Setup Compliance Check Items (v1.04)

Created by Martin Parkinson, Modified on Tue, 23 Jul at 4:40 PM by Graeme Orchard

This article explains how to add and maintain compliance items in the database. Compliance items are mandatory items or documents required by candidates in order to work, and can be either warn or prevent bookings if not present.

Contents (Click an Item to Jump to that section)

TABLE OF CONTENTS

Overview & Change History
Explanation of Compliance Setup - (Candidate Only, Client Only, Candidate-Client Interdependent, Role Specific)
Adding a New Compliance Item
Compliance Types (A way to group multiple items)
Compliance screens
- Company [Compliance] Tab
- Candidate [Compliance] Tab
INFORMATION REGARDING SPECIAL COMPLIANCE CHECKS
- Setup
Controlling when Compliance Checks are Applied
Compliance checks set as N/A (Not Applicable) New May 2024
Changes to Compliance Expiry Checks for Contracts
Compliance Percentage displayed for Candidates and on Booking Suggestions
- Example
Reporting on Compliance Items - Compliance Filters from [Candidate]/[Company] workbench

Overview & Change History

Influence allows users to setup specific compliance documentation which may be required. This can be documents, visas, etc. that may be mandatory for a candidate, or could be specific documentation that is required by a company before it allows applicants to work on their premises.

Compliance items can also be internal checks or processes which need to be performed on either the candidate or client before they are allowed to be booked or make bookings.

Examples of candidate documentation include Criminal Record Checks, UK work visas, Passports driving licences, proof-of-Address, etc.
Examples of Client requested documents include First Aid Course, Safety Training documents, COSHH certificates, etc, or internal checks such as credit checks or contracts signed.

Examples of Requirements setup:

Candidate	Mandatory	Client	Mandatory	How it works.....
Y	-	-	-	Item is stored against the candidate,for reference only (not Enforced)
Y	Y (or W)	-	-	Item is stored and enforced. Item must be completed before worker can be placed. (Mandatory or Warning)
-	-	Y	-	Item is stored against client for reference only (not enforced)
-	-	Y	Y (or W)	Item is stored against client, and is enforced. Must be completed before workers can be placed. (Mandatory or Warning)
Y	-	Y	-	* Item is Candidate/Client inter-dependent, and shows on both records (Candidates/Clients). If it is TICKED on the client, then the candidate must have it in order to work at the client (i.e. It becomes mandatory)
Y	-	Y	Y (or W)	* Item is shown on the candidate and on the client. Similar to above, it is always mandatory for candidates to have the item in order to be booked at the client. If the item is not ticked on the client you will either be warned or blocked from taking any bookings at the client (Depending if it is W or Y) If ROLES are specified, then it becomes enforced only for the chosen roles.
Y	Y (or W)	Y	-
Y	Y (or W)	Y	Y (or W)	Same as above - Mandatory for candidates to have if booked to clients where it is ticked.
-	-	-	-	Item is not displayed or used - (only on the system perhaps for reference of old items which are no longer used)
Y	-	Y	-

* This can take account of ROLES. If the item has been linked to certain roles, then

Explanation of Compliance Setup - (Candidate Only, Client Only, Candidate-Client Interdependent, Role Specific)

Essentailly there are 4 ways an item might be setup; they are explained below.

1. Candidate Mandatory item.

If an item is set as mandatory for a candidate, then it would be required for the candidate, irrespective of the role or the client. A good example of this would be something like Right To Work (RTW) - which is always required.

This would be setup as below

For Candidate Y Mandatory Y Roles: -

For Client N Mandatory N

2. Candidate Mandatory, ROLE Specific.

If an item is set as mandatory for a candidate, and specific to SOME roles, then it would be required for the candidate to have this IF they are booked for one of the relevant roles, irrespective of the client. A good example of this might be a 'Driving Licence' which would be needed to be a VAN driver, or HGV Driver, but is not relevant to any other roles.

This would be setup as below

For Candidate Y Mandatory Y Roles: VAN, HGV

For Client N Mandatory N

3. Candidate/Client Dependant.

If an item is set as mandatory for a candidate, and relevant FOR a Client, then it means the item will be mandatory to go to some clients, but not others. (Irrespective of the role). A good example of this might be a 'BUPA' training course. It might be mandatory to have this to go to any 'BUPA' hospital ' for any role, but you could go to other sites without the need for this training.

