Configuring the Compliance documents templates

Overview

Aptem provides a number of digitalised compliance documents, grouped by business logic (“Processors”). The required signatories can fill in the forms and sign them using the Aptem e-signature functionality. Completed documents can also be exported as PDFs.

Some of the more frequently used compliance documents are described in the linked articles.

• The Apprenticeship Agreement v3 - basic apprenticeship agreement be in place at the start of the apprenticeship.
• The Written Agreement - written agreement between the Employer and the main Training Provider.
• The ESFA - Training Plan v1 - signed by the apprentice, employer, and training provider and outlines the key milestones of the apprenticeship and the learning plan designed to achieve this.
• The UVAC - Training Plan Summary v1 - summarises the schedule, roles and responsibilities and funding that support the successful completion of this apprenticeship.

To configuring the Compliance documents templates, you must first:

1. Enable the 'Compliance documents' template for your tenant. (Account programme)
2. Create compliance group within the programme that you are configuring.

Enabling the compliance documents template

The first step to use compliance template is to ask Aptem IC or Support to enable a particular template from the account programme.

Configuring the template

The next step is to configure the template on a selected programme (Onboarding or Delivery type of programmes).

1. Navigate to Programme builder and click the ‘Compliance documents’ token.
2. Click on the ‘Add’ button at the bottom of modal window.
3. Select a Processor from the first unlabelled dropdown (which lists all Compliance Processors enabled on the tenant).
   
4. Select a Template from the second unlabelled dropdown (which lists all Compliance Templates enabled on the tenant and linked to the selected Processor).
5. Provide a name to a compliance group into text input with ‘Text’ placeholder:
   • • Once you start typing, the system uses the terms you have entered and prompts you to select from the existing / registered compliance groups on the tenant (across all the programmes).
       
     • Compliance group name will then appear as a name of compliance document – in Documents page (Consoles and Classic), in Compliance documents section (User Profile, Classic), in UGR (‘Compliance’ group), Signatures grids (Consoles and Classic).
   • Check ‘Visible to’ checkboxes:
     • Allows to define which user type will be able to download already generated/uploaded documents from the selected Compliance group. If unticked, the Compliance group will be hidden from UI.
     • Ticked by default (and cannot be unticked) for those user types which are required signatories for the selected compliance template
     • ‘Advisor’ is always ticked and can’t be unticked (even if Advisor signature is not required for the template), to let Advisor create a very first document for compliance group (to make it available for other user types for further signing)
   • Click on ‘Apply’ button to confirm new compliance group creation
     • NOTE: only 1 unique compliance template is allowed to be configured on a programme, so in case administrator tries to create a compliance group linked to a template which is already present on the programme, they will get a validation message: “Type and template of compliance documents must be unique”.
       
     • Already created compliance group looks like displayed below:
       

• •  
• If you want to dismiss changes made, click on the ‘Cancel’ button.
• Once a compliance group is created, there are options to manage it going further:
  • Edit – you can edit any property.
  • Delete – you can remove a compliance group from a programme.
  • Pre-populate – Some compliance templates provide the ability to set up default values for the template forms/inputs/text areas, which then will be applied to all newly created compliance documents on each learner who is enrolled on the programme. Note that you may/may not see the Pre-populate option, depending on the compliance template.

Document pre-population and Individual document cache

If the pre-populate option is configured in the Programme Builder for the compliance group, and there is no PDF already generated for it for a particular learner, pre-population defaults will be applied and can be seen on the document preview screen.

Pre-populated values can be amended for individual learners on the document preview screen. These amended values will only apply to the selected learner's version of the compliance document.

Once the very first document is generated as PDF file by the system, the data entered in the document is cached. Document cache will then be used for obtaining data when updating the document (i.e. when creating new PDFs) in the same compliance group on the same learner.

If the compliance group has a document cache already created, pre-population from Programme builder will no longer have any effect on it – the document preview will use document cache instead.

The document cache is strictly linked to the programme episode. If the learner is moved to another programme where the same compliance template is configured, the previously created document cache will NOT be applied to the new programme. For the new programme, you will need to fill in the compliance document from scratch.

Document preview view and Generated PDF

You can preview a compliance document linked to a selected compliance template before you generate a PDF file and attach it to the associated compliance group.

In most scenarios, you will see a document preview pop up before a PDF is generated. You can validate the content and data within the document, sign it (if required), and then generate the PDF.

The Document Preview appears as a modal form, overlaying the initial page content, and in some cases can be closed by selecting ‘Cancel’ option on the bottom of it. However, in case the document is supposed to be generated mandatory (for example, when Learner finishes Onboarding Wizard), there may be no ‘Cancel’ option available. 

Non-templated compliance groups

While configuring a Compliance group, you can also leave both the ‘Processor’ and ‘Template’ fields unselected.

With this configuration, there will be no option to Create/Update compliance document from compliance group, but there will be an option to upload a file of any allowed extension to the compliance group and manage it.

Please note that such compliance groups can only have the following statuses:

• Available
• Verified
• Rejected

This is how a compliance group looks like from the Programme Builder if it is not linked to any Aptem compliance templates:

This is how a compliance group looks like from the User Profile if it is not linked to any Aptem compliance templates. Note that the ‘Create’/’Update’ options are not available.