Archibus Compliance application V25.3

Summary


Organisations around the world are subject to a vast array of local, regional, national, and international laws, regulations, and standards pertaining to their properties and facilities. Organisations might also have internal programs and policies that they need to manage. Tracking these requirements is a complex task given a large number of requirements, the critical need to complete these requirements on schedule, and the potentially large fines and penalties for noncompliance. Moreover, many of the items that you must keep in compliance are managed and maintained by outside providers who are specialised in this area and who you contract to do this work.

 

Using the Archibus Compliance application, you can organise your compliance information by regulation, program, and requirements, enabling you to:

 

  • Reduce the incidence of overdue events (events that do not start on time), and missed events (events that do not complete on time)
  • Reduce violations and their associated costs by ensuring critical due dates are not missed
  • Maintain a comprehensive Compliance Document Library that you customise into folders for quick and easy retrieval
  • Provide an audit trail by enabling you to easily store and retrieve requirements details, including documents, communications logs, and location information
  • Track and manage your compliance programs by providing multiple operational and management reports, including charts, and EIS reports that show your compliance programs on a map.
  • Perform field inspections to verify that items are in compliance with all regulations and that outsourced work has been completed according to contract terms.
  • Integrate your compliance programs into top-level project planning, management, and coordination
 

Compliance Program Managers use the application to manage all aspects of their compliance programs, while Compliance manage programs and requirements that are assigned to them.

 

If you are using the Archibus Projects application, the Compliance Project Manager can create compliance projects that also appear in the Projects application. From Projects, you can manage all aspects of the project to do top-level planning across multiple compliance programs.

 

 

Compliance Management General


The Compliance application provides a comprehensive solution to the task of monitoring your regulatory activity. The application enables you to track your regulationscompliance programs, and requirements for both regulatory requirements and internal initiatives. Contracts for outsourced work that is required to meet compliance regulations can also be modeled as regulations, compliance programs (contracts), and requirements (contract terms). Thus, you can manage both the compliance programs as well as contracted work to meet these requirements using the Compliance features. You can model all contracts for outsourced work: those that are tied to regulations, and those that are not.

 

Once you have developed this basic inventory of compliance programs and requirements (including contracts and contract terms), you can implement additional features, such as attaching documents, adding communications logs, defining notification templates to notify stakeholders at key points in the compliance process. This repository of information can be used to establish an audit trail when it is needed and helps you to evaluate which requirements and locations put the organisation most at risk for noncompliance. These features are optional, so after developing the basic requirements and contract terms, you can add data incrementally. The Compliance application is not intended to enforce any specific workflow; once you have developed information for regulations, compliance programs and contracts, and requirements and contract terms, you can add the additional features in any order that your organisation wants to follow.

 

For both contract terms and requirements, you can inspect the various areas of your facility to verify that work has been properly completed and that you follow regulations. You first develop a series of questionnaires that field inspectors must answer during the inspection. Next, field auditors periodically visit the areas and respond to the questionnaires using either Web Central running on a tablet or laptop or the Archibus Compliance Surveys mobile app.

 

Concepts

General:

 

Events:

 

Surveys:

 

In Archibus WEB Central 25.3 in line with Archibus quarterly release Extended Questionnaires have been added to the Compliance applications. Whilst questionnaires were already available within compliance this additional functionality leverages more detailed questionnaires allowing for the following.

 

a)     Flexible Questions

b)    Single and Multiple Answers

c)     Link to Problem Types

d)    Linked to PM Procedures

e)     Stored Answers for Detailed Analytical Analysis

 

A key aspect of this is Compliance Field Surveys which will be the focus of this Blog.

 

Compliance Field Surveys


Overview:

In addition to tracking compliance requirements and contract terms, it is important to verify that your site implements the requirements and contracts as stated. To verify that requirements and contracts are being executed as specified, field personnel can periodically visit rooms and equipment in your site and report on their condition by responding to a series of questions.

 

For example, for a compliance requirement in a healthcare setting you might want to do an inspection for Environment of Care and inspect such items as storage of needles, syringes and drugs; accessibility of exits and fire extinguishers; fire alarm operation; condition of code carts, and so on.

 

For contract terms, you can inspect that the work outsourced to the contractor was done properly, meets the terms of the contract, and keeps your organisation within compliance with regulations. Field surveys provide insight into when and how the work was done. This insight can be important when it comes time to renew the contract or provide feedback to the vendor.