To indicate which clients require this, go to the client record, choose the compliance tab, and TICK the item at the clients where it is required.

This would be setup as below

For Candidate Y Mandatory Y Roles: -

For Client Y Mandatory N

4. Candidate/Client Dependant, ROLE Specific.

If an item is set as mandatory for a candidate, and relevant FOR a Client, and restricted to certain ROLES, then it means the item will be mandatory for some Roles at some clients but not others. An example of this might be something like an Autism awareness course. Perhaps SOME clients require this for any RGN/RMN nurses sent there, whereas other clients are happy to accept RGNs/RMNs without this specific training.

To indicate which clients require this for these specific roles, go to the client record, choose the compliance tab, and TICK the item at the clients where it is required.

This would be setup as below

For Candidate Y Mandatory Y Roles: RGN, RMN

For Client Y Mandatory N

5. Client Mandatory item.

If an item is set as mandatory for a client, then it would be required for the client in order to make any bookings at the client. A good example of this would be something like Credit Checks or Signed Terms agreement - which is always required.

This would be setup as below

For Candidate N Mandatory N Roles: -

For Client Y Mandatory Y

As you can see, there are various ways to setup compliance, so that it gets enforced differently, depending upon the setup.

IMPORTANT
When setting up a compliance item as well as specifying if it is mandatory/Warning you must also specify when the items applies - For TEMP bookings, for PERM placements or for Contract placements.

See below for Example

NB: Some items may be applicable for Students only. If that is the case, you will need to tick the Student Only [ ] tickbox as well as at least 1 'type' to indicate this. The system looks at the Student [ ] tick box on the [Requires] tab of a worker to determine if they are a student or not.

ALSO...

IMPORTANT: If you assign a Compliance Type to a compliance item, then the item becomes 'Site Dependant' and will ONLY be checked at Companies which are set to require that Type of compliance.

(Influence note for Setup: Any mandatory checks can either be applied at MATCH stage or at PLACEMENT Stage – see Parameter Rec_C(27)

As well as the above element of the setup which determines where the documentation is seen, you can specify if any of the Mandatory requirements apply to TEMP Bookings, Contract vacancies or Permanent vacancies.

Change History

From Influence version 1.00.15.260 (or later) it is possible to setup Dependencies, so that certain compliance items can only be ticked once others have been completed.
Click HERE for more information on dependencies.

Versions after 1.00.16.209 allow users to filter the [Candidates] workbench using compliance items

Versions after 1.00.17.339 add the ability to specify individual USERS against a compliance item to determine of they can edit or approve (tick) those items.

After release 1.00.18.046 it is possible to assign a Compliance Type code to compliance items. You can find out more about Compliance Type codes HERE

From version 1.00.21.289 or later the number of STAGES for a compliance item has been extended from 10 stages (Max.) to 50 stages (Max.)

After release 1.00.22.101 (or later) it is possible to control Mandatory checks for Contract placements, so users can Start a contract even if their compliance expires partway through.

From release 1.00.22.139 (or later) it is possible to specify a 'grace period' (Warning days) for Mandatory items during which the item is a Warning rather than mandatory. The Grace period starts from the date of the first booking attempt.

Adding a New Compliance Item

To add a new compliance item select [Maintenance] > [Setup] > [Compliance Setup]
(on some older systems it is referred to as [Requirements Setup])

Once open, click the 'NEW' icon at the top left (looks like a sheet of paper), then enter a CODE into the requirement code field and press . You may then complete the rest of the items on-screen - use the information below for more detail about each item.

Sections: Details, Reporting, Default Notes

Tabs: Requirements, Job Codes, Dependants, Stages, Users

Note - from Influence version 1.00.15.260 it is possible to setup Dependencies, so that certain compliance items can only be ticked once others have been completed. Click HERE for more information on dependencies.

Details Section

Use this section to setup basic details about the compliance item such as the code, the name (description) the Group/Section and whether it applies to Candidates, Clients (or both) and whether it is Mandatory or not.

