Compliance records - Qualifications, licences, and inductions

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

We understand that the terms Licences, Qualifications, and Inductions could mean something different to your business. Therefore, it is important to know the type of record you are entering before adding a new compliance record. This ensures you do not need to come back and delete or make changes to any records after the fact. 

We like to keep it simple by explaining that:

• A Licence is something that generally expires or requires an assessment to continue.
• A Qualification is something that does not expire and, once obtained or completed, remains valid. 
• An Induction is a required course that, once completed, could have an expiry date or require an assessment to continue. 

  Please note: Below, we will go over how to set up a new compliance record. Some fields may be unavailable for your specific record type. These items will be separated for easy readability. 
 

To set up 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. 
   • Name - The name of the record that employees will upload. 
   • General - A general compliance record would typically be used for something additional that employees can upload but isn't required for their role. If ticked, the employee can provide further information on the record.
     • For example, you may not need to capture specific qualifications but would still like your employees to be able to upload their degree information. 
       
       To achieve this, your compliance record may be titled 'Tertiary Study'. When the employee selects 'Tertiary Study' and provides their documentation, an additional field will appear where they can then list the name of their degree. 
   • Require a licence/qualification/induction number - This makes a licence number mandatory during the upload. The licence number field will only be present when this is selected. 
   • Mandatory - With this selected, this licence type must be uploaded during onboarding. 
   • Mandatory for everyone - With this selected, anyone who can see it (i.e., not excluded via the restricted licence below) will be required to upload it.
     • With this deselected, you can specify tags that must be applied to employees to make this record mandatory. 
   • Restricted - With this enabled and tags selected, only employees with the specified tags can upload this licence type. 
   • API ID number - This is an ID number that you can assign to the licence so that it is available through our API. 
   • Edited Record Notification - Sends a notification to selected people whenever the employee makes an edit or update to this type of record.
     • Employee's manager - The employee's assigned manager will receive communications regarding any updates made by the employee to this record type.

     • Specific people - If selected, you can choose additional admin users to receive this communication.

       

5. The options below are available for Licences & Inductions only. 
   • Expiry date required - When selected, this field will be mandatory. This date is used for reporting and notification purposes. This option can be used instead of 'Obtainment date required'. 
   • Expiry date not required - When selected, employees will not have the option to upload an expiry date when filling out their licence details. 
   • Obtainment date required - When selected, this will be a mandatory field. With this selected, you will be required to enter an assessment period. This is used for reporting & notification purposes. This option can be used instead of 'Expiry date required'. 
   • Expiry Warning Notification - Sends a notification to selected people to warn when a record of this type is about to expire. 
     • Employee - The employee will receive communications regarding their licence expiry before it does so, prompting them to update it. 
     • Employee's manager - The employee's assigned manager will receive communications regarding the employee's upcoming licence expiry, prompting them to follow up with the employee. 
     • Specific people - If selected, you can choose additional admin users to receive this communication. 

6. Select Save to lock in your new Compliance Record.

   

    

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 want to edit. 
3. Select 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 to update.

  Please note: You are not able to edit a record type (i.e., 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.  

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. 

  Please 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. Select the ellipsis to the right of the record and select delete. 

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

During onboarding, your incoming employees will have the opportunity to upload their relevant licences, 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 licences 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. 

After your employees have been 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 selecting the upload button next to the existing file.

  Please 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. 

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

  Please note: If a compliance record has been marked as mandatory for the employee, the red delete icon will not be visible next to that record on the employee's profile. You will need to mark the record as non-mandatory to be able to remove it from the individual's profile. 
 

To upload a compliance record on behalf of an employee:

1. Navigate to the Employee Profile > Compliance > Compliance Records.
2. From here, select the edit icon next to the record type you want 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 selecting the upload button next to the existing file. 
   
   

  Please 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. 

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. You can choose how many reminders you want to receive and when they’re sent, so you’re always notified at the right time.

To do so:

1. From the main menu, navigate to Platform Settings > Compliance Records.
2. Select the settings icon at the top of the page. 
   
   
3. From here, you can see how many warnings are configured and how long before or after the expiry date they will be sent. 
4. Edit the 'days before' and/or 'days after' value to set when your notifications will be sent out. Select Add notification to increase the number of emails sent. 
   • A notification will be sent on the expiry day, regardless of what is set here.
5. To save, select Save changes.

Notification of specific records

You may not want to send a notification 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. If enabled, hover over the hourglass icon to the right of the record to view who will receive the expiry notification. 

In the example below, 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 see the 'Add or edit a compliance record' accordion above for information about editing records. 

