System Administrator s Guide Introduction. Updated: April 2017 Version: 2.2

Transcription

1 System Administrator s Guide Introduction Updated: April 2017 Version: 2.2

2 Table of Contents Document Version Updates... 4 What s New in R Browser Auto-Complete Prevention... 5 SCORM Engine Update... 6 Updates to Privacy, Copyright, Terms of Use Statements, and Company Name Change... 7 Browser Compatibility... 7 ComplianceWire Analytics Tool... 7 Talent Management Suite... 9 TMS Administration... 9 ComplianceWire Design Center Logs Accessing Logs Event Log Report Change Log Navigating ComplianceWire Screens Administrator Screen Details Navigating the User Reports Screen Popup Windows Language Options Alternate Language Support Multi-Lingual Training Items International Data Support Common Functionality Links Page Control Column Sorting Wizards Tokens Calendar ComplianceWire View/Tools Executive View Electronic Signatures Defining Reports Custom Fields Organizational Structure & Security Roles Organizational Tree Security Roles Home Organization & Security Role Catalog ComplianceWire Admin Guide - Introduction (Version 2.2) 2

3 Training Completions Curriculum Curriculum Enhancements Assignments Security Rights User Security Rights Training Security Rights Assignments & Completions Security Rights Options Security Rights ComplianceCenter Security Rights Additional Security Rights Input Fields Users Input Fields Instructor Based Training Input Fields Class Input Fields Control Documents Input Fields Forms Input Fields Offline Training Input Fields AICC Training Input Fields Custom Exams Input Fields International Data Fields Searching Search for Users Search for Training Comments Online Help Time Out Warning Computer Based Training (Mastery) Pending Courses CBT Policies Computer Based Training (Exams) Learning Services Created Exams Offline Training Control Documents Forms Forms AICC Training Custom Exams SCORM-Compliant Courses Online Registration Processing ComplianceWire Admin Guide - Introduction (Version 2.2) 3

4 Resource & Skill Planning ios ipad Learner App Document Version Updates Version Date Update Details 2.0 June 2015 Updated with Overview of R (June) Release 2.1 June 2016 Updated for format and consistency. Updated the information with the latest screen captures. 2.2 April 2017 Updated user input fields section Includes updates/enhancements of 2017R1 ComplianceWire Platform. - Browser Auto-Complete Prevention - Updates to Privacy, Privacy, Copyright & Terms of Use Statements - Support for Microsoft Edge - SCORM engine update ComplianceWire Admin Guide - Introduction (Version 2.2) 4

5 What s New in R Browser Auto-Complete Prevention Today, ComplianceWire does not restrict a browser s ability to auto-complete a user s stored User ID and Password. If a user elects to utilize their web browser s auto-complete capability, their authentication data (User ID and Password) can be pre-populated at login or e-signature completion in ComplianceWire. Clients have historically relied on their company s browser policies to disable the auto-complete feature and maintain Code of Federal Regulations (CFR) Part 11 compliance. This new ComplianceWire feature will help make it easier for clients to adhere to the requirement in Part 11 that states: subsequent signings shall be executed using at least one electronic signature component that is only executable by, and designed to be used only by, the individual. (21 CFR Part 11, Subpart C, Sec ). Although industry standards that govern search engines and website design dictate that auto-population is preferred, we recognize that it presents our clients with challenges maintaining (CFR) Part 11 compliance. In addition to the SOP s, Guidelines and Browser policies that a company may have in place, we are taking measures to prevent browsers from auto-completion of Username and Password fields in ComplianceWire for native login, change password, and e-signature pages. After the R release, Learners and Administrators will be forced to manually type in their User ID and Password login credentials in the areas described below. Note: In addition to the changes made to the browser auto-complete feature in ComplianceWire with R1.2017, it is recommended that clients continue using their SOP s, Guidelines & Internal policies to support CFR Part 11 compliance. Learner Functions Login page Change Password page Class Sign-in sheet for an ILC All forms that require e-signatures All Training Type completions that require e-signatures The following is an example showing the difference between the e-signature page in production today and the autocompletion prevention implemented in R OLD NEW ComplianceWire Admin Guide - Introduction (Version 2.2) 5

6 Admin Functions In addition to the Learner functions described earlier, the auto-complete prevention will be enforced on the following Administrative functions that require an e-signature: Password Policies page Assignment Definition pages for Add, Edit, and Remove functions Curricula Approvals and Reviews E-signature requirements Upload tool file approval/rejection Class Sign-in sheet and Close Sign-in for an ILC Scramble user Browser Support The auto-complete prevention is supported on the following browsers: Microsoft Internet Explorer versions 8 through 11 Microsoft Edge Google Chrome Mozilla Firefox Note: The Apple Safari browser is not supported for the auto-complete prevention feature. More Information - Browser Auto-Complete Prevention The SAML SSO Login and Custom Login pages are not impacted and will continue to function as is with existing capabilities. The auto-complete prevention feature does not prevent third party tools that may be used to store and populate login and e-signature pages. The Clients with Custom Login pages who are interested in applying the auto-complete prevention feature should contact their Account Director. The browser will continue to present a suggestions drop-down list for the User ID field as shown in the example below. However, it will still be necessary to enter the password. SCORM Engine Update In R we have updated our SCORM engine. As a result, clients who would like to host AICC HACP content on the ComplianceWire server can do so now by uploading the AICC package into the existing SCORM upload UI. Note: In order to host content in ComplianceWire, clients must have purchased ComplianceWire content hosting. ComplianceWire Admin Guide - Introduction (Version 2.2) 6

7 Updates to Privacy, Copyright, Terms of Use Statements, and Company Name Change Updated the obsolete Privacy, Copyright and Terms of Use Statements. Changed the company name from UL EduNeering to UL Compliance To Performance as reflected in the Privacy, Copyright and Terms of Use Statements in the ComplianceWire footers on the Login page, Administrator pages and throughout the UI. Removed the EduNeering logo from the footer of the Administrator s UI Added the UL logo to the copyright statement. Added the new UL Compliance To Performance logo to all Certificates of Completion. This includes certificates accessible through History pages & Reports and Custom Certificates & templates. Browser Compatibility As we continue to support modern browsers, with the R release of ComplianceWire, we are pleased to announce that Microsoft Edge will be a supported browser for the ComplianceWire platform. ComplianceWire Analytics Tool The analytics tool is a stand-alone, separately licensed, premium business intelligence (BI) tool for ComplianceWire users. With R1.2017, version 1.0 of the analytics tool will provide the ability to access and analyze data from the ComplianceWire platform. The tool provides a visual statistical analysis that has the ability to: Enable select Administrators to view compliance and quality trends, as well as analytical data that drives process improvements and decision making. Create and publish meaningful data across the enterprise. For example, Administrators can view compliance and quality trends and drill down into specific user groups and training types to determine the root cause of overdue training completions. Drill down to specific custom fields or user attributes to further examine the number of assignments due which could potentially prevent an audit risk. The analytics tool is not automatically enabled in ComplianceWire. To enable this tool, please contact your Account Director. After the tool is enabled and configured for your company s instance of ComplianceWire, the permissions Security Setting screen will indicate if the analytics tool is available to you. ComplianceWire Admin Guide - Introduction (Version 2.2) 7

8 Launching the Analytics Tool When enabled and configured for a company, authorized ComplianceWire users can access this tool by selecting the My Reports option from their User Profile menu. For more information on using this tool, please contact your Account Director. ComplianceWire Admin Guide - Introduction (Version 2.2) 8

9 Talent Management Suite ComplianceWire s Talent Management Suite is designed to allow you to reach into your company s talent ecosystem and assess, track and manage the individual and overall performance of your workforce and ultimately improve your overall business performance. Our solution will enable your organization to: Define, develop and measure technical skills & competencies that drive employee development, improve employee retention and improve bottom-line results. Provide content & programs that help organizations move from compliance to competency. Build on the LMS foundation of a compliant & effective role-based training infrastructure. Provide streamlined appraisal processes that ensure employees' performances translate into organizational goals and objectives. Align every employee's development plan, goals and benchmarks to each business unit's objectives to champion your business s commitment to quality. Analyze and track information about candidate's level of competence, potential, performance history, as well as retention risk. This functionality is considered a premium and is available on a subscription basis. Clients should discuss the TMS with their Account Director. TMS Administration Administrators will be able to manage the TMS tools by accessing the new set of administrative features in the [Users] tools. Once this option is selected, Administrators will be able to access and manage the following areas: Talent Categories Competencies Completion Ratings Cycles Goals Perspectives Rating Scales Structures Talent Pools Targets Organizational Hierarchy (for TM Users) Job Profiles Outstanding Assessments Query Talent Document ComplianceWire Admin Guide - Introduction (Version 2.2) 9

10 ComplianceWire Design Center The ComplianceWire Design Center allows Administrators (who are added to the Design Center Administrator User Group) to customize a variety of options in ComplianceWire for their company or organization (based on security settings for the Administrator). As modifications are made, they can be previewed and then published or saved to a pending state for further updates and later publishes. Archived modifications can replace the current active design. The Login Page Design options, along with a wide variety of configurable options, provide flexibility and design features to support a client s internal branding and consistent user experience. The Design Center is available at no additional cost. Clients who would like to have the Design Center configured to allow modifications by Design Center Administrators to organizations that they have been granted security access to, must contact UL Client Services to request this feature (available at no additional cost). The goal of the ComplianceWire Action Center is to provide relevant information with a means to act on that information. The interface is designed so that a Learner can find the tasks and training items that are most important to complete at this moment. A series of dashboards display what training items are overdue or coming due, as well as an overview of the Learner s current compliance and tasks that need attention. ComplianceWire Admin Guide - Introduction (Version 2.2) 10

11 Logs Accessing Logs Access the Tools Menu Select the Logs Option The ComplianceWire Administrator screen is displayed where Log options are available. Note: All options selected in the Administrator Tools will direct the user with Administrative security rights to the Classic ComplianceWire View where the Tabs are displayed. The specific tab that will open will correlate to the Administrator Tools option selected. For example, if the Logs option from the Administrator Tools menu is selected, then the Logs tab will be opened in the ComplianceWire view. It is possible to navigate to the other tabs from here or click on the Knowledge Center tab to return to the Main Page (new UI introduced in November, 2014). ComplianceWire Admin Guide - Introduction (Version 2.2) 11

12 Event Log Report Grants access to the Event Log area of the system. The Logs tab will appear. My Event Log Reports area will appear on the Logs Menu screen. The user will be able to select a report to bring up the Event Log Report screen. The log will show a chronological history of activity (based on the report criteria). The Event Log Report option will appear on the Logs Menu screen. The user will be able to click on the option to bring up the Define Event Log Report screen. The Remove a Report link will appear on the Event Log Report screen. The user will be able to click on the link to bring up the Remove Event Log Report screen. The user will be able to remove any report he/she has created. Download and options will appear at the top of the Event Log Report screen. The user will be able to click on the appropriate option to bring up a Download Report or Report window. The user will be able to download the report as a.csv file or Excel file, or receive the report by . The user will be able to download or any report that was created. ComplianceWire Admin Guide - Introduction (Version 2.2) 12

13 Change Log New features for the current release of the software product ComplianceWire are identified in this section. The specific section and chapter in which the features are documented are included for easy reference Each release is documented in the Change Log on the ComplianceWire system. Select Logs tab, and then select the appropriate Upgrade (Major Release, Minor Release, Feature Update, Corrective, or Content) and scroll to find the appropriate release. The Date Column identifies the occurance of the change. The type of system upgrade (release) is identified. ComplianceWire Admin Guide - Introduction (Version 2.2) 13

14 Navigating ComplianceWire Screens The following addresses the screens that are available to Administrators when navigating to the Admin Tools through the Tools Menu. Once in the Classic ComplianceWire Administrative screens, return to the Knowledge Center view by clicking on the Knowledge Center Tab. Note: The corresponding TAB in the classic ComplianceWire view will be opened based upon the selection made in the Administrator Tools menu. Administrator Screen Details Note: The [Knowledge Center] tab will route the Administrator to the Learner view (new UI with November 2014 Platform Release). ComplianceWire Admin Guide - Introduction (Version 2.2) 14

15 1 A Masthead appears on every screen. The Masthead will include the UL logo or client skins. Client skins provide a custom user interface with client colors and branding. 2 A Tabs Line appears on every screen. The appropriate tabs, name of server, comments, and logout will appear on the tabs line. The tabs that appear will vary according to the user's view (Learner, Administrator, and Executive). See the Navigation Tabs section in this document. A Comments link only appears if Comments are enabled for the user s company. Clicking on this link displays a Comments window. This allows the user to send comments, questions, and suggestions to UL at any time during the online session. See the Comments section in this document for details. Clicking the Logout icon closes the current session of the application and returns the user to the Login screen. See the Login section in Chapter 2. 3 A Welcome Line appears on Learner screens. The Welcome Message with the first name of First Name and full date, number of records (Ex: Viewing x of xx Records), Print, Download, Filter (Advanced Search), and/or Paging icons appear on the welcome line. The Welcome Message with the first name of the user and the full date will appear of Learner screens. The number of records (Ex: Viewing x of xx Records) will appear as appropriate. Print, Download, and links will appear at the top of report screens. Please note that the is not available on all report screens. Radio buttons may appear on some screens to change the view (EX: by Training Due Date, by Curriculum). Clicking on the Privacy Statement link displays the UL privacy policy. 4 A Navigation Pane (left side of most screens) offers simplified navigation to areas of the system. Additional options specific to a particular area will appear as necessary. Training Management is specific to the To-Do List. The Training Management frame can be expanded (+) and collapsed (-). Calendar is specific to the To-Do List. The Calendar frame can be expanded (+) and collapsed (-). 5 A Grid (body of the screen) will reflect whatever option has been selected from the navigation pane. A Header line will identify the type of information being shown. 6 A Footer appears on all screens. The footer will include the Copyright, UL logo, Terms of Use, and Privacy Statement. Clicking on the Copyright link displays UL copyright notice. Clicking on the Terms of Use link displays legal information. Clicking on the Privacy Statement link displays UL privacy policy. ComplianceWire Admin Guide - Introduction (Version 2.2) 15

