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Environmental & Risk Management / Compliance Management / Compliance Program Manager

Managing Compliance Programs

From the Compliance Program Manager / Manage Compliance Programs task, Compliance Program Managers can select compliance programs to review and edit them, and can optionally assign locations, documents, notification templates, and communication logs to the program. You can also add new programs as needed.

Because compliance programs organize requirements by regulation and assign responsibility at the program level, they are central to tracking and managing your compliance efforts. You can add documents and communication logs to programs to create an audit trail if needed. You can add locations to track compliance level and responsibility by location, and can add notification templates to ensure that all stakeholders are informed of critical dates when the triggering conditions defined in the notification templates occur.

When you add notifications templates to programs, the program's requirements inherit these items; so making notification assignments at the program level is an efficient way to manage notifications for requirements.

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

Using the Filter Console for Programs

Using the Filter console, you can locate compliance programs using a variety of criteria. For example, you can filter by compliance program code, by regulation, a date range, compliance program type, compliance level code, compliance priority, location, or the person responsible for this program.

Note the following when using the Filter console:

• Date From and Date To. When you enter the Date From and Date To in the Filter console, these dates specify the time frame within which the program is active for any portion of the time frame. The program's Date Start and Date End define its active period.
• Location: When you select the Location 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, <blank>

  • 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 (from the pop-up) are applied to the filter to get the list of compliance programs associated with the location.

Selecting Programs

The Manage Compliance Programs task uses a tabbed interface. When you open this task, you must first select a program to navigate to the other tabs.

To select a program:

1. Use the Filter console to enter a restriction to facilitate locating the program you want to work with. You can filter by many fields, including regulation, program category and type, location information, compliance level code, compliance priority, and location information including equipment or equipment standard. See Using the Filter Console for Programs.
2. Click Show.

   The Select Compliance Program to Manage pane shows only the programs that match your criteria.

3. Click Select in the row for the program to see its details. When you click Select, the view switches to the Define Programs tab. From this tab, you can review or edit information for the regulation.

Defining Compliance Programs

To add compliance programs:

1. From the Process Navigator, select Manage Compliance Programs.
2. In the Select Compliance Program to Manage pane, click Add New.
3. In the Define Program pane, add the following required information:

   Regulation From the list, select the regulation for this program.

   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.

Note: If you enter the following information for the compliance program, these values will be copied to new requirement records for the program. Entering these values can save data entry.
-- Responsible Person
-- Vendor Code
-- Regulatory Contact
-- Compliance Priority (copied to Requirement Priority.)

4. Enter the following recommended fields:

   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.

5. Enter the following additional fields as needed:

   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.

6. Click Save.

See Also

Copying Regulations and Programs Including Child Records