Compliance Records - Qualifications, Licenses, and Inductions

Managing, using, and reporting on compliance records

Any of your employees' qualifications, licences, and inductions can be stored in your platform against the employees' profiles. With this information stored, you can be warned of upcoming expiries, filter based on people with or without certain records, or even roster employees based on records.  

There are 3 types of compliance records that can be stored:

• Qualifications - These records do not expire and represent training or study undertaken by an employee. Common examples include certificates, degrees, completion statements, etc. 
• Licences - These records have an expiry and are normally required for employees to perform specific tasks. Common examples include CPR, first aid, heavy vehicle licence, etc
• Inductions - These records have an expiry and are normally required for employees to work at specific sites. This will be more common in some industries than others. 

This article covers:

• • Creating new compliance records
  • Editing or deleting existing compliance records
  • How employees upload compliance records during onboarding
  • How employees upload compliance records after onboarding
  • How admin can upload compliance records on behalf of an employee
  • How to filter based on and use compliance records in rostering
  • Reporting & exports

To experience a virtual walk-through of our new Compliance menu, check it out below. Or view the walk-through in full screen here!

Compliance Records List

Add or edit a compliance record

Before records can be uploaded by employees or admin, the record type must be added to the system. You can add as many records as required for your business. 

Add a new compliance record

1. From the main menu, navigate to Platform Settings > Compliance Records. 
2. Select + compliance record in the top-right. 
   
   
   
   
3. Select Qualification, Licence, or Induction.
4. Make your selections from the following fields or options.
    
   
   
   Note: The below fields & descriptions will be written for a Licence but are present for all compliance record types unless specified otherwise. 
   • Licence name - The name of the licence that employees will upload. 
   • General Licence - A general compliance record would normally be used for something additional that employees can upload but isn't required for their role. A common example would be a general qualification of "Tertiary Study" where employees can submit degrees, certificates, etc. 
   • Require a licence number - Makes a license number mandatory during the upload. The licence number field will only be present with this selected. 
   • Mandatory licence - With this selected, this licence type must be uploaded during onboarding. 
   • Mandatory for everyone - With this selected, anyone who can see this (i.e. not excluded via the restricted licence below) will be required to upload it. 
     With this deselected, you can specify tags that need to be applied to employees to make this record mandatory. 
   • Restricted licence - With this enabled and tags selected, only employees with the specified tags will be able to upload this licence type. 
   • API ID number - An ID number that you can assign to the licence so that it is available through our API. 
     
     The below options are available for Licences & Inductions only. 
     
     
   • Expiry date required - The expiry of the licence. This date is used for reporting & notification purposes. 
     This option can be used instead of 'Obtainment date required'. 
   • Obtainment date required - The date the licence was obtained. With this selected and the assessment period entered, the effective expiry date is calculated and used for reporting & notification purposes. 
     This option can be used instead of 'Expiry date required'. 
   • Employee receives expiry warning notifications - The employee will receive communications regarding their licence expiry before it does so, prompting them to update it. 
   • Manager receives expiry warning notifications - The employee's assigned manager will receive communications regarding the employee's upcoming licence expiry, prompting them to follow up with the employee. 
5. Click Save.

Edit an existing compliance record

1. From the main menu, navigate to Platform Settings > Compliance Records. 
2. Use the search & quick filters to locate the compliance record you're wanting to edit. 
3. Click the ellipsis to the right of the record and select edit.
   
   
   
   
4. Make the required changes to your compliance record. Refer to the detailed descriptions of available options above. 
5. Select Save.

  Note: You are not able to edit a record type. For example, you can't edit a Qualification and change it to a Licence. If you need to do this, instead create a new one & delete the existing incorrect one.  

Delete a compliance record

If a record type is no longer used in your business or if it was created in error, the record can be deleted. This will ensure that no employees are uploading records that you don't want to collect. 

  Note: Please beware that deleting a compliance record that is currently in use will also delete all the employee record data. If you intend to delete a record that has been used in the past or is currently in use, you may wish to export your existing data first. 

Delete a compliance record

1. From the main menu, navigate to Platform Settings > Compliance Records. 
2. Use the search & quick filters to locate the compliance record you're wanting to delete. 
3. Click the ellipsis to the right of the record and select delete. 

  Tip: You can quickly identify which employees have a particular licence by clicking the number in the Employees column. This will take you to the Approved People page filtered to employees who have that compliance record. 

Managing employee compliance records

Compliance Records during onboarding

During onboarding, your incoming employees will have the opportunity to upload their relevant licenses, qualifications, and inductions. What your employees will have access to upload will depend on what you have set up in your Compliance Records list as well as how your onboarder is configured. 

The below image is an example of what this upload will look like for your employees. 

Multiple records can be uploaded by selecting another option from the drop-down menu. Note that the mandatory licenses are listed so that your employees know exactly what is required of them in order to proceed. 

Once uploaded, all compliance records can be viewed by the admin on the employee's profile. To view these:

• Navigate to the Employee Profile > Compliance > Compliance Records.
  
  
  
  
• Alternatively, you can use the reporting options available to review these details if that is more appropriate for your task. Please see the reporting options below for more detail. 

Compliance records after onboarding

After your employees have onboarded, they are still able to upload licences, qualifications, and inductions. They may have the need to do this if:

• They have obtained a new licence, qualification, or induction.
• They have renewed an expired licence or induction. 

