Start a conversation

Setup Compliance Check Items (v1.04)

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)

Overview & Change History

Adding a new compliance item

Details Section
Reporting Section
Requirements Section
Stages Section
Users Section

Compliance Types 

Compliance Screens


Information regarding special compliance checks

Controlling when compliance checks are applied

Changes to Compliance Expiry Checks for Contracts

Compliance Percentage displayed for Candidates & on Booking Suggestions

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:

(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 (or later) it is possible to setup Dependencies, so that certain compliance items can only be ticked once others have been completed.
for more information on dependencies.
Versions after allow users to filter the [Candidates] workbench using compliance items 
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
From version or later the number of STAGES for a compliance item has been extended from 10 stages (Max.) to 50 stages (Max.)
After release  (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  (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 <TAB>. 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 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.

Back to top

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 for the code.
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>
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
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
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.
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.


Back to top


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

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 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.
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.

Back to top

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.

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 10th stage for this compliance item.

From version  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.)

Back to top


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.

Click here to view the article about Compliance Types

Compliance screens


 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.


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)

Back to top


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.

Back to top


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, 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)

Back to top

Changes to Compliance Expiry Checks for Contracts

From version  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:

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

Back to top

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. 
Additionally: 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.

Back to top

Keywords: Setup, Compliance Checks, compliance setup

Choose files or drag and drop files
  1. Martin Parkinson

  2. Posted
  3. Updated