PeopleSoft Enterprise eDevelopment 9.1 PeopleBook

Managing Professional Compliance

This chapter provides an overview of professional compliance and discusses how to:

Complete regulated individual (RI) development reviews.
Complete RI observations.
Complete RI key performance indicator (KPI) reviews.
View RI development records.
View RI development reviews.
View RI observation history.
View regulated individual KPI review history.

Understanding Professional Compliance

Manage Professional Compliance is a PeopleSoft Enterprise Human Resources business process that enables you to manage the professional certification of both employees and non-employees.

With Manage Professional Compliance, you can:

Define the certification requirements established by a regulatory authority.
Set up classifications used to define the status of regulated individuals.

For example, an individual can be classified as compliant or noncompliant with the requirements for certification.
Assign regulated individuals to compliance managers/supervisors.
Enroll regulated individuals in development plans designed to help individuals obtain a level of competence to attain a specified classification.
Monitor individuals in their progress by completing reviews, observations, KPIs, and checks.

Using Self-Service Transactions with Manage Professional Compliance

The Manage Professional Compliance business process provides self-service transactions for both compliance supervisors/managers and regulated individuals (RI):

Supervisors/managers can view the status of their regulated individuals and perform actions such as completing development reviews, entering observations, and completing KPI reviews.
Regulated individuals can view key data related to their compliance status and development plans.

Note. All RI direct reports display on the RI pages regardless of their assignment statuses. The assignment status also displays in the Direct Reports grids on the RI pages.

For Manage Professional Compliance transactions, individuals that a manager/supervisor can view in the Direct Reports grid are their regulated individuals. It is possible for a manager/supervisor to have direct reports who are not RIs in which case the direct report would not display in the grid.

It is also possible for a manager/supervisor to be responsible for an RI, who is not one of their direct reports. In this case, the RI would still display in the grid since it is an RI transaction. Regulated individuals who are not also a direct report of a manager/supervisor will not display in the Direct Reports grid for any self-service transactions other than those for Manage Professional Compliance.

See Also

Monitoring Regulated Individuals

Entering and Maintaining Regulated Individual Data

Completing Regulated Individual Development Reviews

This section provides an overview of RI development reviews and lists the pages used to complete development reviews.

Understanding RI Development Reviews

Compliance managers and supervisors use the Complete RI Development Review transaction to select regulated individuals from a list and then review their development plans. The list of regulated individuals is limited to those under the control of the compliance manager/supervisor, and the development plans available for review include only those for which the expected completion date (defined on the Development Record page) has not yet passed.

Before you can complete this transaction, you must define your development plans and enroll individuals in these plans as part of Manage Professional Compliance setup in Human Resources.

Pages Used to Complete Regulated Individual Development Reviews

Page Name	Definition Name	Navigation	Usage
Complete RI Development Review - Select Regulated Individual	PCMP_OPRROWS PCMP_OPRROWS2	Manager Self Service, Learning and Development, Complete RI Development Review, Complete RI Development Review - Select Regulated Individual Click to access an employee ID list on the Complete RI Development Review - Select Regulated Individual page.	Displays a list of the compliance manager/supervisor's regulated individuals. Managers/supervisors select the regulated individual for whom they want to complete a development review.
RI Development Review	HR_PCMP_T_DEVREV HR_PCMP_T_DEVREV2 HR_PCMP_T_DEVREV3	Select a regulated individual on the Complete RI Development Review - Select Regulated Individual page.	Managers complete development reviews. Using the pages, managers select statuses for development plan areas, and add optional comments about a particular area. They can also update review dates and the review status.

Page Name

Definition Name

Navigation

Usage

Complete RI Development Review - Select Regulated Individual

PCMP_OPRROWS

PCMP_OPRROWS2

Manager Self Service, Learning and Development, Complete RI Development Review, Complete RI Development Review - Select Regulated Individual

Click to access an employee ID list on the Complete RI Development Review - Select Regulated Individual page.

Displays a list of the compliance manager/supervisor's regulated individuals. Managers/supervisors select the regulated individual for whom they want to complete a development review.

RI Development Review

HR_PCMP_T_DEVREV

HR_PCMP_T_DEVREV2

HR_PCMP_T_DEVREV3

Select a regulated individual on the Complete RI Development Review - Select Regulated Individual page.

Managers complete development reviews. Using the pages, managers select statuses for development plan areas, and add optional comments about a particular area. They can also update review dates and the review status.

Completing RI Observations

This section provides an overview of RI observations and lists the pages used to complete observations.