16 Navigating the User Reports Screen 1, 2 A Masthead appears on every report screen. 3 Simplified navigation to other reports, the creation of new reports, and the deletion of existing reports. The Report drop down contains a list of reports. Click the down-arrow to view the reports available for selection. Click on a selection to bring up the appropriate report screen. The information that displays will be based on the selected report. New Search Report: is used to remove an existing report. Clicking on this option brings up the appropriate Remove Report screen. ` 4 ing Reports Users can schedule and receive reports by . is used to the report as a.csv file or Excel file immediately. Reports can be scheduled to be ed or exported on a weekly or monthly basis. Clicking on this option will display the Report window. Note: This option will not be available on all report screens. 5 Downloading Reports This feature is used to download the report as a.csv file or Excel file. Clicking on this option displays a Download Report window. Print is used to print the report. Clicking on this option displays a Print Report window. Number of Records and selection criteria display in a logical list. For example Your report contains xxx records. Home Organization xxxxxxxxxxxxxxxxxxxxx (including SubOrgs) Department Name is xxxxxxxxxxxx Enabled Users Note: Reports are discussed in detail in each Report Section throughout the Reference Guide Chapters. ComplianceWire Admin Guide - Introduction (Version 2.2) 16

17 6 Page Control is provided to move around the report. The User can go to the next or previous page or jump to a specific page in the report. 7 Links relevant to the report appear at the top and bottom of all report pages. Give the application instructions about what to do (return, add, etc.). Vary from report to report. Only links appropriate to the report will display. Highlighted and underlined in blue. When a mouse pointer is positioned over a link, the link is highlighted and underlined in red. When the link is activated (e.g., by clicking on it with the mouse), a target of the link will display. 8 Formatting the list layout will be formatted for ease of viewing. A header line will identify the type of information being shown. Horizontal grid lines are used to separate the rows. A background color is used to highlight alternate rows. Sorting Reports can be sorted and re-sorted. Reports can be sorted by clicking on a column header. The sort can be in ascending (blank, A to Z or zero to 9) or descending (Z to A or 9 to zero, blank) order. When a column header is selected for the first time, the order will be ascending. and icons indicate the order of the current sort (ascending or descending). When the current sort is ascending, the new sort will be descending. When the current sort is descending, the new sort will be ascending. 9 Scroll bars are used to move around the report. Horizontal and vertical scroll bars are used to view various parts of the screen by moving (or scrolling) the screen up and down and/or left or right. 10 Alternate Text is provided for all links, graphs, icons and tokens. To view alternate text, move the mouse over the link, graph, icon and token. Alternate text will appear after a few seconds. This meets or exceeds the ADA 508 Requirements/Specifications. ComplianceWire Admin Guide - Introduction (Version 2.2) 17

18 Popup Windows Many screens have an overlay look that simplifies navigation. When a user clicks on the option (link, icon), the appropriate information will overlay the screen (in a popup window) as opposed to going to a new screen. The popup window can be dragged to other areas of the screen. Click to close the window. Note: For documentation purposes, the popup windows are captured in illustrations throughout documentation. ComplianceWire Admin Guide - Introduction (Version 2.2) 18

19 Language Options Alternate Language Support The alternate language feature is a configurable option available at an additional cost. Clients interested in this feature should contact their Account Director. The Alternate Language feature can be configured (set) at the Company Level during implementation or at the user level. Administrators are able to initially set a user s My Language preference for members of a Group. In order to view a list of the Users and their My Language setting, the client must access the appropriate base report in the ComplianceWire Reporting Solution. (The Reporting Solution is enabled for clients at no additional cost through Client Services.) The base report uses filters to display users without a value set for My Language. Values in the drop down list for Preferred Language selection will show values translated in the User s Preferred Language and in the language option s language itself. Note: Language names in all other areas of the site (ex: to-do list, catalog, language drop-downs in admin areas, etc.) will appear in the user s preferred language only. Users can adjust Language preferences and settings by accessing the User Profile Menu. The language to be displayed will be determined after the user logs into the system. The following options will not be visible or available to users in alternate languages: Connection Tests, Training Aids, Change Logs ComplianceWire Admin Guide - Introduction (Version 2.2) 19

20 Multi-Lingual Training Items The optional multi-language feature for CICS (Control Documents), ILC s and Forms enables users to treat multiple versions of the same training item as a single item and automates the equivalency function. This can eliminate the need for equivalencies between translated training items and simplifies the reporting for multi-lingual ILC and Forms assignments. An Alternate Language field will display for all CICS, ILC, and Form training items. This will allow administrator to create training items in multiple languages. In addition, it will allow administrators to select a default language (from their company s licensed languages) to be displayed when a translation for a user s preferred language is not available. International Data Support The ComplianceWire System fully supports all data that contains characters or information in languages such as Russian, Hebrew, Arabic, Japanese and Chinese. Arabic and Hebrew text that is read from right to left is supported. ComplianceWire Admin Guide - Introduction (Version 2.2) 20

21 Common Functionality Many areas in ComplianceWire share a variety of functions/features making it easier for the user to work efficiently in any of these areas. This section covers the basic concepts for using this common functionality. In-depth information is provided where necessary. Links Links are connecting elements (e.g., menu options, icons, etc.). Menus show what functions are available. This is typically a list from which the user may select the operation to be performed. Icons are pictures on a screen that represent a specific file, window or option. Links appear on every screen (highlighted and underlined in blue). A description of the links is included with each screen. Links give the application instructions about what the user wants to do (add, edit, remove, run report, save, return, etc.). Links will vary from screen to screen. Only links appropriate to the screen will display. Note: Do not use the Back button on the browser at any time. Please use the Return button within ComplianceWire to go back to a previous screen. Page Control Only 50 records display on a page at one time. When more than 50 records exist in a list, Page Control is provided to allow the user to move through the list. Page Control is displayed at the top and bottom of all report pages. The user can go to the next or previous page, or jump to a specific page in the report. Directional arrows provide access to next and previous pages. To go to a specific page, select the page from the drop-down list. Column Sorting In the Administrator area of ComplianceWire, it is possible to sort many lists and reports. This includes all screens/windows that contain sortable information. Remove Optional Assignment Confirmation Notifications User Menu User Search Available from the User Menu ComplianceWire Admin Guide - Introduction (Version 2.2) 21

22 User View Includes all screens/windows available from the View User console that contain sortable information including: Security Roles List User Group List User Reference Material User Group Users List Assignment Menu Assignment View Assignment Reasons Training Menu View Training Includes all screens/windows available from the View Training console that contain sortable information: Class List Training Organizations Training Versions Training Curriculums Quiz Creator Recommended Prerequisites Equivalencies Training Equivalency Search Available when adding a training item equivalency Logs Menu and icons indicate the order of the current sort (ascending or descending). When the current sort is ascending, the new sort will be descending. When the current sort is descending, the new sort will be ascending. Lists, reports and tables may be re-sorted by clicking on a column header. The sort can be in ascending (blank, A to Z, zero to 9) or descending (Z to A, 9 to zero, blank) order. When a column header is selected for the first time, the order will be ascending. When the current sort is ascending, a new sort on the same column header will be descending. When the current sort is descending, a new sort on the same column header will be ascending. Sorts are retained until a new sor4t is set or until any selection is made (by clicking on the tab). Clicking on any tab will reset the sort to the default. Sort data is held in memory so that it is preserved across multiple pages of data, or is combined with filters or quick filters. Note: A sort order window is available on all User, Training, Completion and Assignment Reports enabling the user to sort by up to three columns (a feature similar to Microsoft Excel Data Sort). Data can be sorted by column either in ascending or descending order and be saved along with other report criteria. ComplianceWire Admin Guide - Introduction (Version 2.2) 22

23 Wizards Wizards are used as a quick and easy method of creating and managing information. Wizards are simply a structured series of dialogs that ask questions and use these answers or choices to produce a result. Wizards step users through the dialogs prompting the user for specific information along the way. The number of dialogs and associated windows are dependent on the choices the user makes. Continue options are provided to step through the windows. Any of the selections can be changed by clicking on the appropriate step. A Cancel & Return option can be used at any time to terminate the wizard. A Finish option finishes the wizard and displays the result. Tokens Clicking on the Tokens column header on a report/list screen displays a Tokens window. The tokens that appear are screen specific and will vary depending upon where the Token window was launched. Calendar A pop-up calendar is used to locate a particular date quickly. To access the calendar, click the Calendar icon next to the Date Field. The current date is always highlighted. Use the forward (>>) and backward (<<) arrows to select year and month and then click on the day. Clicking the day will take the user to the appropriate screen, depending on where the Calendar option was launched. The selected date will appear in the Date text box. ComplianceWire Admin Guide - Introduction (Version 2.2) 23

24 ComplianceWire View/Tools When logging into ComplianceWire, Learner s and Administrators will have access to tools (links) that are appropriate to their role and security settings. Learner View Learners only have access to the tools that allow them to perform connection test, access platform documentation, submit comments, access job aids and system information. Learner/Administrator View - In addition to the Instruction and Support links, users with appropriate rights have access to the Administrative tools (Users, Training, Assignments, Reports, Options, and/or Logs). These tools provide access to features related to administering training and compliance-related tasks. Clicking on Administrator tool links will direct the user to the classic ComplianceWire view within the respective tab. It is then possible to move from the Users tab, for example, to the Training or Assignments tab. Also, to return to the ComplianceWire Knowledge Center view (default at sign in), click on the Knowledge Center tab. ComplianceWire Admin Guide - Introduction (Version 2.2) 24

25 Executive View Executive View- Users with the Executive View will have access to features relating to Compliance-based news and information. This includes access to the Executive Tabs (Compliance Center, Compliance Library, Reports and Ask the Expert). Centralized, at-a-glance location for company news. Information about all the assignments assigned to the user and compliancebased news and information. Compliance Library tab provides access to government and private-sector media related to compliance issues and regulations. Ask the Expert tab contact information and access to experts within the company, and (when applicable) to internal experts and partners. Report tab provides access to systemwide reports. The Executive View is enabled by a user by accessing the User Preference Menu and selecting Executive View : ComplianceWire Admin Guide - Introduction (Version 2.2) 25

26 Electronic Signatures Only the currently logged in user who has a valid account can execute an electronic signature. Electronic signatures consist of two parts: a human readable/meaningful portion and a computer readable/meaningful portion. Electronic signatures are comprised of Signer information, including the First Name, Last Name, and User ID within the system. Computer generated date and time stamp when the signature was executed. Meaning/reason associated with the signature. Signature reasons are customizable by company to meet specific needs. Each time the user executes an electronic signature signing, the user is required to enter two of the electronic signature components (User ID of the current logged in user and current Password), regardless of the period of controlled system access activity. No other valid User ID and Password combination will work. Note: The system does not permit the creation of duplicate user IDs. The combination of User ID and Password is unique for each customer. Consequently, each electronic signature is unique to each user and cannot be used by, or reassigned to, another user. If the User ID or Password is missing or invalid, an e-signature Error window displays. Electronic signatures are utilized in customer-selected areas of the system as defined on the e-signature Requirements screen. ComplianceWire Admin Guide - Introduction (Version 2.2) 26

27 Electronic signatures may be required for: Control Document Completions CBTs (Mastery) Completions Exam Completions Forms Completions Dual e-signatures May be required for specific forms. VJA Completions Custom Exam completions Curriculum Vitae Completions Password Policy Changes Instructor Based Training Online Registration Assignments (Adding/Removing) Electronic signature information is displayed in applicable areas of the system. The system is designed so that a system user cannot remove, modify, or copy another user's electronic signature by ordinary means. Further, the table structure and encryption techniques used prevent people with operating system level access from modifying or copying electronic signatures in any way. The Event log tracks and reports authorized and unauthorized electronic signature authentication. Defining Reports The user can define a report and select the information the user wishes to see when viewing information in various areas of the system. Advanced Mode (Default) Wizard Mode Traditional method of creating reports Selection criteria are presented on one screen (rather than a series of windows). A Go To Wizard link is available. Clicking on this link will switch the user to Wizard mode. Is used as a quick and easy method of creating reports. Steps users through the dialogs prompting the user for specific information along the way. The number of dialogs and associated windows are dependent on the choices the user makes. Continue options are provided to step through the windows. Any of the selections can be changed by clicking on the appropriate step. A Cancel & Return option can be used at any time to terminate the wizard. A Finish option finishes the wizard and displays the result. The User must select the Wizard link (to the right of the New Report option) to access this mode. Each screen has a Go to Advanced Mode link. Clicking on this link will switch the user to Advanced mode. Multiple reports can be established and maintained. The user can save reports with custom names, and manually run the reports by name at any time. ComplianceWire Admin Guide - Introduction (Version 2.2) 27

28 Custom Fields Custom Fields (up to 15) are company-defined during implementation. Custom fields are used to store information pertaining to users in the system. These fields cannot be used for sorting purposes. Custom fields can be used to limit the display of information in different areas of the system and to create training assignments. Custom fields may be defined as drop-down lists, dates or free form text. Drop-down fields contain a list of items from which users can select an option when they click the accompanying down arrow. Users can scroll through the list to view choices. Drop-down lists can contain data fields of Character, Numeric or Date types. Date fields utilize a calendar control. Refer to the Calendar section of this document for details. Free form fields can contain alphanumeric (50), numeric (12) or date data. Custom fields are very important and ensure that users are receiving the correct assignments, as well as add value to reporting metrics. Users with the appropriate security rights can manage a company s custom fields. Custom fields are managed via the Manage Custom Fields option on the Options Menu screen. From there, new fields can be created and the values in pre-existing fields can be edited. See the Custom Fields section in Chapter 9 for more details. ComplianceWire Admin Guide - Introduction (Version 2.2) 28

