Rules and requirement citations can be linked to an online full-text elucidation provided by a citation site (i.e., content provider), such as CyberRegs, allowing users to view the most recent citation version. CyberRegs is assumed to be the content provider for the instructions below.
You need to be licensed with CyberRegs to activate the Citation Linking and Notification functionality and access the full-text regulations using Essential Compliance Manager software. Contact your Account Executive for more information.
The Citation Linking functionality can be used to link previously-saved or manually-entered rules and requirement citations. An automated Bulk Import feature is available to upload federal, state, international, or user-specific (private) rules and requirement citations. A Notification Service function has been included to exchange information with CyberRegs about the requirement citations in your Essential database. You can send a citation list on demand or at a scheduled frequency. CyberRegs evaluates the citations in your list to determine if there are updates and notifies the Entity Compliance Owner of the changes, including new and deleted regulations. Task assignments associated with the updates are also identified to determine if changes are needed.
Important: Each user who needs access to any Citation
Linking functionality is required to have CyberRegs authorization.
Refer to CyberRegs
User Management for additional information.
For instruction on citation linking and notification, click the following links or use the scroll bar to scan the page.
|
Use the Citation Linking form to automatically or manually link the rules and requirement citations in your Essential database to matching rules/requirement citations in CyberRegs. When the Citation Linking form is opened, the number of rules and requirement citations that need to be linked is provided above the Manual/Automatic options:
The Automatic option automatically links all matched rules/requirement citations. A summary email is generated when the linking process is complete. If there are unmatched rules/requirement citations, the Manual option can be used to load the records and resolve discrepancies.
The Manual
option allows you to review matched rules/requirement citations, select
one or more for linking, and initiate the linking process by clicking
the Link Selected button.
Attempts to match rules/requirement citations are performed in batches
of 500 rules and 500 requirement citations. When there are multiple
batches, the Link Selected &
Next button is enabled to initiate the linking process for
the current batch and display the next batch for selection. Any records
that were not selected in previous batches can be viewed again by
clicking the Manual button
to reload the data.
The Manual option also provides a list of any unmatched rules/requirement
citations in the No Link Found
subsection. The rule/requirement citation name and a message detailing
the matching issue are displayed for each record. Access the Rules and/or Requirement
Citations form to resolve discrepancies. Refer to Link
Using the Rules and Requirement Citation forms for additional
information.
Each time the linking process is initiated, a separate Citation Linking job is created and an entry is added to the Job Log. The start and finish date/time, the name of the job, the run status, the machine name, and a description of any run errors are provided for each log entry. Jobs are processed according to a pre-configured priority in a managed, queue-based environment to minimize system contention. Use the Job Log to determine your job's position among all the jobs scheduled to run and to determine the current/final run status. When multiple pages of log records exist, the Next/Previous navigation links are available to page through the list. Ascending/descending column sorting is also available; click a column heading to sort by the values in the column. The AutoRefresh option allows you to switch between a working mode and the Job Log refresh mode. In the refresh mode, the log is automatically updated every 10 seconds. It is possible to use the paging and sorting options in the refresh mode; however, when the Job Log is refreshed and there are new entries, all sorted results could be lost. The list of log entries will be reset to display the new ones at the top of the list. By switching to the working mode, you can continue working without interruption. Select the AutoRefresh check box to activate the refresh mode and clear the check box to switch to a working mode. The Refresh link can be used at any time to update the log. For notification purposes, a Loading... message appears when the Job Log is being refreshed.
To link
rules/requirement citations using the Citation Link utilityClick Tools
> Citation Linking > Citation Link Utility in the Navigation Tree.
The Citation Linking form is
displayed showing the number of rules and requirement citations without
links.
Use the following guidelines to select a linking option:
Click Automatic to display the Automatically Link Rule/Requirement Citations section. Click the Automatically Link All Rules/Requirement Citations button to initiate the linking process. A summary email is generated when the linking process is complete. If there are unmatched rules/requirement citations, use the Manual option to load the records and resolve discrepancies. Otherwise, no further action is necessary.
