Compliance

The Compliance system allows students and preceptors to manage their compliance requirements, upload documents, and track expiration dates. Administrators can review, approve, or reject documents, manage compliance templates, and configure institutional requirements.

Overview

Compliance management ensures that all users meet institutional and regulatory requirements before and during clinical placements. This includes vaccinations, certifications, background checks, and other mandatory documents. The system supports document upload, AI-powered verification, approval workflows, and comprehensive compliance tracking.

For Students and Preceptors

My Compliance Page

The My Compliance page is where you manage your personal compliance requirements. Access it from the main navigation menu.

Compliance Status Badge

At the top of the page, you'll see your overall compliance status:

• Compliant: All requirements are met and current
• Not Compliant: One or more requirements are missing, expired, or rejected
• Not Set: No compliance requirements have been configured for your institution

The status updates automatically when documents are approved or requirements change.

Viewing Requirements

The compliance table displays all requirements assigned to you:

• Requirement Name: The name of the compliance item
• Status: Current approval status (Approved, Pending, Rejected)
• Expiration Date: When the document expires (if applicable)
• Document: Current document and document history

Document Status

Each requirement shows one of three status badges:

• Approved (Green): Document has been reviewed and approved by an administrator
• Pending (Yellow): Document is uploaded and awaiting administrator review
• Rejected (Red): Document was rejected and needs to be resubmitted

Uploading Documents

1. Find the requirement that needs documentation
2. Click the Upload button (upload icon)
3. Select your document file:
   • Supported formats: PDF, DOC, DOCX, JPG, JPEG, PNG, GIF
   • File will upload to secure cloud storage
4. The document will automatically be set to "Pending" status
5. Administrators will be notified of your submission

Note: Uploading a new document creates a new version while preserving document history. Previous versions remain accessible for compliance records.

Document History

Each requirement can have multiple document versions:

• Current Document: The most recently uploaded document (marked as current)
• Document History: All previous versions are preserved for compliance records
• Access history via the Documents dropdown menu
• View any historical document by clicking on it

Setting Expiration Dates

1. After uploading a document, set the expiration date (if applicable)
2. Click in the expiration date field
3. Select a date from the calendar picker
4. The date saves automatically

Important Notes:

• If you set an expiration date in the past, the document status will automatically change to "Rejected"
• If you update an expiration date on an approved document, the status will change to "Pending" for re-review
• Some documents may not require expiration dates

Viewing Documents

1. Click the Documents dropdown button
2. Select Current Document to view the most recent version
3. Or select any document from Document History to view previous versions
4. Documents open in a viewer dialog:
   • Images display directly in the viewer
   • PDFs can be opened in a new tab
   • You can download documents for your records

Document Rejection and Appeals

If your document is rejected:

1. You'll see a red rejection notice with the rejection reason
2. If the document was auto-rejected by AI, you'll see options to:
   • Appeal Decision: Submit an appeal for administrator review
   • Upload New Document: Upload a corrected or new document
3. After appealing, the document status changes to "Pending" for re-review
4. Administrators will be notified of your appeal

AI Document Verification

When you upload a document, AI automatically analyzes it to verify:

• Document type matches the requirement
• Document is relevant to the expected type
• Document legitimacy and authenticity
• Person name matches your profile

AI Auto-Actions (if enabled by your institution):

• Auto-Approval: Documents with high AI confidence may be automatically approved
• Auto-Rejection: Documents with clear issues may be automatically rejected (you can appeal)

Notification Settings

Configure your personal compliance notification preferences:

1. Click the Settings icon (gear) in the page header
2. Toggle Compliance Alerts on or off
3. If enabled, choose when to receive alerts:
   • Already expired: Only for items that have already expired
   • Expiring within 7 days: For items expiring in the next week
   • Expiring within 30 days: For items expiring in the next month
4. Settings save automatically

Common Compliance Requirements

Standard requirements may include:

• Annual Flu Vaccine
• COVID-19 Vaccination
• Hepatitis B Vaccination
• MMR (Measles, Mumps, Rubella)
• Varicella (Chickenpox)
• Tdap (Tetanus, Diphtheria, Pertussis)
• TB Skin Test/QuantiFERON
• Physical Exam
• CPR/BLS Certification
• ACLS Certification
• Background Check
• Drug Screening
• Student Health Insurance
• Professional Liability Insurance

Your institution may have custom requirements in addition to these.