29 Organizational Structure & Security Roles The following section addresses the organizational structure used throughout ComplianceWire. Organizational structure changes are configured by UL and not directly within the application. Organizational Tree The organization tree is a method of organizing a company in a hierarchical manner and is used in setting up security, in editing, and in reporting. This "tree-like" structure allows companies to have multiple organizations under the same company code, without the need to share records and administrative rights. The organization tree is created from the top down. The root of the tree is the top (main) organization. Individual organizations and sub-organizations form the branches. Organization names must be unique within a company. There is one main organization at the top of the organization tree. The Main organization may have any number of sub-organizations beneath it on the organization tree and the suborganizations may have any number of their own sub-organizations. Each sub-organization in the organization tree can have only one organization immediately above it in the tree. The organizational tree structure may be based on any combination of companies, divisions, locations, departments, sections, jobs, etc. For example: Houston EDU Princeton EDU Eng QA QA Eng QA Eng Validation Testing Houston Princeton Location based organization tree Department based organization tree ComplianceWire Admin Guide - Introduction (Version 2.2) 29

30 Security Roles A security role identifies the rights (permissions, privileges) granted to a user. It indicates what the user can do in the system. The organization in which the user has a security role determines where the user has the defined rights. Organizations have two predefined system roles (Organization Administrator and Learner). The Organization Administrator and Learner roles cannot be edited. The Organization Administrator Role is created in every organization in the organization tree with complete access to information in that organization and all organizations down the tree. A Learner role is created in every organization in the organization tree with rights to the basic features available to all users (learners). These features comprise the classroom functional areas of the system (To-Do List, Catalog, History, etc. These areas present the learner with the tools needed to participate in training via ComplianceWire Learning Management System. An unlimited number of custom security roles can be defined to fit the needs of a company. Security role names must be unique within the company. Security roles may be based on any combination of rights. This allows for varying degrees of access to the system. Users can have more than one security role within a company. These roles could be in organizations that are at, above or below the user s home organizations in the organization tree. Users can have only one home organization in the company. Users can only have one Organization Administrator role within an organization, but can have multiple lesser security roles. Organization Administrators can designate which administrative access rights to include within a particular security role. Security roles can be applied in an inclusive (permissive) or exclusive (restrictive) manner based on a company setting (OFF by default). This preference will be available through UL, and not directly within the application. An Exclusive (restrictive) role indicates that a security set on top level organization is carried down the organization tree until an explicit override is found. Security roles at a particular organizational level override the carried down security roles from upper organizations. Security roles for a user in a particular organization can be removed. Other carried down security roles from upper organizations will not be affected and will still apply. An Inclusive (permissive) role indicates means that a security set on the top level organization floats down to the bottom of Org Hierarchy in an additive manner. Home Organization & Security Role This feature allows a user to have only one home organization and only one security role within the organization in the company. The user can change his/her home organization. Click on a security role where the user is not homed to bring up the View Assigned Security Role window. ComplianceWire Admin Guide - Introduction (Version 2.2) 30

31 The user can change his/her home organization by clicking Set as Home Organization. A Processing, Please wait message appears while the home organization is changed. The Manage Security Roles screen displays with the updated information. Related assignments get changed when the user s home organization is changed from one to another. Removing the home organization from a user will remove related assignments created as a result of a recurring assignment. The user will not be able to remove the last home organization. The user can have only Single Security Role within the organization. Click Assign Security Role on the Manage Security Roles screen to bring up Assign Security Role window. Select an organization by clicking the organization name and click Continue. All the security roles available in the selected organization are displayed. The security roles could be in organizations that are at, above, or below the user's home organization in the organization tree. Select a security role and click Continue. A Processing, please wait... message appears while the security role is assigned to the user. The Manage Security Roles screen displays with the newly assigned security role information. ComplianceWire Admin Guide - Introduction (Version 2.2) 31

32 Catalog Catalog access is up the organization tree from the lowest organization in which a user has a security role. The location within the organization tree in which a user has a security role determines what the user will see in the catalog. This includes: All training items in all organizations that are at or above all the organizations in which the user has a security role. The list will be limited to licensed (purchased) and available training types in the user s company. X User A EDU105 User A has a security role in organization X. User B has a security role in organization Y. User C has a security role in organization Z User B EDU104 W Y EDU102 EDU101 and EDU103 are homed in organization Z. EDU102 is homed in organization Y. EDU104 is homed in organization W. EDU105 is homed in organization X. Z User C EDU101 EDU103 User A could see EDU105. User B could see EDU102 and EDU105. User C could see EDU101, EDU103, EDU102, and EDU105. None of the users could see EDU104. A X indicates where the user has a security role in the organization. F X B User could see courses J, H, F, A, G, and B in the Catalog. X G H C D I X J E ComplianceWire Admin Guide - Introduction (Version 2.2) 32

33 Training Training codes must be unique within a company. Each training item must have a "home" organization*. Training access goes down the organization tree from the highest organization in which a user has a security role with the appropriate rights to manage training. The location of a user's security role in the organization tree determines what training items the user can manage. This includes: All training items in organizations that are at or below the organizations in which the user has a security role with the appropriate rights. The list will be limited to licensed (purchased) and available training types in the user s company. A training item's home organization determines how that training item is managed. A training item can only be edited by users who have a role with appropriate rights in an organization that is at or above the training item's home organization. A X indicates where the user has a security role in the organization with rights to manage training. F X B User can see courses D, E, C, G, A, F, H, J, and B in the Catalog. User can manage courses G, J, B, C, D, and E. X G H C D I X J E B 1 A 3,4 C 2 A user in organization E can see courses 5, 2, 3, and 4 in the Catalog, but courses 5 and 6 in the Training List. D H E 5 I F G 6 ComplianceWire Admin Guide - Introduction (Version 2.2) 33

34 Completions Completions belong to a user and a training item, not to an organization. A user can view and print completion details, assessment (Forms, Quizzes and Exams) responses and administrative comments from the Completion Information view screen. Administrators can add comments for all completed training item types from the Completion Information view. A user can view completions for all training items that are homed at or below the organization in the organization tree in which the user has a security role with appropriate rights. A user can view completions for all users that have a security role at or below the organizations in which the user has a security role with appropriate rights. A X indicates where the user has a security role in the organization with rights to view scores. F X B User can view scores for users , , , , , and User can view score for user 100 for course G only. X G (Member) H C D I X J E ComplianceWire Admin Guide - Introduction (Version 2.2) 34

35 Curriculum Each curriculum must have a "home" organization. Curriculum access is up the organization tree from the lowest organization in which a user has a security role. Curriculum names must be unique within an organization. Curriculums can only contain training items that are homed at or above the curriculum's home organization in the organization tree. Curriculums can only be assigned to users who are homed at or below the curriculum's home organization in the organization tree. X User A EDU105 Curriculum 1 User A has a security role in organization X User B has a security role in organization Y User C has a security role in organization Z EDU104 Curriculum 4 W Y User B EDU102 Curriculum 2 Curriculum 1 is homed in organization X. Curriculum 2 is homed in organization Y. Curriculum 3 is homed in organization Z. Curriculum 4 is homed in organization W. Z User C EDU101 EDU103 Curriculum 3 Course EDU101 is homed in organization Z. Course EDU102 is homed in organization Y. Course EDU103 is homed in organization Z. Course EDU104 is homed in organization W. Course EDU105 is homed in organization X. Curriculum 4 could contain EDU104 and EDU105. Curriculum 3 could contain EDU101, EDU103, EDU102, and EDU105. Curriculum 2 could contain EDU102 and EDU105. Curriculum 1 could only contain EDU105 When making assignments User C could see curriculum 3, curriculum 2, and curriculum 1. User B could see curriculum 2 and curriculum 1. User A could only see curriculum 1. Curriculum 1 could be assigned to User A, User B, and User C. Curriculum 2 could be assigned to User B and User C. Curriculum 3 could only be assigned to User C. Curriculums can be contained sequentially within another curriculum. Curriculums can only contain curriculums that are homed at or above the curriculum's home organization in the organization tree. ComplianceWire Admin Guide - Introduction (Version 2.2) 35

36 Curriculum Enhancements In December, 2013, many enhancements were made to the Curriculum entity in ComplianceWire. This release introduced the Curriculum Code, Keywords, Version and Status. Curriculum History was improved and the Curriculum Name field was renamed to Curriculum Title. Curriculum Code The Curriculum Code is required and must be unique. For existing curricula, with the December 2013 Release, this field will be populated by default with the value in the Curriculum Title. For curricula created after the release, it will be necessary to enter a value in the Curriculum Code field. The Curriculum Code field can be modified and can accommodate up to 50 characters. The Curriculum Code is searchable. Curriculum Title The Curriculum Title (formerly Curricula Name) field accommodates up to 255 characters (previously 50 characters maximum). This field is still required; however it no longer needs to be a unique value. For existing curricula, with the December 2013 Release, no change will be made to the value in the Curriculum Title field. The Curriculum Title is searchable. ComplianceWire Admin Guide - Introduction (Version 2.2) 36

37 Curriculum Keywords Curriculum Keywords can be associated to curricula (similar to keywords associated to Training Items). This field is optional, but keywords have to be associated using the Manage Keywords functionality. Keywords are managed in the [Options] tab within ComplianceWire. The same list of keywords can be associated to Training Items and Curricula. The BASE report library in the Reporting Solution will eventually include a report that will include keyword data for curricula (post release). Curriculum History A new Curriculum History screen has been introduced to provide a more extensive view of information regarding curricula modifications and other associated metadata. Curriculum Version The Curriculum Version field is a new field that is required. A curriculum version number consists of major, minor, and revision numbers in the following format <major>.<minor>.<revision>. The revision number is auto-managed by ComplianceWire as modifications are made to the curriculum metadata. For all curricula that existed before the release, a default value of will be populated in this field. For curricula that have a version <1.0, they can continue to be managed as they were before the release (do not follow versioning rules). For curricula that have a version >1.0, versioning rules must be followed and management of status is required. A major version upgrade (Client invoked) is required when adding or removing Training Items and/or curricula relationships to/from curriculum. ComplianceWire Admin Guide - Introduction (Version 2.2) 37

38 When a New Curriculum is added, the default value for the version will be populated with 1.0.0, however, the client can choose to modify this value. A new Versions page has been introduced that will show a list of all versions that exist for the curriculum. Furthermore, you may choose to click on a particular version number to navigate to that version of the curriculum. Versioning Rules Curricula with Version LESS than 1.0 (Does not follow Versioning Rules) Minor Version Upgrade: Client invoked based on business need via Create New Version feature. Minor version upgrades can be done without having to enforce major version upgrade versioning rules as long as the major version number is still 0 and the curriculum version as a whole is still LESS than 1.0. The major version number of this curriculum is zero The management of status is not required and is automanaged by the system as follows: o Most current version of the curriculum will be considered EFFECTIVE. o All older versions of the curriculum are considered RETIRED. Curriculum will not display Approval, Effective and Retire Date Fields. Curriculum can be deleted (only if all versions of the curriculum that exist are LESS than 1.0). Curricula with Version GREATER/ EQUAL to 1.0 (Follows Versioning Rules) Minor Version Upgrade: Client invoked based on business need via Create New Version feature. Major Version Upgrade: Client invoked via Create New Version feature. A major version upgrade is required and the curriculum version must be in DRAFT status in order to be able to add or remove Training Items and/or curricula relationships to/from a curriculum version that is 1.0. The major version number of this curriculum is 1 or more than 1. The management of Status is necessary. Curriculum will display Approval, Effective & Retire Date fields in order to manage status. Curricula with versions 1.0 cannot be deleted. Curriculum versions can be retired and archived. ComplianceWire Admin Guide - Introduction (Version 2.2) 38

39 Curriculum Status The Curriculum Status (Draft, Pending, Approved, Effective, Retired and Archived) is specifically associated with each version of the curriculum. The management of the status will occur with the addition of three new fields (Approval Date, Effective Date and Retire Date) via the Manage Status screen. The status can be managed for Curricula with a version number greater than or equal to one (1.0.0) and have at least one Training Item or Sub-Curriculum associated. The Retract from Pending feature is available on the Manage Status page when a curriculum version is in Pending status. This feature allows the administrator the pull the curriculum version back from Pending status to Draft. The Manage Status option will not appear in the navigation panel until the curriculum version has at least one training item or sub-curriculum associated with it. Status Draft*** Pending Approval*** Description Curriculum version is one which has not yet been assigned an approval, effective or retired date. This status would be assigned to curriculum that is created without Training Items initially. Once Training Items are added to the curriculum, the ability to add/change the approval, effective and retired dates is provided and the status can be changed. Multiple curriculum versions can exist with this status. Draft curriculum version that was routed for approval and has not yet been approved by the Curriculum Owner. This status will only be visible when Curriculum Owner functionality is activated. Pending*** Approved*** Curriculum version that has a future approval date. This status can only be achieved when the curriculum is not going through an approval workflow process and the set status feature has been utilized. Multiple curriculum versions can exist with this status. Curriculum version which has either been routed for approval or has utilized the set status feature and has an approval date that is for today or a date in the past with no retire date or can have effective and retire dates that are in the future. Multiple curriculum versions can exist with this status. ComplianceWire Admin Guide - Introduction (Version 2.2) 39

