PeopleSoft HR 9.1 PeopleBook: Manage Professional Compliance

Setting Up Notifications in Manage Professional Compliance Business Process

This chapter provides an overview of notifications in the Manage Professional Compliance business process and discusses how to set up notifications.

Understanding Notifications in the Manage Professional Compliance Business Process

Manager and supervisors who are in charge of bringing workers into compliance with professional certification requirements are often required to take time-critical actions—for example, when a company hires an individual and assigns the individual to a development plan, the supervisor may need to register that person with the regulatory authority that is responsible for certifying members of the individual's professional group. For this reason, PeopleSoft built a flexible form of notification into the Manage Professional Compliance process, which includes workflow so that the system can inform managers and supervisors of any critical actions that they must take.

Notifications in Manage Professional Compliance are associated with six activities and processes:

Hire.

When you add an individual to the Manage Professional Compliance process using Workforce Administration, Personal Information, Add a person, you can set up the system to inform the general supervisor of any actions that they may need to take related to professional compliance.
RI add (regulated individual add).

When you bring an individual into the professional compliance process manually (rather than through the Add a Person option in the Workforce Administration, Personal Information menu), you can set up the system to inform the individual's supervisor of subsequent actions that they may need to take.
Classification change.

When you reclassify an individual in the Manage Professional Compliance process (that is, when you change the individual's classification type from noncompliant to compliant, or from level 1 compliant to level 2 compliant, and so on), you can set up the system to inform you of any subsequent actions that you may need to take.
Job change.

You can set up the system to notify you of any actions that you need to take in response to a job change. For example, you may need to enroll the employee in a different development plan that is suited to the new position.
Termination.

You can set up the system to notify you of any actions you may need to take when an employee leaves the company. For example, you may need to inform the regulatory authority that certifies members of the employee's professional group that the employee has been terminated.
Recertification.

You can set up the system to notify you of any actions that you need to take to recertify individuals when a prior certification is about to expire.

Identifying Notification Formats and Messages

This section discusses how to identify notification formats and messages.

A notification is an email message that can consist of the three elements:

Message text
Action line
Time requirement

Although these components are optional, notifications are most effective when they combine all three. Because notifications take the form of email messages, it is important that the message audience (supervisors, compliance supervisors, and compliance managers) have valid email addresses set up within their user profiles. Also, workflow must be activated for each employee and for the system in general.

Notice that the Hire check box is selected, indicating that the notification message, action and time limits shown in the exhibit should appear in a notification to a new hire.

The format of a notification message and a resultant sample email is shown in this table:

Message Line	Message Format
One	EmplID; Name; Professional Compliance Type
Two	Message: notification text message
Three	Action: notification action text
Four	Time limit (days) : action time limit

Setting Up Notifications

To set up notifications, use the Compliance Type (PCMP_TYPE), Regulatory Authority (PCMP_REG_AUTH), and Notify Re-Certifications (PCMP_RECERT_AE) components. Use the CI_PCMP_JOBCHG, CI_PCMP_JOBTER, and CI_PCMP_RECERT component interfaces to load data into the tables for the notification components.

This section discusses how to:

Create a hire notification.
Create an RI add notification.
Create a classification change notification.
Create a job change notification.
Create a termination notification.
Create a recertification notification.

Note. Because all notification pages are the same except those used to create recertification notices, the only pages that this section discusses are related to recertification.

Pages Used to Set Up Notifications

Page Name	Definition Name	Navigation	Usage
Compliance Type - Notification	PCMP_TYPE_NOTIFY	Set Up HRMS, Product Related, Workforce Monitoring, Professional Compliance, Compliance Type, Notification	Create a hire notification.
Regulatory Authority - Notifications	PCMP_REGAUTH_NOTIF	Set Up HRMS, Product Related, Workforce Monitoring, Professional Compliance, Regulatory Authority, Notifications	Create the following notifications: RI add, classification change, job change, or termination.
Admin Re-Certs (administer recertification)	PCMP_RECERT_AE	Workforce Monitoring, Professional Compliance, Monitor Progress, Notify Re-Certifications, Admin Re-Certs	Create a recertification notification.

Creating a Hire Notification

Access the Compliance Type - Notification page (Set Up HRMS, Product Related, Workforce Monitoring, Professional Compliance, Compliance Type, Notification).

