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Regulatory Compliance - It's the Law!

Posted on Fri, Mar 11, 2011

An organization can have numerous locations that cross county, state, and/or country borders. Despite operating within the same industry, each site may need to comply with specific applicable local, state, and/or federal regulatory mandates.

Organizations must comply with an ever increasing number of regulations. For example, one specific industrial facility in Louisiana has to meet as many as 700 individual requirements. Non-compliance can cost organizations thousands of dollars, yet documenting and managing these mandates within day to day operations can be a daunting task. 

The implementation of a tracking management system that can eliminate redundancies across converging compliance specifications is extremely beneficial for organizations that have multiple applicable regulatory requirements.

A tracking system should itemize applicable federal, state and local regulations and include categorical information that satisfies that regulation.  A tracking system should contain the following components, at a minimum:

  • Operational category: Categories can range from air quality and hazardous materials, to construction safety and general safety and health. Depending on the detail required by the regulations, further breakouts by subcategories may also be required.
  • Applicable Regulation Level:  Regulations should be further broken down to Federal, state or local regulation categories. 
  • Last update: Date that each regulation was last updated.
    Compliance Task:  Tasks that needs to be completed for compliance.
  • Compliance Feedback:  Applicable notes.
  • Industry Standard:  Industry standards or best practices that apply to the specific  regulatory requirement
  • Cross reference: Itemize list of additional regulations that may be applicable to the information provided.
  • Facility Compliance responsibility: Person(s) responsible to maintain compliance for each regulatory requirement.
  • Action Item Reporting: Provides a list of outstanding and completed action items, along with due dates and persons assigned. Reports should have filters to customize queries as required by the users. 

The results of an effective compliance tracking system is an efficient and integrated program that optimizes the efforts of all stakeholders and allows for optimum compliance.

For tips and best practices on designing a crisis management program, download Best Practices for Crisis Management.

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Tags: USCG, DOT, CFATS, Emergency Preparedness, Crisis Management, SPCC, EPA, Regulatory Compliance, Emergency Management Program