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Viewing Compliance Reports
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TOP OF HELP DOCUMENTATION

Last Updated 6/16/22

REPORTER Help Documentation for Compliance Admins

Viewing Compliance Reports

Access to Compliance Reports is dependent on the Compliance Admin role and which requirements the admin has access to Manage. Compliance Admins will have two primary reporting types available through their permissions -- By Requirement or By User. Through these reports, the admin is able to pull details about everyone under a single requirement, or by multiple requirements.

Table of Contents

Overview of Available Reports

Interpreting Compliance Reports

Active and Archived Requirements

Active and Inactive Assignments

Primary Reports Used

Primary Compliance Report

Compliance Status by Course

Compliance by Participant

Additional Reports

Requirements Summary Report

View Registrants not Assigned

Additional Resources

Using "Participant Management"

Recommendation by Participant report


Start section: Overview of Available Reports

Overview of Available Reports

In addition to having the ability to look up a specific participant using Participant Management, Compliance admins can also access the following Reports using the Compliance Reports page:

Requirements Summary Report 

(Opened via Left Menu in REPORTER: Reports > Compliance Reports)

Includes all of the requirements you are an admin of (including archived requirements), and summary numbers of the statuses that assigned users have.

Primary Compliance Report 

(Left Menu: Reports > Compliance Reports > View Details)

Provides a list of all requirements with additional details of all participants who is assigned to the requirement

This report includes the same details found when managing assignments, but only active requirements are included when using the navigation (Compliance Administration > Manage Assignments > Double click requirement in list)

Detailed Compliance Report

Available from the primary report by clicking  ‘View/Export More Details’

Includes the same records as the primary report, plus additional student and job data fields; additionally, those with multiple jobs will have a separate row for each job record.

Compliance Status by Course

Available from the primary report by clicking  ‘View Status by Course

Provides details about assigned users broken up by the courses they are required to complete. Also includes additional, course-related information, such as registration date.

Compliance by Participant

(Opened via Left Menu in REPORTER: Reports > Compliance Reports > Compliance by Participant tab)

Provides a full record of which courses and requirements a user is currently, or was previously assigned, along with details about the requirement.

Detailed Compliance by Participant Report

Available from the Compliance by Participant report by clicking  ‘View/Export More Details’

Includes the same records as the primary report, plus additional student and job data fields; additionally, those with multiple jobs will have a separate row for each job record.

Recommendation by Participant 

(Opened via Left Menu in REPORTER: Reports > Compliance Reports > Compliance by Participant tab)

 List of all participants with recommendations to take a course that can be assigned via an existing requirement

Viewing reports via  Left Menu > Reports > Compliance Reports:

When accessing reports through the menu link, you will have the option to view additional records not seen when managing assignments. Here you have the option to view only ‘Active’ data, or to include ‘Active’ data and ‘Archived data’. Archived data will include anything the user was required to complete in the past even if the requirement is no longer active. This does not include unassigned requirements, just requirements that are no longer active.

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Start section: Interpreting Compliance Reports

Interpreting Compliance Reports  - (CURRENTLY UNDER CONSTRUCTION)

As a Compliance admin you have the ability to view compliance records related to requirements you have access to. When viewing records it’s important to note that a requirement can be “Active” or “Archived” and a specific user’s assignment can be “Active” or “Inactive”. If a requirement is archived, all the assignments will be inactive. If a requirement is Active, then only those who have been unassigned will appear as ‘Inactive’ assignments.

There are a few report variations available to use depending on what your reporting goal, but the following fields are seen in most reports: is true for all reports:

Report Field

About

Variation Notes

“Archived”

Reference to whether the Requirement is Active or if it has been closed out. Archived Requirements are no longer active.

Users are not considered actively assigned that requirement once archived.

“Inactive”

Usually in reference to the assignment for an individual person. If active, they are still assigned, if inactive, the requirement is not longer assigned and/or active

Unassigned users will be inactive, and users assigned to now archived requirements will be inactive

Registration Status

Determined by Due Date, Previous Completions, and Active Registrations and reflects whether someone needs to register for or just complete a required course. This is shown to users and admins.

  • Complete: This portion of the requirement has been met.
  • Registered: You are registered for this course but have not yet completed it.
  • Action Needed: You have not yet registered for this required training.

If someone registers for an additional instance after completing a required course, the course will update to Registered, but the completion credit is not lost. If someone is Complete and there is a refresher cycle, this status will update when the user is Due within 30 Days, changing from ‘Complete’ to ‘Action Needed’.

