Manage Role Classifications
Responsible Departments: Compliance & Human Resources
- HR sends job descriptions for review to the compliance team
- Compliance determines if the role requires:
- A professional license (e.g., RN, CDL, CPA, etc.)
- Certifications or registrations (e.g., OSHA-10, Series 7)
- Jurisdictional requirements (e.g., state-by-state licensure)
When managed correctly, Human Resources and the compliance team will develop a Licensing Requirement Matrix for all critical roles.
Assign License Verification
Responsible Departments: Human Resources with Support from Compliance
- HR submits proposed candidate/employee name(s) to Compliance for license verification.
- Compliance checks and/or verifies: License status (active/inactive), Jurisdiction coverage, Expiration date, Disciplinary history (if relevant)
This can be accomplished in 5-10 business days to produce a roster for operations listing licenses or permits that have been verified and confirmed.
Approval to Assign from Regulators
Responsible Team: Compliance
No assignment of staff to an operational role may proceed without clearance from compliance team, which means: (1) If license/permit are valid, compliance team notifies operations of their clearance for assignment or (2) If license/permit is not valid, compliance team flags for follow-up with human resources.
Management of Licenses or Permits
Responsible Departments: Compliance with Help from HR
- Compliance maintains a License Tracking System with automated alerts.
- Human Resources is notified: No less than 60 days before license expiration, If a license is suspended or revoked
Human Resources and Operations must remove or reassign the employee until resolved.
If you manage a large organization with roles reliant on keeping personnel licenses, permits, and compliance up-to-date, here is a Compliance Guide for Critical Roles.
www.permitpros.com/compliance/licenses-assignments-compliance-guide/
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