Objective

Compliance programs organize requirements , compliance levels , and responsibilities for regulations , initiatives , or standards . For this reason, having compliance program information in a central location is critical to tracking and managing your compliance efforts.

Compliance Program Managers need compliance program information to organize, prioritize and evaluate their compliance efforts, and to track completion of requirements.

Solution

The Compliance application provides several ways of adding information for regulations, compliance programs, and requirements. The quickest way is to use the Manage Compliance Drill-Down. Using this method, you do not add associated information such as locations, notification templates, documents, or communication logs, but you can add this information at a later time.

When you add information for regulations, compliance programs, and requirements, you select the priority for these items which helps you track and analyze these items by their importance to your organization and its mission, or by the impact that noncompliance would have on productivity or the bottom line.

Optionally, you can also add compliance levels for programs and requirements, which enables you to evaluate the degree of compliance a program or requirement has achieved. Although entering compliance levels is optional, it is a key piece of background data, as several analytical reports depend on having this data. Compliance level selections are numeric descriptions that enable the application to summarize this information across all programs, or for specific geographic locations. See About Compliance Levels .

Requirements can also include scheduling information and the person responsible for the program or requirement, information that enables you to track the requirement to completion.

Much of the information you enter is optional, enabling you to flexibly develop your data according to your tracking and reporting needs. You can also develop data incrementally, starting with a basic inventory of regulations, compliance programs, and initiatives from which you generate events, and then over time using more advanced features, such as notification templates. See Getting Started with Compliance: Overview.

Procedures

1. Define Compliance Levels : Optionally, the Business Process Owner for Compliance enters compliance levels, numeric descriptions of the degree of compliance that a program or requirement has achieved. Defining compliance levels is optional, but these levels are a key piece of compliance data that enables you to generate multiple management reports. See Defining Compliance Levels.
2. Enter regulation information: Using the Manage Compliance Drill-Down task, enter information for regulations, initiatives, or standards. See Step 1: Adding Regulations, Initiatives, or Standards.
3. Enter compliance programs : Enter information for compliance programs for the regulation you just entered. You can add a compliance level for the program if the Business Process Owner for Compliance defined them in Step 1. See Step 2 :Adding Compliance Programs.
4. Enter requirements : Enter information for the compliance program's requirements. You can enter the compliance level for the requirement if the Business Process Owner for compliance has defined these levels in Step 1. See Step 3: Adding Requirements for Compliance Programs .
5. Alternate Method : Alternately, you can use the following tasks to add regulations, compliance programs, and requirements:
   • Manage Regulations and Initiatives. Using this task you can also add and review locations, documents, and communication logs for the regulation for the regulations you add.
   • Manage Compliance Programs . Using this task, you can also add and review locations, documents, notification templates, and communication logs for the programs you add.
   • Manage Compliance Requirements . Using this task, you can also add and review locations, events, notification templates, documents, and communication logs for the requirements you add.
6. Review operational reports : View comprehensive information for the regulations, compliance programs, and requirements using the following operational reports:
   • Compliance Drill-Down
   • Regulations and Initiatives
   • Compliance Programs
   • Compliance Requirements
7. Review management reports : View management reports based on compliance level and priority if you have added this information for compliance programs and requirements. See Management Reports: Overview .