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:

• Regulation. The Regulation field has two buttons: the Select Value button and the Hierarchy button. Use the Select Value button to select a regulation or a subregulation from a list that includes both. Use the Hierarchy button to select from a list of regulations that you can expand to show subregulations.

  Note: If you select "Egress" or "HAZMAT" for the Regulation field in the Filter, and then select one of these regulations, from the Define Regulation tab, you are not able to rename the regulation (the Regulation field is read-only), and you are not able to delete the regulation. The Egress and HAZMAT regulations are managed from the Emergency Preparedness application.

• Include Child Regulations. If you select this check box, then all subregulations for the Regulations selected in the Regulation field are also included in the restriction (as long as other restrictions you set, don't exclude them). For example, if A is the parent of B, and B is the parent of C, then selecting just regulation A also includes regulations B & C if the ' Include Child Regulations' check box is selected. However, if you select a location in the Filter that applies to Regulation A and B, but not to C , then Regulation C will not be included in the restriction. Also, note that the child regulations are not actually shown in the Regulation field in the Filter console, although they are included in the records shown in the grid.
• Legal References and Citation fields. Enter text that is found in the citation or legal references fields. The application will include regulations having this text anywhere in the citations or legal references entered for them.
• Location: When you select the Location 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 following occurs when you click Save Selected for the location information:

  This action copies all your selections to the Location field, comma-separated. The saved Location entries are applied to the filter to get the list of regulations that are associated with the location.

• Regulation Rank Select High, Medium, or Low for the ranking for this regulation. These levels correspond to the following entries for Regulation Rank:
  • High matches Regulation Rank values from 1-3.
  • Medium matches values from 4-6.
  • Low matches values from 7-9.

  You can export the regulations showing in the Select Regulations to Manage pane by clicking DOCX (to generate a Word document), or XLS (to export the data to Excel).

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:

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.).

5. Click Save.

See Also

Copying Regulations and Programs Including Child Records

Deleting Regulations