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Updated on 11/15/2019
Compliance
FAQ
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FAQ 


1. How do we start the configuration for a new client? 

To configure a new client in Compliance UI: 

  • Fill Account information on the Accounts page with the data provided in the NIPR Account Information document 
  • Fill Config Data information on the Config Data page 


2. Need list/description/definition of genericAttribute#

The genericAttribute# are tags of the Workflow TP XML, that Workflow provides to the Compliance App in the Onboarding process. On the Account page in the Compliance Client App configure the which tags of the Workflow TP XML are used to describe appointments/terminations/licenses in the Compliance App.


3. What is the necessary, initial XML configuration that is required for a new client? 

XML configuration for a new client requires account information and config data information. 


4. How to migrate from a lower environment to a higher environment? 

There is no automatic way to migrate a client from lower to higher environment. A new client has to be set up on each environment separately.  (Account information defers for different environments)


5. How to update license values or NAIC values if NIPR updates 

If NIPR updates license class or LOA values, you can update/create/delete License Class or LOA value, in Compliance Admin App on License Class LOA Page.

For the state affected, all license class records change (e.g., For the state of Illinois the license Class code for Crop changes 8 > 22, update all records for IL state where License Class is Crop)


6. What to do if Appointments are failing during the Onboarding process? 

Create appointment action usually fails because the license class-LOA combination for which the appointments is submitted is missing in the Compliance app. 

License class needed is found in the TP XML under <licenseType> attribute tag, and LOA code needed is found under <lineOfAuthority> attribute tag. 

The solution is to add in the Compliance Admin app on the License class LOA page new record with the missing license class – LOA combination.

The record should be added to the sandbox and prod environment. 


7. What to do if there are multiple licenses allowed for the client? 

On the Account page set the License Id Field to be genericAttribute13 (this can be any generic attribute that is not already in use for gateway transactions) 

On Config data page add a copy of the existing record for that state and key (COCODE). Discriminator field in the copied record, is the new License Id needed for appointing (e.g., 9121). In the Value field, the xml should be changed from the original one so that the LICENSE_ID is set to the same value as the discriminator. 

[Workflow] An additional field should be added to TP Producer XML, in this case, it should be <genericAttribute13>9121</genericAttribute13> so that the compliance knows that it should use license 9121 for that appointment.


8. NIPR changes Business Rules for certain state 

Depending on the change, if it affects the Compliance app, this usually affects License class LOA Configuration or Validations for a particular state and License Type.


9. How to add a state for a client? 

You add a new state for a client, by adding Configuration data for that state.