Understanding Manage Professional Compliance Business Processes

The Manage Professional Compliance business process can be divided into four main levels:

• Regulatory authority

  This is the body or organization that defines the compliance rules, standards, and regulations for certifying that individuals are qualified in a particular field. The regulatory authority does not have to be defined as an external organization, but it can be set up for use with compliance models that are entirely internal to a company.

• Classifications

  Classifications are the different categories 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 professional activities. For example, an individual could be level one or level two compliant, classified as competent, or classified as a supervisor or a manager, and each of these classifications could be associated with a different set of certification requirements.

• Regulated individuals (RIs)

  RIs are the workers within a company who are involved in the compliance process.

• Professional development

  The compliance process concerns individuals obtaining minimum standards of competence to attain a classification level. To obtain these standards, individuals undergo a process of professional development, which may include coursework, testing, mandatory periods of supervision followed by performance reviews, and so forth.

This diagram provides an overview of the Manage Professional Compliance structure:

Image: Overview of the Manage Professional Compliance Structure

This diagram provides an overview of the Manage Professional Compliance structure.

The following diagram illustrates tools and techniques for promoting professional compliance:

Image: Manage Professional Compliance Tools

This diagram illustrates tools and techniques for promoting professional compliance

The Manage Professional Compliance business process includes the following tools:

• Development plans

  Regulated individuals typically achieve minimum standards of competence by following a development plan. A development plan can include coursework, testing, self-study, and other activities. The Manage Professional Compliance business process enables you to define and assemble all the necessary elements of a development plan for each classification level and category of professionals in your company so that your workforce can move successfully toward certification.

• Monitoring

  PeopleSoft provides you with monitoring tools that you can use to promote professional compliance goals and determine whether your workforce is meeting compliance requirements. Monitoring consists of these elements:

  • Reviews

    Reviews are directly associated with development plans and are intended to measure groups and individuals against the elements of a plan.

  • Observations

    The purpose of observations is to ensure that an individual follows a certain predefined process, either within the working environment or while the individual is with a client.

  • Key performance indicators (KPIs)

    KPIs are a means of monitoring the regulated individual's performance against predetermined standards.

  • Checks

    Checks enable you to define background checks for regulated workers and to monitor compliance with these checks.

  • Reports

    Reports provide compliance managers and supervisors with information that they need to assess the progress of regulated individuals.

  • Notifications

    Notifications are used to alert compliance managers and supervisors of time-critical actions that they must take at different points in the compliance process.

  • Self-service

    Self-service pages for professional compliance transactions are available through PeopleSoft eDevelopment. These pages provide you with easy access to tools and information that you need to manage your workforce and provide your workers with critical information related to their professional compliance status.

    Self-service pages for managers and supervisors enable them to view the status of regulated individuals and to perform such actions as completing development reviews, entering observations, and completing KPI reviews.

    Self-service pages for regulated individuals enable them to view details of their development plans, development reviews, observations, and KPI reviews.