Sustainability & Risk / Compliance / Compliance Program Manager

Managing Regulations and Initiatives

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.)

Using the Filter Console for Regulations

Selecting Regulations

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 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.

Using the Filter Console for Regulations

When using the Filter console to set a restriction from the Manage Regulations and Initiatives task, note the following:

Selecting Regulations or Initiatives

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:

  1. Select the Compliance Program Manager / Manage Regulations and Initiatives task.
  2. If needed, use the Filter console to enter a restriction to facilitate locating the regulation you want to work with. You can filter by many fields, including regulation, regulation category and type, regulation rank, location information, equipment or equipment standard. Select 'Include Child Regulations' to include in the restriction any regulations that are the child records to this regulation. See Using the Filter Console above.
  3. Click Show.

    The Select Regulations to Manage pane shows only the regulations that match your criteria.

  4. Click Select in the row for the regulation to see its details.

    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.

Define Regulations, Initiatives, and Standards

Follow this procedure to enter the formal regulations you must comply with, or your company's own internal initiatives or standards:

  1. Select the Compliance Program Manager / Manage Regulations and Initiatives task.
  2. In the Select Regulation to Manage pane, click Add New.

    The Define Regulation tab becomes active.

  3. Add the following required information:

    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.

  4. Enter the following additional information as needed:
  5. 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 / 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:

    • Click the Hierarchy icon next to the Regulations field, to view a drill-down list of regulations and their subregulations. You can select a regulation or subregulation for the restriction.
    • Select the include Child Regulations check box so that any child regulations for a selected regulation are also included in the restriction.
    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.).
  6. Click Save.

See Also

Copying Regulations and Programs Including Child Records

Deleting Regulations