Understanding RI Observations

Compliance managers and supervisors use the Complete RI Observation transaction to select a regulated individual from a list and complete an observation. The list of regulated individuals is limited to those under the control of the compliance manager/supervisor.

Before you can complete an observation, you must define observation elements and construct observation models as part of the setup of Manage Professional Compliance in Human Resources.

See Also

Observing Regulated Individuals

Pages Used to Complete RI Observations

Page Name	Definition Name	Navigation	Usage
Complete a Regulated Individual Observation - Select Regulated Individual	PCMP_OPRROWS PCMP_OPRROWS2	Manager Self Service, Learning and Development, Complete RI Observation, Complete a Regulated Individual Observation - Select Regulated Individual Click to access an employee ID list on the Complete a Regulated Individual Observation - Select Regulated Individual page.	Displays a list of the compliance manager/supervisor's regulated individuals. Managers/supervisors select a regulated individual for whom they want to complete an observation.
RI Observation	HR_PCMP_T_RIOBS HR_PCMP_T_RIOBS2 HR_PCMP_T_RIOBS3	Select a regulated individual on the Complete a Regulated Individual Observation - Select Regulated Individual page.	Compliance managers/supervisors enter the observation information, including the observation models, the observation date, the statuses of observation model elements, and optional comments.

Page Name

Definition Name

Navigation

Usage

Complete a Regulated Individual Observation - Select Regulated Individual

PCMP_OPRROWS

PCMP_OPRROWS2

Manager Self Service, Learning and Development, Complete RI Observation, Complete a Regulated Individual Observation - Select Regulated Individual

Click to access an employee ID list on the Complete a Regulated Individual Observation - Select Regulated Individual page.

Displays a list of the compliance manager/supervisor's regulated individuals. Managers/supervisors select a regulated individual for whom they want to complete an observation.

RI Observation

HR_PCMP_T_RIOBS

HR_PCMP_T_RIOBS2

HR_PCMP_T_RIOBS3

Select a regulated individual on the Complete a Regulated Individual Observation - Select Regulated Individual page.

Compliance managers/supervisors enter the observation information, including the observation models, the observation date, the statuses of observation model elements, and optional comments.

Completing RI Key Performance Indicator Reviews

This section provides an overview of RI key performance indicator reviews and lists the pages used to complete KPI reviews.

Understanding RI Key Performance Indicator Reviews

Compliance managers and supervisors use the Complete RI KPI Review transaction to select a regulated individual from a list and then enter KPI review details. The list of regulated individuals is limited to those under the control of the compliance manager/supervisor.

Before you can complete a review of an individual's progress against KPIs, you must define the specific indicators that you want to use as part of the setup of Manage Professional Compliance in Human Resources. PeopleSoft includes the following broad categories of performance indicators as part of the delivered application; within these categories, however, you must choose (and in some cases set up) the exact indicators that you want to use:

Complaints – Number of complaints against the individual versus those against the company.
Persistency (of business sold) – Percentage of business sold that is still in force.
Spread of Business – Measure the range of applications being sold by the individual.
Not Taken Up (NTU) – Number of proposals submitted, but not put into force.
Factfind Completion – Check on accuracy, completeness and quality of service.

Note. The KPIs listed here are directly targeted at the U.K. financial services arena. However, the key structure of the KPI records, and the way that the functionality is incorporated within Professional Compliance, can be used as a guide for creating additional, modified KPIs.

See Also

(GBR) Monitoring KPIs

Pages Used to Complete RI Key Performance Indicator Reviews

Page Name	Definition Name	Navigation	Usage
Complete a Regulated Individual Key Performance Indicators Review - Select Regulated Individual	PCMP_OPRROWS PCMP_OPRROWS2	Manager Self Service, Learning and Development, Complete RI KPI Review, Complete a Regulated Individual Key Performance Indicators Review - Select Regulated Individual Click to access an employee ID list on the Complete a Regulated Individual Key Performance Indicators Review - Select Regulated Individual page.	Displays a list of the compliance manager/supervisor's regulated individuals. Managers/supervisors select a regulated individual for whom they want to complete a KPI review.
RI KPI Review	HR_PCMP_T_RIKPI HR_PCMP_T_RIKPI2 HR_PCMP_T_RIKPI3	Select a regulated individual on the Complete a Regulated Individual Key Performance Indicators Review - Select Regulated Individual page.	Compliance managers/supervisors perform a key performance indicator review by completing details for each indicator, entering the date of the review, the frequency, and optional comments about the review.