40 Status Effective Retired Archived*** Description Curriculum version where the approval date is either today or in the past, the effective date is either today or in the past and the retire date is either blank or in the future. There can be only one curriculum version with this status at any given time. Curriculum where approval date is either today or in the past, effective date is either today, blank or in the past and the retire date is either today or in the past. Multiple curriculum versions can exist with this status. Curriculum version that was previously retired and has utilized the Archive feature. Multiple curriculum versions can exist with this feature. ***Only applicable to Curriculum with a version that is >1.0. Assignments Assignment access is up the organization tree from the lowest organization in which a user has a security role. Curriculums can only be assigned to users who are homed at or below the curriculum's home organization in the organization tree. Users can only be assigned to curriculums that are at or above the curriculum's home organization in the organization tree. X User A Curriculum 1 Curriculum 4 W Y User B Curriculum 2 Z User C Curriculum 3 Curriculum 1 is homed in organization X. Curriculum 2 is homed in organization Y. Curriculum 3 is homed in organization Z. Curriculum 4 is homed in organization W. User A has a security role in organization X. User B has a security role in organization Y. User C has a security role in organization Z. When making assignments User C could see curriculum 3, curriculum 2, and curriculum 1. User B could see curriculum 2 and curriculum 1. User A could only see curriculum 1. Curriculum 1 could be assigned to User A, User B, and User C. Curriculum 2 could be assigned to User B and User C. Recurring assignments apply to an organization and its sub-organizations. Recurring assignments can be made in all organizations below the organization in which the user has a security role with the appropriate rights. Recurring assignments only apply to users who are homed at or below the organization in which the user has a security role with the appropriate rights. ComplianceWire Admin Guide - Introduction (Version 2.2) 40

41 Security Rights User Security Rights This section addresses the security rights (permissions, privileges) that can be granted to a user. NOTE: In order to have certain rights in the User area, the user must have the appropriate View user rights. The location of a user's security roles in the organization tree determines where the user has the defined rights. The user must have a security role in the top-level organization in order to have access to all users. A user's home organization determines how that user is managed. A user can only be managed (and have security roles changed) by users who have a role with appropriate rights in an organization that is at or above the user's home organization. ComplianceWire Admin Guide - Introduction (Version 2.2) 41

42 Right Function View Users Add a User Edit User View Completions by User View Assignments by User Manage User Group Types Grants access to the Users area of ComplianceWire The Users tab will appear The User Menu screen will appear The User will be able to Search for Users Clicking on a user name from the User Search will bring up the View User Screen for the selected user. The user will be able to view those users who are homed in organizations at or below the highest organization in which the user has a role with this right. User Reports will appear in the My User Reports area on the User Menu Screen if any User Reports have been created. The user will be able to select a report to bring up in the User Report screen. The report will show all of the users who are homed in organizations at or below the highest organization in which the user has a role with this right. The user will be able to click on a user name on the report to bring up the View User screen for the selected user. An Add New User option will appear on the User Menu screen. An Add a New User option will appear on View User screen. An Add User option will appear at the bottom of the User Report screen. The user will be able to click on the option to bring up the Add User screen. The user will be able to add users whose home organization is at or below the highest organization in the organization tree in which the user has a role with this right. An Edit User option will appear on the View User screen. The user will be able to click on the option to bring up the Edit User screen. The user will be able to edit users whose home organization is at or below the highest organization in the organization tree in which the user has a role with this right. The user will be able to click Reference Material on the View User screen to bring up the User Reference Material window. The user will be able to add and remove reference materials associated with users whose home organization is at or below the highest organization in the organization tree in which the user has a role with this right. Completion reports will appear on the User Menu screen in the My User Reports area if any Completions Reports by User have been created. The user will be able to select a report to bring up the Completions Report by Users screen. The report will show the completions for all users who are homed in organizations that are at or below the highest organization in the organization tree in which the user has role with this right. The user will be able to click on a completion on the report to bring up the View Completions screen for the selected training item. Assignment reports will appear on the User Menu screen in the My User Reports area if any Assignment Reports by User has been created. The user will be able to select a report to bring up the Assignments Report by User screen. The report will show the assignments for all the users who are homed in organizations that are at or below the highest organization in the organization tree in which the user has a role with the right. The user will be able to click on an assignment on the report to bring up the View Assignment screen for that assignment. The Manage User Group types option will appear on the User Menu screen. The user will be able to click on the option to bring up the User Group Types List screen. The user will be view a list or enabled or disabled user group types. ComplianceWire Admin Guide - Introduction (Version 2.2) 42

43 Add User Groups The Create a New User Group option will appear on the User Group List screen. The user will be able to click on the option to bring up the Create User Group screen. The user will be able to add user groups whose home organization is at or below the highest organization in the organization tree in which the user has a role with this right. Edit User Groups Create a User Report Download/ a User Report Change a User s Password Manage a User s Security Role Manage Quick Reports An Edit Group Criteria option will appear on the View Group Information screen. The user will be able to click on the option to bring up the Edit User Group window. The Manage User Groups option will appear on the Users Menu screen. The user will be able to click on the option to bring up the User Groups List screen. From here, the user will be able to view user group information (including user group membership and history), as well as edit, and remove user groups. The user will be able to edit user groups whose home organization is at or below the highest organization in the organization tree in which the user has a role with this right. The User Report option will appear on the User Menu screen. A New Search Report link will appear at the top of the User Report screen. The user will be able to click on the option or link to bring up the Define User Report screen. The user will be able to select users who are homed in organizations at or below the highest organization in which the user has a role with this right (based on the report criteria). A Remove a Report link will appear at the top of the User Report screen. The user will be able to click on the link to bring up the Remove User Report screen. The user will be able to remove any report he/she has created. Download and options will appear at the top of the Users Report screen. The user will be able to click on the appropriate option to bring up a Download Report or Report window. The user will be able to download the report as a.csv, Excel, or pdf file. The user will be able to receive the report by . The user will be able to download or any report he/she has created. The user will only be able to change a user s password. (No other characteristics of a user account can be changed with just this administrator role.) The Edit User option will appear on the View User screen. The user will be able to click on the option to bring up the Edit User screen. The user will be able to change the password of users whose home organization is at or below the highest organization in the organization tree in which the user has a role with this right. A Security Role option will appear on the View User screen. The user will be able to click on the option to bring up the Manage User's Security Role screen. The user will be able to manage the security roles of users whose home organization is at or below the highest organization in the organization tree in which the user has role with this right. A Modify link will appear for each quick report accessed from the Reports link on View User or View User Group screen. The user will be able to link on the option to bring up the Manage Quick Reports window. The user will be able to edit the report name/description or remove any quick report. The user will be able to edit the report name/description or remove any quick report. ComplianceWire Admin Guide - Introduction (Version 2.2) 43

44 View User Groups A View User Groups link will appear on the User Menu screen. The user will be able to view the User Groups List. The user will be able to click on a user group to bring up the following Search and View options Group Membership Criteria Suggested Group Membership Criteria Group Users Suggested Group Users Group Membership History Recurring Assignments Reports The following Modify options will not be available Edit Group Criteria Add Users Exclude Users, etc. The user will be able to View User Groups whose home organization is at or below the highest organization in the organization tree in which user has role with this right. Manage Group Membership View Curriculum Vitae Scramble User Edit Custom Fields An Edit Group Criteria option will appear on the View Group Information screen. The user will be able to click on the option to bring up the Edit Group Criteria window. The user will be able to edit the group membership criteria of user groups whose home organization is at or below the highest organization in the organization tree in which the user has role with this right. The user will be able to add, remove, and exclude users from user groups whose home organization is at or below the highest organization in the organization tree in which the user has role with this right. A View Curriculum Vitae option will appear on the View User screen. The user will be able to view a User s Curriculum Vitae for Users whose home organization is at or below the highest organization in the organization tree in which the user has the role with this right. A Scramble User option will appear on the View User screen. The User will be able to click on the option to bring up the Scramble User e-signature window. Scramble User functionality is part of a suite of data quality tools available to manage user and training data. The Data Quality Tools are documented under separate cover in a related user guide. Search for Users will appear on the Users Menu screen. The user will be able to search for a user. The View User screen will display for that user. The user will be able to click on the Edit User option to bring up the Edit User screen. Access rights can be set in individual custom fields. The user will be able to edit the appropriate custom fields. ComplianceWire Admin Guide - Introduction (Version 2.2) 44

45 Training Security Rights NOTE: In order to have certain rights in the Training area, the user must have the appropriate View right. The custom field rights are independent. The location of a user's security roles in the organization tree determines where the user has the defined rights. The user must have a security role in the top-level organization in order to have access to all training items. A training item's home organization determines how that training item is managed. A training item can only be managed by users who have a role with appropriate rights in an organization that is at or above the training item's home organization. Setting access rights on individual training types functionality is controlled by company preferences (OFF by default). Company preferences are available through UL, and not directly within the application. When the Allow Setting Access Rights on Individual Training Items preference is ON, separate View, Add, and/or Edit rights will be provided for each individual training type. See following page. Administrators will have the ability to enable/disable the separate View, Add, and/or Edit security for each individual training type. Right Function View Training Items, Classes and Rosters Grants access to the Training area of the system. The Training tab will appear. The Training Menu screen will appear The user will be able to Search for Training. Clicking on a training item from the Training Search will bring up the View Training screen for the selected training item. The user will be able to view those training items that are homed in organizations at or below the highest organization in which the user has a role with this right. Training reports will appear on the Training Menu screen if any Training Reports have been created. The user will be able to select a report to bring up the Training Report screen. The user will be able to see all the training items that are homed in organizations at or below the highest organization in the organization tree in which the user has a role with this right. The user will be able to click on a training item on the report to bring up the View Training screen for the selected training item. A "Classes" icon will appear on the Training Report screen if classes exist for the Instructor Based Training. The user will be able to click on the option or icon that corresponds to an Instructor Based Training on the report to bring up the Class List screen for the selected course. The user will be able to click on a class on the Class List to bring up the View Class screen for the selected class. The user will be able to view the classes for Instructor Based Training that is homed in organizations at or below the highest organization in the organization tree in which the user has a role with this right. View Classes will appear on the View Training screen. The user will be able to click on the option to bring up the Class List screen. The user will be able to click on a class on the Class List to bring up the View Class screen for the selected class. The user will be able to view the classes for Instructor Based Training that is homed in organizations at or below the highest organization in the organization tree in which the user has a role with this right. The user will be able to click on an icon that corresponds to a class on to bring up the Class Roster screen for the selected class. Class Roster will appear on the View Class screen if a roster exists for the class. The user will be able to click the View Class option to bring up the Class Roster screen. The user will only be able to view completions on the Class Roster if the user has the appropriate rights. View Completions by Training and Create a Completions Report. View Training Items ComplianceWire Admin Guide - Introduction (Version 2.2) 45

46 Add a Training Item An Add a Training Item option will appear on the Training Menu screen. The user will be able to click on the option and select a type of training item. Instructor Based Training, Control Document, Online Task, Form, and Custom Exam can be selected. The training item types will be limited to licensed (purchased) and available training types in the user's company. The user will be able to click on the appropriate type to bring up the Add Instructor Based Training) type screen, Add Control Document type screen, or Add Offline Task (204), Add Forms type screen, and Custom Exam type screen. The user will be able to add training items in organizations at or below the highest organization in the organization tree in which the user has a role with this right. NOTE: When the access rights on individual training type preference is ON, there will be separate Add rights for the different training types. Edit a Training Item An Edit option will appear on the View Training screen. The user will be able to click the option to bring up the appropriate Edit Training screen. The user will be able to edit training items in organizations at or below the highest organization in the organization tree in which the user has a role with this right. View Assignments by Training View Completions by Training Assignment Reports by Training will appear on the User Menu screen if any Assignments Reports by Training have been created. The user will be able to select a report to bring up the Assignments Report by Training screen. The report will show the assignments for all training items that are homed in organizations that are at or below the highest organization in the organization tree in which the user has a role with the right. The user will be able to click on an assignment on the report to bring up the View Assignment screen for that assignment. Completions Reports by Training will appear on the Training Menu screen if any Completions Reports by Training have been created. The user will be able to select a report to bring up the Completions Report by Training screen. The report will show the completions for all training items that are homed in organizations that are at or below the highest organization in the organization tree in which the user has a role with this right. The user will be able to click on a completion on the report to bring up the View Completions screen for the selected training item. Manage Curriculum The Display a list of Curriculums option will appear on the Training Menu screen. The user will be able to click on the option to bring up a list of defined training curriculums. The user will be able to click on a curriculum to bring up the View Curriculum screen for the selected curriculum. The user will be able to view curriculums that are homed in organizations that are at or below the highest organization in the organization tree in which the user has a role with this right. The Add Curriculum option will appear on the Training Menu screen. The user will be able to add curriculums that are homed in organizations that are at or below the highest organization in the organization tree in which the user has a role with this right. A curriculum can only contain training items that are homed at or above the curriculum's home organization in the organization tree. Remove Curriculum will appear on the View Curriculums screen. The user will be able to remove curriculums that are homed in organizations that are at or below the highest organization in the organization tree in which the user has a role with this right. A Download option will appear at the top of the Curriculums List screen. The user will be able to click on the option to bring up the Download Report window The user will be able to download the report as a.csv file or Excel file. The user will be able to download any report he/she has created. Add Training Item will appear on the Training Items List screen. The user will be able to click on the option to bring up the Add Training Item to Curriculum screen. The user will be able to add training items to curriculums that are homed in organizations that are at or ComplianceWire Admin Guide - Introduction (Version 2.2) 46