Assignment Status

If a requirement includes more than one course, each course has a separate assignment status, and those statuses impact the overall requirement status

  • New Assignment: When something is first assigned, you haven't completed it, but the due date is farther than 30 days away
  • In Compliance: The required course(s) have been completed
  • Due within 30 Days: The due date is approaching and something has not been completed
  • Out of Compliance: The due date has passed and something has not been completed

If an assignment is “Inactive”:

  • If this status is Empty, the user is no longer required to complete that specific course.
  • If “Incomplete”, the user had not completed that course

Requirement Status (Often labeled just “Status”)

Indicates the user's course completion in relation to a requirement. The statuses seen here for Active Assignments are the same at the Assignment Statuses described above.

If a requirement contains multiple courses (or multiple course options) users will have a separate Assignment status per required course, plus an overall “Requirement Status”  for the requirement.

  • If the requirement includes alternate refreshers, or multiple course options for a single course credit, you may see additional records in reports corresponding to activity for each of the related courses that users have records for.
  • If a user has completed 1 of 2 two courses by the due date, one course will be in compliance but the other course and the overall requirement will be out of compliance.  If the courses within the requirement have different due dates, the nearest one will display. Status corresponds to the overall status for the requirement. If users have completed some but not all of the courses in the requirement by the due date, they will be out of compliance.

With Active Requirements:

  • If this status is Empty, the user is no longer assigned.
  • If “Incomplete”, the user was not in compliance when they were unassigned.

If the requirement has been archived:

  • An Empty Status indicates the user was unassigned before the requirement was archived.
  • Incomplete indicates the user was not “In Compliance” at the time of the archival.

Assigned By & Date Assigned

This will identify who identified the user as required, and on what date they were assigned.

If the requirement allows people to be assigned by their Supervisor, this field can be helpful to determine if someone was identified by a Supervisor versus being Identified by a Compliance Admin.

It should be noted that this person may be administrative support working on behalf of the training owners or compliance managers, and does not necessarily indicate who determined the person was required.

Additionally, if someone is assigned automatically by way of another system (example - Safety Checklist), you will see a specific person’s name even though they did not physically go into REPORTER and tag that person.

OUC

The code for the user’s department. If you hover over this number you will see the user’s supervisor. If the user has multiple jobs, hovering will show additional job OUCs.

If you View/Export More detail, there is a row per user, per job (so if you have 2 jobs the report will have 2 rows for you with one ouc on each).

Supervisor

The REPORTER System receives two data files from the Peoplesoft HR System on a nightly basis and those records are imported into the REPORTER system to be used for compliance and training management.

The two files include and result in the following:

One file includes all active employees and their general and contact information (including legal and preferred name).

Before importing the file, REPORTER changes the system value of “Active Employee” to be No for all users.

Then, the system will identify anyone listed in the file that does not already have an account in REPORTER (e.g. New Hires) and it will create their account.

Lastly, it will import the data for all persons, and change “Active Employee” to Yes for those listed.

The second file contains every active job record and a portion of the associated job data

Includes all job records, so if someone has multiple jobs, they will have multiple records, and each record includes the “Reports to” field

If there are multiple jobs, the primary job (the lowest “Empl Record”) is the only supervisor that gets notices

Student Data

Typically requires use of “View/Export More Details’

Pulled from SIS

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Active and Archived Requirements

While a requirement is actively being used and enforced, it will continue tracking user interactions as they relate to the requirement.

When a requirement is no longer needed, (usually due to content changes or starting a new tracking cycle) it will be Archived in order to capture the completion data, assignment dates, and associated statuses.

You can Identify is a Requirement and/or Assignment is Active or Archived via

Using the left menu navigation of “Reports” > “Compliance Reports” you can access a list of requirements that you have administration access for.

On the far right, you will see a column indicating whether the requirement has been archived, if ‘Yes’ the tracking for that training requirement has been closed out and is no longer actively assigned to users.

Interpreting Archived Reports  - (CURRENTLY UNDER CONSTRUCTION)

Compliance Status:

  • Empty - The user was unassigned from the requirement before it was ever archived.
  • Incomplete - At the time of archival, the user was assigned but Out of Compliance
  • In Compliance - The user was assigned and met the requirement at the time it was archived

Most Recent Completion:

  • If there is a date, that is when the user most recently completed training related to the requirement.
  • If there is no date, the user did not have any completions related to the requirement

Due Date:

  • If the Due Date field is empty:
  • MRC is Empty - The User

If the requirement has been archived:

  • An Empty Status indicates the user was unassigned before the requirement was archived.
  • Incomplete indicates the user was not “In Compliance” at the time of the archival

At the time of Unassign Or Archival, as indicated by the Status --- the user had no completions counting towards meeting the requirement

User was unassigned prior to the requirement being archived. The data included is specific to the point in time that the user was unassigned.