Page Name

Definition Name

Navigation

Usage

Complete a Regulated Individual Key Performance Indicators Review - Select Regulated Individual

PCMP_OPRROWS

PCMP_OPRROWS2

Manager Self Service, Learning and Development, Complete RI KPI Review, Complete a Regulated Individual Key Performance Indicators Review - Select Regulated Individual

Click to access an employee ID list on the Complete a Regulated Individual Key Performance Indicators Review - Select Regulated Individual page.

Displays a list of the compliance manager/supervisor's regulated individuals. Managers/supervisors select a regulated individual for whom they want to complete a KPI review.

RI KPI Review

HR_PCMP_T_RIKPI

HR_PCMP_T_RIKPI2

HR_PCMP_T_RIKPI3

Select a regulated individual on the Complete a Regulated Individual Key Performance Indicators Review - Select Regulated Individual page.

Compliance managers/supervisors perform a key performance indicator review by completing details for each indicator, entering the date of the review, the frequency, and optional comments about the review.

Viewing RI Development Records

This section provides an overview of the view RI development records transaction and lists the pages used to view RI development records.

Understanding the View RI Development Records Transaction

Compliance managers and supervisors use the View RI Development Record transaction to view details of a development plan for regulated individuals, and employees use this transaction to view details of their own development plans.

Before you can view details of a development plan, you must define your development plans and enroll individuals in them as part of the setup of Manage Professional Compliance in Human Resources.

Pages Used to View RI Development Records

Page Name	Definition Name	Navigation	Usage
View a Regulated Individual Development Record - Select Regulated Individual	PCMP_OPRROWS	Manager Self Service, Learning and Development, View RI Development Record, View a Regulated Individual Development Record - Select Regulated Individual Click to access an employee ID list on the View a Regulated Individual Development Record - Select Regulated Individual page.	Displays a list of the compliance manager/supervisor's regulated individuals. Managers/supervisors select a regulated individual whose development plan they want to view.
RI Development Record (regulated individual development record) Development Record	HR_PCMP_DEVREC2	Select a regulated individual on the View a Regulated Individual Development Record - Select Regulated Individual page. Self Service, Learning and Development, RI Development Plan, Development Record	Compliance managers/supervisors view details of development plans for regulated individual. Employees can view details of their own development plans.

Page Name

Definition Name

Navigation

Usage

View a Regulated Individual Development Record - Select Regulated Individual

PCMP_OPRROWS

Manager Self Service, Learning and Development, View RI Development Record, View a Regulated Individual Development Record - Select Regulated Individual

Click to access an employee ID list on the View a Regulated Individual Development Record - Select Regulated Individual page.

Displays a list of the compliance manager/supervisor's regulated individuals. Managers/supervisors select a regulated individual whose development plan they want to view.

RI Development Record (regulated individual development record)

Development Record

HR_PCMP_DEVREC2

Select a regulated individual on the View a Regulated Individual Development Record - Select Regulated Individual page.
Self Service, Learning and Development, RI Development Plan, Development Record

Compliance managers/supervisors view details of development plans for regulated individual. Employees can view details of their own development plans.

Viewing RI Development Reviews

This section provides an overview of the View RI Development Review transaction and lists the pages used to view development reviews.

Understanding the View RI Development Review Transaction

Compliance managers and supervisors use the View RI Development Review transaction to view the development review history of regulated individuals, and regulated individuals use this transaction to see details of their own development reviews.

To view a development review, you must have already created the review using the RI Development Review page in eDevelopment, or the RI Dev Review and RI Dev Area Review pages in Human Resources.

See Also

Monitoring Regulated Individuals

Pages Used to View RI Development Reviews

Page Name	Definition Name	Navigation	Usage
View a Regulated Individual Development Review - Select Regulated Individual	PCMP_OPRROWS	Manager Self Service, Learning and Development, View RI Development Review, View a Regulated Individual Development Review - Select Regulated Individual Click to access an employee ID list on the View a Regulated Individual Development Review - Select Regulated Individual page.	Select a regulated individual whose development review you want to view.
Development Review	HR_PCMP_DEVREV2	Select a regulated individual on the View a Regulated Individual Development Review - Select Regulated Individual page. Self Service, Learning and Development, RI Development Review, Development Review	Compliance managers/supervisors view development review histories of regulated individual. Employees can view details of their own development reviews.

Page Name

Definition Name

Navigation

Usage

View a Regulated Individual Development Review - Select Regulated Individual

PCMP_OPRROWS

Manager Self Service, Learning and Development, View RI Development Review, View a Regulated Individual Development Review - Select Regulated Individual

Click to access an employee ID list on the View a Regulated Individual Development Review - Select Regulated Individual page.