47 below the highest organization in the organization tree in which the user has a role with this right. A curriculum can only contain training items that are homed at or above the curriculum's home organization in the organization tree. Remove Training Item will appear on the Training Items List screen. The user will be able to click on the option to bring up the Remove Training Item to Curriculum screen. The user will be able to remove training items from curriculums that are homed in organizations that are at or below the highest organization in the organization tree in which the user has a role with this right. Modify Sequence will appear on the Training Items List screen. The user will be able to click on the option to bring up the Training Item Sequence screen. The user will be able to specify the order in which users will have to complete the training items in curriculums that are homed in organizations that are at or below the highest organization in the organization tree in which the user has a role with this right. View Curriculums Manage Nested Curriculum Manage Training Categories The Display a list of Curriculums option will appear on the Training Menu screen. The user will be able to click on the option to bring up a list of defined training curriculums. The user will be able to click on a curriculum to bring up the View Curriculum screen for the selected curriculum. The user will be able to view curriculums that are homed in organizations that are at or below the highest organization in the organization tree in which the user has a role with this right. The user will only be able to manage nested curriculums if the user has the appropriate rights. View Training items, classes, rosters Manage Curriculums The Display a list of Curriculums option will appear on the Training Menu screen. The Add Curriculum option will appear on the Training Menu screen. The user will be able to add nested curriculums that are homed in organizations that are at or below the highest organization in the organization tree in which the user has a role with this right. A nested curriculum can only contain curriculums that are homed at or above the curriculum's home organization in the organization tree. Remove Curriculum will appear on the View Curriculums screen. The user will be able to remove nested curriculums that are homed in organizations that are at or below the highest organization in the organization tree in which the user has a role with this right. A Download option will appear at the top of the Curriculums List screen. The user will be able to click on the option to bring up the Download Report window The user will be able to download the report as a.csv file or Excel file. The user will be able to download any report he/she has created. A Manage Training Categories option will appear on the Training Menu screen. The user will be able to click on the option to bring up the Training Categories List screen. The user to view a list of enabled (the default) or disabled training categories. An Enabled Types or Disabled Categories option will appear on the Training Categories List screen. The user will be able to click on a training category on the appropriate list to bring up the Manage Training Categories screen for the selected training type. The user will be able to enable the training category or disable the training category. The user will be able to manage training categories in organizations at or below the highest organization in the organization tree in which the user has a role with this right. An Add Training Category option will appear on the Training Categories List screen. The user will be able to add training categories. The user will be able to add training categories in organizations at or below the highest organization in the organization tree in which the user has a role with this right. ComplianceWire Admin Guide - Introduction (Version 2.2) 47

48 Create Training Report Download/ Training or Class Report Manage Training Types Manage Quick Reports Add a Class Edit a Class Remove a Class The Training Report option will appear on the Training Menu screen. A New Search Report link will appear at the top of the Training Report screen. The user will be able to click on the option or link to bring up the Define Training Report screen. The user will able to select training items that are homed in organizations at or below the highest organization in which the user has a role with this right (based on the report criteria). The Remove a Report link will appear on the Training Report screen. The user will be able to click on the link to bring up the Remove Training Report screen. The user will be able to remove any report he/she has created. Download and options will appear at the top of the Training Report screen. The user will be able to click on the appropriate option to bring up a Download Report or Report window. The user will be able to download the report as a.csv, Excel, or pdf file. The user will be able to receive the report by . The user will be able to download or any report he/she has created. A Download option will appear at the top of the Class List screen. The user will be able to click on the option to bring up the Download Report window. The user will be able to download the report as a.csv file or Excel file. A Download option will appear at the top of the Class Roster screen. The user will be able to click on the option to bring up the Download Report window. The user will be able to download the report as a.csv file or Excel file. A Manage Training Types option will appear on the Training Menu screen. The user will be able to click on the option to bring up the Training Types List screen. The user to view a list of enabled (the default) or disabled training types. The list will be limited to the system types that exist in the user's company. An Enabled Types or Disabled Types option will appear on the Training Types List screen. The user will be able to click on a training type on the appropriate list to bring up the Manage Training Types screen for the selected training type. The user will be able to enable the training type, disable the training type, or change the training type icon. The user will be able to manage training types in organizations at or below the highest organization in the organization tree in which the user has a role with this right. An Add Training Type option will appear on the Training Types List screen. The user will be able to add training types (based on the existing system types). The user will be able to add training types in organizations at or below the highest organization in the organization tree in which the user has a role with this right. A Modify link will appear for each quick report (accessed from the Reports link on View Training or View Curriculum). The user will be able to link on the option to bring up the Manage Quick Reports window. The user will be able to edit the report name/description or remove any quick report. An Add Class option will appear on the Class List screen for Instructor Based Training type training items. The user will be able to click on the option to bring up the Add Class screen. The user will be able to add classes to Instructor Based Training in organizations at or below the highest organization in the organization tree in which the user has a role with this right. An Edit option will appear on View Class screen. The user will be able to click on the option to bring up the Edit Class screen. The user will be able to edit classes for Instructor Base Training in organizations at or below the highest organization in the organization tree in which the user has a role with this right. A Remove Class option will appear on View Class screen. The user will be able to click on the option to bring up the Remove Class window. The user will be able to remove classes for Instructor Base Training in organizations at or below the highest organization in the organization tree in which the user has a role with this right. ComplianceWire Admin Guide - Introduction (Version 2.2) 48

49 Assignments & Completions Security Rights NOTE: All rights are independent. However, the Access Users for Managing Assignments and Rosters and Access Training for Managing Assignments and Rosters security rights work in conjunction with the Add, Remove or Update Assignments and Add or Remove Class Rosters security rights. This applies to both one-time and recurring assignments. Curriculums can only be assigned to users that have a security role in an organization that is at or below the curriculum s home organization in the organizational tree. Users can only be assigned to curriculum that is at or above the curriculum s home organization in the organizational tree. Right Function Add, Remove or Update Assignments Add or Remove Rosters The user will only be able to add, remove, or update assignments if the user has the appropriate rights. Access users for managing assignments and rosters Access training for managing assignments and rosters Manage curriculum Grants access to the Assignment area of the system. The Assignments tab will appear. The Add a new Assignment option will appear on the Assignments Menu screen. An Add Assignment option will appear on the Assignments Report screen. The user will be able to click on the option to bring up the Add Assignments screen. The user will be able to create assignments for users who are homed in organizations that are at or below the highest organization in the organization tree in which the user has a role with this right. The user will be able to create assignments for curriculums that are homed in organizations that are at or below the highest organization in the organization tree in which the user has a role with this right. The user will be able to create recurring assignments in all organizations at or below the organization in which the user has a role with this right. The user will be able to click on any assignment on the Assignments Report by User or Assignments Report by Training to bring up the Edit Assignments screen. The user will be able to edit assignments for users who are homed in organizations at or below the organization in which the user has a role with this right. The Remove an Assignment option will appear on the Assignments Menu screen. A Remove Assignment option will appear on the Assignments Report screen. The user will be able to click on the option to bring up the Remove Assignment screen. The user will be able to remove assignments in organizations that are at or below the organization in which the user has a role with this right. The user will be able to click on any assignment on the Recurring Assignments screen to bring up the View/Remove Recurring Assignments screen. The user will be able to remove recurring assignments in organizations that are at or below the organization in which the user has a role with this right. The user will only be able to add or remove class rosters if the user has the appropriate rights. Access users for managing assignments and rosters Access training for managing assignments and rosters An Add User to Roster option will appear on the Class Roster screen if the user has the appropriate right. The user will be able to click on the option to bring up the Add User to Roster screen. The user will be able to add users to class rosters for Instructor Based Training in organizations at or below the highest organization in the organization tree in which the user has a role with this right. A Drop User from Roster option will appear on of the Manage Completions screen if the user has the appropriate rights. Access users for managing assignments Access training items for managing assignments The user will be able to click on the option to drop the user. The user will be able to remove users from class rosters for Instructor Based Training types that are homed in organizations at or below the highest organization in the organization tree in which the user has a role with this right. ComplianceWire Admin Guide - Introduction (Version 2.2) 49

50 Right Function Manage Assignment Reasons Create an Assignment Report Download/ Assignment Report The Manage Assignment Reasons option will appear on the Assignments Menu screen. The user will be able to click on the option to bring up the Assignments Reasons List screen. The user will be able to view to view a list of all assignment reasons (either enabled or removed). The user will be able to view assignment reasons he/she has created. An Add Reason will appear on the Enabled Assignment Reasons screen if the user has the appropriate right. The user will be able to click the option to bring up the Add Assignment Reason window. The user will be able create an unlimited number of reasons The user will be able to click on an assignment reason on the Assignment Reasons List screen to bring up the View/Remove Assignment Reason window. The user will be able to remove assignment reasons he/she has created. The Assignment Report by User option will appear on the Assignment Menu screen and Users Menu screen if the user has the appropriate rights. View users View assignments by user Create an assignment report The user must have both View users and View assignments by user rights in the organization the user is interested in reporting. The Create an assignment report right can be in any organization. A New Search Report link will appear at the top of the Assignment Report by User Report screen. The user will be able to click on the option or link to bring up the Define Assignment Report by User screen. The user will be able to select assignments that are homed in organizations at or below the highest organization in which the user has a role with this right (based on the report criteria). The Remove a Report link will appear on the Assignment Report by User screen. The user will be able to click on the link to bring up the Remove Assignments Report screen. The user will be able to remove any report he/she has created. The Assignment Report by Training option will appear on the Assignments Menu screen and Users Menu screen if the user has the appropriate rights. View users View assignments by training Create an assignment report The user must have both View training items and View assignments by training rights in the organization the user is interested in reporting. The Create an assignment report right can be in any organization. A New Search Report link will appear at the top of the Assignment Report by Training Report screen. The user will be able to click on the option or link to bring up the Define Assignment Report by Training screen. The user will be able to select assignments that are homed in organizations at or below the highest organization in which the user has a role with this right (based on the report criteria). The Remove a Report link will appear on the Assignment Report by Training screen. The user will be able to click on the link to bring up the Remove Assignments Report screen. The user will be able to remove any report he/she has created. Download and options will appear at the top of the Assignments Report by User screen. The user will be able to click on the appropriate option to bring up a Download Report or Report window. The user will be able to download or any report he/she has created. The user will be able to download the report as a.csv, Excel, or pdf file. The user will be able to receive the report by . Download and options will appear at the top of the Assignments Report by Training screen. The user will be able to click on the appropriate option to bring up a Download Report or Report window. The user will be able to download or any report he/she has created. The user will be able to download the report as a.csv, Excel, or pdf file. The user will be able to receive the report by . ComplianceWire Admin Guide - Introduction (Version 2.2) 50

51 Right Function Create a Completions Report Download/ Completions Report The Completions Report by User option will appear on the User Menu screen if the user has the appropriate right. View users View completions by user Create a completions report The user must have both View users and View completions by user rights in the organization the user is interested in reporting. The Create a completions report right can be in any organization. A New Search Report link will appear at the top of the Completions Report by User Report screen. The user will be able to click on the option or link to bring up the Define Completions Report by User screen. The user will be able to select completions for all training items that are homed in organizations at or below the highest organization in which the user has a role with this right (based on the report criteria). The Remove a Report link will appear on the Completions Report by User screen. The user will be able to click on the link to bring up the Remove Completions Report by User screen. The user will be able to remove any report he/she has created. The Completions Report by Training option will appear on the Training Menu screen if the user has the appropriate right. View training items View completions by training Create a completions report The user must have both View training items and View completions by training rights in the organization the user is interested in reporting. The Create a completions report right can be in any organization. A New Search Report link will appear at the top of the Completions Report by Training Report screen. The user will be able to click on the option or link to bring up the Define Completions Report by Training screen. The user will be able to select completions for all training items that are homed in organizations at or below the highest organization in which the user has a role with this right (based on the report criteria). The Remove a Report link will appear on the Completions Report by Training screen. The user will be able to click on the link to bring up the Remove Completions Report by Training screen. The user will be able to remove any report he/she has created. Download and options will appear at the top of the Completions Report by User screen. The user will be able to click on the appropriate option to bring up a Download Report or Report window. The user will be able to download or any report he/she has created. The user will be able to download the report as a.csv, Excel, or pdf file. The user will be able to receive the report by . Download and options will appear at the top of the Completions Report by Training screen. The user will be able to click on the appropriate option to bring up a Download Report or Report window. The user will be able to download or any report he/she has created. The user will be able to download the report as a.csv, Excel, or pdf file. The user will be able to receive the report by . ComplianceWire Admin Guide - Introduction (Version 2.2) 51

52 Right Function Manage Completions for Training Completions Reports by User will appear on the Users Menu screen if a Completions Report based on Users has been created. The user will be able to select a report to bring up the Completions Report by User screen. The report will show the completions for all users who are homed in organizations that are at or below the highest organization in the organization tree in which the user has role with this right. The user will be able to click on a completion on the report to bring up the View Completions screen for the selected training item. Completions Reports by Training will appear on Training Menu screen if a Completions Report based on Training has been created. The user will be able to select a report to bring up the Completions Report by Training screen. The report will show the completions for all the training items that are homed in organizations that are at or below the highest organization in the organization tree in which the user has a role with this right. The user will be able to click on a completion on the report to bring up the View Completions screen for the selected training item. Update Completion or Add Multiple Completions options will appear at the bottom of the View Completions screen. The user will be able to click on the appropriate option to bring up the Add/Update Completion screen or Add Multiple Completions screen. The user will be able to add completions for Instructor Based Training types that are homed in organizations at or below the highest organization in the organization tree in which the user has a role with this right. The user will be able to edit the completions for Instructor Based Training types that are homed in organizations at or below the highest organization in the organization tree in which the user has role with this right. Options Security Rights NOTE: All rights in this area are independent. Right Function Define, Edit or Remove Security Roles Define Password Policies The Security Roles option will appear on the User Menu screen. The user will be able to click on the option to bring up the Security Roles List screen. The user will be able to see a list of all the security roles defined in organizations at or below the highest organization in the organization tree in which the user has a role with this right. The user will be able to click on a security role on the list to bring up the Edit Security Role screen for that security role. The user will be able to edit security roles defined in organizations at or below the highest organization in the organization tree in which the user has a role with this right. An Add Security Role option will appear at the bottom of the Security Roles List screen. The user will be able to click the option to bring up the Add Security Role screen. The user will be able to define security roles in organizations at or below the highest organization in the organization tree in which the user has a role with this right. A Remove Security Role option will appear on the View Security Role screen. The user will be able to click the option to bring up the Remove Security Role screen. The user will be able to remove security roles defined in organizations at or below the highest organization in the organization tree in which the user has a role with this right. The Password Policies option will appear on the Options Menu screen. The user will be able to click the option to bring up the View Password Policies screen. The user will be able to define (or change) password policies. Password Policies are defined for the company, not an organization. Assignment The Assignment Notifications option will appear on the Options Menu screen. ComplianceWire Admin Guide - Introduction (Version 2.2) 52