For Administrators

Managing User Compliance

Access user compliance management from the Users page:

1. Navigate to Users
2. Find the user you want to manage
3. Click the Compliance button or action to open the Compliance Drawer

Compliance Drawer

The Compliance Drawer provides comprehensive tools for managing individual user compliance:

User Information Header

• User Avatar and Name: Identifies the user being managed
• Role Badge: Shows user's role (Student, Preceptor, Admin)
• Template Badge: Shows which compliance template is assigned (Standard Template or custom template name)
• Compliance Status Badge: Overall compliance status (Compliant/Not Compliant)

Template Assignment

Assign custom compliance templates to users:

1. Click the template badge in the header
2. Select from available templates:
   • Standard Template: Institution's default template
   • Custom Templates: Institution-specific templates
3. The user's requirements update immediately to match the selected template

Expired Items Warning

If the user has expired requirements, a red warning banner appears showing:

• Number of expired requirements
• List of expired requirement names
• Reminder that they need to be renewed

Approve All Pending

Quickly approve all pending documents:

1. If there are pending documents, an "Approve All Pending" button appears
2. Click the button to approve all pending documents at once
3. The count shows how many documents will be approved
4. All approved documents are marked as compliant

Managing Individual Requirements

For each requirement, you can:

Change Approval Status:

1. Click the status dropdown (shows current status)
2. Select new status:
   • Approved: Mark document as approved
   • Pending: Set back to pending review
   • Rejected: Reject the document

Set Expiration Date:

1. Click in the expiration date field
2. Select or type a date
3. Date saves automatically
4. Note: Cannot approve documents with expiration dates in the past

View Documents:

1. Click the Documents dropdown
2. View current document or document history
3. Click any document to view it in the document viewer
4. Documents open in a dialog with image preview or PDF download option

Upload Documents on Behalf of User:

1. Click the upload button
2. Select a document file
3. Document uploads and is set to pending status
4. You can then approve it immediately if desired

Reject with Reason:

1. Use the Rejection Reason dropdown
2. Select a reason:
   • Wrong person on document
   • Wrong document type
   • Document quality issues
   • Expired document
   • Missing information
   • Invalid certification
   • Illegible document
   • Incomplete documentation
   • Other
3. The document is immediately rejected with the selected reason

AI Analysis Integration

When documents have AI analysis:

1. An AI Analysis button appears next to the document
2. Button color indicates AI recommendation:
   • Green: AI recommends approval
   • Red: AI recommends rejection
   • Yellow: AI recommends pending review
3. Click the button to view detailed AI analysis (if AI dialog is configured)
4. Use AI recommendations as a starting point for your review
5. You can override AI recommendations with your own assessment

Compliance Settings (Administrators)

Access compliance settings from the Settings page under Compliance Requirements.

Compliance Templates

Manage compliance requirement templates for your institution:

Template Types:

• Standard Template: Default template applied to all users unless assigned a custom template
• Custom Templates: Institution-specific templates that can be assigned to specific users

Creating a Template:

1. In the template selector, choose "Add New Template"
2. Enter a descriptive template name (e.g., "Nursing Students", "Clinical Staff")
3. Click "Create Template"
4. The new template starts with no requirements enabled
5. Enable requirements as needed (see below)

Editing a Template:

1. Select the template from the dropdown
2. Enable or disable requirements using checkboxes
3. Changes save automatically
4. To rename a template, click the Edit icon (pencil) next to the template selector

Deleting a Template:

1. Select the template to delete
2. Click the Delete icon (trash) next to the template selector
3. Confirm deletion
4. Users assigned to the deleted template will revert to the Standard Template

Switching Templates:

• Use the template dropdown to switch between templates
• Each template maintains its own set of enabled requirements
• Changes to one template don't affect others

Managing Compliance Items

Standard Items:

• Pre-defined compliance requirements (vaccinations, certifications, etc.)
• Cannot be edited or deleted
• Can be enabled or disabled per template

Custom Items:

• Institution-specific requirements you create
• Can be edited (renamed) or deleted
• Show edit and delete icons next to the item name

Enabling/Disabling Items:

1. Check the box next to an item to enable it
2. Uncheck to disable it
3. Changes save automatically to the current template
4. Enabled items appear at the top, disabled items at the bottom

Adding Custom Items:

1. Click "Add Custom Requirement" at the bottom of the requirements list
2. Enter the requirement name
3. Click "Add Item"
4. The new item is automatically enabled and added to the current template
5. Custom items are sorted alphabetically after standard items

Editing Custom Items:

1. Click the Edit icon (pencil) next to a custom item
2. Enter the new name
3. Click "Save Changes"
4. The item is renamed across all templates that include it

Deleting Custom Items:

1. Click the Delete icon (trash) next to a custom item
2. Confirm deletion
3. The item is removed from all templates
4. Warning: This action cannot be undone

Bulk Operations:

• Select All: Enable all available requirements at once
• Deselect All: Disable all requirements at once
• Useful for quickly configuring new templates

Notification Settings

Configure institution-wide compliance notifications:

Compliance Alerts:

• Toggle to enable/disable weekly compliance email notifications
• When enabled, configure expiration window:
  • Already expired: Send alerts only for expired items
  • Expiring within 7 days: Send alerts for items expiring soon
  • Expiring within 30 days: Send alerts for items expiring in the next month