Select a regulated individual whose development review you want to view.

Development Review

HR_PCMP_DEVREV2

Select a regulated individual on the View a Regulated Individual Development Review - Select Regulated Individual page.
Self Service, Learning and Development, RI Development Review, Development Review

Compliance managers/supervisors view development review histories of regulated individual. Employees can view details of their own development reviews.

Viewing RI Observation History

This section provides an overview of the View RI Observation transactions and lists the pages used to view RI observation history.

Understanding the View RI Observation Transaction

Compliance managers/supervisors use the View RI Observation transaction to view observations of regulated individuals, and regulated individuals use this transaction to view details of their own observations.

To view an observation, you must have already created the observation using the RI Observation page in eDevelopment, or the RI Observation and Observation Elements pages in Human Resources.

See Also

Monitoring Regulated Individuals

Pages Used to View RI Observation History

Page Name	Definition Name	Navigation	Usage
View a Regulated Individual Observation - Select Regulated Individual	PCMP_OPRROWS	Manager Self Service, Learning and Development, View RI Observation, View a Regulated Individual Observation - Select Regulated Individual Click to access an employee ID list on the View a Regulated Individual Observation - Select Regulated Individual page.	Select a regulated individual whose observation history you want to view.
RI Observation Regulated Individual Observation	HR_PCMP_RIOBS	Select a regulated individual on the View a Regulated Individual Observation - Select Regulated Individual page. Self Service, Learning and Development, RI Observation, Regulated Individual Observation	Compliance managers/supervisors view observation history. Employees view details of their own observation history.

Page Name

Definition Name

Navigation

Usage

View a Regulated Individual Observation - Select Regulated Individual

PCMP_OPRROWS

Manager Self Service, Learning and Development, View RI Observation, View a Regulated Individual Observation - Select Regulated Individual

Click to access an employee ID list on the View a Regulated Individual Observation - Select Regulated Individual page.

Select a regulated individual whose observation history you want to view.

RI Observation

Regulated Individual Observation

HR_PCMP_RIOBS

Select a regulated individual on the View a Regulated Individual Observation - Select Regulated Individual page.
Self Service, Learning and Development, RI Observation, Regulated Individual Observation

Compliance managers/supervisors view observation history. Employees view details of their own observation history.

Viewing Regulated Individual KPI Review History

This section provides an overview of the View RI KPI Review transaction and lists the pages used to view regulated individual KPI review history.

Understanding the View RI KPI Review Transaction

Compliance managers and supervisors use this transaction to view the KPI reviews of regulated individuals, and regulated individuals use this transaction to view details of their own KPI reviews.

To view a KPI review, you must have already created the review using the RI KPI Review page in eDevelopment, or the KPI Review and KPI Statistics pages in Human Resources.

See Also

Monitoring Regulated Individuals

Pages Used to View Regulated Individual KPI Review History

Page Name	Definition Name	Navigation	Usage
View a Regulated Individual Key Performance Indicators Review - Select Regulated Individual	PCMP_OPRROWS	Manager Self Service, Learning and Development, View RI KPI Review, View a Regulated Individual Key Performance Indicators Review - Select Regulated Individual Click to access an employee ID list on the View a Regulated Individual Key Performance Indicators Review - Select Regulated Individual page.	Select a regulated individual whose KPI review you want to view.
RI KPI Review (regulated individual key performance indicators review) Regulated Individual KPI Review	HR_PCMP_RIKPI	Select a regulated individual on the View a Regulated Individual Key Performance Indicators Review - Select Regulated Individual page. Self Service, Learning and Development, RI KPI Review, Regulated Individual KPI Review	Compliance managers/supervisors view regulated individual KPI reviews. Employees can view details of their own KPI reviews.

Page Name

Definition Name

Navigation

Usage

View a Regulated Individual Key Performance Indicators Review - Select Regulated Individual

PCMP_OPRROWS

Manager Self Service, Learning and Development, View RI KPI Review, View a Regulated Individual Key Performance Indicators Review - Select Regulated Individual

Click to access an employee ID list on the View a Regulated Individual Key Performance Indicators Review - Select Regulated Individual page.

Select a regulated individual whose KPI review you want to view.

RI KPI Review (regulated individual key performance indicators review)

Regulated Individual KPI Review

HR_PCMP_RIKPI

Select a regulated individual on the View a Regulated Individual Key Performance Indicators Review - Select Regulated Individual page.
Self Service, Learning and Development, RI KPI Review, Regulated Individual KPI Review

Compliance managers/supervisors view regulated individual KPI reviews. Employees can view details of their own KPI reviews.