 

You create inspection surveys using the Compliance application's extended questionnaire feature to develop a list of questions that the field personnel should answer when inspecting an area. The extended questionnaires can include a variety of response options, such as multiple-choice, yes/no, free-form text, attached photos or documents, counts, look-ups, and measurements. They can also provide follow-up questions and actions based on the initial response.

 

Field personnel conducts the inspection surveys using the Compliance Survey mobile app, or by using Web Central on a laptop and accessing the survey on the Questionnaire tab of the "Manage All Compliance Events" task of the Contract Manager and Compliance Program Manager processes. Field personnel is assigned the inspection surveys through inspection events that are associated with the contract term or program requirement and are assigned to the field inspector. See Assigning Questionnaires to Field Inspectors.

 

Extended Questionnaire System

Maintenance checklists use the underlying extended questionnaire technology to hold questions and user responses. Review the Concept: Questionnaire Tables topic for an understanding of how the extended questionnaire system stores questions and responses.

 

The extended questionnaire technology is also used by the Compliance application's survey features. For users defining questionnaires, Archibus provides two views:

 

  • Define Maintenance Checklists (ab-pm-checklist.axvw)
  • Define Compliance Questionnaires (ab-comp-checklist.axvw)
 

The two views operate very similarly, but there are some differences. For features that operate the same in both views, the online help provides one topic. In this case, the topic uses the generic "questionnaire" terminology rather than "checklist" or "compliance survey." For features that do not share the same user interface, the online help provides separate topics. Consult the Navigator paths at the top of a topic to see if the topic applies to both Compliance and Maintenance.

 

General Procedure

Optional: The survey designer may want to review the Concept: Questionnaire Tables topic for an understanding of how the system stores questions and responses.


1. Use the following tasks to create inspection surveys that field auditors can use to verify field conditions.

 
2. Assign questionnaires to a compliance requirement or contract term using:
    • Contract Manager / Define Compliance Questionnaires / Assign button
    • Compliance Program Manager / Define Compliance Questionnaires / Assign button


3. Define and generate events for compliance requirements and contract terms for which you have assigned questionnaires. Questionnaires are assigned to staff through staff's assignments to events. For information, see Assigning Questionnaires to Field Inspectors. 


4. For the events assigned to them, field staff go to the specified location, inspect it, and record the results in the questionnaires. The questionnaires appear in their queue based on events that are assigned to them.

 


5. As Web Central and mobile users are working on the survey, they can partially complete it and later return to it if necessary. The event status remains in its current state until they complete it (step 6).

 

6. When through, inspectors complete the survey, which sets the Event Status to Completed.

    • Mobile users tap Complete.
    • Web Central users select Submit.

7. Mobile users sync to upload the survey responses to the database.
8. If further changes to the survey responses are required once the Event Status is set to Completed, a Web Central user with proper permissions can reset the Event Status to In Process to reopen the survey using the Manage All Compliance Events task.
9. Contract managers use the Compliance / Management Reports / Review Survey Results Summary by Requirement task to review completed results that were uploaded from mobile or entered on a laptop.

 

There are two available options to perform a survey either using a laptop or tablet to perform the survey connected to WEB Central or using the mobile application on a tablet or Smartphone.

 

Completing a Questionnaire in Web Central


While many users will conduct inspection surveys using the Compliance Surveys mobile app, it is possible to conduct inspection surveys using Web Central. If your field personnel run Web Central on a tablet or laptop, they can travel throughout the site and record their observations using the Complete Questionnaire form, shown below.

 

 

This form is available from these views:

 

The tasks in the Compliance Program Manager process show all events, whereas the tasks in the Compliance Program Coordinator process show only those events assigned to the current user.

 

Procedure

1. In the above views, select a compliance item (contract term or compliance requirement) from the Select Compliance Item tree on the left.
2. In the Select Compliance Event to Manage pane, select an event assigned to the compliance item selected in step 1.
3. Note the location, if available. (When you load the questionnaire, it does not list the location, so checking the location now will instruct you on the field location to which you should travel to perform the field inspection.)

