COMPLIANCE TRACKING
The Knowledge Management System’s Compliance Tracking module ensures that various compliance items are upheld by organising, tracking, alerting and reporting on all compliance related deliverables. Easily deployed and granularly managed, the Compliance Tracking module allows for flexible setup and customised monitoring.
Irrespective of compliance type, and regardless whether the associated content is to be consumed on the Knowledge Management System or elsewhere, the Compliance Tracking module makes managing compliance unassuming, straightforward and reliable.
COMPLIANCE ROLES & ITEMS
The KMS caters for the tracking of two compliance types: those that require a single item to be tracked, for example a driver license, and those that require multiple items to be tracked, for example a commercial pilot license.
Each compliance type is categorised into individual “Compliance Roles”, and each Compliance Role may contain a single or multiple “Compliance Items”, which are the individual items that are tracked for each Compliance Role, including mandatory notices.
There is no limit to the amount of Compliance Roles that can be linked to and in turn tracked for each user, nor is there a limit to the number of Compliance Items that can be attached to a Compliance Role.
SOURCE OF TRUTH
The KMS continually monitors the users’ training achievements in relation to the Compliance Roles. In order to accurately do this, the KMS requires one “source of truth”. This is where the “Consolidated Achievement Registry (CAR)” comes into play. CAR is a topline repository that captures all achievements a learner has accumulated on the KMS over time. In addition, external training interventions may be captured in the CAR as can be learner records from another LMS. CAR records can be easily added, updated or deleted either automatically via the API or alternatively manually entered.
While external sources are supported within CAR, the primary source remains courses completed directly on the Knowledge Management System.
Each CAR record is created by one of the following:
KMS
Automatically, when a course is completed on the Knowledge Management System.
External Source
Automatically, when a course is completed externally, providing the data is obtainable via API.
Manual Entry
Manually, by either the KMS admin or user, providing the user has the required permission.
COMPLETION OF COMPLIANCE ITEMS
The Compliance Item recognises the completion of the compliance type in one of the following methods:
Course completion
Completion happens automatically when the course is linked to either a course on the KMS or to an external source. Alternatively, a manual CAR entry may also mark a course as completed.
CPD Points
If the required minimum points as stipulated in the Compliance Item have been attained, either by one or more CAR records, then minimum requirements for completion have been met.
Mandatory Notices
After the user has read and digitally signed having read the mandatory notices.
EXPIRY OF COMPLIANCE ITEMS
The Compliance Item accepts three expiry options:
Specified Expiry
A Compliance Item will expire per the specified date in the CAR record.
Calculated Expiry
A Compliance Item will expire by adding a specified number of months to the completion date recorded in the CAR record.
Calculated Extended Expiry
Similar to Calculated Expiry, whereby a Compliance Item will expire at the end of the specified month.
ALERTS & REPORTING
Company administrators may specify how many days prior to the expiry of each Compliance Item the user, and / or manager(s) should be notified.
Reminders may be sent in flexible intervals, for example 90, 60 and 30 days prior to expiring, or daily from a specific remaining date onwards, such as daily reminder from 14 days prior to expiration of the Compliance Item.
Company administrators may obtain standard compliance reports either on demand or on an automated recurring basis, for either individual users or for a group of users. These reports contain – inter alia – an overview of Compliance Roles, the linked Compliance Items, compliance status that includes completion dates, days remaining and / or CPD points achieved. Lastly, a compliance indicator intuitively shows compliance status.
Alternatively, should specific reporting requirements not be met by the standard compliance reports then custom reports may be developed as required. Read more about custom reports here.
