Understanding Inquiry Pages

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).

For more information, see your PeopleTools: Security Administration product documentation.

Field or Control

Definition
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.