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Building a Compliance Regulatory Registry

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Presented by: Brenda Armstrong

Presented by: Brenda Armstrong

Published in: Health & Medicine, Business

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