Objective

To assess and mitigate risk and to determine which types of violations are the most costly compliance problems. Compliance Program Managers need to track compliance violations by regulation, compliance program, requirement, or location.

Solution

The Compliance application enables you to define violation types so that you can evaluate violations by type. You can add information for a violation, including fines, penalties, dates, whether the violation is open or closed, and location information. If you associate a location with the violation, you are able to view the violation on the Compliance Violations Map. You can also generate the Compliance Violations report. This report enables you to enter filter criteria to locate any violation or group of violations matching the criteria you enter.

You can associate a document with the violation, such as a document that shows the citation you received from the regulatory agency, or a receipt for payment of the fine.

Procedure

1. The Business Process Owner for Compliance defines violation types. Defining violation types enables you locate and report on violations by their type. See Defining Violation Types .
2. The Compliance Program Manager records violations received and reported. See Managing Violations.
3. View the Operational report - Compliance Violations. This report enables you to view violations for programs, requirements, locations.
4. View the following Management reports -
   • Compliance Violation Map . If you are adding location information for your violations, this report enables you to visually assess violation status world-wide, and to drill down to review details.
   • Compliance Violations Count: Enables you to analyze which regulations, programs, and locations have the most violations.
   • Compliance Violations Cost Summary: This report includes horizontal stacked bar charts comparing total violation costs by Compliance Priority , Regulation Rank , Regulation , Location, and Program , stacked by Violation Severity.