ELECTRONIC COMPLIANCE MANAGEMENT SOLUTIONS IN THE MODERN REGULATORY LANDSCAPE

Transcription

1 ELECTRONIC COMPLIANCE MANAGEMENT SOLUTIONS IN THE MODERN REGULATORY LANDSCAPE EWN ecms Tools ABSTRACT Some of the most time-consuming tasks for industry training managers and business owners are compliance documentation and records management. The EWN ecms Tools establish a comprehensive, cloud-based solution to house your most crucial documentation that can be easily shared with a partnering organization or readily available for compliance evidence. Angela Sellers, MS Education and Training Developer

2 Table of Contents Executive Summary... 2 Cycle of Paperwork... 2 Previously Available Solution Options... 3 EWN ecms Tools... 3 Search... 3 Summary... 4 Driving Records... 4 Insurance... 4 OSHA... 5 Plans, Policies, and Procedures... 5 Qualifications Matrix... 5 Substance Tests... 5 Substance Testing Pools... 6 Conclusion... 6 Works Cited... 6

3 Executive Summary Some of the most time-consuming tasks for industry training managers and business owners are compliance documentation and records management. In addition to the Pipeline Hazardous Materials and Safety Administration s (PHMSA) Operator Qualification regulatory mandates, there are numerous additional areas of compliance, each complete with their own documentation requirements, for operators and contractors alike. Cycle of Paperwork Aside from OQ Program records, operators and contractors are required to have OSHA compliance records, company-driving records, DOT Drug and Alcohol Testing compliance records, and minimum insurance requirements. Each set of compliance records have specific criteria ranges and compliance standards. 49 CFR and states that an operator must have an Operator Qualification Program and a method for communicating requirements and changes to those affected by the operator s OQ Program. The process of creating, retaining, and verifying notifications so that each affected entity remains in compliance at all times can be logistically challenging. OSHA mandates several different time-periods for completing and filing required forms in 29 CFR for job-related injuries. In addition to each form requiring completion at the time of an injury, an annual report may also be required, if requested, by OSHA. Once a company receives an OSHA request for an annual report, the company must supply the completed report within four (4) hours. Equally important, 49 CFR Subpart F defines driver qualification requirements. In addition to maintaining current driver qualification records for each driver, 49 CFR requires the operator to request driving records for up to the last 10 years. Likewise, 49 CFR 199 outlines Drug and Alcohol Testing requirements for all individuals working under the provisions of 49 CFR 192, 193, and 195. Various types of drug and alcohol testing must be performed and records maintained in a secure manner. Additionally, operators and contractors are required to have all of the necessary insurance policies required to conduct business in the United States and/or the state in which they are currently working. While all of the paperwork requirements can seem overwhelming and unrelated to what a company provides as a product or service, this is the reality of conducting business in the modern era. All of these components are just as important as the quality of your product or service provided to your customer base.

4 Previously Available Solution Options Until now, operators and contractors have had little option for collecting, processing, and storing all of the required records and data. One option is to utilize hard copies stored in a filing cabinet. Another option may be to create Excel spreadsheets in an effort to document and track compliance records, which still requires a physical copy of the compliance documentation to be stored in some manner. A more complex option may be to incorporate multiple online data storage services to track and share compliance information. Unfortunately, online data storage services have not been standardized and may not easily communicate or share information. A combination of these solutions may resolve the problem from a compliance standpoint. However, they can be cumbersome and time-consuming when attempting to locate necessary information required for day-to-day business functions. With any of these solutions, the information is still in a raw data format that requires additional analysis to determine which employees meet all of the minimum qualifications for a specific job site, a specific job title, or a specific task. EWN ecms Tools ENERGY worldnet, Inc. (EWN) has created a suite of ecms (Compliance Management System) Tools to assist operators and contractors with recording, storing, analyzing, and retrieving data in an efficient and effective manner. EWN s suite of ecms Tools track all attached documentation electronically in one system. The ecms Tools provide real-time information availability 24/7, dashboard snapshot reporting features, and attachment view options. Each ecms user will also be able to share information electronically between operators and contractors on a per documentation level using permission and authorization settings. As a total compliance management solution, EWN is proud to introduce nine ecms Tools under the Compliance Management tab of the E3 system, consisting of Search; Summary; Driving Records; Insurance; OSHA; Plans, Policies, and Procedures; Qualifications Matrix; Substance Tests; and Substance Testing Pools. A brief description of each option is listed below. Search The Search feature provides a dashboard with a default Company Connection setting of Show Connected Companies. At the default setting, the dashboard will display all connected companies and the shared status of each category. A greencircled check mark indicates a minimum requirement has been met. An orange triangle indicates the