Click Manual to display the Manually Link Rule/Requirement Citations section. The number of matched and unmatched records is displayed in parenthesis next to the Link Found and No Link Found subsection titles. Continue to step 3.
The linking process may take some time to complete based on the number of records that need to be matched. Refer to the Job Log for status information.
Expand the Link Found section and review the rules/requirement citations listed.
Select each rule/requirement citation
to be linked by clicking the check box adjacent to the record.
The Select All/Select None
options are available to help with the selection process.
Click Link
Selected to initiate the link process or click Link
Selected & Next to initiate the link process and display
the next batch of rules/requirement citations for selection.
If there is just a single batch of records or no additional batches
to review, the Link Selected &
Next button is disabled. Any records that were not selected
in previous batches can be viewed again by clicking the Manual
button to reload the data.
Repeat steps 4 and 5 until all records have been reviewed and/or linked.
Review any rules/requirement citations with no CyberReg match by expanding the No Link Found section and reviewing the Message field.
Access the Rules
and/or Requirement Citations
form to resolve discrepancies.
On either form, you can select the Link
with Provider check box and click Link
Rule to initiate the linking process. Refer to Link
Using the Rules and Requirement Citation forms for additional
information.
On the Rules form, link to the online rule level data provided by CyberRegs. Rule level data is typically the regulation root level or document level. Use the Requirement Citations form to establish and link the requirement citations for a rule. Link to the online full-text regulation of the requirement provided by CyberRegs at the section level or below the section level (down to the paragraph level). For example, for Regulation 40 CFR 60 Subpart O, you could establish 60.154(b)(1), 60.154(b)(2), and 60.154(b)(3) as requirement citations and link to the matching levels in CyberRegs.
To link rules
Note:
The procedure below describes the minimum entries required to set
up a rule and link it to CyberRegs. Refer to Regulations
and Policies for additional information about establishing rules.
Click Data
Entry > Rule Information > Rules in the Navigation
Tree.
The Rules list appears.
Click the New button to open the Rules form.
Enter the Rule identifier, such as the title, and a Promulgation Date. The Calendar button is available to select the date.
Select the Link
with Provider check box and click the Link
Rule button to link with CyberRegs.
A verification message is displayed when the link has successfully
completed. If a matching record is not located, the option to manually
set up the link is provided.
Click View Rule to verify the connection.
Click the Save button on the Rules form.
To link requirement citations
Tip: When accessing the Requirement
Citations form from the Requirement
Citation Information form, begin with step 3.
Click Data
Entry > Rule Information > Requirement Citations in the
Navigation Tree.
The Requirement Citations list
appears.
Click the New
button.
The Requirement Citations form
is displayed.
Select a Rule
from the list.
If the appropriate rule is not listed, click the Ellipsis
button and add it.
Enter the Requirement Citation identifier and select the Link with Provider check box.
Click the Link
Rule button to link with CyberRegs.
A verification message is displayed when the link has successfully
completed. If a matching record is not located, the option to manually
set up the link is provided.
Click View Rule to verify the connection.
Click the Save button on the Requirement Citations form.
For rules, a viewing option is available in the header section on the Rules form. For requirement citations, viewing options are available from the Requirement Citation form, the Requirement Citation Information form, the Process Unit Compliance Scenarios form, and the Facility Compliance Scenarios form. The Requirements section of the Rules form includes access to the Requirement Citation Information form providing another option for viewing the full text of a citation.
Use one of the following paths in the Navigation Tree to view full-text regulations from CyberRegs:
Click Data Entry > Rule Information > Rules. Click the View Online Record link in the header section to view the rule. For citations, click the Edit button adjacent to a citation line item in the Requirements section to open the Requirement Citation Information form and click View.
Click Data Entry > Rule Information > Requirement Citations. Click the View Online Record link.
Click Data Entry > Rule Information > Requirement Citation Information. Click the View button.
