Enabling and Configuring Available Compliance Forms

Objective

After completing this lesson, you will be able to configure available compliance forms in SAP SuccessFactors Onboarding.

Role-Based Permissions for Compliance Settings, Forms, and Data

For onboarding participants, such as hiring managers, recruiters, or HR, you need to assign permissions for them to access compliance data or monitor the completion of the compliance forms.

For a complete reference of these permissions, refer to the implementation guide on SAP Help Portal. The compliance forms permissions are listed as part of the Role-Based Permissions for Onboarding and Offboarding Tasks | SAP Help Portal.

The administrator is responsible for managing the compliance settings for the company and can modify the setup of the compliance settings in the system. This is an important role because certain compliance forms have additional settings to configure. For a complete reference of these permissions, see the Role-Based Permissions for Administrators in Onboarding and Offboarding | SAP Help Portal section.

These compliance forms permissions have also been covered in one of the previous units of this course, Assigning Role-Based Permissions in SAP SuccessFactors Onboarding, which focused on Onboarding permissions.

Assign Compliance Configuration Settings to the Onboarding Administrator

An organization can choose to enable, disable, and modify compliance forms behavior as needed. To do so, an identified administrator needs the necessary permissions.

Business Example

The organization wants the Onboarding administrator to have full access to the compliance configuration settings. This will allow the admin to change the different compliance feature settings relevant to the company's onboarding processes.

In this exercise, you will assign all permissions to the Onboarding administrator so that they have access to the compliance settings.

Steps

Navigate to Manage Permission Roles using Action Search.
Select Edit action on your Onboarding Admin role.
Choose Next to navigate to Add Permission step.
Navigate to Administrator Permissions and select Onboarding or Offboarding Admin Object Permissions.
Verify the Select All is enabled, which includes the following permissions related to compliance forms:
- AustraliaSuperannuationConfig
- Compliance Bundle
- ComplianceConfiguration
- ComplianceFormGlobalMetadata
- ComplianceFormMetadataUpgradeDetail
- ComplianceFormUploadMetadata
- ComplianceMetadataSyncDetail
- ComplianceMetadataUpgradeDetail
- EverifyConfig
- FieldMetaOverrideConfiguration
Select Next and Save to update the role.
Return to Manage Permission Roles.

Result

You have now provided permissions to the Onboarding administrator for configuring compliance features in the system.

Compliance Settings

Compliance forms in Onboarding are preconfigured, but they first need to be enabled in the Admin Center. Most of these settings are maintained by SAP. Depending on country/region-specific compliance requirements, further configurations are available, such as:

Superannuation Standard Choice form (Australia)
I-9 Form of the U.S.A.
E-Verify of the U.S.A.

Note

If the Compliance Settings do not show all the available compliance forms, there might be a missing job in Provisioning. Customers can submit a request for the job, Onboarding Compliance Metadata Sync Job, to be created in Provisioning.

Enable Compliance Forms

The process for enabling compliance forms in the SAP SuccessFactors Onboarding depends on the type of compliance form you are using. For example, if you are enabling a configurable form, this process is different to enabling a non-configurable form.

This video goes over the general process for enabling these different types of compliance forms, using Australian compliance forms as an example. Remember that you, or whoever is enabling these forms, should be familiar with these compliance forms.

The following steps provide an outline of the task demonstrated in the Enabling the Australia Compliance Forms video.

Steps

Navigate to Compliance Settings using Action Search.
Select Australia.
For Tax file number declaration form, switch the button to ON.
To show the settings in the form, select the Superannuation Standard choice form.
Select Add New Configuration.
Select Save.

Result

The Tax file number declaration and Superannuation Standard choice form are now enabled and all new hires from Australia will complete these forms.

United States of America Compliance Forms

In SAP SuccessFactors Onboarding, the compliance features for the USA are configurable since the employment requirements in the US have very specific procedures.

In addition to this, there are a lot of employment process differences between states. Employers who have employees working in the US must understand these complexities to be compliant with the country/region’s employment process.

There are six compliance forms available in SAP SuccessFactors Onboarding for the United States of America employment process:

US W4
USA State Withholding Forms
Voluntary Self-Identification of Disability
Notice of Pay Rate - Wage Theft Prevention Act
The Work Opportunity Tax Credit (WOTC)
US I-9

US Compliance Forms

US Compliance Form	Type	Description
US W4 Voluntary Self-Identification of Disability Notice of Pay Rate - Wage Theft Prevention Act	Non-configurable	These can be enabled or disabled where applicable to the organization.
USA State Withholding Forms The Work Opportunity Tax Credit US I-9	Configurable	These are configurable forms but with limitations. Configurations are limited to only certain scenarios allowed for employment process as dictated by the US government.

