Manage compliance documents
Overview
Administrators can upload, view the status of, verify, and delete compliance documents from within the ‘Documents’ area of a learner's record.
View document status
Navigate to the Documents screen in Console, and select "Compliance Documents" from the menu. The documents in this list can have the following statuses:
- “Signature Required”
- “Signed”
- “Available for QA”
- “Verified by QA”
- “Rejected via Tracker”
Notes
- The 'creation' of compliance documents is managed through the ‘Signatures’ functionality for documents that are not automatically generated by the system.
- Creating a ‘Compliance Tracker’ is not possible via Console currently. Where Trackers have been raised and subsequently rejected via Classic, the status of ‘Rejected via Tracker’ will be displayed.
Upload a compliance document
Administrators that have access to the 'Documents' area of a Learner record will see the "Upload" button against compliance documents.
Administrators with the following roles assigned to their account will continue to see the "Upload" button against compliance documents, even where a previous version has been applied:
- Supervisor
- ILR QA
- Compliance QA
Notes
- The "Upload" button will be available only against documents that have a "Verified by QA" status where the above roles are assigned.
- The "Upload" button will be available only for compliance documents related to the current episode. It is not possible to upload documents against previous episodes of learning, even where previous episodes documents are displayed on this screen.
Upload a document
To upload a compliance document, click Upload.
A dialog box is displayed - it mentions the episode to which the compliance document is being uploaded. A list of accepted document types is also displayed.
Click Select file and browse for the file. The file is uploaded immediately after you select the file.
Click Save.
The grid is refreshed. The document count is increased. You can see the name of the uploaded document displayed on the relevant list.
Status of the uploaded document
When a compliance document is uploaded, the status of the document is updated as follows:
- If the administrator who uploaded the document has the Compliance QA, ILR QA or Supervisor role(s), the status is set to "Verified by QA"
- If the administrator who uploaded the document does not have the Compliance QA, ILR QA or Supervisor role(s), the status is set to "Available for QA" in Console and "Available" in Classic
Verify a compliance document
Administrators with the following roles assigned to their account can see the "Verify" button against compliance documents:
- Supervisor
- Compliance QA
- ILR QA
Notes
- The Verify button will be available only against documents that have an "Available for QA" status.
- Where the documents have been uploaded by users with these roles, the documents are automatically set to the "Verified by QA" status.
Verify a document
Navigate to the document and click Verify.
Click Confirm.
The status of the compliance document is changed to "Verified by QA".
Deleting a compliance document
Administrators with any of the following roles assigned to their account are presented with the option to "Delete" an uploaded document:
- Delete Evidence
- Supervisor
- ILR QA
- Compliance QA
Delete a document
To delete a compliance document, clicking the delete option against the document. You can see this option on the expanded view as shown:
A confirmation message is displayed. Click Yes to continue the delete operation.
The document will be deleted and the grid will be refreshed.
Notes
- Only documents with a "Available for QA", "Verified by QA" or "Rejected via Tracker" status can be deleted.
- The "Delete" button will not be displayed for compliance documents that are auto-generated, for example: Apprenticeship Agreement/Commitment Statement/Written Agreement/ILR/20% OTJ etc.