Sustainability & Risk / Compliance / Compliance Program Manager

Compliance Program Manager: Overview

The Compliance Program Manager manages all aspects of compliance programs, including the following:

• Tracking all applicable compliance regulations and their compliance programs and requirements, to facilitate achieving compliance with all regulatory obligations.

• Adding locations, documents, and communications logs for programs and requirements to create an accurate and complete audit trail of your compliance efforts.
• Adding email notification templates to programs and requirements to decrease the occurrence of missed or overdue events, and to ensure that all stakeholders are informed of critical dates that are upcoming or that have been missed or are overdue.
• Scheduling and assigning both ad hoc and recurring requirement actions (referred to as events), and tracking their progress
• Updating event status so that you can track missed and overdue events
• Tracking and managing license and permit renewals
• Receiving email notifications for all upcoming and overdue events.
• Tracking audits, violations, and fines.
• Managing the resources and process flows of a compliance management program.
• Generate operational and management reports to help you track and analyze your compliance programs.

Concepts

The following topics provide background information:

• Getting Started with Compliance
• Best Practices for Developing Compliance Data
• About Generated Events
• About Non-Recurring Events
• Events Example
• Linking Maintenance to Compliance

Typical Workflow

Note: While some tasks in the Compliance Program Manager process present only compliance program and requirement information, other tasks present both contract-related and program-related information. For details, see Reviewing Contracts and Compliance Programs Together.

1. Enter the regulations, standards, and initiatives that are the basis of your compliance programs. See Managing Regulations and Initiatives.
2. Enter the compliance programs for these regulations, standards, and initiatives. Compliance programs organize requirements, compliance levels, and the responsible persons for groups of requirements. See Managing Compliance Programs.
3. Enter the requirements for your compliance programs. These are the specific actions you need to perform to be in compliance. See Managing Compliance Requirements.
4. For requirements that occur on a recurring schedule, generate scheduled events. Using the recurring schedule you enter and information in the requirement record, each event has a Date Completion Required, Date Start and Date End to enable you to track and manage the event. See Defining and Generating Scheduled Events.
5. Manually add events for those requirements that do not occur on a predictable schedule (non-recurring events). See Adding and Editing Events for a Requirement.
6. Adjust the schedule for events as needed. See Rescheduling Compliance Events.
7. Generate operational and management reports to analyze your compliance efforts. See Operational Reports and Management Reports.

The following are optional steps for managing compliance events:

1. Add notification templates for your programs or requirements. These notifications ensure that all stakeholders are informed of critical dates. Your Business Process Owner might have defined universal templates that are sent for all programs and their requirements, or you can assign notification templates created by your Business Process Owner to specific programs and requirements as you see fit. You can also define new notification templates and assign them to programs, requirements, or events. See:
   • Assigning Notification Templates for Compliance
   • Bulk Assigning Notification Templates
   • Adding New Notification Templates for Compliance Programs and Requirements
2. Update event status.
   • Keeping Event Status current is critical to generating accurate reports that highlight events based on status, and to ensuring that notifications that are sent based on Event Status are not sent in error.
   • See Updating Status and Closing Events.
3. Manage missed and overdue events, the events that put you at the greatest risk for non-compliance. See Managing Missed and Overdue Events.

The following steps are also optional. You can add in these features according to your site's needs.

1. Track and manage all compliance documents.
2. Track and manage communications logs.
3. Track compliance costs.
4. Track compliance violations.
5. Define field surveys and questionnaires so that field staff can inspect the facility and verify that you are in compliance with regulations.
6. Tack and manage compliance locations.