter console to enter a restriction to facilitate locating the requirement you want to work with. You can filter by many fields, including regulation, program category and type, location information, compliance level code, compliance priority, the Date Start and Date End for the Requirement, the Requirement Status, and equipment or equipment standard (if this requirement is associated with equipment).
Click Show.
The Select Compliance Requirement to Manage pane shows only the requirements that match your criteria.
Click Select in the row for the requirement to see its details. When you click Select, the view switches to the Define Requirements tab. From this tab, you can review or edit information for the requirement, or add a new one as needed.

Adding Requirements

Requirements are the actions associated with your compliance programs. If a requirement has a recurring schedule, you can enter detailed scheduling information for the event, and can specify whether or not notifications should be sent. The application automates scheduling and notifications to reduce the incidence of missed or overdue events, and to simplify the process of tracking requirements.

The following procedure describes how to add a requirement. When saving the requirement information, you can also generate events for the requirement. For information on generating events, see Generating Scheduled Events for Requirements.

To add requirements:

From the Process Navigator, select the Compliance Program Manager/Manage Compliance Requirements task.
In the Select Compliance Requirement to Manage pane, click Add New.
The Define Requirement pane appears.
Enter the following required information:
Requirement Code: The unique identifier for this requirement.
Compliance Program Code: Select the compliance program for this requirement.
Note: For new records, when the Compliance Program Code is selected, the following fields entered for the selected program are copied to the Define Requirement form if they are empty:
- Responsible Person
- Vendor Code
- Regulatory Contact
- Compliance Priority (copied to Requirement Priority.)
Regulation: When you select a compliance program, the Regulation field fills in with the regulation for the program.

Requirement Priority: Select the priority this requirement has for your organization. For example, select '1-Critical/highest' to '9-lowest' to describe the importance of this requirement. Entering the Requirement Priority enables you to generate reports by Requirement Priority, such as the Expired Licenses/Permit Count report, the Requirement Count by Compliance Level and Priority report, and to highlight the Events Calendar by Requirement Priority. By default, Requirement Priority is set to "1-Critical/Highest," but you should change this to reflect your actual assessment.

Requirement Type: Select the type that describe this requirement from the enumerated list. For example, select Permit for a requirement to reapply for a permit when it is approaching its expiration date. Compliance Program Coordinators can track requirements having the Permit or License Requirement Type using the Manage My Permits and Licenses task if you enter these requirement types for requirements. By default, this field is set to 'Other", but you can change this to specify a particular type. You can generate reports, such as the Compliance Requirements Count by Compliance Level and Requirement Type.

Requirement Status: The current state of this requirement, such as Active, On Hold, Completed, Completed - Verified, or Closed. By default, the Requirement Status is set to Active, but you are able to change this as work on this requirement progresses. You can generate reports by Requirement Status, enabling you to distinguish between active requirements and those that have been cancelled, placed on hold, completed or closed, If the Requirement has a status of On Hold, you can enter the reason for the suspension in the Reason for Hold field.

Enter the following recommended information:
Compliance Level Code: Select the description for the degree of compliance this requirement has achieved, You can generate multiple reports filtered or grouped by the compliance level to target the requirements that put you at the greatest risk of noncompliance.
Responsible Person: Select the employee (such as the Compliance Program Coordinator) responsible for this requirement. When the Compliance Program Coordinator logs in to their tasks, they see only the requirements and events for which they are entered as the Responsible Person. When managing events, you can search by the Responsible Person to locate events assigned to that employee. You can also generate reports to show requirements or events for a selected Responsible Person. When you select a compliance program, if the Responsible Person has been entered for the program, it is copied to the requirement record when you add a new record. You can change this if needed.

Enter the following additional information as needed:

Regulatory Contact	Select your contact at the regulatory agency for this requirement.
Vendor Code	If applicable, select the vendor who is providing services to complete this requirement.
Requirement Category	Select the broad description of the requirement. Requirement categories enable you to locate and report on requirements by their category. Your Business Process Owner defines Requirement Categories using the Define Requirement Categories task.
Date Expire/Renewal	Date when this requirement (for example, license, permit, or certificate) expires and/or needs renewal. The Date Expire/Renewal must be after the Date Requirement Start for the requirement.
Date Requirement Start/Date Requirement End	Date when requirement activity begins and ends; that is, no events are scheduled before the Date Requirement Start, and no more events are scheduled after the Date Requirement End. If entered, these dates are used when the application generates events. The Date Requirement Start is the overall start date for the requirement; it might be the same as the date of the first event, or it might be prior to it. Example: For a monitoring program that consists of collecting samples each month for five years, from 2011 to 2016, the Date Requirement Start might be 1/1/11 and the Date Requirement End 12/31/16. These dates would define the permit effective period. If a requirement is ongoing and therefore does not have a definite end date, you could leave the Date Requirement End field blank, and control the number of occurrences using another field, such as the 'Generate event occurrences until' field. See Controlling the Number of Generated Events.
Date Completion Required	Date when all requirement activity, such as events, must be completed to avoid non-compliance. For example, For example, this could be the date that a permit expires and must be renewed.
Summary	Enter a brief summary of this requirement.
Regulation Citation	The specific section, chapter, page number, etc. of the law that applies to this requirement.
Description	A description of this requirement to further clarify its scope or the actions it requires. For example, enter ‘Monthly inspection of the three storage tanks as required by PA regulation’ to describe a requirement for storage tank inspection.
Reason for Hold	If the Requirement Status is set to On Hold, enter the reason for the suspension in this field.
Notes	Any further description of this requirement.
Completion Criteria Type	The way to determine if the requirement has been completed. For example, select a specified event if this requirement is completed upon the occurrence of a scheduled event.
Completion Criteria Description	A full description of the completion criteria, such as specific dates or performance criteria that must be met. For example, enter 'Signed and Dated inspection form' to describe what is required to document completion of a requirement for yearly elevator inspection.

Do one of the following:
- To save the requirement information and generate events, enter information in the Save and Generate Events pane, enter a recurrence pattern, and click Save and Generate Events. See Generating Scheduled Events for Requirements.
- To save the requirement information without generating events, click Save.
- To save the requirement and clear the form so that you can add another requirement, click Save and Add New.