Building a Compliance Regulatory Registry

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Building a Compliance Regulatory Registry

  1. 1. Building a Compliance Regulatory Registry Brenda Armstrong Environmental Affairs Manager Environmental Health & Safety Office Yale University (203) 432- 3219 [email_address]
  2. 2. Recent Overview of Yale <ul><li>EHS office appointed a new director in winter 07. </li></ul><ul><li>Deputy Provost was interested in what regulatory requirements EHS is responsible for on a detailed level. </li></ul><ul><li>EHS staff comprised of 45 staff members </li></ul><ul><ul><li>Env Affairs </li></ul></ul><ul><ul><li>Rad Safety </li></ul></ul><ul><ul><li>Occ Health & Safety </li></ul></ul><ul><ul><li>Business & Support Section </li></ul></ul>
  3. 3. Our Goal <ul><li>Create one comprehensive system that tracks all compliance related on going projects or tasks. </li></ul><ul><li>Allow for automated notifications to all responsible parties </li></ul><ul><li>Track completion dates and one time projects </li></ul>
  4. 4. Typical University <ul><li>Departmental disconnect </li></ul><ul><li>Heavily regulated by OSHA, EPA,CT- DEP, NRC, local POTW, Public Health etc. </li></ul><ul><li>Everyone had their own system for keeping track of their “to do list” </li></ul><ul><li>Yale does not have a formal EMS </li></ul><ul><li>Permits, reports, sampling, notifications, etc. </li></ul>
  5. 5. 1 st Steps <ul><li>Simple spreadsheet </li></ul><ul><ul><li>Ask EHS section managers to start compiling lists for all the items they keep track of over time. </li></ul></ul><ul><ul><li>What permits, regulatory reports, samples, stack tests, registrations, renewals, etc. </li></ul></ul><ul><ul><li>The list grew as the months went on through this brain storming exercise to approximately 90 main tasks. </li></ul></ul>
  6. 6. Fields in the Spreadsheet <ul><li>Task name </li></ul><ul><li>Media type </li></ul><ul><li>Section responsible </li></ul><ul><li>Due Date </li></ul><ul><li>Frequency </li></ul><ul><li>How much lead time for notification? </li></ul><ul><li>Responsible person & their supervisor </li></ul><ul><li>Regulatory Agency </li></ul><ul><li>Regulatory Agency contact info </li></ul><ul><li>Regulatory Citation </li></ul>
  7. 7. Next Step- Simple Process <ul><li>Hired a programmer to put information into an Access database - $2K </li></ul><ul><li>Monthly business manager would then run reports by “responsible person” with a 3 month look ahead time line </li></ul>
  8. 8. Access Based Registry <ul><li>Working ok but improvements needed </li></ul><ul><ul><li>Need to be able to track completion dates </li></ul></ul><ul><ul><li>Would like to be able to include back up documents for each task for reference </li></ul></ul><ul><ul><li>More efficient notifications needed </li></ul></ul>
  9. 10. Next Step- EXPANSION <ul><li>Deputy Provost Office is pleased with EHS’s database but wants a centralized repository for compliance units that report to Provost </li></ul><ul><li>Want to include IACUC, IRB, Conflict of Interest, HIPPA units. </li></ul>
  10. 11. Request for Proposal Written <ul><li>Project Charter created </li></ul><ul><li>Official RFP sent out to bid </li></ul><ul><li>Expanded program will be accessible to each unit and by Office of Deputy Provost as needed with overall administration by Deputy Provost. </li></ul>
  11. 12. Key Deliverables of Single Database <ul><li>Enable automated notifications to inform responsible parties of upcoming tasks </li></ul><ul><li>Capture history of completed tasks, along with notes and document links </li></ul><ul><li>Enable standard and ad hoc reporting of tasks </li></ul>
  12. 13. Deliverables con’t <ul><li>Provide users with multiple views of tasks or by entire unit lists </li></ul><ul><li>Role based security access to certain tasks </li></ul><ul><li>Enable inter-departmental sharing of tasks that occur in conduct of university activities or operation of University facilities/equipment </li></ul>
  13. 14. Funding for a New EHS position <ul><li>Information Specialist </li></ul><ul><ul><li>Part of responsibilities in this area </li></ul></ul><ul><ul><li>Documentation manager for training and back up documents for regulatory tasks </li></ul></ul><ul><ul><li>Administrative oversight for Project Charter </li></ul></ul>
  14. 15. Benefits of System Conclusion <ul><li>Increased efficiency and productivity in EHS by eliminating current email reminders </li></ul><ul><li>Continued completion of expanding regulatory requirements by providing automated reminders to responsible parties </li></ul><ul><li>Development of a complete inventory of recurring regulatory events for certain University units </li></ul><ul><li>Maintenance of historical information and documents related to completed tasks </li></ul><ul><li>Timely reporting of info on tasks at unit level for Deputy Provost </li></ul><ul><li>Flexibility to meet changes in regulatory requirements and in University policies and procedures. </li></ul><ul><li>Robust and secure web based database </li></ul>

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