Sustainability & Risk / Compliance / Background Data - Compliance
Sustainability & Risk / Compliance / Background Data - Reports
Defining Background Data for Compliance
Use the Background Data – Compliance process to set up background data, such as compliance levels for your programs and requirements. There are also tasks to organize documents into a document library and to set up email notification templates that inform stakeholders of critical dates for requirement events.
Entering background data for the Compliance application is optional, but might be necessary depending on the reports and features you want to use to achieve your goals. For example, certain reports depend on specific background data, such as the compliance level, to provide their results, and sending email notifications requires defining notification messages and templates.
Background Data - Reports
After defining compliance background data, you can use the Compliance application's Background Data - Reports process to generate the following reports for your background data:
- Regulation Categories and Types
- Regulation Contacts
- Program Categories and Types
- Requirement Categories
- Document Library Folders
- Document Categories and Types
- Compliance Levels
- Violation Types
- Notification Categories
- Notification Templates
See the following section for a description of the data in these reports.
Background Data Tasks
The following table describes the Background Data - Compliance tasks and the benefits that having this background data provides. Use this table to evaluate which background data you want to maintain.
| Task | Description | See These Topics |
|---|---|---|
| Define Compliance Levels |
Compliance levels indicate the degree of compliance that a program or requirement has achieved. Defining these compliance levels enables Compliance Program Managers to associate the levels you define with the programs and requirements they enter. They are then able to generate reports that target the programs that put your organization at the greatest risk, or to identify the programs that have had the greatest success. There are multiple reports that group data by compliance level. For example, the Compliance Program Count by Compliance Level and Priority enables you to evaluate how many high priority programs have a low compliance level. The Compliance Requirement Count by... reports group requirements by their compliance levels. The Compliance Level and Regulation Rank, Compliance Level and Regulation, and Compliance Level and Locations reports also group programs by their compliance level. |
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| Define Regulation Categories and Types | Regulation categories and types enable users to report on regulations by their category and type, and to more easily locate and select regulations. For example, the Regulation Count by Regulation Rank and Type report enables you to evaluate how many high priority regulations you have in each regulation category/type, and to drill down to see the records contributing to the total. |
Defining Regulation Categories and Types |
| Define Regulation Contacts |
Using the Define Contacts task, you define contact information for the regulatory officials with whom you work. Compliance Program Managers can then associate these contacts with regulations, compliance programs, or requirements. When tracking a requirement, if there is a need to contact the regulatory agency, this contact information is readily available as part of the compliance record. |
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| Define Program Categories and Types |
You define categories and types to categorize your compliance programs, making them easier to locate and report on. For example, you could generate the Requirements Count by Compliance Level and Program report to evaluate which programs types have the most requirements with a low compliance level. |
Defining Program Categories and Types |
| Define Requirement Categories | You define requirement categories to categorize your requirements, so that you can generate reports based on your categorizations, and more easily locate specific requirements. For example, any of the Compliance Requirements Counts by... reports can be generated for a specific requirement category. | Defining Requirement Categories |
| Define Notification Categories/Messages/Notifications |
You can set up email notifications to alert stakeholders of critical dates for requirement events. You do so by defining notification templates that Compliance Program Managers can assign to specific programs and requirements. You can also define universal notification templates that you assign to all programs and their requirements. For example, you can set up notifications so that the responsible person is notified two weeks before an event due date, and notified again one day before the due date. Both the responsible person and the manager could be notified weekly of missed or overdue events. Setting up notifications is optional, and requires some setup, but consider using this feature if multiple stakeholders are involved and having automated communication would therefore enhance your compliance efforts. |
Getting Started with Notifications Defining Notifications |
| Define Document Library Folders | You can define document library folders to organize all documents into a filing system that is customized to your unique business needs or structure. Documents associated with a Document folder can be easily accessed when needed, for example, when providing documentation for an audit. These documents can also be accessed from other applications that use the Document Library feature, such as Environmental Health and Safety. | Defining Document Library Folders |
| Define Document Categories and Types | By assigning documents a category and a type, you can track the type of document being uploaded for easy and fast retrieval in the future. You can define Document Categories and Types in addition to Document Library Folders. | Defining Document Categories and Types |
| Define Violation Types |
You can associate violation types with your violations to better track and analyze them. After defining violation types, you can generate the Compliance Violations report by Violation Type. For example, you could create violation types of Expired License, Expired Permit, Training, Building Code, Sewer Discharge, Hazardous Chemicals, Zoning, and Fire Code. You could then report on these types to identify where your most costly violations are coming from. |
Defining Violation Types |
| Define Measurement Units | Defining measurement units enables you to customize the standard units included with Archibus. | Define Measurement Units |
| Define Activity Types | The default schema ships with several Compliance activity types (categories for organizing events and action items), but you can define your own as well. | Define Activity Types |
| Configure Application Parameters |
The Archibus Administrator can set two application parameters that control the behavior of the Compliance application:
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Configuring Application Parameters for Compliance |
See Also
- Background Data - Facilities - An administrator or facilities manager enters geographic and location information, including equipment, equipment standards, and construction classification codes.
- Compliance Project Manager - Overview - Compliance Project Managers enter additional background data, including contacts, vendors, employees, and companies (the regulatory agencies with which you work).