Understanding Professional Compliance

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

With Manage Professional Compliance, you can:

  1. Define the certification requirements established by a regulatory authority.

  2. 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.

  3. Assign regulated individuals to compliance managers/supervisors.

  4. Enroll regulated individuals in development plans designed to help individuals obtain a level of competence to attain a specified classification.

  5. 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.