Objective

Compliance Program Managers need to track a vast array of local, state, regional, and federal laws and regulations, pertaining to their properties, facilities, and operations. Regulations may range from simple permit renewals to far-reaching and complex requirements concerning toxic chemical release prevention and response measures. Additionally, Compliance Program Managers might need to track requirements for initiatives or standards that their organization has chosen to adhere to, and that can be critical to their organization's mission. Compliance Program Managers need this information in a centralized location that enables them to track requirements as they become due and to easily retrieve specific information when it is needed, such as when regulatory contacts request it.

The Compliance Program Manager seeks to reduce overall liability by documenting and tracking all applicable laws, regulations, initiatives, policies, and programs; prioritizing these; and assigning responsibility for their fulfillment. This includes the following tasks:

• Create, track, and manage compliance programs with their associated regulations and requirements.
• Schedule and assign events, specific scheduled occurrences of a requirement. Events can be recurring or non-recurring.
• Track compliance programs and requirements by location to analyze where problems are occurring.
• Track the progress and responsible person for programs and events, and update event status. Having this information facilitates follow-up when events are off-schedule, and identification of missed and overdue events, the events that put you at the greatest risk of noncompliance.
• Manage notifications to stakeholders when critical dates and event statuses occur, such as a reminder when an event's start date is approaching, or a warning when an event has not started on schedule.
• Track violations and fines to evaluate the cost of noncompliance.
• Document communication about compliance activity to facilitate communication and to establish an audit trail if needed.

Solution

The Archibus Compliance application provides an automated and centralized solution to the details of managing compliance programs. Once Compliance Program Managers have entered information for compliance programs and their associated regulations and requirements into the system, they can generate scheduled events, the specific occurrences of a requirement. By adding location information, they can track, manage, and analyze programs, requirements, and events by location. The application includes map and summary reports to facilitate this analysis. Having requirements scheduled as events enables Compliance Program Managers to track requirements to their completion, and to set up automatic notifications to stakeholders based on event status or schedule dates. By updating event status, Compliance Program Managers can identify missed and overdue events, using tasks that highlight these events.

For details, see:

Objective: Compliance Program Managers Tracking Regulations and Requirements by Program

Objective: Compliance Program Managers Tracking and Analyzing Compliance Programs and Requirements by Location

Objective: Compliance Program Managers Notifying Stakeholders When Critical Dates or Event Statuses Occur

Objective: Compliance Program Managers Managing Compliance Documentation

Objective: Compliance Program Managers Evaluating the Cost of Noncompliance

Objective: Compliance Program Managers and Program Coordinators Documenting Communications