4. If a questionnaire has been assigned to the selected event, the Questionnaire tab becomes active.

5. Move to the Questionnaire tab, which displays the Complete Questionnaire form.
6. If the compliance event is not yet closed, then the Complete Questionnaire form is editable. For the specified location, you can observe the conditions and:

 

    • answer the questions on the Complete Questionnaire form.
    • edit responses to a partially completed questionnaire and continue answering the survey's questions


7. If the compliance event status is Completed, Completed-Verified, Closed, Cancelled, Stopped, or Rejected, then the Complete Questionnaire form is read-only; you can review the results that users have entered.

8. If a manager needs to edit a questionnaire that is not editable, they can reset the event status to In Progress and edit the questionnaire. See below note.

    • If through with this session but you have not finished the survey and want to return to it later, choose Save. The system updates the quest answer ext table with the questionnaire responses and retains the current event status. You can return to the survey later.

 

Compliance Surveys Mobile App


Overview:

With the Archibus Compliance application, you document the regulations, requirement programs, and contracts that are necessary to ensure compliance with all types of regulations. Once you document these requirements, field personnel can inspect the facility to verify that it follows the requirements you have defined using Web Central. For information on documenting your sites compliance programs and contracts, see Sustainability & Risk / Compliance / Overview.

As an aspect of compliance management, field inspectors can use the Compliance Surveys mobile app to:

 

  • inspect that conditions on site meet regulations. For example, for a compliance requirement in a healthcare setting you might want to do an Environment of Care inspection and inspect such items as the storage of needles, syringes and drugs; accessibility of exits and fire extinguishers; fire alarm operation; condition of code carts, and so on.
  • inspect that the work outsourced to a contractor was done properly, meets the terms of the contract, and keeps your organisation within compliance of regulations.
 

When the mobile user signs in and syncs, they receive a list of inspections (action items) to address. This list is from the compliance events assigned to the user; these events, in turn, are associated with either a contract term or program requirement. The location or equipment item to visit is associated with the contract term or program requirement.

 

Note: If you do not see an expected event in your queue, perhaps it is because the event is not yet due. The application prevents non-compliance in the form of performing events early (for example, you cannot perform mandated, periodic inspections or maintenance before it is scheduled). For example, if you manually edit an event and enter a date earlier than the specified date range, the event will not show in the queue when using the Compliance mobile app. If a manager wants to allow the earlier performance of a task, the correct approach is to widen the gap between scheduled start and date due.

 

The questions that appear on the mobile app are based on the extended questionnaire that the compliance manager developed and associated with the contract term or program requirement, which, in turn, is associated with the event.

 

 

Clicking on a survey task (action item) presents the questionnaire for the inspector to complete.

 

 

Basic Procedure

1. Launch the Compliance Surveys app.
2. Tap on Sync icon to initiate the app synchronisation to Web Central. There are two situations:
  • If there aren't any downloaded survey tasks assigned to the mobile surveyor, the app prompts you to sync and then downloads survey events (action items) assigned to you.
  • If there are downloaded survey tasks assigned to you, the app displays them. You can optionally choose to sync the app to check for any new survey tasks.
  • The action items that are downloaded:
    • have an Activity Type of COMPLIANCE - EVENT.
    • have questionnaires assigned to them; that is to say, each downloaded action item is assigned to a compliance requirement and the requirement has a questionnaire assigned to it.
    • are assigned to a questionnaire that is active
    • have an action item status is not Rejected, Completed, Closed, or Stopped
    • are assigned to the user
    • have valid compliance locations: each refers to a site, a building, room, or employee,
3. Reviews the task list, using the color-coded status to prioritise them. For information on the statuses, see Compliance / Compliance Program Manager / Managing Compliance Events / Manage All Events. The statuses are:
  • Red - missed events
  • Orange - overdue events
  • Blue - In Progress events
  • Green - Completed events

4. If necessary, use these tools to access information about each survey event:


 

5.If necessary, search for events, filter the list of events, and sort the order that events are displayed. For example, you might want to filter the list to surveys pertaining to a specific regulation. See Filtering, Searching, and Sorting.