*Requirement Code*	A short code for the requirement, e.g. CC = Credit Check, DVL = Driving Lic.
*Description*	Description for the code.
*Group*	A group heading, used to keep similar codes together e.g. FIN – Financial Checks, EDU – Educational Checks, etc. You can add new groups by using the drop-down and selecting
*Sequence*	This is used to control the order that check codes appear within their group. e.g. CC – Credit Check Seq – 10 BR – BACS Received Check Seq – 30 FR – Financial References Seq – 20 Would appear in the order CC, FR, BR when viewed on the [Compliance] Tab of a candidate/client.
*On Candidate/Mand*	Does this apply to candidates? / Is it mandatory? YES, NO or WARN – warn will warn users, but let them carry on anyway. If Mandatory - [Warning days] is used for a 'Grace Period' (only after 1.00.22.131)
*Company / Mand*	Does this appear on companies? / Is it mandatory ? YES, NO or WARN – warn will warn users, but let them carry on anyway. If Mandatory - [Warning days] is used for a 'Grace Period' (only after 1.00.22.131)
*Type*	Used to control the ‘Type’ of requirement check. Certain checks can be linked to fields on the *Personal* tab of a candidate record, such as Driving License, Passport, Visa, Professional ID, etc. If they are linked, then the document reference number will be stored on the compliance document and automatically copied to the relevant field on the *Personal* tab of the candidate.
[Mode]	The mode button at the bottom left swaps between candidate/company compliance
*WFlow Checkpoint*	This allows you to specify at which point through your workflow process the check will be enforced (only applicable to Mandatory or Warn type items).

Note: There are special types for Reference Request & References. The Reference Request type will link to a Template document which can be maintained using Template Maintenance within the system.

Reporting Section

This is currently Work in progress.
In future it may allow emailing/notification of the various compliance checks to be sent to system users.

This section has no functionality at present.

Requirements Tab

Document

Indicates if a document is required and where it should be stored (Candidate/Company/Both)

Date Issued

Do you need to store/record an Issue date for this compliance check? (Can/Comp/Both)

Expiry Date

Do you need to store/record an expiry date for this compliance check? (Can/Comp/Both)

Report Days

How far in advance to warn of expired items when using the ‘Compliance’ workbench.

Note: If set to '0' the default report days period will be taken from the parameter REC C, Interger1 'Default Report Days for Compliance Items' by default is set to '30'

Ref. No

Do you need to store/record a Reference No. for this compliance check? (Can/Comp/Both)

For Temps

Does this check apply to TEMP bookings?

For Contracts

Does this check apply to Contract vacancy placements?(Only valid for Candidate Checks)

For Perms

Does this check apply to Permanent vacancy placements? (Only valid for Candidate Checks)

For Students

Does this check apply only to candidates marked as 'Student' ?
(Only valid for Candidate Checks)
[Candidates can be flagged as Students using the tick-box on the Requirments page of Candidate record.]

Past Experience

Does a candidate HAVE to have experience at the client before working there?
(At Company/At Branch/Booked by Agency/Not Required)

Experience As

To what type* of experience does this check apply?
E.g. D = Only Driversneed this document.

IMPORTANT >> This Must be set correctly otherwise the check may not be applied !

Allow Override

Is it possible to Override this check? [Change Pwd] allows you to set/change override pwd.

Jnl on Checked

When this compliance check has been completed should the system write a Journal?

Jnl Notes Call Type*

Allows a Journal note to be stored against the compliance check which is visible on the Candidate Compliance tab.

Text Colour

Indicates the colour of the text/highlight of the journal note.

Weblink

This will display a clickable web-link icon on the candidate compliance tab next to the item, and allow users to directly visit the specified web site.
(Could be external web page or even an intranet page) .

Compliance Type

This allows user to assign a Compliance type code to this item. This same compliance Type code can be recorded against a Client record to indicate that items with that code need to be checked.

Default Notes

some notes which will appear next to the compliance items when viewed on the candidate/company compliance tab.

* Experience As - Type

Within Codes Table Maintenance against Role Codes [903], the system stores some extra info against each Role Code, including Work Type. The same Work Type can be set against several Role codes and used determine which requirements checks should be applied to those roles.

This allows you to group-together sets of Role Codes and apply compliance checks to the whole set of Roles.