Hot tip: When editing a compliance record, you can select Preview next to Expiry Warning Notification to view the content sent to employees, managers or other admins when this is triggered. 

See below for a preview of the expiry communication sent to employees.

See below for a preview of the expiry communication sent to employee managers and selected specific admins. 

As your employees can edit and update their compliance records, you may want to receive notifications about these updates. 

You can identify which compliance records are configured to notify your managers or other specific admins of edits without opening and editing each record. If enabled, hover over the notepad icon to the right of the record to view who will receive the edit notification. 

In the example below, the employee's manager and another specific admin user will receive the edited notification for the Food Safety Certificate.

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

  Hot tip: When editing a compliance record, you can select Preview next to Edited Record Notification to view the content sent to managers and admins when this is triggered. 

See below for a preview of the edited record communication sent to employee managers and selected specific admins. 

There are instances when it becomes essential to quickly export all documentation associated with a particular compliance record. This may include various certificates and permits that are vital for demonstrating compliance.

For example, you might need to gather and export:

• RSA (Responsible Service of Alcohol) or RCG (Responsible Conduct of Gambling) certificates
• First aid certificates
• Food safety certificates
• Blue or white cards

Having access to these documents in a consolidated manner can streamline compliance processes and ensure that all necessary certifications are up to date and readily available for review.
 

To export uploaded compliance documentation:

1. Navigate to the main menu > Platform Settings > Compliance Records. 
2. Select the ellipsis > Download record files against the relevant compliance record.
   
   
3. The downloaded compliance documentation will appear in your downloads area. Select the green arrow to view your download.
   
   
4. You will then have a zip file with all of the compliance documentation that employees have uploaded to that relevant compliance record. 

Outside of reporting, you can quickly identify employees who have or do not have a particular licence. This can be done by using our handy filtering tool, which is available from your Pending or Approved People page. 
 

To filter and find employees:

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 want 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 used for any other purpose. 

When rostering, if your business needs employees to meet specific compliance requirements to perform a certain task or work at a particular site, you can mark it as a mandatory requirement. This way, only employees who meet that requirement will be rostered.

This can be done either:

• Per Shift - If only 1 or a few employees on a roster require a specific compliance, you can add it as a requirement for specific shifts. 
  • For example,  if you only need 1 first aid officer on the floor at all times
• Per Roster - If every employee on the roster requires a specific compliance. 
  • For example, a bar roster needs every employee to have a valid RSA

When adding new employees or shifts to a roster with mandatory compliance requirements, only employees with valid compliance can be selected. Those without the specific compliance record uploaded or with an expired record cannot be added. 
 

To add compliance as a roster requirement:

1. Navigate to Work > Rosters.

2. Either add a new roster or select the ellipsis to edit an existing roster. 

   

3. In the Requirements section, add your compliances, then select Save roster to update.

  Please note: Any new roster requirements added will only apply to new shifts created in your roster. Draft shifts already rostered will not update; to apply the updates, select the 'Reverify shifts' icon on your roster.

To add compliance as a shift requirement:

1. Navigate to Work > Rosters. 
2. Open your roster and create a shift as you usually would. 
3. Add in the shift details and select Add Requirement.

4. Select the compliance record you'd like to filter based on. 

   

     Hot tip: Any compliance set as a roster requirement can be viewed when editing your shifts. They can be located from the Requirements drawer > Roster Compliances. Additionally, you  cannot select any roster requirements as a shift requirement since it is currently in use. 

5. The employees who are now selectable from within the drop-down will all have the desired compliance record. 

Although you can be notified of when your employees' licences & inductions are expiring, you may want to report on this information on a larger scale.

The Expiring Compliance Records report will allow you to view the compliance records held by employees, their expiry dates, as well as other useful information. 
 

To view this report:

1. Navigate to Reports > Workforce Reports > Expiring Compliance Records. 
2. In the Qualification Type drop-down select Qualification, Licence, or Induction. 
   
     Please 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.  

Compliance records can also be exported from the People menus. This may be more appropriate than the Expiring Compliance Records 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. 
 

To 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.

To export compliance record expiry dates:

1. Navigate to People > Approved People. 
2. Before exporting, you can optionally select Show Filter and use the appropriate criteria to filter specific employees from whom you want to export data.
3. From the Bulk Actions drop-down > select Export Compliance Records for All Filtered (or Export Compliance Records for Selected).
4. You can select the records you'd like included from the Export CSV drawer on the right. If you would like to export all, leave the selected as is. 
5. The resulting CSV will include the date associated with the record or a 'yes' in the case of qualifications.