53 Notifications e-signatures Manage Comments Modify Catalog Access Policy Modify Request Password Policy Modify Request User ID Policy Modify Comments Policy Modify Display Completions Policy The user will be able to click the option to bring up the View Assignment Notifications screen. The user will be able to define (or change) company notifications. Notifications are defined for the company, not an organization. The e-signatures Requirements option will appear on the Options Menu screen. The user will be able to click the option to bring up the e-signatures Requirements screen. E-Signature Requirements are defined for the company, not an organization. The user will be able to define (or change) e Signature Requirements. A Manage Comments option will appear on the Options Menu screen. The user will be able to click the option to bring up the Classroom Comments List screen. The user will be able to view a list of all comments (either open, sent to UL, or closed). The user will be able to print the comments, add notes to the comments, send the comments to UL, or close the comments. The Classroom Options/Company Preferences option will appear on the Options Menu screen. The user will be able to click the option to bring up the Classroom Options/Company Preferences screen. The user will be able to define (or change) the Modify Catalog Access option. The Catalog Access option is defined for the company, not an organization. The Classroom Options/Company Preferences option will appear on the Options Menu screen. The user will be able to click the option to bring up the Classroom Options/Company Preferences screen. The user will be able to define (or change) the Modify Request Password option. The Request Password option is defined for the company, not an organization. An Enable Comments or Disable Comments option will appear on the Comments List screen. The user will be able to control the use of comments (by clicking the appropriate link). The Comments option is defined for the company, not an organization. The Classroom Options/Company Preferences option will appear on the Options Menu screen. The user will be able to click the option to bring up the Classroom Options/Company Preferences screen. The user will be able to define (or change) the Modify Display Completions option. The Display Completions option is defined for the company, not an organization. A Manage Custom Fields option will appear on the Options Menu screen. The user will be able to click the option to bring up the Custom Fields List screen. The user will be able to view a list of all defined custom fields. The user will be able to create and edit fields, and manage the drop down lists of up to 15 custom fields. The Manage Custom Fields option is defined for the company, not an organization. ComplianceCenter Security Rights NOTE: ComplianceCenter, ComplianceLibrary and Ask the Expert are part of the Executive View. This is a separately licensed (purchased) feature that is enabled/disabled by company. All rights in this area are independent. Right Function Manage Company News Grants access to the Compliance Center area of the system. The Compliance Center tab will appear. The sections that appear on the Compliance Center screen are dependent upon which Executive View Options are selected for the user (via View User). A Manage Company News link will be available in Company News section on the Compliance Center screen. The Manage Company News link can also be accessed from the Options Menu screen (via the Manage Company News option). ComplianceWire Admin Guide - Introduction (Version 2.2) 53

54 The user will be able to click the option or link to access links for editing, removing, and adding news stories, as well as showing/re activating removed stories. The user will be able to manage stories (company news) that are homed at or below the organization in the organization tree in which the user has a security role with appropriate rights. Manage Ask the Expert Grants access to the Compliance Center area of the system. The Ask the Expert tab will appear. The Ask the Experts screen will display the current "directory" with links for editing, deleting, and adding expert contact information. The user will be able to manage contact information for experts that are homed at or below the organization in the organization tree in which the user has a security role with appropriate rights. Additional Security Rights NOTE: All rights in this area are independent. Right Function Reports View Event Log View Dashboard Grants access to the Reports area of the system. The Reports tab will appear. Company Snapshot, Training Status, Login Trends, CBT Activity Report, CBT Completions and User, Graph Users Completions by Organization, Training Type Launch Report, Curriculum Report, and User Qualification Summary Report options will appear on the Reports Menu screen. The user will be able to view the reports online and/or download the reports in formats compatible with other applications. Grants access to the Event Log area of the system. The Logs tab will appear. My Event Log Reports area will appear on the Logs Menu screen. The user will be able to select a report to bring up the Event Log Report screen. The log will show a chronological history of activity (based on the report criteria). The Event Log Report option will appear on the Logs Menu screen. The user will be able to click on the option to bring up the Define Event Log Report screen. The Remove a Report link will appear on the Event Log Report screen. The user will be able to click on the link to bring up the Remove Event Log Report screen (S803). The user will be able to remove any report he/she has created. Download and options will appear at the top of the Event Log Report screen. The user will be able to click on the appropriate option to bring up a Download Report or Report window. The user will be able to download the report as a.csv file or Excel file, or receive the report by . The user will be able to download or any report he/she has created. Grants access to the Dashboards area of the system. The Dashboards tab will appear. A Company Compliance Dashboard option will appear on the Dashboard Menu screen. The user will be able to view the dashboard online. ComplianceWire Admin Guide - Introduction (Version 2.2) 54

55 Input Fields The following section addresses all of the input fields for entering various types of information into ComplianceWire. Required fields are marked with a red asterisk (*). All other fields can be entered at the user s discretion. To move from field to field, use the [Tab] key on the keyboard. Users Input Fields Field Field Type Required First Name Character (50). Yes Middle Name Character (50). Last Name Character (50). Yes User ID Character (50). Unique per company. Yes Home Organization Organizational structure chart from which the user can select an organization when he/she clicks the accompanying organization structure icon. (Organizational structure is company defined.) Yes Temporary Password Boolean (1). Yes Password Character (25). Validate per company password policies. Yes Password Confirm Character (25). Yes Custom fields (up to 15) Street Character (50). City Character (50). State Character (2). Country Character (50). ZIP Code Character (10). Home Phone Character (25). Work Phone Character (25). Fax Character (25). Character (100). Comments Company defined. Fields characteristics can include: Free form fields can contain character (50), numeric, or date data. Date fields utilize a calendar control. Drop-down fields contain a list of items from which the user can select an option when he/she clicks the accompanying down arrow. The user can scroll through the list to view choices. Dropdown lists can contain character, numeric, or date data. Unlimited ComplianceWire Admin Guide - Introduction (Version 2.2) 55

56 Instructor Based Training Input Fields Field Field Type Required Code Character (50). Yes Version (Major, Minor) Numeric (2). Version Description Character (10). Title Character (255). Yes Organization Organizational structure chart from which the user can select an organization when he/she clicks the Yes accompanying organization structure icon. (Organizational structure is company defined.) Abbreviation Character (50). Category Drop-down list from which the user can select a category when he/she clicks the accompanying down arrow. The user can scroll through the list to view choices. (Categories are company defined.) Additional Certificate Text Character (50). Refresh period (Months) Numeric (4). Minimum Passing score Numeric (1 to 100). Pass/Fail Course Boolean (1). Self Registration Boolean (1). Waitlist Boolean (1). Approved/Effective Date [w/ Date (based on preferred date entry format settings). calendar] Approval Date [w/ calendar] Date (based on preferred date entry format settings). Yes Effective Date [w/ calendar] Retire Date [w/ calendar] Make assignments due by the Effective Date Completion expires Initial Due In Retraining Period Retraining Due In Date (based on preferred date entry format settings). Date (based on preferred date entry format settings). Boolean (1). Total course time Character (10). Course Fee ($) Numeric (10). Description Character (1,073,741,823). Comments Numeric (4). Drop-down list from which the user can select the period of time when he/she clicks the accompanying down arrow. Numeric (4). Drop-down list from which the user can select the period of time when he/she clicks the accompanying down arrow. Numeric (4). Drop-down list from which the user can select the period of time when he/she clicks the accompanying down arrow. Numeric (4). Drop-down list from which the user can select the period of time when he/she clicks the accompanying down arrow. Yes ComplianceWire Admin Guide - Introduction (Version 2.2) 56

57 Class Input Fields Field Field Type Required Title Character (255). Code Auto-generated. Maximum Class Size Numeric (4). Description Character (1,073,741,823). Credit Hours Numeric (4). Class Fee Numeric (8). Start Date [w/ calendar] Date (based on preferred date entry format settings). Yes End Date [w/ calendar] Date (based on preferred date entry format settings). Yes Start Time Drop-down list from which the user can select the exact time of day when he/she clicks the accompanying down arrows. The user can scroll through the lists to view choices. End Time Drop-down list from which the user can select the exact time of day when he/she clicks the accompanying down arrows. The user can scroll through the lists to view choices. Instructor Name Character (50). Self Registration Boolean (1). Company Training Address Street Character (50). City Character (50). State Character (2). Country Character (50). Zip/Postal Code Character (10). Phone Character (25). Fax Character (25). Address Character (100). Room Character (25). Vendor Training Address Street Character (50). City Character (50). State Character (2). Country Character (50). Zip/Postal Code Character (10). Phone Character (25). Fax Character (25). Address Character (100). Location Character (255). Comments ComplianceWire Admin Guide - Introduction (Version 2.2) 57

58 Control Documents Input Fields Field Field Type Required Code Character (50). Yes Version (Major, Minor) Numeric (2). Version Description Character (10). Title Character (255). Yes Organization Organizational structure chart from which the user can select an organization when he/she clicks the accompanying organization structure icon. (Organizational structure is company defined.) Yes Abbreviation Character (50). Category Drop-down list from which the user can select a category when he/she clicks the accompanying down arrow. The user can scroll through the list to view choices. (Categories are company defined.) Additional Certificate Text Character (50). Approved/Effective Date [w/ calendar] Date (based on preferred date entry format settings). Yes Approval Date [w/ calendar] Date (based on preferred date entry format settings). Effective Date [w/ calendar] Date (based on preferred date entry format settings). Yes Retire Date [w/ calendar] Date (based on preferred date entry format settings). Make assignments due by the Effective Date Boolean (1). Completion expires Numeric (4). Drop-down list from which the user can select the period of time when he/she clicks the accompanying down arrow. Initial Due In Numeric (4). Drop-down list from which the user can select the period of time when he/she clicks the accompanying down arrow. Retraining Period Numeric (4). Drop-down list from which the user can select the period of time when he/she clicks the accompanying down arrow. Retraining Due In Web Address Character (500) Upload File Character (500) Physical Location Character (50) Description Character (1,073,741,823) Comments Numeric (4). Drop-down list from which the user can select the period of time when he/she clicks the accompanying down arrow. ComplianceWire Admin Guide - Introduction (Version 2.2) 58

59 Forms Input Fields Field Field Type Required Code Character (50). Yes Version (Major, Minor) Numeric (2). Version Description Character (10). Title Character (255). Yes Organization Organizational structure chart from which the user can select an organization when he/she clicks the accompanying organization structure icon. (Organizational structure is company defined.) Yes Abbreviation Character (50). Category Drop-down list from which the user can select a category when he/she clicks the accompanying down arrow. The user can scroll through the list to view choices. (Categories are company defined.) Additional Certificate Text Character (50). Approved/Effective Date [w/ calendar] Date (based on preferred date entry format settings). Yes Approval Date [w/ calendar] Date (based on preferred date entry format settings). Effective Date [w/ calendar] Date (based on preferred date entry format settings). Yes Retire Date [w/ calendar] Date (based on preferred date entry format settings). Make assignments due by the Effective Date Boolean (1). Completion expires Numeric (4). Drop-down list from which the user can select the period of time when he/she clicks the accompanying down arrow. Initial Due In Numeric (4). Drop-down list from which the user can select the period of time when he/she clicks the accompanying down arrow. Retraining Period Numeric (4). Drop-down list from which the user can select the period of time when he/she clicks the accompanying down arrow. Retraining Due In Completion Type Boolean (1). Description Character (1,073,741,823) Comments Numeric (4). Drop-down list from which the user can select the period of time when he/she clicks the accompanying down arrow. ComplianceWire Admin Guide - Introduction (Version 2.2) 59

60 Offline Training Input Fields Field Field Type Required Code Character (50). Yes Version (Major, Minor) Numeric (2). Version Description Character (10). Title Character (255). Yes Organization Organizational structure chart from which the user can select an organization when he/she clicks the accompanying organization structure icon. (Organizational structure is company defined.) Yes Abbreviation Character (50). Category Drop-down list from which the user can select a category when he/she clicks the accompanying down arrow. The user can scroll through the list to view choices. (Categories are company defined.) Additional Certificate Text Character (50). Approved/Effective Date [w/ calendar] Date (based on preferred date entry format settings). Yes Approval Date [w/ calendar] Date (based on preferred date entry format settings). Effective Date [w/ calendar] Date (based on preferred date entry format settings). Yes Retire Date [w/ calendar] Date (based on preferred date entry format settings). Make assignments due by the Effective Date Boolean (1). Completion expires Numeric (4). Drop-down list from which the user can select the period of time when he/she clicks the accompanying down arrow. Initial Due In Numeric (4). Drop-down list from which the user can select the period of time when he/she clicks the accompanying down arrow. Retraining Period Numeric (4). Drop-down list from which the user can select the period of time when he/she clicks the accompanying down arrow. Retraining Due In Description Character (1,073,741,823). Comments Numeric (4). Drop-down list from which the user can select the period of time when he/she clicks the accompanying down arrow. ComplianceWire Admin Guide - Introduction (Version 2.2) 60

61 AICC Training Input Fields Field Field Type Required Code Character (50). Yes Version (Major, Minor) Numeric (2). Version Description Character (10). Title Character (255). Yes Organization Organizational structure chart from which the user can select an organization when he/she clicks the accompanying organization structure icon. (Organizational structure is company defined.) Yes Abbreviation Character (50). Category Drop-down list from which the user can select a category when he/she clicks the accompanying down arrow. The user can scroll through the list to view choices. (Categories are company defined.) Additional Certificate Text Character (50). Approved/Effective Date [w/ calendar] Date (based on preferred date entry format settings). Yes Approval Date [w/ calendar] Date (based on preferred date entry format settings). Effective Date [w/ calendar] Date (based on preferred date entry format settings). Yes Retire Date [w/ calendar] Date (based on preferred date entry format settings). Make assignments due by the Effective Date Boolean (1). Completion expires Numeric (4). Drop-down list from which the user can select the period of time when he/she clicks the accompanying down arrow. Initial Due In Numeric (4). Drop-down list from which the user can select the period of time when he/she clicks the accompanying down arrow. Retraining Period Numeric (4). Drop-down list from which the user can select the period of time when he/she clicks the accompanying down arrow. Retraining Due In Numeric (4). Drop-down list from which the user can select the period of time when he/she clicks the accompanying down arrow. URL Character (1,073,741,823) Yes Parameters Character (1,073,741,823) Description Character (1,073,741,823) Comments ComplianceWire Admin Guide - Introduction (Version 2.2) 61