NB: The work type D is specifically reserved for Driving. There are additional features (such as WTD directive calculations and rest breaks) that are implemented for this specific work type. Do not use Work type D for anything other than driving.

Job Codes Tab

This tab allows users to specify particular Job Codes linked to the compliance item. If an item is Mandatory/Warnable it will only warn if the candidate is being booked into one of the specified jobs.

NOTE: From version 1.00.23.310 or later, it is possible to associate an item with ALL Job codes in a single click, using the
[All Codes] button at the bottom of the [Job Codes] tab.

Dependants Tab

This tab can be used to link compliance items together such that one item is dependant upon another. This allows for the building of complex structures

e.g. You might have a compliance item called "OK For Driving" which is setup so that it can only be ticked as Complete *if* you have Driving licence and DVLA Check items completed first.

Note: This is commonly used in Healthcare scenarios when working with NHS Framework. It is possible to setup a compliance item for "NHS Framework" and make this dependant upon a number of other compliance items being completed before a worker is allowed to be ticked as 'Framework' compliant.

Stages Tab

This tab allows users to define various stages related to a particular compliance item.
e.g. When processing a CRB (Criminal Records Bureau) check, it may be necessary to send the Pack to the candidate, receive it back, receive payment for the check, sent it to the CRB and receive the approval. These stages can be created and monitored.

It is possible to report how far through the process individuals are, e.g. 20%, 40%, 60% complete, etc. using the compliance area of the main workbench.

Stage 1 – The first stage for this compliance item.

Stage 2 – The second stage for this item.

Etc, etc.

Stage 10 – The 10^th stage for this compliance item.

From version 1.00.21.289 the number of stages has been increased from 10 to 50

It is possible to define at which stage (or higher) the item is treated as Complete and can be ticked off on the candidate record, using Complete at Stage [ ]

Users Tab (Only available after v1.00.17.339)

When creating a compliance item it is possible to select the [Users] tab and to specify which users are able to Edit/Amend a specific Compliance Item.

There are two levels of access available:

Full Access	The user can edit/amend the item and can TICK the item as complete
Update Only	The user can edit/amend the item but cannot tick it as complete.

As soon as you specify any users on the [Users] tab, this supersedes any setting made on the USER record of the person logged-in to the system.

ALSO - If no-one has been specified as Full Access then it means it is not possible for anyone to tick/complete the item. (If you attempt to set an item in this way you will be warned about this but can proceed with the setup if you wish.)

Compliance Types (A way to group multiple items)

Sometimes it is useful to have several compliance items which are required for some clients, but not others. For example in a medical environment there may be certain checks & compliance items required by all Private Hospitals, and other checks which are only applicable to NHS based organisation. Compliance Type codes provide a way to achieve this.

IMPORTANT: If you assign a Compliance Type to a compliance item, then the item becomes 'Site Dependant' and will ONLY be checked at Companies which are set to require that Type of compliance. ** IMPORTANT **

Click here to view the article about Compliance Types

WARNING: Please take care when using Compliance TYPES, as this will affect when the compliance item gets applied.
As soon as a compliance item is associated with a TYPE it will only be applied for bookings/placements at clients where that TYPE is applied.

Example:
In the example below, the compliance item CHK1 will only ever be enforced at a site that is using either CONS or MED as the 'Types' - it will never be applied at any other sites,

The screenshot below shows where you set the TYPE that is in-use at a client,using the

Compliance screens

Company [Compliance] Tab

Company records have a [Compliance] tab which will show the details of any compliance items which have been setup as relating to Companies.

In the example above, the 'Credit Check' item simply requires a tick ✅ whereas the 'Signed Terms of Business' item allows a document to be stored as well.

Candidate [Compliance] Tab

Within the candidate record there is a [Compliance] tab.

This shows the details of all the compliance items that have been setup as 'candidate' type items.

Items might require documents, Issue dates or expiry dates. they can be ticked to indicate they are complete.

New: From version 1.00.24.175 or later - Ability to add Multiple items to Attachment Buffer for easy Distribution

At the bottom left of the [Compliance] tab is a new paperclip icon. Upon pressing this, users can then choose from any of the stored compliance documents. The selected items will be added to the attachment buffer at the top of the screen. When selecting multiple documents they can either be added individually or bundled into a *.Zip file containing all the items.

