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The regulations that affect your organization are the basis of your compliance programs. You enter regulations and then enter the compliance programs and requirements that are needed to achieve compliance with the regulation.
For example, for the Asbestos regulation, you can have the following compliance programs that manage the regulation:
Each compliance program, in turn, can have requirements, such as Supervisor license program having a certification exam requirement. You can model the regulations to the level of detail appropriate for you organization.
The Compliance Program Manager / Manage Compliance Drill-down task provides a console from which you can efficiently add regulations, programs, and requirements using one view and a drill-down list to facilitate your selections. This task provides the quickest way to add regulations, programs, and requirements. Note that the view focuses on compliance programs and does not include contracts and contract terms.
Note: After developing these records, you can use the Compliance Program Manager / Manage Compliance Locations task to bulk assign locations and the Compliance Program Manager / Manage Notification Templates task to bulk assign notifications to the records you define. If you need to also add locations, documents, communications logs, and notification templates for single compliance records, use tasks such as the Manage Regulations and Initiatives, Manage Compliance Programs, and Manage Compliance Requirements tasks.
When entering new records, the Compliance Manager performs the following tasks from the Environmental & Risk Management / Compliance Management / Compliance Program Manager / Manage Compliance Drill-down task:
You can use the Filter console to restrict the drill-down selection list using a variety of filter criteria. For example, you can restrict by regulation, program, requirement, requirement status, regulation rank, compliance level code, compliance priority, or location.
When entering filter criteria, note the following:
Geo-Region ID, Country Code, Region Code,
State Code, City Code, County Code,
Site Code, Property Code, <blank>
Building Code, Floor Code, Room Code,
Equipment Standard, Equipment Code, Employee Code
The Save Selected action copies all your selections to the Location field, comma-separated. The saved Location entries are applied to the filter to get the list of regulations, programs, or requirements that have this location added.
To add regulations, initiatives, or standards:
Regulation: Enter the unique identifier for this regulation, such as CAA (for the Clean Air Act), or CWA (for the Clean Water Act). You can also use the Regulation field to identify an initiative or a standard. You then use the Regulation Class field to specify which of these this record is for.
Regulation Class. Select whether this is a regulations, an initiative, or a standard.
Regulation Rank. Select the degree of importance this regulation has to your organization and it's mission. Select from '1- Critical/Highest' to '9 - Lowest'. This field enables you to locate regulations by their rank, and to generate reports that target your most critical compliance regulations, such as the Compliance Programs Map and the Compliance Program Count by Compliance Level and Regulation Rank reports.
Select the category for this regulation, such as ENVIRONMENTAL to describe the codes, laws, and regulations which regulate environmental issues. Your Business Process Owner uses the Define Regulation Category and Types task to define the categories that you can select from.
|Regulation Type||Select the Type for the Category you selected. For example, select Air Emissions to describe ENVIRONMENTAL regulations that affect air pollution.|
|Date Required Compliance||Select the date by which your organization must be in full compliance. This date must be after the Date Start entered for the regulation.|
|Date Start/Date End||Select the date when regulation becomes effective and the date when regulation ends.|
|Regulation Authority||Select the agency that provides oversight for this regulation. You select a regulatory agency from a list of companies created using the Define Companies task available from the Compliance Management / Compliance Project Manager task.|
|Regulation Name||Enter a name that further identifies the regulation to users.|
You can set up a hierarchy of regulations, that is, a parent regulation that includes subregulations, such as the regulation's subchapters and titles. If the regulation you are defining is a subregulation in such a hierarchy, select its Parent Regulation from this list.
If you set up hierarchies of regulations, from the Manage Regulations and Initiatives task, you can:
If there is a regulation that is related to this regulation in some way other than parent-child, enter it here. For example, a new regulation may replace an older regulation, or a regulation from the EPA may have a similar counterpart regulation from OSHA.
|Description||Enter a summary of the regulation that further describes the impact of the regulation on your organization.|
|Citation||Enter the specific section, chapter, page number, etc. of the law that applies to this regulation.|
|Regulation Web Site||Enter the Web address for the regulatory agency administering the regulation.|
|Web References||Use this field to enter the web addresses for web sites with information regarding this regulation.|
|Legal References||Enter a description of the law and other legal references (court judgments/decisions, Congressional Acts, etc.).|
Before adding a program, if you select a regulation, initiative, or standard from the drill-down list, the Regulation field is automatically entered in the form using your selection.