Low Seats Alerts:

• Toggle to enable/disable email notifications when running low on license seats

Notification Point of Contact:

• Select one admin user to receive all summary compliance and low seat alerts
• Choose from the dropdown of available admin users
• Only one admin can be selected as the contact

AI Document Verification Settings

Configure AI-powered document verification:

AI Auto-Rejection:

• When enabled, documents are automatically rejected if AI has high confidence they are invalid
• AI checks for: wrong person, fake documents, expired documents, wrong document type
• Students can appeal auto-rejections

AI Auto-Approval:

• When enabled, documents are automatically approved if AI has high confidence they are valid
• AI verifies: correct person, legitimate document, complete information
• Administrators can still review and override auto-approvals

Best Practice: Start with both features disabled, review AI recommendations manually, then enable auto-features once you're comfortable with AI accuracy.

Multi-Factor Authentication (MFA)

Configure which roles require MFA:

• Select Student, Preceptor, and/or Admin roles
• Users in selected roles will be required to set up MFA
• Users without MFA enrolled will be guided through setup on login

Document Management

Document Lifecycle

1. Upload: User uploads a document
2. AI Analysis: AI automatically analyzes the document (if enabled)
3. Pending Review: Document status is "Pending" awaiting administrator review
4. Review: Administrator reviews document and AI analysis
5. Decision: Administrator approves or rejects the document
6. Compliance Update: User's compliance status updates automatically
7. Expiration: If document has expiration date, status may change when expired

Document Versions

• Each requirement maintains a full document history
• Uploading a new document creates a new version
• Previous versions are preserved for compliance records
• Only the most recent document is marked as "current"
• All versions are accessible for review and download

Document Storage

• Documents are stored securely in cloud storage (S3)
• Access is controlled by user permissions
• Documents are isolated by institution
• Presigned URLs are used for secure document access
• Documents are retained according to institution policies

Compliance Status Calculation

Compliance status is automatically calculated based on:

• All required documents are uploaded
• All documents are approved (not pending or rejected)
• No documents have expired expiration dates
• All requirements marked as "completed" in the database

The status updates automatically when:

• Documents are approved or rejected
• Expiration dates are set or updated
• New documents are uploaded
• Requirements are added or removed from templates

Best Practices

For Students and Preceptors

1. Early Submission: Upload documents well before they're needed
2. Clear Documents: Ensure documents are legible, complete, and clearly show required information
3. Accurate Expiration Dates: Set expiration dates accurately to avoid automatic rejection
4. Identity Verification: For documents requiring identity verification, ensure your name is clearly visible
5. Regular Updates: Keep documents current and renew before expiration
6. Appeal When Appropriate: If your document is auto-rejected, review the reason and appeal if you believe it's incorrect
7. Check Status Regularly: Monitor your compliance status and pending documents

For Administrators

1. Template Design: Create clear, comprehensive templates with all necessary requirements
2. Timely Review: Review and approve/reject documents promptly to keep students compliant
3. Use AI as Assistant: Use AI analysis as a starting point, but always review documents yourself
4. Clear Rejection Reasons: Provide specific rejection reasons to help students correct issues
5. Template Assignment: Assign custom templates to user groups with specific requirements
6. Regular Audits: Periodically review compliance status across your institution
7. Notification Configuration: Configure notifications appropriately for your institution's needs
8. Document Retention: Understand your institution's document retention policies

Troubleshooting

Common Issues

Document Upload Fails:

• Check file format (PDF, DOC, DOCX, JPG, JPEG, PNG, GIF supported)
• Ensure file size is reasonable
• Check internet connection
• Try a different browser

Document Status Not Updating:

• Refresh the page
• Check if document is still processing
• Verify you have proper permissions
• Contact administrator if issue persists

Cannot View Document:

• Check browser compatibility
• Ensure document format is supported
• Try refreshing the page
• Contact support if issue persists

Expiration Date Issues:

• Cannot set expiration date in the past (will auto-reject)
• Updating expiration date on approved document sets it back to pending
• Clear expiration date if document doesn't expire

Template Not Showing Requirements:

• Verify template has requirements enabled
• Check if user is assigned to correct template
• Refresh the page
• Contact administrator if issue persists

Privacy and Security

• Secure Storage: All documents are stored in secure cloud storage
• Access Control: Only authorized users can view documents
• Institution Isolation: Data is isolated by institution
• Presigned URLs: Documents are accessed via time-limited secure URLs
• Audit Trail: Document uploads, approvals, and rejections are logged
• FERPA Compliance: System designed to comply with educational privacy regulations

Related Features

• Settings: Configure compliance templates, notifications, and AI verification
• Users: Administrators can view and manage all user compliance
• Reports: Generate compliance reports for accreditation and auditing
• Classrooms: Compliance may be required for classroom enrollment
• Notifications: Receive alerts about compliance status and expiring documents