PeopleSoft HR 9.1 PeopleBook: Manage Professional Compliance

Entering and Maintaining Regulated Individual Data

This chapter provides an overview of regulated individual data, lists common elements, and discusses how to:

Bring regulated individuals into the compliance process.
Assign regulated individuals to supervisors.
Define classifications of regulated individuals.
Enroll regulated individuals in development plans.
Reassign regulated individuals to new compliance managers or supervisors.
(GBR) Review references and prior work experience.

Understanding Regulated Individual Data

Enter the regulated individual data both on a one-time basis when you first bring individuals into the Manage Professional Compliance process and when you maintain or review a regulated individual. The regulated individual data that this chapter discusses can be grouped into these categories:

Category	Explanation
Data that you enter when you first bring individuals into the Manage Professional Compliance process.	When you hire an individual, you can use the hire pages in PeopleSoft HR to bring the individual into the compliance process. Alternatively, after hiring an individual, you can bring that person into the compliance process using the RI (regulated individual) page. Add an individual only once to the Manage Professional Compliance process.
Data that you enter when the individual first comes into the Manage Professional Compliance process and then again when the individual's status changes.	After bringing an individual into the Manage Professional Compliance process, enter additional information about that person. Enter the information in this order: Enter the individual's professional compliance type on the RI page (only if you originally brought the individual into the Manage Professional Compliance process using the RI page). Specify the regulatory authority that governs the individual on the RI page (regardless of how you brought the individual into the Manage Professional Compliance process). Assign the individual to a compliance supervisor on the Assign Manager/Supervisor/RI page (enter additional details for a regulated individual only after this assignment). To assign an individual to a new manager or supervisor, use the Reassign RI (reassign regulated individual) page. Specify the regulated individual's classification on the Classification Status (regulated individual classification) page. If you are using development plans, enroll the individual in a development plan using the Development Record and Development Area pages. Regulated individual data such as professional compliance type, regulatory authority, and classification can change over time, and must be maintained on an ongoing basis.
(GBR) Other regulated individual data that you can view or enter as needed.	Use the References page to view references that the regulated individual provides. To keep track of prior work experience or compliance, view or enter this information on the Prior Work page.

Common Elements Used in This Chapter

Classification

Category that a regulatory authority uses to define individuals within the compliance process. The levels of classification can be simple or complex, reflecting various levels of compliance with the requirements for engaging in different kinds of professional activities. For example, an individual could be level 1 or level 3 compliant, or fully compliant, and each of these classifications could be associated with a different set of certification requirements.

Define classifications on the Classification page.

Professional Compliance Type

Groups of professionals who are subject to compliance requirements in your organization. For example, you can set up professional compliance types for financial advisor, engineering, and health and safety groups, each with it's own compliance requirements.

Define professional compliance types on the PC Type (professional compliance type) page.

Regulatory Authority

Body or organization that defines the compliance rules, standards, and regulations for certifying that individuals are qualified in a particular field.

Define regulatory authorities on the Regulatory Authority page.

Bringing Regulated Individuals into the Compliance Process

To bring regulated individuals into the compliance process, use the Professional Compliance Regulated Individual (PCMP_RI) component. Use the CI_PCMP_RI component interface to load data into the tables for this component.

This section provides overviews of the ways to bring individuals into the compliance process and PeopleSoft Integration Broker and discusses how to:

Set up automatic and manual entry.
Set up default compliance types.
Add regulated individuals to the compliance process.

Understanding the Ways to Bring Individuals into the Compliance Process

There are two ways to bring individuals into the compliance process:

Automatic entry during the Hire process.

Configure your system to bring individuals into the compliance process automatically by setting up a default compliance type for each job code on the Jobcode Compliance page. Then, when you hire someone with that job code using the Workforce Administration, Personal Information, Add a person menu, the system inserts a row into the Manage Professional Compliance tables for each default compliance type. Once you complete the hire process, access the Regulated Individual page and set the regulatory authority for each default compliance.
Manual entry.

To manually bring an employee or worker into the Manage Professional Compliance process, select the Workforce Monitoring, Professional Compliance, Maintain Program menu and set both the professional compliance type and regulatory authority.