The US Form I-9 is required for all US new hires and can be configured. There could be several conditions for when an organization will need the Form I-9 to trigger for a new hire, as they could choose to manage this outside of the SAP SuccessFactors HCM.

The Compliance Settings page is displayed.

Note

New hires can be required to upload documents for the completion of Section 1 of the US Form I-9 by enabling this feature when enabling the US Form I-9. Otherwise, the corporate representative will be responsible in uploading new hire documents when completing Section 2 of the US Form I-9.

Note

Employer Signatures are supported for certain US compliance forms:

Arizona Employee Withholding Exemption Certificate
Employee’s Idaho Military Spouse Withholding Exemption Certificate
Work Opportunity Tax Credit

The available responsible users for employer signatures are as follows:

Manager
Custom Manager
HR Manager
Matrix Manager
Second Manager

Configuring Form I-9

Document Upload Requirements

You can configure whether the U.S. Compliance flow requires you to upload documents for Section 2 of the Form I-9, ensuring compliance with the Handbook for Employers M-274 and E-Verify guidelines. The Require List A or B Document Upload setting allows you to decide if you need to upload List A or List B documents as part of the U.S. Form I-9 Compliance process.

To require uploading List A or List B documents in Section 2 of the Form I-9, go to Admin Center > Compliance Settings > United States > US I9, and toggle Require List A or B Document Upload to ON.

Reverification Trigger

You can configure the Reverification process to trigger between 30 and 540 days. The I-9 Reverification task can be triggered by selecting the number of days before the document expires. Additionally, administrators can configure assignment groups for the I-9 Reverification task and set the trigger timing, with options ranging from 30 to 540 days before the eligibility document expiration.

To customize when the Form I-9 Reverification task is triggered, go to Admin Center > Compliance Settings > United States > US I9 and select a value under I-9 Reverification. The default value is 240 days. For more information, see I-9 Reverification | SAP Help.

Create and Define a Business Rule for Triggering Form I-9

This video shows you how to define a business rule that will trigger US Form I-9 in the new hire onboarding process.

The following steps provide an outline of the task demonstrated in the Creating and Define a Business Rule for Triggering Form I-9 video.

Steps

In the Action Search, enter Configure Business Rules to open the Business Rules Admin page.
To create a new business rule, select the plus sign.
Select the Onboarding scenario category.
Select the Trigger Compliance Forms scenario.
Complete the details for Rule Name, Rule ID, and Start Date.
In the Form Type field, select Form I-9, and then select Continue.
Define the If expression for the business rule. Since this is a decision rule, there is no option to define a Then expression.
For example: Compliance Process.User.Job Information.Company is equal to SAP_USA (SAP_USA).
To finish creating the business rule, select Save.

Result

After the rule is created, the rule appears under Select I-9 Enablement in Compliance Settings for US_I9.

Create and Define a Business Rule for Selecting a Corporate Representative for Completing Section 2 and 3 of the Form I-9

There are three sections on the US Form I-9 that need to be completed. Section 1 can only be completed by the new hire. Sections 2 and 3 can only be completed by a corporate representative.

To get the corporate representative to fill in these sections, you first need to create a Responsible Group and identify who can be assigned this task. Once you create the Responsible Group, configure a business rule to that responsible group and assign the Form I-9 task, including the required signatures.

Note

If a task is not assigned to a new hire, then the hiring manager owns that task. Therefore, the task of completing Sections 2 and 3 in Form I-9 will be assigned to them.

Business Example

The organization identified one of their HR managers (Connie Butler) as their US corporate representative. She will be responsible for managing Form I-9 and E-Verify for all new hires in the US.

In this exercise, you will create a Responsible Group to identify Connie Butler and define a business rule that will assign her as the US corporate representative for Form I-9.

Steps

Navigate to Onboarding General Settings using Action Search.
Select + New Responsible Group.
For the ID, enter USCORPREP and, for the Group Name, enter US Corporate Representative.
Under Users, enter Connie Butler and select her name from search results.
To save the new responsible group, select Submit.
Navigate to Configure Business Rules using Action Search.
To create a new business rule, select the sign (+) sign .
Expand the Onboarding scenario category.
Select the Assign Compliance Corporate Representative scenario.
Complete the details for Rule Name, Rule ID, and Start Date.
Rule Name ONB_CompCorpRep
Rule ID ONB_CompCorpRep
Start Date 01/01/1900
Select Continue.
Define the If expression for the business rule. Compliance Corporate Representative Rule Model → Compliance Process → User → Job Information → Company = ACE USA.
Select your Then criteria: Set Compliance Corporate Representative Rule Model → Corporate Representative Group = US Corporate Representative.
Select Save.

