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.
Many regulatory requirements are related to on demand and preventative maintenance work, and the diagnostic assessment of facilities and equipment. For this reason, compliance officers must ensure that required maintenance work is completed before they can sign off on a regulatory requirement. A link between Compliance and Building Operations enables Compliance departments to easily access all the necessary maintenance status information and documentation in real time for their compliance programs, in an integrated console or from a view within their existing workflow. The status of compliance events is automatically updated with the status of any related maintenance work. See Reviewing Work History.
Getting Started with Compliance Management: Overview
Best Practices for Entering Compliance Management Data
Regulations, compliance programs and their requirements are the basic items that make an electronic inventory that you can use to generate events that you track and mange. Being able to track and manage events is critical to your compliance efforts.
Once you have developed this basic inventory, you can implement additional features, such as developing location information, attaching documents, adding communication logs, and notifications to stakeholders that occur at key points in the compliance process. The Compliance Management application is not intended to enforce this, or any, specific workflow; once you have developed information for regulations, compliance programs, and requirements, you can execute the workflow in any order that your organization wants to follow.
For an overview of the overall process, review the following workflow:
Detailed Workflow for Compliance Management
The following is a typical workflow for getting started with the Compliance Management application
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