Note. Both the manual and the automatic methods of entry are associated with workflow (notification) functionality to ensure that the next appropriate action is performed.

See Setting Up Notifications in Manage Professional Compliance Business Process.

Understanding PeopleSoft Integration Broker

To automatically enroll individuals in the compliance process, the system uses PeopleSoft Integration Broker. The Professional Compliance handler on the WORKFORCE_SYNC service operation selects all employee or worker job changes and performs the necessary inserts into Professional Compliance if the JOB.ACTION is HIR or ADD.

Pages Used to Bring Regulated Individuals into the Compliance Process

Page Name	Definition Name	Navigation	Usage
Jobcode Compliance	PCMP_JOBCODE	Workforce Monitoring, Professional Compliance, Define Compliance Information, Jobcode Compliance, Jobcode Compliance	Set up a default compliance type for each regulated individual who is hired through PeopleSoft HR.
RI (regulated individual)	PCMP_RI	Workforce Monitoring, Professional Compliance, Maintain Program, Enroll Regulated Individual-RI, RI	Add a regulated individual to the Professional Compliance process manually.

Setting Up Automatic and Manual Entry

To automatically add an individual during the hire process:

Set up a default compliance type for each individual by using the Jobcode Compliance page.
Hire an individual by using the Job Data component in Workforce Administration.
After hiring the individual, use the RI page to set the regulatory authority for each default compliance type.
Assign the regulated individual to a compliance supervisor on the Assign Manager/Supervisor/RI page.

To manually enter an individual:

Enter the individual by using the RI page.
Set the individual's regulatory authority and compliance type on the RI page.
Assign the regulated individual to a compliance supervisor on the Assign Manager/Supervisor/RI page.

Setting Up Default Compliance Types

Access the Jobcode Compliance page (Workforce Monitoring, Professional Compliance, Define Compliance Information, Jobcode Compliance, Jobcode Compliance).

Job Code

Displays the job code that is associated with the default compliance type at the time of hire.

Professional Compliance Type

Select the professional compliance type that you want to automatically associate with the job code that appears at the top of the page.

Define professional compliance types on the PC Type page.

See Also

Defining Professional Compliance Types

Adding Regulated Individuals to the Compliance Process

Access the RI page (Workforce Monitoring, Professional Compliance, Maintain Program, Enroll Regulated Individual-RI, RI).

Professional Compliance Type

Enter the professional compliance type for the individual whose identification appears at the top of the page. If you set up a default compliance type based on the individual's job code, the professional compliance type that appears in this field is the one that you defined as the default.

Regulatory Authority

Enter the regulatory authority that corresponds to the individual's professional compliance type.

Date Registered

Enter the date on which the individual was registered with the regulatory authority.

Assigning Regulated Individuals to Supervisors

In the Manage Professional Compliance business process, you assign regulated individuals to a compliance supervisor on the Assign Manager/Supervisor/RI page.

See Setting Up Manage Professional Compliance.

Defining Classifications of Regulated Individuals

In the Manage Professional Compliance business process, you define on the Classification page the classifications that a regulatory authority uses to specify a regulated individual's status. Then you apply classification to the individual to define the individual's compliance status.

This section discusses how to define classifications of regulated individuals.

Page Used to Define Classifications of Regulated Individuals

Page Name	Definition Name	Navigation	Usage
Classification Status	PCMP_RI_CLASS	Workforce Monitoring, Professional Compliance, Monitor Progress, Classification Status, Classification Status	Define a regulated individual's classification.

Defining Classifications of Regulated Individuals

Access the Classification Status page (Workforce Monitoring, Professional Compliance, Monitor Progress, Classification Status, Classification Status).

Enrolling Regulated Individuals in Development Plans

This section provides an overview of the process of enrolling individuals in development plans and discusses how to:

Create development records.
View and add development areas.

Understanding the Process of Enrolling Individuals in Development Plans

After you have assigned a supervisor to a regulated individual, and specified that individual's compliance classification, you can enroll the individual in a development plan.

To enroll an individual in a development plan, you:

Specify the ID of the individual whom you want to enroll in a development plan, on the Development Record page.

