Environmental & Risk Management / Compliance Management / Compliance Program Manager

Managing Compliance Violations

Compliance Program Managers need to track compliance violations by regulation, compliance program, requirement, and location to evaluate the cost of compliance problems. The Compliance Management application enables you to maintain a record of violations and penalties assessed for regulatory violations.

Here is the process for managing violations using the Compliance Management application:

Optionally, the Business Process Owner – Compliance defines Violation Types.
The Compliance Program Manager records violations received and reported.
Web Central users locate and view violations using the Operational Reports process. Managers can review this information using Management Reports.

Note: If you enter a location for the violation, you are able to review the violation on the Compliance Violations Map.

To define a violation:

From the Process Navigator, select Compliance Program Manager/Manage Compliance Violations.
From the Select Compliance Violations pane, click Add New.
The Define Compliance Violation form appears.
Enter the following required information:
Violation ID: Enter a unique identifier for this violation. This is either created by your organization, or you can use an identifier that is assigned by the regulation authority. This identifier would appear on the violation paperwork.
Regulation: Select the regulation for this violation.

Enter the following recommended information:

Regulation Authority	Select the regulation authority that issued this violation from the list of companies your Business Process Owner has defined.
Date Assessed	Select the date it was determined that you had a violation.
Violation Type Code	Select the type for this violation.You can generate reports for specific violation types.
Violation Severity	Select the severity for this regulation. By default, this is set to Not Entered, but you can make selections from 1 - Severe/Highest to 9 Minor/Lowest. When you can generate the Compliance Violations Map report, you can show the marker size by violation severity.
Location ID	This is a read-only field that is filled in with a Location ID based on the selections you make in the lower pane or in the select value dialog.
Issued By	Enter the name of the inspector, person, department, agency, etc. who issued the violation.
Violation Status	By default, this is set to Not Entered, but you can select Open, or Closed to indicate the status for this violation.
Date Violation From/Date Violation To	If it was determined that your organization was in violation over a specific time period, record that time frame in these fields.
Cost/Penalties Fines	Enter the cost of the penalty or fine. Entering the cost, for this violation enables you to review summarized costs in the Compliance Violation Cost Summary report.
Summary	Enter a summary that further identifies the violation.
Description	Enter a description that adds further details.
Penalties	Enter a description of any penalties assessed.

Add location information:
In the Location Information section, select the geographical location, equipment code or standard, or employee for this violation. When you save the record, the Location ID field fills in with the application-generated identifier for the selections you make. You can also click the select value button on the Location ID field to select existing locations associated with the regulation, compliance program, or requirement that you enter in the form. When you select a Location ID, the location values are copied to fields in the bottom section of the form. Entering location information enables you to see the violation in the Compliance Violations Map report.
Click Save.
The location information is saved with a system-generated Location ID. This number appears in the Location ID field as a read-only value.
Check In the document: After you save the document information, the Document fields now has the Check In New Document button, an up-arrow next to the Document field.

Click this button to access the dialog to locate and select the document. After selecting the document, click OK in the dialog. See Working with the Document Management System for more information.

After you select the document and click OK in the dialog, the document is stored in the ARCHIBUS document management system, and it is associated with the violation.

Note: Documents associated with a violation are not added to the document library, so you are not able to view them from the Manage Document Library task. You view these documents from the violation record the document is associated with.