Click Data Entry > Process Unit Compliance > Process Unit Compliance Scenario. Click the Citation link in the Requirements section. Or, click the Status link and click the View Requirement Text link.
Click Data Entry > Facility Type Compliance > Facility Type Compliance Scenario. Click the Citation link in the Requirements section. Or, click the Status link and click the View Requirement Text link.
After clicking the appropriate link/button, the CyberRegs site is displayed with the rule/citation text. Close the window to return to the application. An error notification message is displayed if the citation host is not available.
Tip: You can copy and paste text from the regulation information
displayed to other text fields in the application (e.g., the Requirement
Text section of the Requirement
Citation Information form) or other documents such as Microsoft
Word or Excel.
The Citation Bulk Import feature can be used to initially create and populate rules and requirement citations and periodically update requirement citations. Bulk import federal, state, and international rules and requirement citations into your Essential database from CyberRegs. Identify one or more regulations for uploading. The regulations which are identifiable at the part, subpart, paragraph or equivalent level are easily imported. Select either a part or subpart and the system will upload all of the sections (paragraphs) within that part or subpart at the same time. Select multiple parts, subparts, and sections from different regulations for simultaneous bulk import.
Note:
The ability to bulk import requirement citations below the section
level (i.e., paragraph level) depends on the capabilities of the citation
site.
The following data is populated in the Essential database as part of the citation bulk import process while the CyberRegs site makes this data available in an electronic format for uploading.
Rule - The regulation at the root (document) level or the regulation name (e.g., 40 CFR 60 Standards of Performance for New Stationary Sources).
Requirement Citation - The identifier for the part, subpart, section, or paragraph of the regulation (e.g., 40 CFR 60.695 or 40 CFR 60 Subpart A General Provisions).
Requirement Type - Requirement citations provided for upload by CyberRegs are imported with Unassigned as the requirement type.
Promulgation Date - For rules and requirement citations provided for upload by CyberRegs, use the option on the Import Data form to enter a promulgation date. For new rules added to the database, this same date populates the rule version date for each rule and requirement citation. When uploading changed requirement citations, use the option to enter a revision date only—leave the promulgation date unchanged.
Notes - For requirement citations provided for upload by CyberRegs, use the option on the Import Data form to enter text that populates note fields.
Schema validation takes place during the Citation Bulk Import process. Validation results in a better regulation import success rate and also provides necessary information for troubleshooting in the event of a failure. When validation fails, the elements in error are identified. The XML document imported from CyberRegs can be saved to your web server for evaluation when the CitationBulkImportSaveFiles configuration setting = True. The file name and path are provided with the erroneous elements.
To bulk import rules and citations
Click Tools
> Citation Linking > Bulk Import in the Navigation
Tree.
The Citation Import form appears.
Select a Jurisdiction from the list for the type of citations to be imported.
Click Start.
The Citation Bulk Import web
page is displayed. For the state jurisdiction option, click the appropriate
state link.
Navigate to the rules and/or citations to be imported by clicking the provided links.
Determine what parts and/or subparts
to import by clicking the check boxes located at the beginning of
the citation and follow the prompts.
Tip: Clicking
a check box selects the item and all of its sub-items listed on that
page. To select all items in a section, click the check box next to
the section title on the page where it shows all paragraphs and then
click Yes for the Would
you also like to select all sub items of this item? option.
Click the Import
button (located at the bottom, right side of the web page for CyberRegs).
The Import Data form is displayed.
Enter the Promulgation Date and the Citation Date. The Calendar button is available to select the dates.
Enter any Notes.
Review the selected rules/citations in the Citation List section and make any necessary changes before the actual import process is executed.
Click Save to initiate the import process. A confirmation message is displayed when the data is saved.
Note:
Change management does not apply to regulations linked on the rule
level (i.e., root level or document level).
Manage the impacts of changes to regulations on operations through the Citation Change Management feature available under Tools > Citation Linking in the Navigation Tree. Regulatory changes can affect tasks that need to be performed to remain in compliance. Changes to the text of a regulation may require new tasks to be performed or existing tasks to be performed differently. New requirements may necessitate establishing new tasks.
