HR: Compliance Tracker By Employee

Security

The HR Employee Compliance Tracker screen has its own Security Group, HR Compliance Tracker By Employee.

The HR Employee Compliance Tracker screen is part of the HR ALL Security Group.

Tip:  For more information see Security Groups Overview and Security Groups By Module.

Employee Number

Type the Employee Number, or use the Lookup to locate the Employee Number.

Hire Date

Displays the Hire Date of the employee from the Employee Master File.

Primary Job

Displays the Primary Job site of the employee from the Employee Master File.

Filter Criteria button

Click the Filter Criteria button to show/hide the filter criteria.

From and To

Use the Date Range fields to limit the Compliance Tracker records that display on this screen by Calculated Due Date.

The From field defaults to blank so that it shows all outstanding items in descending order. To modify this, type the date in MMDDYY format, or use the Date Control to select a date.

By default, the To date will be the last day of the next month. The From date will default to blank so that it shows all outstanding items.

Classification

Select to filter by the employee’s Classification assigned on the Employee Master File (General tab) screen. The Compliance Codes for this Classification display in the Not Done and Completed areas of the Compliance Tracker screen.

Note:  If an employee is completing requirements for a different Classification, you must select the new Classification from the list to view its Compliance Codes.

If you change the Classification on this screen, the system does not change the Classification on the Employee Master File screen.

Double-click in the Classifications field to display the Classifications screen.

Employee Types

Select to filter by Employee Types.

Double-click to open the Employee Types add/edit list.

Job Number

Select to filter by Jobs. Use the Lookup to locate the Job Number.

TK Jobs

Select to filter by Timekeeping Jobs for a specified number of weeks. The # of weeks will default to 4, but it can be modified.

PS Posts

Select to filter by Personnel Scheduling Posts for a specified number of weeks. The # of weeks will default to 4, but it can be modified.

Posts

The Job Number filter check box must be selected and a Job Number specified in order to filter by Posts.

Select to filter by Posts.

Groups

Select to filter by Compliance Tracking Groups.

Codes

Select to filter by Compliance Codes. Use the Lookup to locate the Compliance Code.

Filter arrows

Use the filter arrows to expand/collapse the Not Done and Completed grids.

Refresh button (ALT + R)

Click the Refresh button after changing filtering criteria to refresh the grids.

When you select a criteria check box, but fail to enter a selection, a message displays prompting an entry to be made for the selected criteria.

Open grid

The Open grid lists all Compliance Codes to be completed by this employee for the specified Date Range of Calculated Due Dates. It displays Codes 2 years out from today's date. Codes more than 2 years out will display in the License/Expiration Report.

Only the Completed check box may be edited. The rest of the columns (Description, Mandatory, Calculated Due Date, Frequency Description, Date Based, and Performed By) are read-only.

Completed

Select the Completed check box when the employee completes the corresponding Compliance Code. The system moves the record from the Open grid to the Closed grid, and the Date Closed field defaults to the current date.

If marking as "Completed", a Closed Date is required.

Skipped

Select to mark the item as skipped. This will move the item into the Closed grid.

Description

Displays the Description for the Compliance Code from the Compliance Tracking Code.

Mandatory

Displays the Mandatory option (Yes if check box is selected or No if check box is clear) from the Compliance Tracking Code.

Calculated Due Date

Displays the Calculated Due Date based on the selections on the Compliance Tracking Code. The Calculated Due Date is derived from the Due Dates Based On and Days Until Due fields.

Frequency Description

Displays the Frequency from the Compliance Tracking Code.

Date Based

Displays the Due Dates Based On option from the Compliance Tracking Code.

Performed By

Displays the Performed By option from the Compliance Tracking Code.

Closed grid

The Closed grid lists the Compliance Codes completed by this employee for the selected Classification. The completed Compliance Codes originate in the Open grid and move to the Closed grid when you select the Completed or Skipped check box.

Compliance Codes can also be entered manually by clicking the icon.

You can modify all fields in the Closed grid, with the exception of the User Added field.

Compliance Description

Select the Compliance Description, or use the Lookup to locate the Compliance Code, for this completed item. If needed, you can select a Compliance Code that is not associated with the current Classification.

Double-click in the Compliance Description cell to open the Compliance Tracking Code record.

Due Date

Displays the Due Date for this Compliance Code.

If this item originated in the Not Done grid, the Due Date defaults to the date from the Calculated Due Date field.

If you are entering a new completed Compliance Code, manually enter the Due Date.

The Due Date will equal the Life Cycle start date if the License Due date was before that date so it still shows as not done.

Date Closed

Date Completed

Displays the date the employee completed this Compliance Code.

For items from the Open grid, the Date Closed defaults to the system date when you select the Completed check box.

If you are entering a new completed Compliance Code, manually enter the Date Closed.

Skipped

Skipped items will move into this grid with the check box selected.

Select the Skipped check box to mark Compliance Codes from the Not Done grid that this employee will not complete.

To mark a Compliance Code as Skipped, first mark it Completed in the Not Done grid, which moves it to the Completed grid, then select the Skipped check box.

Score

Enter a score associated with this completed Compliance Code, if applicable. The Score value will display up to a 5-digit value.

Image File Path

Specify the file path of the scanned image of a document associated with the Compliance Code (license, test, etc).

Completion Notes

Enter any notes pertaining to the completion of this Compliance Code. If you enter more than one line of information, the system automatically wraps the lines of information for you. To start a new line or paragraph, press Ctrl + Enter.

User Added

Displays whether this completed Compliance Code was manually entered or added from the Not Done grid in the User Added field.

'Yes' indicates that a user manually entered the completed Compliance Code.

'No' indicates that the completed Compliance Code was added by selecting the Completed check box in the Not Done grid.