6. Tap on an event, and the questionnaire appears.


7. Respond to each question one by one. Note the following behaviours:

    • Questions that are marked with a red asterisk must be answered. If you attempt to complete the survey (step 9) and these questions are not completed, the app will inform you that you must complete the questions.
    • Certain responses may trigger the app to display follow-up questions or to run actions, such as generating a service request or updating the Compliance Level. For example, the app might:
      • display a free-form text field so that you can elaborate on an answer.
      • offer a document option so that you can upload a photo.
      • automatically update the Compliance Level
      • automatically generate a service request

8. If you do not finish the questionnaire in one session, you can return to it and complete it later. For example, suppose you work through 25% of the questionnaire but then need to move to another event. You can use the Back button to return to the list of events, and the event status will remain in its current state.
    • When you later return to the survey (either in this session, or if you log out and then log in again), you will see your completed responses, which you can edit.
    • If you sync, the responses will be uploaded, but you can still edit them when you return to the survey.
  • If you un-register the device, you will lose all the data.
 
9. When through completing the questionnaire, tap the Complete button. The app closes the questionnaire and returns you to the Events screen, where you will see that the event now has a Completed status and displays in green.
    • If you have not answered all required questions, the app instructs you to finish the required questions before completing. Return to the survey to answer the remaining questions, and then tap Complete when through.
    • If you have answered all required questions and have some incomplete non-required questions, you can select Complete.
      • When you sync, the partially completed questionnaire will be uploaded. The remaining questions can be answered in Web Central if the Web Central user with appropriate permissions changes the event status back to In Process.
      • You can choose Complete now, but know that you can still edit the questionnaire if you have not yet synced, as discussed in the below section
10. When through, sync the mobile app by tapping on the Sync icon. Syncing does the following:
    • uploads to Web Central all survey tasks, both completed and partially completed ones, regardless of event status.
    • displays a notification message and highlights any survey tasks and questionnaires with problems.
    • downloads new survey tasks for the inspector, as well as updates to the existing survey tasks assigned to the inspector.
    • on the mobile app, removes the action items with a status "Completed" (activity log status = 'COMPLETED') from the list of survey tasks.


Changing the Responses
The inspector may want to change the response to a question, either after they have completed the survey or while they are still working on it.


If the inspector has already completed the survey and has not yet synced, the event will appear as Completed (green) in the event list. Tap the event, and the app opens the questionnaire with the responses so that the inspector can change them as needed. When the inspector completes the corrections, they tap Complete again to reset the status to Completed.


If the inspector has already synced, the survey will not appear on the app. In this case, the inspector can make further changes in Web Central. Or, as another option, the Survey Manager can use Web Central to change the status of the compliance event and thus the inspector can get it back on the mobile.



To change responses:

1. Select the check mark icon next to the question for which you want to change the answer.
    • You can select multiple questions to work with at once by selecting the check marks for multiple questions. For example, in the above image questions 2 and 3 are marked for to be reset.
    • To select all questions, choose the check mark at the top of the list, next to the search box.

2. Click the Reset icon (the button that has the "x" inside a circle, located at the top of the app).
3. The app clears your response.
4. Enter a new response.
5. If you had previously set the survey as Completed and then reopened it to change the responses, you must tap Complete again to return the survey to Completed status


Re-assigning Survey Work

Suppose an inspector (Inspector A) takes a leave from the survey work and will not immediately be addressing it. If an inspector knows that they will not be able to complete assigned surveys, they should sync before going on leave so that the app can submit to Web Central the latest findings, including responses for questionnaires that are not yet set to Completed.

Next, the Web Central Survey Manager can re-assign the compliance events (survey tasks) to a different inspector (Inspector B) using the Compliance / Compliance Program Manager / Manage All Compliance Events task. When the Inspector B syncs the app, they will receive the newly assigned survey tasks. When Inspector A syncs their app when coming back from the leave, any survey tasks that have been re-assigned will not appear in their app session.

 

Or, if Inspector A has permanently left the company, the IT staff can reset the phone. Resetting the phone or re-registering the app without prior synchronisation will remove any finding/ responses to questionnaires and survey tasks data, and that data will not be submitted to Web Central.

 

If Inspector A does not sync before going on leave, the situation needs to be resolved by the organisation's internal policies to avoid data inconsistency. For example, the Web Central Survey Manager might ask Inspector A to clear out the data in the Archibus app before resuming work.

 

Following on from the blog and as a part of the return to work safely Webinar series we have been running will be publishing the next two Webinar topics and dates in December’s Mass Media covering compliance in more detail.

 

If you would like any more information regarding this blogs topic, please don't hesitate in contacting either myself or the MASS Technical Services Team. We are available on 0118 977 8560 or email us at info@mass-plc.com.

Martin Matt 

 

 

 




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