Sustainability & Risk / Compliance / Getting Started

Incrementally Developing Data for Compliance

The Compliance application enables you to enter data for the regulations, compliance programs, and regulatory requirements that form the basis of your compliance activity. Once you have entered this basic information, you can use it to schedule and track events, which are the specific occurrences of a requirement that you can track to completion. You can then supplement this basic information by adding location information, documents, communications logs, notification templates and violations.

The application enables you to enter a great deal of information, and provides ways of simplifying this process. (See Best Practices for Developing Compliance Data.) However, you might want to get started incrementally, beginning with an inventory of your regulations, compliance programs, and requirements, and then developing the additional data to use more features as needed. The Compliance application is not intended to enforce any specific workflow; once you have developed information for regulations, compliance programs and contracts, and requirements and contract terms, you can add the additional features in any order that your organization wants to follow.

The following Getting Started topics describe how to get started using different features of the Compliance application. Use it as a starting point to assess the features you want to use. You can also refer to Background Data - Compliance for information to help you decide the background data you might want to develop.

First, develop this basic information. Depending on your needs, you may want to start with compliance programs and requirements, or with contracts and contract terms.

Task	Description	Help Topic
Develop your regulations, compliance programs, and requirements	Develop a basic inventory of your regulatory requirements.	Tracking Regulations, Compliance Programs and Requirements
Develop your compliance contracts	Since many tasks that need to be managed in order to comply with regulations are outsourced to contractors, compliance managers need a way to manage their contracts and ensure that the terms of the contract are being fulfilled. The contract manager can store the details of the contract in Archibus and use an inspection system to ensure that recorded work satisfies the contract terms. Rather than start with compliance programs and requirements, you may want to start with contracts and contract terms. The below features for notifications, documents, events, locations, violations, and so on are available to both compliance programs and contracts.	Contract Manager: Overview

With regulations, compliance programs, requirements, contracts, and contract terms developed, you can now add on more details. You can add this information incrementally in the order that best suits the needs of your organization.

Task	Description	Help Topic
Manage your compliance events	You can generate and track the events for contract terms and requirements for which you are entered as the Responsible Person.	Managing Your Compliance Events (Compliance Program Coordinator)
Schedule requirements	You can use the application to generate events from your requirements and contract terms using a recurring schedule.	Scheduling Recurring Compliance Requirements (Events)
Update events	Update event information, including event status, and add non-recurring (ad hoc) events as needed.	Managing Events (Recurring Compliance Requirements)
Link to Corrective Maintenance and Preventive Maintenance work	You can create multiple corrective work requests for events, and track the status for all corrective work history by requirement, contract term, or by event. You can also link requirements to preventive maintenance procedures to track programs and requirements that have overdue preventive maintenance work.	Linking Corrective Maintenance and Preventive Maintenance Work to Compliance
Manage notifications	f your compliance efforts involve multiple stakeholders, communication can be a critical factor. For this reason, the application enables you to automate email notifications by defining notification templates that can be flexibly assigned to compliance programs, requirements, contracts, contract terms, or events. S	Getting Started: Using Notification Templates
Use the Document Library	You can store documents with your regulations, compliance programs, requirements, contracts, contract terms, locations, and events using the Document Library feature. These documents help establish an audit trail that can be easily accessed when needed.	Tracking and Managing All Compliance Documentation in the Document Library
Add location information	You can store multiple locations to help you to manage your programs, requirements, contracts, and contract terms by location, enabling you to analyze where your compliance issues are occurring.	Track and Manage Compliance Locations
Add information for violations	Track violations, including their severity and cost, by regulation, compliance program, requirement, contract, or contract term.	Track Compliance Violations
Add communications logs	Communication logs provide another method of enhancing communication about compliance activity, and creating a detailed and complete audit trail of all compliance activities to help mitigate risk.	Track All Compliance-Related Communications (Communications Logs)
Verify field conditions	Verify that your site meets regulations and that contracted work has been properly executed	Inspection Surveys
Using all views	After supplementing your basic inventory of regulations, compliance programs, requirements, contracts, and contract terms with documents, communications logs, locations, and notification templates, you will be able to work with this data using any task.	Advanced Compliance