External Code used for LMS Integration (Web Services)

This is a read-only column and displays an LMS External Code from the csv import file (if added).

System Notes

Display what was changed, by whom, and when.

License Stages Summary

License Stage	Notes
Pending Initial	The employee has applied for the license and the employer is willing to allow the employee to work during the approval process (even though the license has not been officially issued). A Date Applied must be entered to determine when the re-approved period begins. The Pending Date is automatically set based on the Max Pending Days Allowed setting on the Compliance Tracking Codes window. The Pending Initial license stage can only be used when the Allow Use While Pending Agency Approval check box is selected for the compliance code on the Compliance Tracking Codes window. When the Allow Use While Pending Agency Approval check box is selected for the compliance code on the Compliance Tracking Codes window: The system calculates the Pending Date automatically using the value from the Max Pending Days Allowed field and the Date Applied. The Pending Date can be manually updated to any date less than the maximum period. A warning message displays if an entry exceeds the maximum pending days allowed. The Expiration Date, Extension Date, and Date Revoked field are blank and not available.
Issued	The license has been issued to the employee and it has a known Expiration Date. A license stage must be manually set to Issued and an Expiration Date must be manually entered. The Expiration Date must be later than today's date. When the license stage is set to Issued, the system automatically clears the Pending Date field.
Expired	The license is no longer valid.
In Renewal	The license has expired and is up for renewal. The employer is willing to allow the employee to work for a set amount of time during the renewal process. The In Renewal license stage can only be used when the License Extensions option has been updated from the default and is not set to Not Allowed for the compliance code on the Compliance Tracking Codes window. Select this license stage after there is confirmation the renewal process has been initiated. Depending on the timing of the notification, the stage is moved from either the Issued or Expired license stage. Both the Date Applied and the Extension Date are required fields for this stage.
Revoked	This stage applies when the license has been repealed by the issuing agency and the employee does not qualify to work jobs requiring this compliance code. The Revoked license stage cannot be used if the Allow Revoked check box is not selected for the compliance code on the Compliance Tracking Codes window. When the Allow Revoked check box is selected for the compliance code on the Compliance Tracking Codes window the Date Revoked is a required field. When the license stage is changed from Revoked to Issued: The Date Revoked is cleared with the previous date The Expiration Date is required Status is required Pending Initial cannot be selected after the compliance code has been set to Revoked unless the compliance code has been setup to allow a pending license–in this scenario all license stages are allowed. The user must have the required security to change a code from Revoked to another License Stage.

Allowed License Stages

License Stage	Can Be Moved To
Pending Initial	Issued Revoked
Issued	Expired In Renewal Revoked
Expired	In Renewal Issued Revoked
In Renewal	Issued Expired Revoked
Revoked	In Renewal Issued
Note:  A message box displays if a stage that is not allowed for a compliance code is selected to remind the user that stage is not allowed. Also, the user must have the required security to change a code from Revoked to another License Stage.

License Stages and Date Fields

License Stage	Date Applied	Pending Date	Expiration Date	Date Revoked	Extension Date
Pending Initial	Required	Calculated-No Entry	Blank-No Entry	Blank-No Entry	Blank-No Entry
Issued	Optional	Blank-No Entry	Required	Blank-No Entry	Blank-No Entry
Expired	Optional	Blank-No Entry	Required	Blank-No Entry	Optional-Not Cleared
In Renewal	Required	Blank-No Entry	Required	Blank-No Entry	Required-Calculated or Manual Entry
Revoked	Optional-Not Cleared	Blank-No Entry	Optional-Not Cleared	Required	Optional-Not Cleared

Only those Compliance Codes that are based on License / Expiration Date display in this tab.

License / Expiration Date based codes are different from the other Compliance Codes in that:

Typically, only when an employee completes a Compliance Code, a new record is added to the Completed grid.

• For Licenses, the user will add a record before it is completed, so the Expiration Date can be entered.
• Also, the Expiration Date is simply updated, instead of creating a new “Completed” record.

These codes are not available when using the HR: Employee Compliance Tracker Quick Entry feature.

Compliance Description

Use the Description field to view or select the Compliance Description. Only Codes that are based on License / Expiration Date display in this list.

Expiration Date

Use the Expiration Date field to enter a date when this Code expires. You do not mark a License / Expiration based Code as completed, instead you just update the Expiration Date. The Expiration Date does not create a "Completed" record.

Remember: License / Expiration Date based Codes DO display in the Not Done grid on the Compliance Codes tab, but are read-only.

License Number

Use the License Number field to enter an License Number associated with this Compliance Code, if one applies.

Score

Use the Score field to enter a score associated with this Compliance Code, if applicable. The Score value will display up to a 5-digit value. You can enter a score (number) up to 99999.

Status

Use the Status field to track progress towards License / Expiration Codes.

Type or select the employee’s Status for this License / Expiration Code.

To add a new Status, double-click in the Status field, or type a new Status and press Enter. The Status add/edit list displays.

Examples would be Applied For, Issued, or Pending.

Date Applied

Enter a date that the License was applied for. This could be used in instances like background checks, where issuance is not immediate, but must be applied for.

You may leave this field blank, it is not required.

Image File Path

Specify the file path of the scanned image of a document associated with the Compliance Code (license, test, etc).

Notes

Use the Notes field to enter any notes pertaining to this Compliance Code. If you enter more than one line of information, the system automatically wraps the lines of information for you. To start a new line or paragraph, press Ctrl + Enter.

System Notes

The System Notes can be used to view meaningful notes as to what was changed, by whom, and when.

Detail button

Click the Detail button to display the Compliance Tracking History.

The Compliance Tracking History screen displays all changes made to the record.