Result

A US Corporate Representative who will complete Section 2 and 3 of the US Form I-9 has been assigned.

Enable the US Form I-9

Business Example

The organization has identified a US corporate representative, and the US Form I-9 will be required for all their new hires in the US.

In this exercise, you will enable the US Form I-9.

Steps

Navigate to Compliance Settings using Action Search.
For the country/region, select United States.
Expand the US_I9 option.
Choose Define Business Rules.
To create a new business rule, select the sign (+) sign.
Expand the Onboarding scenario category.
Select the Trigger Compliance Forms scenario.
Complete the details for Rule Name, Rule ID, and Start Date.
Rule Name ONB_Comp_I9
Rule ID ONB_Comp_I9
Start Date 01/01/1900
Form Type ONB2COMPLIANCE_RULE_FORM_TYPE_US_I_9
Select Continue.
Define the If expression for the business rule. Onboarding Process > User >Job Information > Company = ACE USA.
Save the rule.
Select the Black Dot to the left of the Name of the rule to assign the rule.
Select Assign Rule.
Click the link to navigate back to Compliance Settings.
In the US_I9 configuration, Assign the ONB_Comp_I9 rule to the Select I9 Enablement.
Select a the business rule from the previous exercise (ONB_CompCorpRep) for Select Corporate Representative to authorize a Compliance Corporate Representative to sign the Form I-9.
Select and slide the switch to turn US_I9 to the ON position to enable it. Confirm the question (yes) to enable it.
Note
If you receive an error enabling the form, you can ignore it. This does not need to be configured for future exercises. This will not save without Print Form Services being enabled.

Result

The US Form I-9 is enabled for all new hires in the US.

Note

If you review your configuration, the US_I9 will not stay enabled due to the configuration of the training instance.

Managing Form I-9 Corrections and Reverifications

While the standard Form I-9 process is automated, there are instances where a process is interrupted, missed, or contains errors that require manual intervention. Administrators and hiring managers can manage these exceptions directly from the New Hire Details page in the Onboarding Dashboard, providing better control over compliance workflows and audit trails.

The Compliance Processes Details Dashboard

Accessing the compliance process details

A Compliance Processes Details button is visible at the top of the Form I-9 and E-Verify section on the New Hire Details page. This button only appears if there are active compliance processes for that specific new hire.

When selected, the button opens the Compliance Processes Details page. This page displays the new hire's compliance processes. The manager or participant can view the status of the process in the Status column. The Cancel button is available for any Form I-9 and E-Verify processes.

When selected, the Cancel action opens the Cancel Compliance Process popup. You can provide a reason for canceling the process and confirm your selection.

Upon confirmation, the system marks the task as Canceled, records the timestamp, user, and reason, and logs the action in the audit trail. Canceled tasks are immediately removed from active dashboards, home page cards, and To-do tasks, but remain available in reporting and audit views with a clear Canceled status. All associated forms and attachments for the relevant section are discarded, and no further actions can be taken on the canceled task.

The View Details action on the Compliance Process Details page opens the Compliance Process Details popup. This page displays the Process ID, Start Date, and Comments.

Initiating I-9 Processes Manually

Shows the action menu to initiate the I-9 Process

In the Actions menu of the New Hire Details page of the Onboarding Dashboard, a option titled Initiate I-9 Process is available. This allows an authorized user to manually trigger one of three specific workflows:

Action	Description	Prerequisites
Correct I-9 Section 1	Creates a task for the New Hire to fix their information.	Legal entity is USA; No other open I-9 processes; Personal Data Collection is complete.
Correct I-9 Section 2	Creates a task for the Manager or onboarding partiicipant to fix the employer review section.	Legal entity is USA; No other open I-9 processes; Signed Section 1 exists.
Initiate Reverification	Creates a task for the Manager or onboarding participant to complete the Supplement B.	User status is "Hired"; Legal entity is USA; a Completed Section 2 or Section 3 - Revierification exists.

Summary

Assign role-based permissions so administrators and onboarding staff can access, configure, and monitor compliance forms.
Enable and configure country compliance forms in Compliance Settings; request provisioning job if forms do not appear.
Restart the compliance process to update assignments, add new versions, or re-trigger forms; use a separate restart for I-9.

Go to Course

Rule Name	ONB_CompCorpRep
Rule ID	ONB_CompCorpRep
Start Date	01/01/1900

Rule Name	ONB_Comp_I9
Rule ID	ONB_Comp_I9
Start Date	01/01/1900
Form Type	ONB2COMPLIANCE_RULE_FORM_TYPE_US_I_9