User was Actively Assigned when the requirement was archived. Data included reflects the record at the time the requirement was archived.

At the time of Unassign Or Archival, as indicated by the Status --- the user had previously completed at least 1 of the required courses.

The user was due to complete training by this date.

At the time of Archival, the user had previously met the requirement but was Out of Compliance for the Refresher Due Date indicated

At the time of being unassigned, the user had previously completed at least 1 of the required courses

Record A: User was assigned at the time the requirement was archived, but had not completed training. The Incomplete status column indicates the user was identified as required at the time the requirement was archived.

Record B: User was assigned in the past, but was unassigned before completing the course. The Empty Status column indicates they were unassigned the requirement, and therefore had no compliance status when the requirement was archived.

In both cases, the “History” tab can be used to verify what occurred with a particular record.

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Active and Inactive Assignments:

While a requirement is actively assigned to a user, they will have a Due Date and Compliance Status that is actively tracked and updated based on related activity in the REPORTER system -- this may also include email notices, attention required notifications, and providing other data available to the assigned user with the indication of being required. So long as the assignment is active, the user will continue being tracked until they are unassigned, or the requirement is archived.

  • When a requirement is “Unassigned”, meaning a specific individual (or individuals) are removed from the list of who should be required to complete training, their assignment will change from “Active” to “Inactive”.
  • If a requirement is archived, all active assignments will become Inactive, as they are no longer being actively enforced/tracked through that specific requirement.

Using the left menu navigation of “Reports” > “Compliance Reports” you can access a list of requirements that you have administration access for.

From the ‘Compliance by Participant’ tab, you will also see a column on the far right for “Inactive” with Yes/No values.

In this report, the status is specifically in reference to the listed user and course.

  • if a requirement is actively assigned to someone, they will be ‘No’, meaning active
  • if ‘Yes’ the tracking for that training requirement has been closed out and is no longe

Assignment Status

If a requirement includes more than one course, each course has a separate assignment status, and those statuses impact the overall requirement status

  • New Assignment: When something is first assigned, you haven't completed it, but the due date is farther than 30 days away
  • In Compliance: The required course(s) have been completed
  • Due within 30 Days: The due date is approaching and something has not been completed
  • Out of Compliance: The due date has passed and something has not been completed

If an assignment is “Inactive”:

  • If this status is Empty, the user is no longer required to complete that specific course.
  • If “Incomplete”, the user had not completed that course

Requirement Status

Indicates the user's course completion in relation to a requirement. The statuses seen here for Active Assignments are the same at the Assignment Statuses described above.

If a requirement contains multiple courses (or multiple course options) users will have a separate Assignment status per required course, plus an overall “Requirement Status”  for the requirement.

  • If the requirement includes alternate refreshers, or multiple course options for a single course credit, you may see additional records in reports corresponding to activity for each of the related courses that users have records for.
  • If a user has completed 1 of 2 two courses by the due date, one course will be in compliance but the other course and the overall requirement will be out of compliance.  If the courses within the requirement have different due dates, the nearest one will display. Status corresponds to the overall status for the requirement. If users have completed some but not all of the courses in the requirement by the due date, they will be out of compliance.

With Active Requirements:

  • If this status is Empty, the user is no longer assigned.
  • If “Incomplete”, the user was not in compliance when they were unassigned.

If the requirement has been archived:

  • An Empty Status indicates the user was unassigned before the requirement was archived.
  • Incomplete indicates the user was not “In Compliance” at the time of the archival.

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Start section: Requirements Summary Report

Requirements Summary Report

When viewing reports by requirement, you will start with a list of all requirements you admin and a summary of the associated compliance numbers. These compliance numbers are categorized based on the assigned users’ compliance statuses.

As a Compliance admin, you are able to filter and find specific compliance requirements via the Compliance By Requirement tab. If you want to view the compliance data for a specific requirement, double-click on it, or click to highlight in gray and select View Details. This will open the compliance report for the requirement, which includes all users who are assigned to that requirement, their nearest due date, and their overall compliance status.

Search button brings out a list of other options that allows you to filter for specific requirements.

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Start section: Primary Compliance Report

Primary Compliance Report

The Primary Compliance Report is the overall report opened for a specific requirement to see who is assigned, what due dates they have, and what their compliance status is. The page will provide a variety of information, links for additional reports, and options for managing the records.

To access this report for both Active and Archived requirements in REPORTER:

Select Reports from the left side menu, then select the Compliance Reports link. From there find the requirement whose reports you wish to view, select it and click the View Details button.

  • If a requirement has been archived, you will not be able to access this report through the  ‘Manage Assignments’ page  in REPORTER.

