This chapter provides an overview of inquiry pages and discusses how to:
View regulated individual data for supervisors.
View regulated individual data for managers.
The Manage Professional Compliance business process includes several different groups of inquiry pages. One group provides supervisors and managers (super users) with information that the monitoring process generates about regulated individuals:
Review history
Observation history
Check history
Other inquiry pages give managers and supervisors access to additional information about regulated individuals:
Development status (separate manager and supervisor views).
Recertification status and requirements (separate manager and supervisor views).
Information about regulated individuals without assigned supervisors (manager view only).
Some inquiry pages enable supervisors to view information related only to the individuals who are under their supervision. Other pages are accessible only to managers, and enables them to view the status of all regulated individuals in a business unit, regardless of who supervises them.
Supervisors can view the following information about the regulated individuals under their supervision:
Status (RI Status page).
Review history (RI Review History page).
Observation history (RI Observation History page).
Checks history (RI Checks History page).
Recertifications (RI Re-Certifications page).
Managers can view the following information about all regulated individuals:
Unassigned RIs (Unassigned RIs page).
Status (Admin RI Status page).
Recertifications (RIAdmin Re-Certs page).
Note. Access to inquiry and other pages is determined by role. A compliance supervisor who does not have the Professional Compliance Admin (professional compliance administrator) role can use only the supervisor inquiry pages to view information about regulated individuals for whom the supervisor is responsible. A manager with the same role can view information about all regulated individuals on the manager inquiry pages and can access supervisor pages (as long as the manager is assigned to the Professional Compliance role).
See Also
PeopleTools 8.52: Security Administration PeopleBook
Monitoring Regulated Individuals
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 its own compliance requirements. Define professional compliance types on the PC 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. |
See Also
Working with System Data Regulation in HCM
This section discusses how to:
View development status.
View review history.
View observation history.
View check history.
View recertification status.
Access the RI Status page (Workforce Monitoring, Professional Compliance, Review Compliance Information, RI Status, RI Status).
Name Tab
Displays the employee ID, employee record number, name, and effective date of the employee.
Regulatory Authority Tab
Displays the professional compliance type and regulatory authority of the employee.
Classification Tab
Displays the classification of the individual whose record you are reviewing.
See Also
Setting Up Manage Professional Compliance
Access the RI Review History page (Workforce Monitoring, Professional Compliance, Review Compliance Information, RI Review History, RI Review History).
Creation Date |
Displays the creation date of the regulated individual's development plan that you entered on the Development Record page. |
Expected Completion Date |
Displays the expected completion date of the regulated individual's development plan that you entered on the Development Record page. |
Actual Completion Date |
Displays the actual completion date of the regulated individual's development plan that you entered on the RI Dev Review page. |
Status |
Displays the regulated individual's status relative to the development goals in the individual's development plan that you entered on the RI Dev Review page. |
See Also
Monitoring Regulated Individuals
Entering and Maintaining Regulated Individual Data
Access the RI Observation History page (Workforce Monitoring, Professional Compliance, Review Compliance Information, RI Observation History, RI Observation History).
Observation Date |
Displays the date of the observation that you entered on the RI Observation page. |
Observation Model |
Displays the observation model that you specified on the RI Observation page. |
Status |
Displays the regulated individual's status relative to the observation that you defined on the RI Observation page. |
See Also
Monitoring Regulated Individuals
Access the RI Checks History page (Workforce Monitoring, Professional Compliance, Review Compliance Information, RI Checks History, RI Checks History).
Check Type |
Displays the type of check that you are performing against the regulated individual. You entered this check type on the RI Check page. |
Check Date |
Displays the date on which you performed the check. |
Status |
Displays the regulated individual's status relative to the check being performed. You entered this status on the RI Checks History page. |
See Also
Monitoring Regulated Individuals
Access the RI Re-Certifications page (Workforce Monitoring, Professional Compliance, Review Compliance Information, RI Re-Certifications, RI Re-Certifications).
Name Tab
Displays the employee ID, name, and business unit of the regulated individual whose recertification status you are viewing.
Re-Certification Tab
Displays the regulated individual's employee ID, development area, accomplishment (license or certificate), and expiration date. You must previously define the accomplishment that appears here on the Licenses and Certificates page. The expiration date of the accomplishment is the expiration date that you entered for the individual on the Licenses and Certificates page.
Important! Define the accomplishments that you want to use in the Manage Professional Compliance business process in Administer Training or Manage Profiles.
See Also
PeopleSoft HR 9.1 PeopleBook: Administer Training
Setting Up Notifications in Manage Professional Compliance Business Process
This section discusses how to identify unassigned regulated individuals.
Access the Unassigned RIs page (Workforce Monitoring, Professional Compliance, Review Compliance Information, Unassigned RIs, Unassigned RIs).
Name Tab
Displays the employee IDs, employee record numbers, and names of unassigned individuals.
Regulatory Authority Tab
Displays the employee IDs, employee record numbers, professional compliance types, and regulatory authorities of unassigned individuals.
Note. Ideally, this inquiry should return no rows. If it does, assign the unassigned regulated individuals who are identified here to a regulatory authority and a compliance supervisor.