During the hire process in the Administer Workforce business process, a check is made to see if there are any default professional compliance types associated with the job code of the employee or non-employee who is being hired. This check is carried out within the Professional Compliance handler on the WORKFORCE_SYNC service operation, which is associated with changes to the JOB record. If the action is set to HIR or ADD, and default professional compliance types are associated with the job code, then the employee/non-employee is added to the Manage Professional Compliance process.

Note. At this point in the process, a regulatory authority has not been entered, nor has the regulated individual been assigned to a compliance supervisor. For this reason, hire notifications are not sent to compliance supervisors, but to the employee's general supervisor, as defined on the JOB - Work Location page. The system creates an entry in the general supervisor's worklist including navigation to the RI page so that the supervisor can enter a regulatory authority. Then, a compliance supervisor can be assigned to the regulated individual.

Hire notifications use the [Role] Supervisor-No Posn Mgt role query to determine the supervisor of the employee/non-employee. Alternative role queries can be substituted, such as [Role] Full Posn Mgt if, for example, position management is used.

Creating an RI Add Notification

Access the Regulatory Authority - Notifications page (Set Up HRMS, Product Related, Workforce Monitoring, Professional Compliance, Regulatory Authority, Notifications).

When you manually add a regulated individual to the Manage Professional Compliance business process (as opposed to the hire process), the professional compliance type and regulatory authority are entered, but no assignment to a compliance supervisor has been made. For this reason, RI add notifications are not sent to compliance supervisors, but to the employee's general supervisor, as defined on the JOB - Work Location page with an appropriate message so that the individual can be assigned to a compliance supervisor.

Entering Job Information

Creating a Classification Change Notification

Access the Regulatory Authority - Notifications page (Set Up HRMS, Product Related, Workforce Monitoring, Professional Compliance, Regulatory Authority, Notifications).

During a classification change, the regulated individual is already within the Manage Professional Compliance process and assigned to a compliance supervisor. When you create a classification change notification, the system sends an email that informs the compliance supervisor of the new classification, so that the supervisor can take appropriate action.

Creating a Job Change Notification

Access the Regulatory Authority - Notifications page (Set Up HRMS, Product Related, Workforce Monitoring, Professional Compliance, Regulatory Authority, Notifications).

When a regulated individual changes jobs, the individual is already within the Manage Professional Compliance process and assigned to a compliance supervisor. When you create a job change notification, the system sends an email that informs the compliance supervisor of the change, so that the supervisor can take appropriate action.

Note. Make job changes in the JOB component of Administer Workforce. When a regulated individual changes jobs, the Professional Compliance handler on the WORKFORCE_SYNC service operation initiates notification based on the POS and XFR Action settings.

See Also

Changing Job Data

Creating a Termination Notification

Access the Regulatory Authority - Notifications page (Set Up HRMS, Product Related, Workforce Monitoring, Professional Compliance, Regulatory Authority, Notifications).

Upon termination or retirement, the regulated individual must be deactivated within the Manage Professional Compliance process. Historical information is not removed from the system, but retained for all regulated individuals. When you create a notification, an email is sent to the compliance supervisor, and an entry is made in that person's worklist including navigation to the Assign Manager/Supervisor/RI page so that the supervisor can set the regulated individual's status to Inactive.

Note. Make terminations in the JOB component of Administer Workforce. When a regulated individual is terminated or retires, the Professional Compliance handler on the WORKFORCE_SYNC service operation initiates notification based on the TDL, TER, TWB, and TWP Action settings.

Changing Job Data

Creating a Recertification Notification

Access the Admin Re-Certs page (Workforce Monitoring, Professional Compliance, Monitor Progress, Notify Re-Certifications, Admin Re-Certs).

This page enables you to generate an email notification of upcoming or lapsed recertification dates (if any) for regulated individuals within a specific business unit. You cannot configure or modify the message text of a recertification notice.

To create a recertification notification, run the Notify Recertification process from the Admin Re-Certs page.

The recertification process can be broken into two steps:

The system searches through the Licenses and Certificates table for the expiration dates of the licenses and certificates (accomplishments) that each regulated individual holds.
Manage Professional Compliance references the data on upcoming or lapsed recertification dates and sends it to the compliance manager or supervisor in the form of an email message.

Business Unit	Displays the business unit for which you want to generate recertification data for regulated individuals.
To Date	Enter the date up to which you want to generate data on upcoming or lapsed recertification requirements. No recertification requirement following this date will be reported.

Note. As a compliance manager or supervisor, you can also view upcoming or lapsed recertification dates (if any) for regulated individuals on the Re-Certification tab of the RI Re-Certifications page.