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Setup Compliance Check Items (v1.03)


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.

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.

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

Versions after allow users to filter the [Candidates] workbench using compliance items - click HERE for details.

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

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

Examples of Requirements setup:

(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.

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 <TAB>. You may then complete the rest of the items on-screen - use the information below for more detail about each item.


Note - from Influence version 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]

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 <edit>

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.

Company / Mand            - Does this appear on companies? / Is it mandatory ?
                                          YES, NO or WARN – warn will warn users, but let them carry on anyway.

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 and

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.

WFlow Checkpoint         - allows you to specify at which point through your workflow process the check will be enforced (only applicable to Mandatory or Warn type items).


[Reporting Section]

This is currently Work in progress.
It will allow emailing/notification of the various compliance checks to be sent to system users.

This section has no functionality at present.


[Requirements Section]

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

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

Expiry DateDo 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, Integer 1 'Default Report Days for compliance items'. By default this 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 Drivers need 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  - 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.


[Stages Section]

 This section 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 10th stage for this compliance item.

[USERS Section] (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 supercedes 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.)


Using compliance items

The screens below show examples of the Compliance tabs on Candidate/Company records.

Company Compliance screen.


In this example, the Credit Check requirement has been setup to Require an Issue Date, and a Reference Number, whereas the Racing Certificate only requires an Expiry Date.

Candidate Compliance Screen


In this example you can see that the ‘First Aid Course’ check needs a document, start date, expiry date and Ref. No.  
The screen also shows Groups (Racing Requirements / References).
The Group Header row will indicate if any of the Warn/Mandatory items within the Group have expired (e.g. The First Aid course has expired which can be seen in the Racing Requirements header.)
The references have  been set (using Sequence) to show a Reference REQUEST, followed by the actual REFERENCE document.

(Note - All screenshots based upon the Influence Professional version of the software)



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

Driver License
Professional ID
Reference Request


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.


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. The check can be applied at one of to stages, either

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.

This control is GLOBAL and will affect all requirement checks in the same way. It is controlled with Parameter Rec_C(27). (Maintenance>Setup>Parameters, then choose parameter set Rec_C, and select 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)

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 OR 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. There is a column labelled Comp% which can be added, but this calculated 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.

Keywords: Setup, Compliance Checks, compliance setup

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  1. Martin Parkinson

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