See below for example of document(s) added to Attachment Buffer

INFORMATION REGARDING SPECIAL COMPLIANCE CHECKS

Some of the checks are specially integrated with the ‘Personal’ tab of the candidate record. These special checks are

Driver License
Passport
VISA
Professional ID
Reference
Reference Request

Setup

Candidate P Mandatory [ ] Type -choose the relevant type, e.g. Driver License, Passport, Visa, etc.

Document : Candidate Only
Date Issued : Candidate Only
Expiry Date : Candidate Only
Ref. Number : Candidate Only *

* This field gets written to the ‘Driving Lic’, Passport, Visa, etc. fields shown on the Personal tab of a candidate record.

See Example below.

Controlling when Compliance Checks are Applied

If a compliance check item has been created and flagged as Mandatory for the candidate, the system will use this to prevent users from placing that candidate. An item setup as Warning will warn the user.

It is imperative to setup details of when the check should be applied, otherwise it will not be applied at all.

See below: Be sure to choose 'when' the item will be enforced

For Temps	Will be enforced whenver a TEMP booking is made
For Perms	Will be enforced when making a Placement for a Permanent Vacancy {Use the WFlow Checkpoint to specify at which point through the workflow the check is enforced.}
For Contracts	Will be enforced when making a Placement for a Contract Vacancy {Use the WFlow Checkpoint to specify at which point through the workflow the check is enforced.}
For Students ONLY	Will only be enforced if the worker is marked as a Student. {This is recorded using the Student [ ] tickbox at the bottom left of the [Requires] tab of the candidate/worker record.

For items that have been marked as applicable for Perms or for Contracts:-

a) The system can apply the check at MATCH stage to prevent a candidate from being MATCHED to a job if the requirement is not met

b) The system can apply checks at PLACEMENT stage only; i.e. Candidates can be matched, but the system will not allow them to be PLACED until the requirements are met.

c) It is possible to use the W/Flow stage option when creating the Compliance item to determine at which stage through the process the checks are applied.

NOTE:

When deciding if these checks on Perms/Contracts apply at Match or Placment, this control is GLOBAL and will affect all requirement checks in the same way. It is controlled with Parameter REC_C, Flag(27). (Maintenance>Setup>Parameters parameter set Rec_C, Flag(27))

It is also possible to decide if compliance checks are applied to the workflow for TEMP type vacancies or not. This is controlled with parameter PAYROLL, Flag(46)

IMPORTANT: If you assign a Compliance Type to a compliance item, then the item becomes 'Site Dependant' and will ONLY be checked at Companies which are set to require that Type of compliance.

Compliance checks set as N/A (Not Applicable)
New May 2024

From version 1.00.24.105 or later, it is possible to set compliance items as N/A (Not Applicable)

NOTE: The ability to mark compliance items as N/A (Not Applicable) X is only available on Candidate Records. It is not possible to mark Client compliance items in this way.

On compliance setup, there is a new field "Allow NA". This is a dropdown with the options "No","Yes","With Journal","Reason and Journal".

To set an item to N/A, right click on the Checked column on the candidate compliance. The user will be asked if they would like to set as N/A (or Unset if already set).

If the Allow NA flag is set as Yes, then the item is marked as N/A - the traffic light in column 1 changes to a X. The text in the floatover on the traffic light "ITEM IS MARKED AS NOT APPLICABLE" is added to the text. If not yet set as N/A, then the text 'May be marked as "Not Applicable" by using right-click on checked column.

If Allow NA is set to Journal, then a journal is created, and if set for reason, then a prompt for a reason is given and that text (min 10 chars) is added to the journal.

The candidate RAG Report (Red/Amber/Green - compliance report) has been updated to show N/A items - coloured Yellow

Compliance Logic to allow specific test for N/A Items ("Checked" allows for Yes, No and N/A and N/A is always "Compliant")

Compliance Workbench takes N/A to mean the same as Compliant

Back to top

Changes to Compliance Expiry Checks for Contracts

From version 1.00.22.101 or later it is possible to change to the way Compliance item expiry dates are checked when placing workers into Contract positions.