62 Custom Exams Input Fields Field Field Type Required Code Character (50). Yes Version (Major, Minor) Numeric (2). Version Description Character (10). Title Character (255). Yes Organization Organizational structure chart from which the user can select an organization when he/she clicks the accompanying organization structure icon. (Organizational structure is company defined.) Yes Abbreviation Character (50). Category Drop-down list from which the user can select a category when he/she clicks the accompanying down arrow. The user can scroll through the list to view choices. (Categories are company defined.) Additional Certificate Text Character (50). Approved/Effective Date [w/ calendar] Date (based on preferred date entry format settings). Yes Approval Date [w/ calendar] Date (based on preferred date entry format settings). Effective Date [w/ calendar] Date (based on preferred date entry format settings). Yes Retire Date [w/ calendar] Completion expires Initial Due In Minimum Passing score Numeric (1 to 100). Question Feedback Boolean (1). Time Limit Numeric (5). Mandatory Questions Numeric (5). # of Pooled Questions to Ask Numeric (5). Total Questions to Ask Numeric (5). Description Character (1,073,741,823) Comments Date (based on preferred date entry format settings). Numeric (4). Drop-down list from which the user can select the period of time when he/she clicks the accompanying down arrow. Numeric (4). Drop-down list from which the user can select the period of time when he/she clicks the accompanying down arrow. ComplianceWire Admin Guide - Introduction (Version 2.2) 62

63 International Data Fields The maximum number of characters is indicated for each field that could contain information in languages such as Russian, Hebrew, Arabic, Japanese and Chinese. ntext represents 1,073,741,823 characters. Screen Fields Login User ID (50) Password (25) Company Code (50) Forgot Password User ID (50) Company Code (50) Catalog Keyword Search (50) Change Password Current Password (25) New Password (25) Confirm New Password (25) Add User First Name (50) Middle Name (50) Last Name (50) User ID (50) Password (25) Confirm Password (25) Custom Fields (50) Street (50) City (50) State (2) Country (50) Postal/Zip Code (50) Home Phone (50) Work Phone (50) Fax (50) (100) Comment (255) User Search Last Name (50) First Name (50) User ID (50) Edit User First Name (50) Middle Name (50) Last Name (50) User ID (50) Password (25) Confirm Password (25) Custom Fields (50) Street (50) City (50) State (2) Country (50) Postal/Zip Code (50) Home Phone (50) Work Phone (50) Fax (50) (100) Comment (255) ComplianceWire Admin Guide - Introduction (Version 2.2) 63

64 Screen Fields Define Users Report User ID (50) Report Name (50) Add Instructor Based Training Course Code (50) Title (255) Abbreviation (50) Version Description (10) Open Date Close Date Description (ntext) Comments (255) Add Control Document Code (50) Title (255) Abbreviation (50) Version Description (10) Physical Location (ntext) Web Address (ntext) Description (ntext) Comments (255) Add Offline Training Code (50) Title (255) Version Description (10) Description (ntext) Comments (255) Add Forms Code (50) Title (255) Abbreviation (50) Version Description (10) Description (ntext) Comments (255) Add AICC Training Code (50) Title (255) Abbreviation (50) Version Description (10) Description (ntext) Comments (255) Edit Training Course Code (50) Title (255) Abbreviation (50) Version Description (10) Physical Location (ntext) Web Address (ntext) Description (ntext) Comments (255) Define Training Report Training Code (50) Training Title (255) Report Name (50) Class List Keyword Search (50) ComplianceWire Admin Guide - Introduction (Version 2.2) 64

65 Screen Fields Add Class Title (255) Code (50) Description (ntext) Instructor Name (50) Company Address Street (50) City (50) State (50) Country (50) Postal/Zip Code (50) Phone (50) Fax (50) (100) Room (50) Vendor Address Vendor Name (50) Street (50) City (2) State (50) Country (50) Postal/Zip Code (50) Phone (50) Fax (50) (100) Location (255) Comment (255) Edit Class Title (255) Code (50) Description (ntext) Instructor Name (50) Company Address Street (2) City (50) State (50) Country (50) Postal/Zip Code (50) Phone (50) Fax (50) (100) Room (50) Vendor Address Vendor Name (50) Street (50) City (50) State (2) Country (50) Postal/Zip Code (50) Phone (50) Fax (50) (100) Location (255) Comment (255) Add Users to Roster Keyword Search (50) Manage Completions Comment (255) Multiple Completions Comment (255) ComplianceWire Admin Guide - Introduction (Version 2.2) 65

66 Screen Fields Add Curriculums Curriculum Name (50) Description (ntext) Web Address (ntext) Remove Curriculums Curriculum Name (50) Edit Curriculum Curriculum Name (50) Description (ntext) Add Training Item to Curriculum Keyword Search (50) Add Assignment Training Code (50) User ID (50) Remove Assignment Training Code (50) User ID (50) Define Assignments Report by User User ID (50) Training Code (50) Training Title (50) Report Name (50) Define Assignments Report by Training Training Code (50) Training Title (50) User ID (50) Report Name (50) Define Completions Report by User User ID (50) Training Code (50) Training Title (50) Report Name (50) Define Completions Report by Training Training Code (50) Training Title (50) User ID (50) Report Name (50) Training Status Report User ID (50) Training Code (50) Training Title (50) Add Security Role Security Role Name (50) Classroom Options/Company Preferences Comments Report To (100) E-Signature Requirements User ID (50) Password (25) Comment (255) Company Notifications Address (100) Define Event Log Report User ID (50) Search Filter Name (50) Comments Subject (255) Comments (ntext) E-Signature User ID (50) Password (25) Comment (255) ComplianceWire Admin Guide - Introduction (Version 2.2) 66

67 Searching Search for Users To Access the User Menu, select Users from the Administrator Tools menu: The Search for Users functionality allows Administrators to locate a particular user quickly. The user can enter letter(s) in the Last Name, First Name, and/or User ID text box and then click on Search. The search will return all users who have the letter(s) in their first name, last name, and/or User ID. For example, typing a K in the User ID text box will return all users who have a K in their user ID. Once the list appears, highlight the user. Clicking OK will take the user to the appropriate screen, depending on where the Search option was launched. The ID of the selected user will appear in the User ID text box. Click Search to search for another user. Search for Training ComplianceWire Admin Guide - Introduction (Version 2.2) 67

68 To Access the Training Menu, select Training from the Administrator Tools menu: The Search for Training window allows users to locate a particular training item quickly. The user can enter letter(s) in the Training Code and/or Training Title text box and then click Search. The search will return all trainin items that have the letter(s) in their code or title. For example, typing a C in the Training Tiutle text box will return all training items that have a C in their title. Once the list appears, highlight the training item. Clicking OK will take the user to the appropriate screen, depending on where the Search option was launched. The code of the selected training item will appear in the Training Item Code text box. Click Search to search for another training item. Comments Comments can be submitted by ComplianceWire users when the feature is enabled for their company. Feedback or questions are electronically submitted to System Administrators configured to receive them via . ComplianceWire Admin Guide - Introduction (Version 2.2) 68

69 Note: Comments only appear if Comments are enabled for the user s company. Comments are enabled/disabled by the System Administrator by accessing Administrative Tools > Options > Manage Comments. System Administrator To access the Comments form, click on the Tools option and select Comments Comments will appear as an option under the Tools menu if it is enabled. The Comment form requires a Subject and Comment text. Users who want to be notified regarding the status of their inquiry should mark the associated option box. Send Comments or select Cancel to return to ComplianceWire without submitting comments. Once Comments are submitted, a confirmation message will be displayed. Note: Comments screens will be displayed in alternate languages for which the company is licensed. ComplianceWire Admin Guide - Introduction (Version 2.2) 69

70 Comments screens will be displayed in preferred languages: The system will gather information about the user s session and location in the application and return this information to the database with the information the user entered. All comments are first sent to the system administrators. The administrators will able to send the comments to UL, where they will be routed to the appropriate department. UL staff will routinely receive and review the comments submitted. The comments will be handled and responded to accordingly. Close comments closes the window. ComplianceWire Admin Guide - Introduction (Version 2.2) 70

71 Online Help Online Help is a link that is configured to bring ComplianceWire users to a specific URL or to open an with a predetermined address. The Help option is located under the Tools Menu and all users in a specific company code are directed to the same URL or address. Online Help functionality is controlled by a company preference. Company preferences are managed by UL, and not directly within the application. There is no additional charge to use this feature, but clients must contact UL Client Services to have the company preference enabled. If the Help feature is being configured to direct users to a URL, the URL link must be provided. Once enabled, users will be directed to the URL, which will open in a separate browser window when they select Help from the Tools menu. If the Help feature is being configured to create an , the MAILTO address must be provided. Once enabled, users will see an message opened with the TO address prepopulated when they select Help from the Tools menu. Time Out Warning Session timeout functionality is controlled by a company preference. Company preferences are managed by UL, and not directly within the application. The Session Timeout preference indicates the number of minutes before an inactive session gets closed. The Session Timeout when taking a course preference indicates the number of minutes before an inactive session gets closed when taking a course. If the user s browser has been inactive for a period of time (configured by UL Client Services per the client s request), the user will receive a warning message before the session actually times out. A warning message will appear in a Time Out Warning window. Users will have one minute (60 seconds) from the time the warning appears until they take action. Automatic Logout will reflect the time until the user will be automatically logged out of the system. Continue Working allows the users to extend their uninterrupted working time. Log closes the current session of the application and returns the user to the Login screen. Note: Users accessing ComplianceWire via custom login screens will be directed to a custom page to perform a company specific action. ComplianceWire Admin Guide - Introduction (Version 2.2) 71

72 Computer Based Training (Mastery) CBT courses that have multiple language versions can be handled as a singular To-Do List item (assuming that the relevant company has contracted for multiple languages). CBT courses can be created with multiple language versions which are considered implicitly equivalent (rather than an administrator explicitly setting equivalencies). CBTs with implicit language equivalencies only require a singular assignment so that the CBT becomes available to clients with contracts for the different languages. 1. CBT training can be created as a one-time assignment or as a recurring assignment. 2. All standard courses are divided into topics that are shown on the left side of the screen. 3. The topic list for a CBT Mastery normally begins with an Overview topic, presenting the objectives of the CBT. The list ends with a Challenge that evaluates the user s mastery of the content. Other topics in the CBT present the content and ensure understanding of the content before the user is allowed to move forward. 4. The user must complete each topic in order and cannot proceed forward. The user can return to any completed topic for review. 5. The user may have to take a short quiz at the end of each topic in order to proceed to the next topic. The user may retake these quizzes as many times as the user needs to move to the next topic. 6. As the user completes the topics, the system records the appropriate topic completion and displays the next topic. 7. If the user exits before completing the CBT in its entirety, the system stores critical session data in the database for storage and retrieval. The terminology that represents this session data is a Bookmark. Upon re-entry, the system checks the user s completion status of the topics in the CBT and presents the user with the appropriate topic. The user may then continue the CBT from where the user left off or review sections the user has already completed. 8. The user can click on highlighted glossary terms and see a definition or additional information about the term. A pop-up window appears with the appropriate information included. 9. There are over 10 different elaborative interactions used in CBTs to assist the user in learning the content. 10. Each topic can contain a mastery interaction. There are over seven different types of mastery interactions that are used to evaluate the user s grasp of the material. 11. Standard highlighters add interest and depth to the content by discussing case studies and scenarios to help the user connect the content to the real world. 12. Upon completion of the last topic, the user must successfully complete a Challenge to receive credit for the CBT. 13. Upon successful completion of the CBT, the user will see a personal certificate of completion that can be printed out. Companies can request to use custom logos in the certificate. There are two (2) logos that can be customized, the main certificate logo and the certificate wallet logo. ComplianceWire Admin Guide - Introduction (Version 2.2) 72

73 14. Competency-based learning allows the user to take a pretest that identifies the user s knowledge deficiencies before taking CBT training. This is a separately licensed (purchased) feature that is enabled/disabled by company/cbt. Pretest functionality is controlled by company preferences (OFF by default). Company Preferences are available through UL, and not directly within the application. When the Allow Pretest preference is turned ON, pretests will be allowed for CBTs. Based on the results, the user must then complete only those topics in CBTs that correspond to the user s knowledge gaps. If the user answers 100% of the pretest items correctly, the user "tests out" of the CBT and is automatically awarded a Certificate of Completion. 15. CBT completion can require authentication (electronic signature). Electronic signature requirements are defined on the e-signature Requirements screen. See the e-signature Requirements section in Chapter Upon completion of the CBT, the system records a score and removes the user s bookmark (if one exists). Scores are always be stored as 100% and will be represented in the system as Qualified upon completion. 17. Users should see their scores for the completed training on their History screen. Pending Courses When major or minor upgrades of CBTs become available on the system, they will be given a Pending status. This allows administrators to review and accept the new version of the CBTs at a time most convenient for their organization. When a new version of a course is released, the effective date is set to 30 days from the date the version is created. Once this date arrives, the new version becomes effective and as a result retires the prior version. Note: It is important to note that when the new version of the CBT is a minor version (for example, 3.0 to 3.1) the system will default to not require training for this new version. This implies that the new version will be set as equivalent to the old version. If a user completed the prior version and still has a qualified completion, they will receive an equivalent completion for the new version. Conversely, if the new version of the CBT is a major version (for example, 3.0 to 4.0) the system will default to require training for this version. This implies that this new version will be assigned to any user who has a recurring assignment of this training if the assignment is set to be training items dependent. If the administrator does not wish to have the training be set as required, he/she should add an equivalency to the prior version as appropriate before the new version becomes effective. CBT Policies 1. CBT training can be created as a one-time assignment or as a recurring assignment. 2. The purpose of a policy is to present company policies to employees. Policies are typically limited to one page. 3. After reading the policy, the user completes a sign-off acknowledging that the user has read the policy and agrees to abide by the provisions. 4. If the user exits the policy before reading the document in its entirety and acknowledging its completion, the system stores critical session data in the database for storage and retrieval. The terminology that represents this session data is a Bookmark. 5. Upon completion, the system records a score and moves the training to the user s history. Scores are always stored as 100% and will be represented in the system as Qualified upon completion. 6. Users should see the completed training on their History screen. ComplianceWire Admin Guide - Introduction (Version 2.2) 73