To add compliance programs:
Compliance Program Code: Enter the unique identifier for this program, such as INSTALLATION PERMIT for a program to monitor permits required to operate a facility that has air emissions.
Program Status. The description of the program's current state of activity. For example, you can select that the program is Active, On Hold, or Completed. You can change the status as work on this program progresses. If the program has a status of On Hold, you can enter the reason for the suspension in the Reason for Hold field. By default, the Program Status is set to Active, but you can change this as needed. You can generate reports, such as the Compliance Program Count by... reports, for specific Program Statuses.
Compliance Priority. Select the priority this program has for your organization. For example, select '1-Critical/highest' to '9-lowest' to describe the importance of this program. By default, this is set to '1- Critical', but you should change this to reflect your actual assessment. You can generate reports for programs based on priority. For example, you can filter the Compliance Program Count by... and the Compliance Requirement Count by... reports by Compliance Priority to target your most critical programs. When you add requirements for this program, the compliance priority is copied to the new requirement, reducing data entry if the same compliance priority applies.
Compliance Level Code: Select the description for the degree of compliance this program has achieved. It is good practice to update the Compliance Level field of program requirements and contract terms after performing inspections or reviewing your work status. You can then generate operational reports filtered by the compliance level to target the programs that put you at the greatest risk of noncompliance, or the programs that have achieved the greatest success. You can also generate management reports that group program counts by compliance level and other factors.
Compliance Category and Type: Select the category and type that describe this program. These fields provide an additional way of locating and reporting on your compliance programs. For example, select PERMIT/FEDERAL to describe a program for managing federal permits. You can generate management reports by program category and type, such as the Compliance Level and Program report, or you can generate operational reports, such as the Compliance Programs report. Your Business Process Owner defines the categories and types available to you.
Responsible Person: Select the employee (such as the Compliance Program Coordinator) responsible for this program. When the Compliance Program Coordinator logs in to their tasks, they see only the programs for which they are entered as the Responsible Person. When managing programs, you can search by the Responsible Person to locate compliance programs assigned to that employee. You can also generate reports to show programs for a selected Responsible Person.
|Regulatory Contact||Your contact for this program at the regulatory agency.|
|Project Code||If this program is part of a project, select the project here. You are able to filter by the Project Code to generate reports and locate compliance programs associated with a specific project.|
|Vendor Code||If applicable, the vendor you use for this program, such as the elevator repair service for a program focused on elevator safety.|
|Summary||Brief notes about this program.|
|Date Start/Date End||The date the program is effective and the date that it ends.|
|Description||Information that further describes the program. For example, you could enter the purpose of the program and different names used for the program in different states.|
|Reason for Hold||
If the program status is On Hold, enter the reason for suspending the program.
|Completion Criteria Type||The criteria used to assess when compliance has been achieved. For example, select Specified Deadline, Projected Date, Specified Event, Completed Requirements, Performance, or None (if there are no specific completion criteria.)|
|Completion Criteria||A further description of the completion criteria, such as the name and date of the event if an event is the completion criterion.|
Requirements are the actions associated with your compliance programs. If a requirement has a recurring schedule, then the requirement can be generated as an event. 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.
To add requirements for your programs:
Regulation and Compliance Program Code. The Define Requirement form has the Regulation and Compliance Program Code you selected.
Requirement Code: The unique identifier for this requirement.
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.
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.
|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, 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.|
If you have developed questionnaires, you can add them to the requirement. Click the Assign Questionnaires button to access the Preview Compliance Questionnaires form. (If a questionnaire has already been defined, this button will be View Questionnaire.)
The Manage Compliance Drill-Down task shows the list of regulations and their requirements that your organization has already entered. The drill-down list might also include standards (ISO, for example) and internal initiatives (energy reduction, for example) that your organization has elected to comply with. By expanding the list, you are able to see the compliance programs and requirements associated with the selected regulation, initiative, or standard.
You might need to update the compliance level, compliance priority, requirement priority, responsible person, and program or requirement status as this information changes
The Define Regulation/Program/Requirement form appears depending on the item you select.
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