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Presented by: Brenda Armstrong
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Building a Compliance Regulatory Registry
Brenda ArmstrongEnvironmental Affairs ManagerEnvironmental Health & Safety OfficeYale University(203) 432- [email protected]
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
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
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.
1st 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.
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
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
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
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.
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.
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
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
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
Benefits of SystemConclusion
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