You should have already specified the individual's professional compliance type (using either the RI page or the Jobcode Compliance page), defined the individual's regulatory authority on the RI page, and entered the individual's classification on the Classification Status page.
Enter the creation date and expected completion date of the development plan.
Load a preexisting development plan with all of its associated development area elements on the Development Area page.

When creating development plans on the Development Plan page, you associate each plan (and its associated development area elements) with a professional compliance type and classification level. Therefore, you can automatically load all of the elements of the plan that is associated with the individual's classification, making them part of the person's development course.

Note. You can personalize or add new development areas to the default plan that you created for each classification level. To do this, you create new rows on the Development Record page.

If you need to tailor a default development plan to meet the needs of a specific regulated individual, you can add or subtract new development types and areas from the default plan on the Development Area page.

Pages Used to Enroll Regulated Individuals in Development Plans

Page Name	Definition Name	Navigation	Usage
Development Record	PCMP_RI_DEV_REC	Workforce Monitoring, Professional Compliance, Monitor Progress, Assign Development Plan, Development Record	Create development records.
Development Area	PCMP_RI_DEVAREA	Workforce Monitoring, Professional Compliance, Monitor Progress, Assign Development Plan, Development Area	View and add development areas that are associated with a default development plan.

Creating Development Records

Access the Development Record page (Workforce Monitoring, Professional Compliance, Monitor Progress, Assign Development Plan, Development Record).

EmplID

Displays the employee ID of the regulated individual whom you are enrolling in a development plan. This is the ID that you entered to access the page.

Development Record Details

Creation Date	Enter the date on which you enrolled the regulated individual in the development plan.
Expected Completion Date	Enter the expected completion date of the development plan.
Actual Completion Date	Displays the date that you entered in the Actual Completion Date field on the RI Dev Review (regulated individual development review) page.
Status	Displays the status that you entered on the RI Dev Review page. See Entering Development Review Details.

Viewing and Adding Development Areas

Access the Development Area page (Workforce Monitoring, Professional Compliance, Monitor Progress, Assign Development Plan, Development Area).

EmplID

Displays the employee ID of the regulated individual whom you are enrolling in a development plan. This is the ID that you entered to access the page.

Development Record Details

Creation Date

Displays the creation date that you entered on the Development Record page.

Load Development Plan

Click this button to load by default elements that are associated with the regulated individual's classification level.

When you created the development plan, you associated it (and its related development areas) with a professional compliance type and classification level. Now, you can automatically load all of the elements of the plan that is associated with the individual's classification, making them part of the individual's development course.

Development Area

Development Type	Select the kind of development element that makes up your development plan: Accomp (accomplishment), Activity, Competency, or Course.
Development Area	Enter the specific development element (within each development type) to include in your development plan.

Reassigning Regulated Individuals to New Compliance Managers or Supervisors

You initially assign regulated individuals to compliance managers or supervisors on the Assign Manager/Supervisor/RI page. When you need to reassign an individual to another manager or supervisor, you use the Reassign RI page.

This section discusses how to reassign regulated individuals.

Page Used to Reassign Regulated Individuals to New Compliance Managers or Supervisors

Page Name	Definition Name	Navigation	Usage
Reassign RI (reassign regulated individual)	RUN_CNTL_PCMP1	Workforce Monitoring, Professional Compliance, Maintain Program, Reassign RI, Reassign RI	Reassign regulated individuals to new compliance managers or supervisors.

Reassigning Regulated Individuals

Access the Reassign RI page (Workforce Monitoring, Professional Compliance, Maintain Program, Reassign RI, Reassign RI).

Reassignment Selection

Regulated Individuals

Select to assign a regulated individual to a new compliance manager or supervisor. When you select this option, perform the following actions:

In the Reassignment Option group box, specify whether you want to reassign a single individual to a new supervisor, or all individuals who belong to the current supervisor.
If you are reassigning a single individual, the Emplid field becomes available.

Enter an employee ID to identify the regulated individual whom you are reassigning.
If you are reassigning a single individual, the Regulatory Authority, Empl Rcd Nbr (employee record number), and Supervisor fields appear when you enter the individual's employee ID.