5 requirement will be expiring soon and the red stop sign has not been met. indicates the minimum requirement The documentation icon indicates that data is available in the E3 system. Shared documentation has optional settings to allow other users to view and download the shared documentation on a per documentation basis. The banned symbol indicates that documentation has not been shared. In the Search feature, an E3 database search can be conducted by selecting All in the Company Connection box and then selecting Search. Each organization in the E3 system has the option to appear in the database search. All organizations who have chosen to be searchable will appear in the search results. Summary The Summary tab displays a compliance summary containing all of the same information as the Search tab but displays the information submitted for the ecms clients own company only. Driving Records The Driving Records tab allows storage and viewing of driving records for employees of any EWN client who has drivers or positions with driving responsibilities that are required to obtain, review, and maintain driving records in compliance with 49 CFR 391. According to 49 CFR F, there are nine requirements for employee driving records. The Driving Records Package feature allows all nine requirements to be compiled in a zip file ready for transmission. Insurance The Insurance tab provides a place to store and view insurance and EMR information. Documentation can be attached for each of the following defined insurance types: All Additional Insured Automobile Liability: Combined Single Limit (Each accident) Commercial General Liability: Products/Completed Operations Aggregate Covered Vehicles: Owned Employers Liability: Disease: Policy Limit Excess Automobile Liability: Per Occurrence Excess Employers Liability: Per Occurrence Excess Liability: Aggregate Excess Liability: Per Occurrence Excess Pollution Liability: Per Occurrence Excess Professional Liability: Per Claim Experience Modification Rate (EMR) General Liability: Per Occurrence

6 Waiver of Subrogation Worker s Compensation (Statutory) OSHA The OSHA tab allows creation, storage, and viewing of OSHA incident information. According to 29 CFR , authorized representatives are entitled to receive all requested OSHA documentation within four (4) business hours of a request. The OSHA tab allows for the creation, storage, retrieval, viewing, and printing of an OSHA Form 300 in a matter of minutes. Additionally, the IR, TRIR, and DART rates are automatically configured based upon the information that has been entered into the E3 system. According to 29 CFR , OSHA also has the ability to request an annual survey Form 300A. If a company receives an OSHA annual survey request, the Form 300A can be auto-generated based on all of the Form 300s that were entered during the stated time-period for that company. Plans, Policies, and Procedures The Plans, Policies, and Procedures tab is a cloud storage area to view and share uploaded documentation with other EWN users, such as OQ Plans, Job Site Assessments, or Master Service Agreements. In the Plan, Policies, and Procedures tab, settings are created at a documentation level. Therefore, an organization s OQ Plan can be shared with all employees and contractors while updated health insurance benefits would only be shared with designated internal employees. Qualifications Matrix The Qualification Matrix tab generates a list of qualified workers for selected tasks. The Qualification Matrix can be completed per job site or job title and includes the expiration date to indicate if an individual will be qualified throughout the length of a project. Operators and contractors can use this matrix to determine qualification needs and staffing requirements before a project begins minimizing qualification shortfalls during the project. Substance Tests The Substance Tests tab allows storage and viewing of drug and alcohol testing information for all employees of a company. It can be linked to the minimum requirements and has the ability

7 to upload the consortium report. Each type of uploaded employee record can be categorized into Alcohol Test, Drug Test, Prior Employment Test, or Return to Duty Test to comply with each DOT requirement. Substance Testing Pools Companies that do not use a consortium to test its employees may use the Substance Testing Pools tab. This tab allows each company to create and manage their own drug and alcohol testing pools. Conclusion Compliance documentation and records management no longer has to be a time-consuming task for training managers and business owners. The EWN ecms Tools establish a comprehensive, cloud-based solution to house your most crucial compliance documentation that can be easily shared with a partnering organization or readily available for compliance evidence. Works Cited "ecfr Code of Federal Regulations." ecfr Code of Federal Regulations. Web. 14 Sept pl "ecfr Code of Federal Regulations." ecfr Code of Federal Regulations. Web. 14 Sept _02.tpl