Compliance Document Management

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Daniel SpandauDJS Consulting, Inc.The Center for Compliance Focus(561) 239-0090 info@PBSdocs.com

Simple ……… Inexpensive …….. Effective ……..

Petroleum Bulk Storage Documents

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DJS Consulting, Inc. - The Center for Compliance Focus

Daniel Spandau (561) 239-0090

Document Managementidentification, profiling, storage, retrieval, viewing, downloading, emailing and printing

Secure Web Storage 24/7 Viewing & Retrieval Status and Reporting Automatic Notification Update Service

www.PBSdocs.comHome Page – Log In

Client Customized Page

Client Login brings you to your Company PageOnly locations assigned to Login are accessibleFrom here you retrieve the files associate with a location

Location Profile Document Required

Each location has a unique “Profile”The Profile is a list of required documents based on

Federal, State and Local regulationsEach document has an

Expiration or Renewal period anda Responsible Party assigned

Location Profile

Each location has a unique “Profile”• Identifies each Document required for that location• How document is evaluated (on expiration or on issuance)• Time Interval• How long before notification is generated• Who are the Responsible Party/s for this document• Number and frequency of these document• Active Status – send or don’t send reports

Document Freshness

Each Document is checked for “Freshness”Based on the information in the Profile, each file is analyzedFiles can be:

Current – file meets Profile requirementsNear Expiration – file needs attentionExpired – file is out of complianceHistorical – file is required but does not expire

Document Notification

Based on the information in the Profile, the assignedResponsible Party/s are emailed for any file that are:

Near Expiration – file needs attentionExpired – file is out of complianceMissing – document not uploaded

File status remains until a new document is received

Document Retrieval

Document are retrieved by clicking on the file link in the “Download” column

This will open a new window The document can be:

SavedPrintedEmailed

Missing Documents

Missing Document Tab lists all required documents listed in the “Profile” and that are missing.Notifications are sent out to the Responsible Parties to send the documentsOnce the document is received and uploaded, it is removed from the Missing Document Tab

Compliance ReportsManagement Summary

Email notification that documents need attention.

Detailed information is availableSummary Management Reports

Select Reports: ComplianceView Details

Compliance ReportsRegional Summary

Management report summaries are emailed based on a predetermined frequency.

Each manager receives a personalized link to report data. • Senior manager can look at all items• Local sales manager has limited view

All Reports are designed as “Drill Down” – you only see the level of detail that is important to you, with all the other details at your fingertips.

Compliance ReportsResponsible Party Summary

Reports can be viewed by:• Company• Region• Territory• Location• Responsible Party

Allows management to see open items based on responsiveness of compliance staff – whether internal or external service providers

Compliance ReportsLocation Detail

Location DetailDetailed listing of all documents that are

Near Expiration or Expiredand who are the Responsible Parties

Useful during a site review, or if a manager needs specific compliance detail on a location

Calendar – Important Dates

Calendar events, keeping users informed of up and coming important dates

• Regulatory Deadlines• Trade Shows• Task Reminders• Training Seminars• Company Events

Calendar – Event Detail

Click on a date see the detail

Manuals, Forms, Logs and Links

Full text documents that are instantly available• MSDS• Operating Manual• Procedures• Inventory Reconciliations• Web links of useful information

Implementation Components for Document Management

• Client Portal Setup (one time fee)• On-going Monthly Maintenance Fee

(based on # of Locations)– Document Tracking of Profile Requirements– Notifications– Upload New Documents– Upload Logs, Forms, Manuals and create links– Management Reports– Security & User Information Maintenance– Web Storage, File Backup and Bandwidth Allotment

Complementary Services• Compliance Management Plan

– Strategic Planning and Implementation

• Database Development– Data Usage to Enhance Productivity

• Develop SOPs, Procedure Manuals, Forms and Log• Federal and State Regulatory Update Services• Federal and State Regulatory Assistance• Compliance Training Programs

– Management, Dealer and Contractor

• Environmental Compliance Audits– Design, Implementation and Tracking

• 3rd Party Audit Validation• Compliance Status Reports• Trend Analysis

Compliance Document Management Simple ……… Inexpensive ……..

Daniel SpandauDJS Consulting, Inc.The Center for Compliance Focus(561) 239-0090 info@PBSdocs.com

Effective ……..