Configuring the Compliance documents templates

In this article:

1. Overview
2. Enabling the compliance documents template
3. Configuring the template
4. Pre-populating a template
5. Document pre-population and individual document cache
6. Document preview and generated PDF
7. Non-templated compliance groups
8. If a compliance document isn't available for a learner

Overview

Aptem provides digital compliance documents, grouped by business logic ("Processors"). The people who need to sign fill in the forms and sign them with the Aptem e-signature. Completed documents can be exported as PDFs.

Frequently used compliance documents include:

• The Apprenticeship Agreement: the basic agreement that must be in place at the start of the apprenticeship. See Apprenticeship Agreement v5.
• The Written Agreement: the agreement between the employer and the main training provider. See Written Agreement.
• The DfE - Training Plan: signed by the apprentice, employer and training provider, it sets out the key milestones of the apprenticeship and the learning plan to achieve them. See DfE - Training Plan v2.1.
• The UVAC - Training Plan Summary: summarises the schedule, roles and responsibilities, and funding that support the apprenticeship.

The fields in each template are fixed. You can only change the areas the template makes configurable: the defaults you set with Pre-populate, and the editable fields in the document preview. To keep your own documents in Aptem, use a non-templated compliance group.

Before you configure a template, you must:

1. Enable the compliance document template for your tenant (account programme).
2. Create a compliance group within the programme you're configuring.

Note: For how documents are generated and signed once configured, see Generating, updating and signing compliance documents.

Enabling the compliance documents template

Ask your Aptem implementation consultant or Support to enable the template on your account programme.

Configuring the template

Next, configure the template on a programme (Onboarding or Delivery programme types).

1. Go to Programme Builder and select the Compliance documents token.
2. Select Add at the bottom of the window.
3. Select a Processor from the first unlabelled dropdown. It lists every compliance processor enabled on the tenant.
   
4. Select a template from the second unlabelled dropdown. It lists every compliance template enabled on the tenant and linked to the selected Processor.
   
5. Enter a name for the compliance group in the text field.
   • As you type, Aptem suggests existing compliance groups on the tenant, across all programmes.
     
   • The compliance group name becomes the document's name: on the Documents page (Aptem Console and Aptem Classic), in the Compliance documents section of the User Profile (Aptem Classic), in the 'Compliance' group of user generic reporting (UGR) and in the Signatures grids (Aptem Console and Aptem Classic).
6. Tick the Visible to checkboxes.
   • These set which user types can download documents generated or uploaded for this compliance group. If none are ticked, the group is hidden.
   • User types who must sign the template are ticked by default and can't be unticked.
   • Advisor is always ticked and can't be unticked, even if an adviser signature isn't required, so the adviser can create the first document and make it available to others to sign.
7. Select Apply to create the compliance group.
   • Note: Each compliance template can only be configured once on a programme. If you try to create a second group linked to the same template, you'll see "Type and template of compliance documents must be unique".
     
   • A created compliance group looks like this:
     

To discard your changes, select Cancel.

Once a compliance group exists, you can:

• Edit any of its properties.
• Delete it from the programme.
• Pre-populate it (see Pre-populating a template). Not every template offers this option.

Pre-populating a template

Some templates let you set default values for their forms, fields and text areas. These defaults apply to every new compliance document for learners on the programme.

Use Pre-populate to fit a template to your organisation. For example, there's no way to replace the Written Agreement with a completely different document, but you can pre-populate its editable sections, such as end-point assessment (EPA) arrangements, payment terms and administration costs, with your own wording.

To pre-populate a template:

1. In Programme Builder, select the Compliance documents token.
2. Find the compliance group and select Pre-populate.
3. Make your changes and select Save.

Document pre-population and individual document cache

If Pre-populate is set up for a compliance group and no PDF has been generated for a learner yet, the defaults apply and show on the document preview screen.

You can change pre-populated values for an individual learner on the document preview screen. These changes only apply to that learner's document.

When the first PDF is generated, the data in the document is cached. Aptem then uses this cache whenever the document is updated (new PDFs created) in the same compliance group for the same learner.

Once a compliance group has a document cache, changes to Pre-populate in Programme Builder no longer affect it. The document preview uses the cache instead.

The document cache is linked to the programme episode. If the learner moves to another programme with the same template configured, the cache doesn't carry over and you'll need to fill in the document from scratch.

Document preview and generated PDF

You can preview a compliance document before generating the PDF and attaching it to its compliance group.

In most cases, a document preview opens before the PDF is generated. You can check the content and data, sign it if required, and then generate the PDF.

The preview opens over the page. You can usually close it with Cancel, but where the document must be generated, for example when a learner finishes the Onboarding Wizard, there may be no Cancel option.

Non-templated compliance groups

When configuring a compliance group, you can leave both 'Processor' and 'Template' unselected.

You then can't create or update a document from the group, but you can upload a file of any allowed type to it and manage it. Use this to keep your own documents, such as scanned copies, alongside Aptem's. Uploaded files aren't filled with data from Aptem.

These compliance groups can only have these statuses:

• Available
• Verified
• Rejected

A compliance group not linked to an Aptem template looks like this in Programme Builder:

And like this in the User Profile. The Create and Update options aren't available:

If a compliance document isn't available for a learner

Compliance documents are configured per programme. If a learner doesn't have a document you expect, check:

1. The template is enabled on your tenant.
2. A compliance group for the template is configured on the learner's programme.
3. The learner is on the right programme.