The report for Active Requirements will appear as pictured below, and depending on active/archived, will also include the following:

Report Information

*If the courses within the requirement have different due dates, the nearest one will display. Status corresponds to the overall status for the requirement. If users have completed some but not all of the courses in the requirement by the due date, they will be out of compliance.

Columns Included:

  • Last Name, First Name, Unity Id, Employee ID, Email
  • OUC (Job)
  • Date Assigned, Most Recent Completion, Assigned By, Due Date
  • Status
  • Has Note

Search Options:

  • First Name, Last Name, Email Address
  • Unity ID, Active NCSU Employee?, Active Student?, Employee ID
  • Department, OUC (4 digit), OUC (2 digit), Supervisor Email
  • Status, Assigned By First Name, Assigned By Last Name
  • Has Notes

Report Options

Export to Excel: Exports the rows and columns into a single sheet excel file.

View/Export More Detail: Opens a new page displaying more information about each participant.

Management Options

Select all: Selects all participants of the course.(Used with search fields and a management option)

Deselect all: Deselects all participants of the course. (Used to undo a select all)

Unassign - Send Email: Removes selected participants from the assignment and sends the participants an email.

View Notes: View notes of selected participants.

Email Selected Assignee(s): Sends selected participants a customized email.

Add Notes: Creates a customized note of selected participants

Additional Pages

The Bulk/ Assign/Register tab allows admins to assign multiple/large amounts of participants via excel. For more information on the process see Bulk Registration

The History tab displays the history of all participants that have taken the requirement.

The Email History tab displays the history of all emails sent to participants within the requirement - more details seen here.

Start subsection: Primary Compliance Report - Detailed Compliance R

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Start section: Compliance Status by Course




Compliance Status by Course

The Primary Compliance report provides overview of assigned users and relevant details to summarize their overall association with the required courses. From the primary, or overall, compliance report for the requirement, data can be seen for users who are assigned to that requirement including their nearest due date, and their overall compliance status. However, if a requirement includes more than one course, Compliance Admins admin can select the View Status by Course button to drill down to see completion information for each of the individual courses that make up the requirement.

In order to see details broken down by the required course, and to see the completion status and dates per course, admins can select the “View Status By Course” option from the primary report page.

Status by Course will show a block for each course in the requirement:

Within that block you can see the associated compliance data for each user as it relates to that course.

Here you will be able to see if users have different due dates for each course, whether they completed any of the courses and when, and their compliance status as it relates to completing that course.

In each block you will see the following information for each user and each course:

If a requirement contains more than one course, you may need to drill down into the report to determine which portions of the requirement have been completed.

Start subsection: Compliance Status by Course - Detailed Status by Course

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Start section: View Registrants not Assigned

View Registrants not Assigned

This report can be used to identify users who are registered for a course they are not currently assigned. That data can be used to determine users who need to be dropped and/or assigned.

The report is only available if the requirement is currently active, and is found in REPORTER via:

1).  Use the left side panel to expand Compliance Admin, then select the Manage Assignments link.

2).  From there you will click to select a requirement, then choose a button based on the actions you wish to perform.

3).  Click on the target requirement to highlight it,

4).   Once highlighted, click the button to View Registrants Not Assigned.

You will see a section on the left for each course that makes up the requirement. In that section is a list of all users who have registered for any instance of the course but are not assigned to the requirement. You can export these lists, search within them, and filter to use the ‘Select All’.

If you wish to assign any of the registered users to the requirement, click to highlight the desired users in grey (or use select all), and click the Add button. The added users will show on the right side of the screen.

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Start section: Compliance by Participant

Compliance by Participant

As referenced in Step 4 under Reports, when you are viewing compliance reports, you can view by requirement or by participant. To view compliance records for a specific person, select the Compliance by Participant tab.

Start subsection: Compliance by Participant - Detailed Compliance by Participant

Detailed Compliance by Participant

Opens a new page displaying more information about each participant.

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Begin Section: Recommendation by Participant

Recommendation by Participant

If a course is contained by a requirement, it can be assigned; however, in addition to that, the course can also still be recommended by the course admins. As a Compliance Admin, you have access to see which users have been recommended to a course attached to your requirement.

Compliance Admins can see users who have been recommended to take courses in the requirements they administer by viewing the ‘Recommendation by Participant’ report which will include one row per course, per recommendation.

Full Help Documentation for this functionality is available here: Recommending courses

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Participant Management

Through the ‘Participant Management’ page, Course Admins and Compliance Admins can see and interact with multiple registrations and assignments for a single user in one place. Records and available options will depend on what access the user has been provisioned with their role.

Full Help Documentation for this functionality is available here: Using "Participant Management"

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For questions or additional information you can view our support site at support.reporter.ncsu.edu or you can contact us at reporter_support@ncsu.edu.