To assign the individual to a new supervisor, identify the specific job that you want to reassign (because there can be a different supervisor for each job). To do this, enter the regulatory authority governing the job; enter this job in the Empl Rcd Nbr field. The system displays the current supervisor for the job in the Supervisor field.
If you reassign all individuals under the care of a compliance supervisor, enter the compliance supervisor in the Supervisor field in the Reassignment Option group box.

(This field becomes available only if you select All Individuals.)
To complete the reassignment of a single individual, identify the new supervisor in the Supervisor field of the Reassign To group box.

(The Supervisor field becomes available when you select Regulated Individuals in the Reassignment Selection group box.)
To complete the reassignment of all individuals, identify the new supervisor in the Supervisor field of the Reassign To group box.
Run the reassignment process.

Compliance Supervisors

Select to place a compliance supervisor under the direction of a new compliance manager. When you select this option, perform the following actions:

In the Reassignment Option group box, select Single Individual to reassign a single supervisor to a new compliance manager, or select All Individuals to reassign all of the supervisors who belong to the current manager.
If you are reassigning a single individual, the Supervisor field in the Reassignment Option group box becomes available.

Use this field to identify the supervisor whom you want to reassign.
If you are reassigning all of the supervisors under the care of a compliance manager, enter the manager who is currently in charge of these supervisors in the Manager field in the Reassignment Option group box.

(This field is available only if you select All Individuals.)
To complete the reassignment of a single supervisor, enter the new compliance manager in the Manager field of the Reassign To group box.

(The Manager field becomes available when you select Compliance Supervisors as your reassignment selection.)
To complete the reassignment of all supervisors belonging to a compliance manager, enter the new compliance manager in the Manager field of the Reassign To group box.
Run the reassignment process.

(GBR) Reviewing References and Prior Work Experience

In the U.K., regulated individuals may be required to provide employers with references and describe their prior work experience. The Manage Professional Compliance business process retrieves this information from employee or worker application details that are entered in PeopleSoft HR and displays the information on the Reference Profile, Reference Address, and Prior Work Experience UK pages.

This section discusses how to:

Review reference profiles.
Review reference addresses.
Review prior work experience.

Pages Used to Review References and Prior Work Experience

Page Name	Definition Name	Navigation	Usage
Reference Profile	PCMP_RI_REFERENCE1	Workforce Monitoring, Professional Compliance, Review Compliance Information, References UK, Reference Profile	Review reference profiles.
Reference Address	PCMP_RI_REFERENCE2	Workforce Monitoring, Professional Compliance, Review Compliance Information, References UK, Reference Address	Review reference addresses.
Prior Work Experience UK	PCMP_RI_PREV	Workforce Monitoring, Professional Compliance, Monitor Progress, Prior Work Experience UK, Prior Work Experience UK	Review prior work experience and record the previous classification of a regulated individual.

Reviewing Reference Profiles

Access the Reference Profile page (Workforce Monitoring, Professional Compliance, Review Compliance Information, References UK, Reference Profile).

Use this page to review and edit reference profiles.

Reviewing Reference Addresses

Access the Reference Address page (Workforce Monitoring, Professional Compliance, Review Compliance Information, References UK, Reference Address).

Use this page to review and edit reference addresses.

Reviewing Prior Work Experience

Access the Prior Work Experience UK page (Workforce Monitoring, Professional Compliance, Monitor Progress, Prior Work Experience UK, Prior Work Experience UK).

This page displays the start and end dates of each prior position that the regulated individual held, previous employer's names and addresses, job title, and salary information. In addition, you can add compliance-specific information to the regulated individual's record, such as the previous classification level attained, reasons for leaving a position, and prior job descriptions.

Professional Compliance Type	Enter the professional compliance type for the individual whose identification appears at the top of the page. If you set up a default compliance type based on the individual's job code, the professional compliance type that appears in this field is the one that you defined as the default.
Regulatory Authority	Enter the regulatory authority that corresponds to the individual's professional compliance type.
Date Registered	Enter the date on which the individual was registered with the regulatory authority.