Citation Change Management has the ability to compare the requirement citation data that exists in your Essential database with the source information provided by the citation site and identify changes, such as additions, deletions, text revisions, etc. Review the changes and select the requirement citations to upload. This ability of Citation Change Management is in addition to any change notification capabilities provided by the citation site.
The Citation Change Management browse view displays the date of each notification record that contains at least one citation update for an existing task, plus the actual number of citation updates included in the record. Click a notification date link to open the Citation Change Management form. Three sections are available that organize new, updated, and deleted citations. Within the applicable section, each citation is displayed as a line item. The citation identifier is a link to the citation at CyberRegs. The citations that apply to the tasks at the entity(ies) where you have been designated as the Compliance Owner include the entity and number of tasks in the line item. The number of controls associated with applicability records that reference the citation for the entities assigned to the logged-in user is also provided.
You can view and edit the following information for Updated Citations and Deleted Citations in the Citation Change Management form:
Rule—identifies the Rule related to the Citation
Citation Effective Date—shows the Citation’s Effective Date linked to the Entity’s current Applicability record
Applicability Effective Date—shows the Citation’s Applicability Effective Date for the Entity’s current Applicability record
Applicability Status—indicates whether the Citation applies or does not apply to the corresponding Entity
Update/Create Applicability—links to the Applicability Data Related Entry dialog box
If an Applicability record exists for the Entity’s Citation, this column displays the Update Applicability link. Click Update Applicability to create an updated Applicability record.
If no Applicability record exists for the Entity’s Citation, this column will display a Create Applicability link. Click Create Applicability to create a new Applicability record.
View Entity Aspects—shows the number of Entity Aspect records for the Citation and provides a link to the Entity Aspects that the user has permission to view
View Checklist Audit Items—shows the number of Checklist Audit Items for the Citation and provides a link to the Checklist Audit Items that the user has permission to view
You can view and edit the following information for all Citations in the Citation Change Management form:
View Tasks—Opens the Task List so that you can evaluate the affected task assignment(s).
View Controls—Opens a browse view of the controls. The control name is a link to the Control form.
Note:
If you have not been granted authorization to access task and/or
control records, the Task List
and/or controls browse view does not open when you click a View
Tasks or View Controls
link.
Changes to regulations can include additional citations, renumbered citations, deleted citations, and changes to the text of citations. The Citation Change Management feature maintains compliance history of task assignments and task results through changes to requirement citations and associated tasks to preserve compliance status for any time period for verification.
Requirement citation additions and changed requirements are uploaded the same way as a new bulk upload, which allows for the evaluation of all new citations added to the Essential database and preserves the ability to associate any necessary task(s) with each new requirement citation. Refer to Rule and Requirement Citation Bulk Import for additional information.
You can associate new requirement citations with a rule in the New Citations section on the Citation Change Management form, as follows:
Click the Link to Rule check box for each citation to be linked to a specific rule and click Add Selected Citations to Rule.
Select a Rule from the list and enter a Citation Effective Date. The Calendar button is available to select the date.
Enter applicable Notes and click Add Citations to Rules to complete the process.
Citation Change Management will not delete any user data for requirement citations. Review the citation deletions and evaluate the impacts on existing compliance scenario tasks, rule requirement tasks, and controls associated with applicability records. Deleting citations requires ending recurring tasks and closing affected tasks to preserve compliance history.
Tasks associated with Compliance Applicability records, Process Unit Compliance Scenarios, Facility Type Compliance Scenarios, or Rule Requirements need to be reviewed for regulations that have changed. Use the Citation Change Management feature to identify which records are affected and efficiently evaluate the impacts on existing tasks.
Essential Compliance Manager provides the option to “copy” task assignments from the previous effective date of a requirement citation that has changed to the new effective date of the requirement citation. Affected recurring tasks associated with the “old effective date” requirement citation must be stopped and closed. Use the Task Manager Query Builder (i.e., filter by requirement citation) with the global update feature to facilitate closing tasks for “old effective date" requirement citations.