For any Mandatory compliance items which have been setup it is now possible to set the system up as below:

Scenario	Result
Applicant has Compliance items which expire before the contract starts:	Candidate cannot be placed.
Applicant has compliance items which expire after the contract ends	No problem - Candidate can be placed
Applicant has compliance items which expire less than XX days after the start of the contract (Where XX are the 'Reporting Days' for the item)	Candidate cannot be placed, since there may not be enough time to get a new/valid item.
Applicant has compliance items which expire more than XX days after the start of the contract (Where XX are the 'Reporting Days' for the Compliance item)	Users will be warned that the item expires during the course of the contract, but will be allowed to place the worker.

The new checking process can be activated with Parameter RecD, Flag(35) - Contract Cmpl Warn only if expiry after start

Compliance Percentage displayed for Candidates and on Booking Suggestions

When viewing a candidate record, the [Tab] for compliance will now display a percentage for how 'complete' the Mandatory* compliance items are, based upon their Current Role.

(*This can either be Mandatory, or Mandatory + Warnable, based on a parameter setting)

e.g.

In the example above the worker has a current role of HGV Driver and has 3 of the 4 mandatory items completed, and hence they are 75% compliant. (The 5th item is only needed for Chef, and he is not a chef.)

In a similar way when using the [Suggest] button in the booking entry form will show the Compliance % for any suggested workers for the Requested Role.

NOTE: When calculating the compliance % the system can be configured to take account of purely Mandatory items both Mandatory & Warnable items. This is controlled with parameter RECD, Flag (32/33) and in the case of Bookings the system will also check if the compliance items which are applicable to "TEMP" bookings.

NOTE: This specially calculated Role-Specific %age can be seen on the [TAB] name, or the Booking Suggestions only. It cannot be added as a column/field to the [Candidate] workbench.

Additionally: There is a column labelled Comp% which can be added to the [Candidates] / [Workers] workbench, but this calculates the 'Overall' compliance and takes into account ALL compliance items (Mandatory + Warnable)
e.g. If there are 20 Warnable items, and 4 Mandatory items, someone with any 6 of these completed would have Comp% of 25% even though they may be 100% compliant for a particular Role.

IMPORTANT: This ONLY affects the percentage viewed on the workbench; When workers are SUGGESTED for a Role in the Booking Entry screen, the system will display their completion %age For the Role you are trying to book.

Example

As an example, imagine a system setup such that;-

- The compliance items, RTW (Right to Work), PID (Proof of ID), and NI (Nat. Ins No.,) are set as mandatory for ALL workers.

- Electricians have items of HVT (High Voltage Training) and CPEC (Cert. of Electrical Competence), that are mandatory for their Role.

- Plumbers have items that are mandatory for their role; WCC (Water Compliance Certificate), PMWC (Pressurised Mains Water Certification), and NWC (National Water Scheme)

Overall, there are 8 Items that are Mandatory.

3 Items are mandatory for EVERYONE

2 Additional Items are Mandatory for ELECTRICIANS

3 Additional Items are Mandatory for PLUMBERS

If I had addeded the 'Compliance %' field to the Workbench (not recommnded) - it would show as follows.

For someone whose main role is 'Receptionist' and has the 3 'Everyone' items: 37.5% (i.e. 3 of 8)

For an electrician with the 3 main items, and the 2 electrical items: 62.5% (i.e. 5 out of 8)

For a Plumber with the 3 main items and the 3 plumbing items: 75% (i.e. 6 out of 8)

For a "Multi-skilled" worker who is able to do plumbing and Electrics, they might have all 8 items (3 Main items, 2 Electrical items and 3 Plumbing items) : 100% (i.e. All 8 of 8 items)

NOTE: >>> If you are SEARCHING for a worker or looking at Suggestions, then the electrician would show as '100%' when being SUGGESTED for an electrician Job ... See below

Reporting on Compliance Items - Compliance Filters from [Candidate]/[Company] workbench

It is possible to report on these compliance items directly from the candidate workbench.

At the top of the workbench there is a [Compliance [...]] filter that can be used. You can query the system to find candidates with particular compliance items,

When creating these compliance checks, you can define up to 99 critiera, which can then be combined into a query using the [Logic Line] at the bottom of the screen.

From release 1.00.24.045 (or later) it is possible to give the filter a name, and it can then be saved for future use.

Saved Compliance filters will appear at the left-hand side of the workbench.