Sustainability & Risk / Compliance / Compliance Program Manager

Managing Compliance Requirements

For each Compliance Program, the Program Manager examines the regulation, and then creates and schedules program requirements for each action mandated by the regulation.

Requirements often occur on a recurring schedule; for these requirements, you enter the recurring schedule and the application uses that schedule to generate the requirement's events, the future occurrences of the requirement.

If the requirement does not follow a specific schedule, you can enter that event manually. See Managing Non-Recurring Events.

The Compliance Program Manager / Manage Compliance Requirements task enables you to comprehensively manage requirements. From this task, you can add and edit requirements, generate events for the requirement, manually add an event, and associate documents, locations, notifications, and communication logs for the requirement.

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

Tab	Task Description	How To...
Select Requirement	Locate and select a requirement to work with it on the other tabs	Use the Filter Console for Requirements Select Requirements.
Define Requirement	Add a new requirement, and, optionally, enter a recurring schedule for it so that you can generate events for it. Events are specific occurrences of the requirement. You can also edit a requirement from this tab. For example, you can add or change the Responsible Person (Compliance Program Coordinator), regulatory contact, vendor, the Date Scheduling Start, Date Scheduling End, the Requirement Priority, or the Compliance Level Code. After saving a requirement record, you can assign preventive maintenance procedures to the requirement. This creates work requests that are linked to the requirement, so that the requirement status is updated when the work request is updated. See Assigning Preventive Maintenance Procedures to Requirements.	Create New Requirements Generate Scheduled Events
Locations	After selecting a requirement, you can add the locations where the requirement is needed. This enables you to locate and report on events by their location, and, optionally, to generate separate events for each of the locations the event is associated with. Requirement locations are usually the most specific, as they describe the buildings, rooms, equipment, or employees that require some specific action or remediation to achieve compliance. You can specify the location for the requirement as precisely as needed. For example, for a requirement for boiler maintenance, you could specify the building, floor, room, or equipment code for the boiler. Requirement Locations are inherited by the requirement’s program for reporting and filtering purposes.	Add and Edit Compliance Locations for Regulations, Programs or Requirements
Events	Add a new event that does not follow a recurring schedule. Review and edit all events for a selected requirement, including both events that you generated using a recurring schedule, or those that you manually entered. You can edit the responsible person, vendor, regulatory contact, date schedule start or end, or date completion required. Export the events to a Word Docx file (by clicking DOCX), or to an Excel spreadsheet (by clicking XLS.)	Add and Edit Events for a Requirement
Documents	Associate documents, such as a PDF of a permit or license, with this requirement.	Add Documents for Compliance Records
Notification Templates	Associate a notification template with this requirement, so that the appropriate users receive reminders of critical events. This notification template will be assigned to all the requirement's events if you select Yes for the Activate Notifications? field when generating events. You can change the notification assignment for a particular event, if needed. When you assign a template to a requirement, it does not affect any existing events, it only affects any new events that are generated or manually created.	Add New Notification Templates for Programs and Requirements Assign or Unassign Notification Templates for Programs or Requirements
Communication Logs	Add communication logs for the selected requirement.	Add Communication Logs for Compliance Records
Work History	Review all past, current, and future preventive maintenance procedures, service requests, work requests, and work orders for the requirement.	Review Work History for Requirements
Questionnaires	Assign questionnaires to program requirements so that you can perform inspection surveys in the field to verify that items are in compliance with regulations.	Assign Questionnaires

Using the Filter Console for Requirements

Using the Filter console, you can locate requirements by selecting from a variety of criteria. For example, you can filter by specific requirement, by regulation, compliance program, requirement category or type, compliance level, the time frame that the requirement is active, or the person responsible for the requirement.

Note the following when setting restrictions using the following as criteria:

• Date From and Date To. When you enter the Date From and Date To in the Filter console, the restriction includes requirements that are active during any portion of the time frame. The Date Requirement Start and Date Requirement End define the active period.
• Compliance Level. When you enter the Compliance Level in the Filter, the filter restricts to show requirements having this compliance level entered for them. The match is done on the program's compliance level if the requirement’s compliance level is empty.
• Priority. Priority is a drop-down list with the selections: High, Medium, Low. These priorities match Requirement Priority or Compliance Priority using the following scale:
  • High matches priority values from 1-3.
  • Medium matches values from 4-6, and
  • Low matches values from 7-9.
• Vendor Code, Responsible Person, or Regulatory Contact. When you enter these values, the application includes requirements that have this vendor, responsible person, or regulatory contact associated with either the program or the requirement.
• Locations:When you select the Locations 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

  • 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 are applied to the filter to get the list of requirements that the location is associated with.

• Geographic Location Fields.In both edit forms and the Filter console, geographic locations are filtered by the values you select that are “higher up” in the hierarchy. For example, regions are filtered by selected country, states are filtered by selected region and/or country, building is filtered by selected property, site, city, state, region, and/or country, etc. When you select a location value, the values for locations that are higher up in the hierarchy for your selection are copied into the Filter. For example, if a building is selected, the application copies the building’s property, county (from property), site, city, state, region, and country to the form, if this data has been entered for the building. Making selections lower in the hierarchy first can reduce data entry.

Select Requirements

The Manage Compliance Requirements task uses a tabbed interface. When you open this task, you must first select a requirement to navigate to the other tabs from which you manage the requirement.

To select a requirement:

1. Use the Filter console to enter a restriction to facilitate locating the requirement you want to work with. You can filter by many fields, including regulation, program category and type, location information, compliance level code, compliance priority, the Date Start and Date End for the Requirement, the Requirement Status, and equipment or equipment standard (if this requirement is associated with equipment).
2. Click Show.

   The Select Compliance Requirement to Manage pane shows only the requirements that match your criteria.

3. Click Select in the row for the requirement to see its details. When you click Select, the view switches to the Define Requirements tab. From this tab, you can review or edit information for the requirement, or add a new one as needed.

See Also

Copying Regulations and Programs Including Child Records