Regulatory Compliance (HSE)

The Regulatory Compliance application will be used mainly for recording external regulations and their certifying authorities that are relevant in the performance of activities across Maximo. The attachments icon is likely to contain a URL link to either the web page of the regulation or a copy of the regulation booklet.

A regulation record can be referenced in many places across the HSE suite of applications. In some applications there is a Regulations Tab with a table window allowing multiple regulations to be referenced. In other applications there is a single field for referencing the relevant regulation.

  • Regulations Tab – Job Plans (HSE), Work Order Tracking (HSE), Locations (HSE), Assets (HSE), Preventive Maintenance (HSE), Item Master (HSE).
  • Regulation Field – Hazards (HSE), Permit and Certificate Types (HSE), Operating Policies (HSE), Operating Procedures (HSE), Audit and Survey (HSE), Certifications (HSE), Incidents (HSE), Defects (HSE), Investigations (HSE).

The Regulatory Compliance (HSE) application could also be used for performance standards particular those set by external bodies. If this application is used for internal regulations, then care should be taken as to how this overlaps with operating policies entered through the Operating Policies (HSE) application.

Regulations are often associated with Health, Safety or Environment. There is another type of regulation, a safety case. These are documents that provide evidence and argument that a system is acceptably safe for a specific application and operating environment. It is used in the process of obtaining a safety certificate from a regulatory body. Safety Cases are used in aviation, rail, nuclear and medical device industry sectors. Other industries may use risk assessments.

The main object for a Regulation resides at the SYSTEMORGSITE level. Regulations are often country or region specific and if the Maximo system is using multiple organizations and sites then some consideration will be needed as to whether Regulations are entered against a specific Organization or Site or whether these two fields are left blank and then how regulations might be effectively filtered when searching for them.

Regulations have to be at ACTIVE state to be referenced in other Maximo applications. Some regulation records will be defined to be specifically used in only one application, see Applies To field below.

Regulation Tab

  • Regulation – This is part of the unique key with ORGID and SITEID. By default, it has a maximum of 8 characters.
  • Description – The description or title of the regulation. It has a long description field, the Details field at the bottom of this tab.
  • Applies To – The type of record against which the regulation applies. There is a value list with values of Asset, Generic, Hazard, Item Master, Job Plan, Location, Permit and Certificate Type, Preventive Maintenance, Work Order. GENERIC is the default, and this means that the regulation can be selected across all applications. Any of the other values mean that the regulation can only be selected in the application referenced. You may need to duplicate the record if you wish it to be used on two or more specific applications but not elsewhere, for example Hazard and Item Master.
  • Status – The status field is read-only and is changed using the action Change Status. Valid values are DRAFT, ACTIVE, INACTIVE, with DRAFT being the default. At ACTIVE and INACTIVE states, the regulation record is read-only, it can only be modified at DRAFT status.
  • Status Date – The Status Date is read-only and is set when the Change Status action is used.
  • Organization – This field is part of the unique key with SITEID and REGULATIONID. It will become read-only after first save.
  • Site – This field is part of the unique key with ORGID and REGULATIONID. It will become read-only after first save.
  • Regulation Owner – The person who is responsible for the regulation across the business. The field is read-only, and it is set by using either the Take Ownership or Select Owner actions. It will be blanked if the Owner Group is set.
  • Owner Group – The group who are collectively responsible for the regulation across the business. The field is read-only, and it is set by using the Select Owner action. It will be blanked if the Regulation Owner is set.
  • Regulation Type – The type of regulation has a value list with values of Health, Safety, Environment, Safety Case.
  • Regulation Number – The regulation reference as would be recognised by the issuing authority.
  • Regulation Sub-Section – The subsection of a regulation. It becomes enterable when a Regulation Number has been entered.
  • Valid From – The date the regulation became effective.
  • Expiration Date – The known expiry date for the regulation or the date in which the regulation will become superseded.
  • Safety Critical Element – If the regulation has a safety critical element then this field can be used. It is supported by a value list but the ALN domain PLUSGSAFETYCRITREF will need to be configured.
  • Regulatory Authority – The name of the issuing authority of the regulation.
  • Regulatory Region – The state or region that is the issuing authority for the regulation. There is no value list.
  • Regulatory Country – The country of the issuing authority. There is no value list.
  • External System Reference – A reference number used by an external system to identify this regulation.
  • Insurance Requirements – A checkbox to indicate that insurance applies to this regulation.
  • Supports Safety Case – A checkbox to indicate that this regulation supports a safety case. It will make the Safety Case Reference field become mandatory.
  • Safety Case Reference – The reference to the safety case that this regulation supports.
  • Details – The details of the regulation, often this might be a cut and paste from the summary of the actual regulation booklet. It is supported with rich text formatting and is the long description of the Description field.


Log Tab

This is the standard tab seen in many applications with sub tabs for Work Log and Communication Log.


Where Used Tab

The Where Used tab has a series of sub tabs each with a table window indicating the records where the regulation has been used. The records are read-only, and you cannot insert a record or delete a record from these table windows.

There are other applications where regulations are used, and additional subtabs could be configured to show these. Preventive Maintenance would be a good example because the Preventive Maintenance (HSE) application has a Regulations tab allowing multiple regulations to be entered. You probably would not do this for Work Order Tracking (HSE) because it is a high-volume application and the regulation may have been copied from the location, asset, job plan or PM.


There is functionality on the Regulations tab of Locations (HSE), Assets (HSE), Job Plans (HSE) and Preventive Maintenance (HSE) applications to copy the regulation to the work order when the location, asset, job plan or PM is referenced.


On Work Order Tracking (HSE) application on the Regulations tab there is a checkbox on a regulation record copied from a location, asset, job plan or PM, which by default will be checked. If the work order will not be completed against the regulation, then it can be unchecked, but not after the work order has reached INPRG (In Progress) state when it will become read-only.



  • Change Status
  • Take Ownership
  • Select Owner
  • View Regulation History
  • Create Communication
  • Modify/Delete Work Log