No matter the industry, if you manage a large organization with roles and revenues reliant on keeping personnel licenses, permits, and compliance up-to-date, it can be tough to keep departments/teams aligned to ensure staff operations stay operating and business levels consistent.
Compliance
ROLE: Define role requirements, verify licenses, maintain tracking system, and communicate status.
Human Resources (HR)
ROLE: Initiate verification requests, provide accurate employee information, and respond to alerts.
Operations
ROLE: Coordinate staffing timelines with HR and Compliance and ensure no unverified assignments occur.
Let’s review some processes and specific action items for these departments to manage and navigate in order to efficiently coordinate assignments and roles in their day-to-day.
Manage Role Classifications
Responsible Departments: Compliance & Human Resources
- 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
- 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
- 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.
PermitPROS for Compliance Monitoring & Audit Readiness
Our experts can help you (1) manage random spot-checks on high-risk departments, (2) complete quarterly audits with your compliance team to ensure all active licensed staff have up-to-date credentials, and (3) perform annual review of your licensing requirement matrix. With our guidance through these processes and our solutions, we’ll keep your business stable in any environment.
We can be on our way with simple contact info, but the more information you provide, the faster we can build solutions and deliver the top-notch service.