From the Compliance Program Manager / Manage Regulations and Initiatives task, you can enter your regulations and initiatives (internal goals and objectives not tied to formal regulations) and can optionally assign locations, documents, and communication logs to the regulation. You can also add new regulations as needed.
The following table describes the work you can do from the Manage Regulations and Initiatives tab:
Tab | Description | How To... |
---|---|---|
Select Regulation |
Locate and select a regulation , initiative, or standard to work with it on the other tabs. Export the list of regulations, initiatives, and standards to a MS Word docx file (by clicking DOCX), or to an Excel spreadsheet(by clicking XLS.) |
|
Define Regulation |
Add or edit a regulation, initiative, or standard. |
Defining Regulations, Initiatives, and Standards |
Locations |
After selecting a regulation, initiative, or standard, you can add the locations where the regulation, initiative, or standard is applicable. This enables you to locate and report on regulations by their location. By associating locations with regulations, compliance officers can assess the risk of noncompliance for specific locations, and determine compliance by location. Regulations are usually associated with a broad geographic territory, such as a country, region, or state. |
Adding Compliance Locations for Compliance Records |
Documents |
Associate documents with the regulation, such as a PDF of the regulation. The Compliance Management application provides flexibility in how you store documents to facilitate locating and quickly retrieving the latest version of the document. One of the ways you can store a documents is to associate it with a regulation. |
Adding Documents for Compliance Records |
Communication Logs |
Add communication logs for this regulation. |
Adding Communication Logs for Compliance Records |
Note: This task shows all regulations, regardless of whether they have assigned contracts or compliance programs.
When using the Filter console to set a restriction from the Manage Regulations and Initiatives task, note the following:
Note: If you select "Egress" or "HAZMAT" for the Regulation field in the Filter, and then select one of these regulations, from the Define Regulation tab, you are not able to rename the regulation (the Regulation field is read-only), and you are not able to delete the regulation. The Egress and HAZMAT regulations are managed from the Emergency Preparedness application.
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
The following occurs when you click Save Selected for the location information:
This 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 that are associated with the location.
You can export the regulations showing in the Select Regulations to Manage pane by clicking DOCX (to generate a Word document), or XLS (to export the data to Excel).
The Manage Regulations and Initiatives task uses a tabbed interface. When you open this task, you must first select a regulation to navigate to the other tabs.
To select a regulation:
The Select Regulations to Manage pane shows only the regulations that match your criteria.
When you click Select, the Define Regulation tab becomes active. From this tab, you can review or edit information for the regulation. For a description of the information on the form, see Defining Regulations, Initiatives, and Standards below.
Follow this procedure to enter the formal regulations you must comply with, or your company's own internal initiatives or standards:
The Define Regulation tab becomes active.
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'. Entering a value for 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.
Regulation Category |
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. |
Parent Regulation |
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:
|
Related Regulation |
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.). |
Copying Regulations and Programs Including Child Records
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