Build Your Regulatory Framework
Learning Objectives
After completing this unit, you’ll be able to:
- Discuss the importance of regulatory frameworks in Public Sector Solutions.
- Describe the purpose of regulatory authorities, authorization types, and codes.
- Explain the purpose of business types, business regulatory authorization types, and authorization type dependencies.
Discover Regulatory Frameworks
Laws and regulations guide the work of government agencies as they check for compliance and grant authorization. A regulatory framework consists of the authorities responsible for overseeing these societal rules, as well as the authorization types and codes used by inspectors and approvers.
By setting up your regulatory framework, you can ensure that the licensing, permitting, and inspection tasks you perform are connected to specific authorities and policies.
Set Up Regulatory Authorities, Authorization Types, and Codes
Regulatory authorities represent the agencies or departments in a government responsible for authorizing licenses, permits, programs, and benefits for constituents. The regulatory authorities that you create depend on the types of authorizations your agency manages.
For example, this table shows some of the regulatory authorities that Tishon, the Salesforce Admin, creates for the City of Cosville.
Regulatory Authority |
Description |
|---|---|
Board of Barbering and Cosmetology |
Manages the licensing of individuals and businesses that perform barbering, cosmetology, nail care, tattooing, body piercing, and other aesthetics. The Board also regulates individuals and schools that provide training in these areas. |
Board of Medicine |
Licenses physicians and other healthcare providers to practice, and disciplines licensees who violate the Medical Practice Act. |
Department of Motor Vehicles |
Responsible for vehicle titling and registration, driver licensing, and maintenance of driver and vehicle records. |
Department of Building Inspection |
Oversees all steps of building permit issuance and ensures that the proposed construction meets safety requirements. |
After you create regulatory authorities, you configure regulatory authorization types, which are the categories of licenses and permits issued by regulatory authorities.
This table shows a few of the regulatory authorization types that Tishon creates for her agency.
Name |
Authorization Type |
Category |
Regulatory Authority |
|---|---|---|---|
Salon Establishment License |
Business license |
License |
Board of Barbering and Cosmetology |
Physician License |
Professional occupational license |
License |
Board of Medicine |
Vehicle Registration |
Asset-based registration |
License |
Department of Motor Vehicles |
Sign Permit |
Location-based permit |
Permit |
Department of Building Inspection |
Notice how each authorization type has an associated regulatory authority. When creating authorization types, you can set the responsible department and the authorization category for the license or permit.
For instance, when Tishon creates the Sign Permit authorization type, she sets the category to Permit and the issuing department to the Department of Building Inspections.
Regulatory codes are a set of specific rules that local, state, regional, or national governments establish to ensure the safety and wellbeing of the community. Individuals and organizations must uphold regulatory codes to receive authorization to perform certain tasks or to receive licensure. Government officials check whether businesses are up to code by performing inspections and conducting investigations.
As part of your Salesforce org setup, you create the full set of regulatory codes to correspond with the laws and regulations that are under the purview of your agency. Often, these codes are organized by title, chapter, or section within a larger codeset. You can create a similar code hierarchy by defining parent codes and setting the Type field of the code record in Public Sector Solutions.
Here’s a regulatory code record that’s standardized by the Board of Barbering & Cosmetology Regulatory Authority.
Notice that this regulatory code is a section of the parent code, which is a chapter in the regulatory framework. The description provides guidance on determining whether the establishment is in good repair.
Tishon creates a hierarchy of regulatory codes to ensure that local businesses follow certain rules, such as displaying their business license in their establishment.
Create Business Types and Business Regulatory Authorization Types
After you create regulatory authorities and associated authorization types, you create the business types that the regulatory authority oversees.
In Cosville, the Board of Barbering and Cosmetology oversees businesses such as spas, salons, and tattoo parlors. So Tishon sets up business types for each of these categories.
On the business type record, she specifies the industry as Retail and the authorization activity type as Business.
After setting up business types, create business profiles to capture information about individual companies in your community. On the business profile, you can define the business account, tax identifier, operating name, and structure of the business. Tishon creates an account for Sunshine Salon, a local salon business.
Next, create business regulatory authorization types to map business types to the required regulatory authorization types. Imagine a scenario where a constituent applies for a business license to run a salon in Cosville. In this case, they need to request a Salon Establishment license, and a sign permit. So, Tishon creates business regulatory authorization types to connect the Salon business type to these licenses and permits.
Once the business regulatory authorization types are set up, you’re ready to create business regulatory authorization dependencies. These dependency records form a hierarchy of the permits required for a specific business type. This way, constituents can use the public portal to view the complete list of permit requirements for their business type. It’s easy to check which permits are available for direct application and which require a dependent permit first.
As a next step, Tishon creates a dependency between the Salon Establishment License and the Sign Permit business regulatory authorization types.
She sets the salon establishment license as the parent authorization type and the sign permit as the dependent authorization type. This way, the constituent must first apply for and receive a sign permit before applying for the salon establishment permit. These associations between business regulatory authorization types show your constituents which authorizations they need to stay compliant.
To learn more about regulatory authorities, authorization types, regulatory codes, and other licensing, permitting, and inspection objects, visit the Explore License and Permit Management for the Public Sector and Explore Inspection Management in the Public Sector trails.
You’ve learned how regulatory frameworks guide the work of compliance officers, inspectors, and investigators. Now get ready to discover two key features of Public Sector Solutions: the License and Permit Management app and the Inspections Management app.