Note:
CyberRegs maintains requirement citations and related data up-to-date
at least daily. Consider using the option to import regulation/requirement
citation change data at a frequency of at least daily.
Note:
The Send Citation List feature does not apply to regulations linked
on the rule level (i.e., root level or document level).
Upload an entire current list of your requirement citations to CyberRegs using the Send Citation List feature available under Tools > Citation Linking in the Navigation Tree. CyberRegs evaluates the citations in your list to determine if there are updates and notifies the Entity Compliance Owner of the changes. The Recent Send History section lists the last 10 batches sent to CyberRegs. The informational data displayed on the form includes the Status, Date Sent, Date Completed, and Error Count.
Click Send List to send CyberRegs the latest list of requirement citations that were identified in the database. The sent data is treated as a "batch" by CyberRegs which sends back a ticket number associated with that specific batch.
Note:
Citation notification services do not apply to regulations linked
on the rule level (i.e., root level or document level).
A Notification Service is included to exchange information with CyberRegs about the requirement citations in your database. Send a citation list via email on demand or at a scheduled frequency. The email address defined for the EmailFromAddress setting in the configuration file is used in the From field. Refer to Configurable Settings for additional information.
CyberRegs evaluates the citations in your list to determine if there are updates and notifies the Entity Compliance Owner by email of the changes, including new and deleted regulations, and the task assignments associated with the updates. The Compliance Owner for an entity is designated on the User Manager form. Compliance Manager module users with the appropriate security privileges can view and edit the Compliance Owner in the General section on the Enterprise Entity form.
Use the Citation Notification Schedule form to establish a schedule that specifies when the Notification Service should run. The particular hour and minute can be defined as well as the start and stop dates for the schedule.
View the status of the run, when the last run took place, and the date of the next scheduled run using the Citation Notification Console. You can also use this form to run the service on demand and change the notification run status. The status must be set to Idle in order for the system to run. When a run fails, error details can be viewed in the Job Log section.
To establish a run schedule
for citation notification
Click Tools
> Citation Notifications > Notification Setup in the
Navigation Tree.
The Citation Notification Run Schedule
list appears.
Click the New
button.
The Citation Notification Schedule
form is displayed.
Select an Event Class (Citation Notification Service or Send Citation List Service) from the list.
Select the run frequency from the list in the Schedule Type field.
Select the Day of Month or Day of Week, for Monthly or
Select the Hour of Day and Minutes Past the Hour from the list for each field.
Select the applicable Days of the Week and enter the Interval of days if necessary.
Enter the scheduling period Start Date or click the Calendar button and select the date.
Click the No End Date check box or enter an End Date for the scheduling period. The Calendar button is available to select the date.
Click Save.
View the status of the run, when the last run took place, and the date of the next scheduled run on the Citation Notification Console. An entry is added to the Job Log for each Notification Service request. The start and finish date/time, the run status, and the results are provided for each log entry. Any errors are displayed as results. Jobs are processed according to a pre-configured priority in a managed, queue-based environment to minimize system contention. Use the Job Log to identify your job's position among all the jobs scheduled to run and to determine the current/final run status. The Refresh link can be used at any time to update the log. For notification purposes, a Loading... message appears when the Job Log is being refreshed. Entries can be deleted from the log when no longer needed for resolution on the Purge APE Log form.
The Citation Notification Console can also be used to run the service on demand and change the Citation Notification run status.
Note:
The Citation Notification run status must be set to Idle in order
for the system to run.
To view the notification
console
Click Tools
> Citation Notifications > Console in the Navigation
Tree.
The Citation Notification Console
list appears.
Locate the run schedule and click the link to open the Citation Notification Console.
View Status and run dates in the Last Run Date and Next Run Date fields.
Click the Reset to Idle Status link when necessary. The status must be set to Idle for Citation Notification to run.
Click the Change on Demand Status link to run the service immediately.