Your employees are able to do this from their employee app or portal. To do so they will:

1. Navigate to View Profile > select Qualifications. 
2. Select the relevant compliance record from the drop-down menu & input any required information. 
3. Additional documentation can be added to the 1 licence by clicking the upload button next to the existing file.

  Note: When employees upload licences to update expired ones, the old licence will be removed. If you need to keep a record of old licences, these should be stored in Employee Records which is managed by admin only. 

Once uploaded, all compliance records can be viewed by the admin on the employee's profile. To view these:

• Navigate to the Employee Profile > Compliance > Compliance Records.
  
  
  
  
• Alternatively, you can use the reporting options available to review these details if that is more appropriate for your task. Please see the reporting options below for more detail. 

Add compliance records on behalf of an employee

If need be, as an admin, you can upload licences, qualifications, and inductions on behalf of your employees. This is done in the same place where you view your employee's compliance records.

To upload a compliance record on behalf of an employee:

1. Navigate to the Employee Profile > Compliance > Compliance Records.
2. From here, click the edit icon next to the record type you're wanting to add. 
   
   
   
   
3. Select from the available records in the drop-down & input any required information. 
4. Additional documentation can be added to the 1 record by clicking the upload button next to the existing file. 
   
   

  Note: When uploading a record to update an expired one, the old licence will be removed. If you need to keep a record of old licences, these should be stored in Employee Records which is managed by admin only. 

Expiry notifications

When licences or inductions expire, it can mean that employees may not be able to perform their tasks or work in certain environments. For this reason, you can configure notifications to be sent at intervals leading up to the expiry date. Notifications can be sent to both the employee and the employee's manager. 

Notification frequency

The number and timing of expiry notifications can be customised to your liking. To do so:

1. From the main menu, navigate to Platform Settings > Compliance Records.
2. Click the settings icon at the top of the page. 
   
   
   
   
3. From here, you can see how many warnings are configured and how long before the expiry date they will be sent. 
4. Edit the 'days before' value or add notification to increase the number of emails sent. 
5. Save changes.

Note: A notification will be sent on the day of expiry regardless of what is set here. 

Notification of specific records

You may not want a notification to be sent for every licence or induction. This is especially true if these are not mandatory for your employees to perform their roles. 

You can identify which licences and inductions are configured to notify employees and managers without editing each one individually. The icons to the right of the record denote who will receive the expiry notification, if anyone. 

In the example below, both the employee and their manager will receive expiry notifications for the Forklift Licence. Only the employee will receive notifications for the First Aid Certificate. 

You can edit a compliance record to change who will receive expiry notifications on a per-record basis. Please refer to the 'Add or edit a compliance record' accordion above for information about editing records. 

Reporting and Uses

Filtering

Outside of reporting, you quickly identify employees who either do or do not have a particular licence. To do this:

1. Navigate to People > Approved People. 
2. Select Show filter and select your compliance record from the Qualification/Licence/Induction drop-down menu. 
3. Select either with or without, depending on what you're wanting to look for. 
4. Select any other criteria for your search and then Apply filter. 
5. The resulting list of employees can then be exported, emailed, or anything else you may need to do. 

Rostering

When creating shifts, you can use the compliance records as a requirement. This will effectively reduce your pool of employees that are able to be assigned to the position based on them having a specific compliance record. Employees with expired records will also not be selectable. 

To add this requirement in your rostering:

1. Navigate to Work > Rosters. 
2. Open your roster and create a shift as you normally would. 
3. Add in the shift details and select Add Requirement.
4. Select the compliance record you'd like to filter based on. 
   
   
   
   
5. The employees that are now selectable from within the drop-down will all have the desired compliance record. 

Expiring Documents Report

Although you can be notified of when your employees' licenses & inductions are expiring, you may want to report on this information on a larger scale. The expiring documents report will allow you to see the compliance records held by employees, their expiry date,  as well as other useful information. 

To view this report:

1. Navigate to Reports > Workforce Reports > Expiring Documents. 
2. In the Qualification Type drop-down select Qualification, License, or Induction. 
   Note: You can select multiple types if need be. 
3. This will return all of your compliance records of the selected type. 
4. You can then export this to CSV or PDF. You can also select any employee name to be taken to their profile, in case you need to action something directly. 

People Export

Compliance records can also be exported from the People menus. This may be more appropriate than the Expiring Documents Report if the expiry isn't what you're looking for specifically. You also have the option to include a lot more information in this export. 

Export links to uploaded documents

1. Navigate to People > Approved People. 
2. Optionally filter your employees based on any appropriate criteria. 
3. Select Bulk Actions > Export All Filtered (or Export Selected).
4. Select the fields you're interested in for your report. At a minimum, we'd recommend the following fields.
   • Employee ID - The unique identifier for each employee. This should be included in all reports as it is unique for each employee and can be used to easily identify individuals or to join reports. 
   • Employee Full name - The employee's name. While the Employee ID is great for practical uses in the report, it is nice to see the employee's name in case you need to action anything. 
   • Compliance records incl. uploaded documents - Any qualifications, licences, or inductions that have been uploaded for the employee. 
5. Select Export CSV. 
6. The resulting CSV will include a link to the document/s uploaded for the record.

Export compliance record expiry dates

1. Navigate to People > Approved People. 
2. Optionally filter your employees based on any appropriate criteria. 
3. Select Bulk Actions > Export Compliance Records for All Filtered (or Export Compliance Records for Selected).
4. Select the records you'd like included in the export then Export CSV.
5. The resulting CSV will include the date associated with the record or a 'yes' in the case of qualifications.