74 Computer Based Training (Exams) 1. CBT training can be created as a one-time assignment or as a recurring assignment. 2. The purpose of an exam is to test the user s knowledge of any training material. 3. Online testing (exams) can be administered in a manner similar to Computer Based Training. 4. The exam itself includes no content and will not divulge the correct answers. 5. The exam has an overview and information page, as well as the exam itself. The overview can be as general or specific as necessary. Some are very general and some will list specific topics, policies, or courses covered by the exam. 6. The information page lists the requirements necessary to pass the exam How many questions comprise the exam? How many they must answer correctly? How many times they make take the exam before it is marked as a failure. 7. The exam itself consists of specified number of questions from a question pool. Questions will appear in random order and may be True/False, Multiple Choice, and/or Short Answer. 8. The user must answer all questions delivered before submitting the exam. Questions can be answered in any order, and answers can be changed before submitting the exam. 9. If the user exits the exam before submitting the exam, the system stores critical course session data in the database for storage and retrieval. The terminology that represents this session data is a Bookmark. Upon reentry, a new list of questions in a new order will be pulled from the question pool. 10. After the user has completed the exam, the user receives a Remediation Report. 11. Arrow buttons are provided to allow the user to move forward or backward between questions. The user can change his/her response to any question at any time during the exam. Also listed are the number of questions in the exam, the number of correct responses, and the number of incorrect responses, the required passing score, and the user s score. 6. Upon completion, the system records the calculated score. This is the percentage of responses that must be correct in order for the user to receive credit for the exam (based on a 100 percent scale). 7. The system tracks the date and time of the exam, the amount of time it takes the user to complete the exam, the user s answers to all the questions, and the calculated score. 8. Users should see their scores for the completed training on their History screen. 9. Exam completion can require authentication (electronic signature). Electronic signature requirements are defined on the e-signature Requirements screen. See the e-signature Requirements section in Chapter 10. Learning Services Created Exams Learning Services-developed exams can be created via a Flash Exam Player, rather than via Shockwave. This requires a work order request. Learning Services-developed exams can now include Case Study questions. This requires a work order request. A case study scenario will be presented and then followed by a suite of questions related to the case scenario. ComplianceWire Admin Guide - Introduction (Version 2.2) 74

75 Offline Training Offline Training has two minor types: Instructor Led Training and Offline Tasks. Offline Training Instructor Led Training Instructor Led Training is used to track non-system events (e.g., non computer-led events). These events could include meetings, seminars, skill-led demonstrations, etc. The following steps act as a guideline to setting up an Instructor Led Training. 1. Add an Instructor Led Training. 2. Add a class to the Instructor Led Training. Classes can be added in two different ways. Prior to training taking place. After the training has taken place. 3. Add users to the class roster. Users can be added to rosters in two different ways. Manual entry by system administrator. Electronically generated class sign-in sheet. Users provide their electronic signatures to indicate successful completion (Pass) of the class. A waitlist capability is available for Instructor Led Courses ILCs). Users will have the opportunity to register for a class that is already full. 4. Add completion information for the users. 5. Once all the information for the Instructor Led Training has been entered, the users should see their scores for the completed training on their History screen. Offline Training - Tasks Offline Tasks are used to track non-system events (e.g., non computer-based events). These events could include meetings, seminars, skill-based demonstrations, etc. 1. Add an Offline Task. See the Add Offline Task section in Chapter 6 for details. 2. Offline tasks may be completed either by an end user (learner) or by an administrator with the appropriate security rights. If the offline task is NEVER be completed by the end-user, the administrator can create the task as an instructor led training item and require administrative completion of the task for the user. Administrators can add bulk completions without the use of visual classes. (Administrators will not be allowed to add new classes for Offline tasks, but they will be allowed to add completions in bulk.) 3. Online registration for offline task is not allowed since there are no visible class sessions. 4. Offline tasks can only be completed with an acknowledgement. E-signature requirements for completion are NOT supported. ComplianceWire Admin Guide - Introduction (Version 2.2) 75

76 Control Documents Also known as CICS (Critical Information Control System). This is a separately licensed (purchased) feature that is enabled/disabled by company. Control Documents enable the efficient distribution and audit-ready documentation of critical information including Standard Operating Procedures (SOPs), Codes of Conduct, corporate policies and procedures, regulatory updates, and employee communications. Information can be disseminated on-demand to all responsible parties for review, validation by e-signature, and document management compliant with company standards and regulatory requirements. Recipients (regardless of location, language, literacy or skill levels) can be tested for comprehension and, if necessary, immediately supplied with additional resources to ensure their understanding of, and ability to apply, the distributed information. Data showing program status, employee participation, and recipient feedback are accessible in real time for optimal program oversight, management and auditing. Control Documents supports function-specific technologies including the Quiz Creator, which allows clients to author, publish and edit quizzes specifically for testing employees understanding of distributed information. 1. Control Documents can be assigned as a one-time assignment or as a recurring assignment. 2. Control Documents are used to control vital company information such as standard operating procedures (SOPs), functional specifications, mechanical drawings, and other sensitive documents. 3. The user will have to click on the provided link to the Control Document before the training can be completed. 4. A quiz can be attached to Control Documents. The user will be unable to receive a completion on the Control Document until the user s proficiency meets or exceeds the minimum proficiency for the quiz. See the Quiz Creator section in Chapter 6 for details. This is a separately licensed (purchased) feature that is enabled/disabled by company. 5. Control Document completion can require authentication (electronic signature). Electronic signature requirements are defined on the e-signature Requirements screen. 6. Upon completion, the item is moved to the user s history. Scores are always be stored as 100% and will be represented in the system as Qualified upon completion. 7. Users can see their completed training on their History screen. ComplianceWire Admin Guide - Introduction (Version 2.2) 76

77 Forms Forms Forms are used to request very specific information from users such as e-signature or non-disclosure agreements, questionnaires, instructor evaluations, or product surveys. This is a separately licensed (purchased) feature that is enabled/disabled by company. 1. Forms training can be created as a one-time assignment or as a recurring assignment. 2. If the user exits the form before completing the form in its entirety and acknowledging its completion, the system stores critical session data in the database for storage and retrieval. The terminology that represents this session data is a Bookmark. 3. Forms completion can require authentication (electronic signature). A second electronic signature can be required. Electronic signature requirements are defined on the e-signature Requirements screen. 4. Only a user who is authorized to sign the form as the second signatory will be able to electronically sign the completion of the form. 5. A group of users who are authorized to sign (as the second electronic signature) can be created. 6. Users can define multiple users related to a form, but the form will only be routed to those approvers in the same organization as the user. 7. Approvers will be notified via when a completed form is ready for approval. 8. Upon completion, the system passes a score to the system and removes the user s bookmark (if one exists). Scores are always be stored as 100% and will be represented in the system as Qualified upon completion. 9. Users should see their scores for the completed training on their History screen. ComplianceWire Admin Guide - Introduction (Version 2.2) 77

78 AICC Training AICC Training allows the user to take used to take AICC-compliant training whose content resides outside the ComplianceWire system. This is a separately licensed (purchased) feature that is enabled/disabled by company. 1. AICC training can be created as a one-time assignment or as a recurring assignment. 2. The electronic content is directly and exclusively provided by a 3 rd party content provider. 3. The URL and Parameters (provided by the 3 rd party content provider) indicate where the content of the AICC training resides and serve as a link to the AICC-compliant training. 4. AICC Training can be assigned in the same way as Computer Based Training or Control Documents. 5. AICC files for any form in ComplianceWire can be generated for use in another LMS. Forms and AICC capabilities must be enabled. 6. When the user launches an AICC Training, the user is "under the control" of the 3 rd party content provider. 7. The user will have to click on the provided link to the AICC training before the training can be completed. 8. If the user exits the AICC training before completing the training in its entirety, the system stores critical session data in the database for storage and retrieval. The terminology that represents this session data is a Bookmark. 9. Upon completion of the training, the content provider reports the score back to ComplianceWire. 10. Users should see their scores for the completed training on their History screen. ComplianceWire Admin Guide - Introduction (Version 2.2) 78

79 Custom Exams Custom Exam types are used to take stand-alone exams. These exams support multiple choice and true/false questions, pooling, feedback, and time limits. This is a separately licensed (purchased) feature that is enabled/disabled by company. Clients can request via Work Order to create new Learning Services-developed exams to display via a Flash Exam Player, rather than the previous requirement for the Learning Services exams to display via Shockwave. Additionally, Learning Services- developed exams can now include Case Study questions in which a case study scenario is presented and then followed by a suite of questions related to the case scenario. 1. Custom Exams training can be created as a one-time assignment or as a recurring assignment. 2. If the user exits the Custom Exam before completing the exam in its entirety and acknowledging its completion, the system stores critical session data in the database for storage and retrieval. The terminology that represents this session data is a Bookmark. 3. The user will be unable to complete a Custom Exam until the user s proficiency meets or exceeds the minimum proficiency for the exam. 4. Custom Exam completion can require authentication (electronic signature). Electronic signature requirements are defined on the e-signature Requirements screen. 5. Upon qualified completion, the item is moved to the user s history. Scores are always be stored as 100% and will be represented in the system as Qualified upon completion. 6. Users can see their completed training on their History screen. 7. Custom exams will be updated to include entry of the following: Time Limit: a. The time limit will be applied and enforced when the user is taking the exam. b. Upon expiration of the time limit, the exam will be graded without allowing the answer to any other question.. Maximum Allowed Attempts:. a. Each failed attempt to qualify for the exam will be considered and attempt.. b. When the user reaches the limit of attempts allowed for the exam, the administrator will have to grant additional attempt for that user to be able to launch the exam.. Lock Out Days:. a. The lockout days indicates the number of days between attempts specified by the Maximum Allowed Attempt that the exam cannot be launched.. b. The To-Do List and Assignment Report will be updated to show a locked icon for any course/exam that is currently not able to be launched due to insufficient remaining tries or a lockout period between tries. ComplianceWire Admin Guide - Introduction (Version 2.2) 79

80 SCORM-Compliant Courses SCORM is short for Sharable Content Object Reference Model. SCORM is an industry standard for course authoring. SCORM represents a suite of technical standard specifications that enable the sharing and reusing of content across learning systems. SCORM allows companies to define and access information describing a set of learning objects so they can be easily located. SCORM courses can communicate bookmarking, completions, scores, etc. to SCORM-compliant Learning Management Systems such as ComplianceWire. Many authoring tools are SCORM conformant, such as STT Trainer from UL IT Learning ( With STT Trainer, users can produce training courses that enable users to perform self-assessments using simulations. ComplianceWire supports SCORM courses. SCORM course training can be created as a one-time assignment or as a recurring assignment. See the Add Assignment section in Chapter 7. Users can launch SCORM content from their To-Do List. All SCORM courses are typically divided into topics that are shown on the left side of the screen. The topic list for a SCORM course normally begins with an Introduction, presenting the objectives of the course. Other topics present the content and ensure understanding of the content before the user is allowed to move forward. The list ends with a Certification which will record the completion of the training. The user must complete each topic in order and cannot proceed forward. The user can return to any completed topic for review. As the user completes the topics, the system records the appropriate topic completion and displays the next topic. If a user exits before completing the SCORM training in its entirety, the system stores critical session data in the database for storage and retrieval. The terminology that represents this session data is a Bookmark. Upon re-entry, the system checks the user s completion status of the SCORM training and the user may then continue the SCORM training from where the user left off or review sections the user has already completed. Upon completion, the system records a score and removes the user s bookmark (if one exists). Scores are always be stored as 100% and will be represented in the system as Qualified upon completion. Users should see their scores for the completed training on their History screen (S31). See diagram on page 85. ComplianceWire Admin Guide - Introduction (Version 2.2) 80

81 SCORM functionality is controlled by company preferences (OFF by default). Company preferences will be available through UL, and not directly within the application. The SCORM Launch URL preference indicates the URL used for launching SCORM content. When the SCORM Self Service preference is ON, companies will be able to upload and manage SCORM content. The SCORM Storage Path preference indicates the file storage location. SCORM Course Hosting Service ComplianceWire will support SCORM content. This is a separately licensed (purchased) feature that is enabled/disabled by company. Through the SCORM Course Hosting Service, companies can host SCORM content on our validated servers for purposes of launching, delivering and tracking through ComplianceWire. Companies can host SCORM content on UL s validated servers for purposes of launching, delivering, and tracking through ComplianceWire. Client UL Step 1: Step 2: Send your SCORM compliant course to UL 2 nd option: You can upload course directly. UL tests for overall SCORM compliance using out advanced SCORM Test Tracker tool. 2 nd option: You perform tests directly Step 3: Once SCORM compliance is verified, course is uploaded to a test site for client testing and user acceptance, Step 4: After testing, course is uploaded into ComplianceWire, where it can be assigned to your end users Training items will run through the same rigorous Quality Assurance process we apply to all of UL s courses, ensuring that all interactions function properly and that ComplianceWire correctly captures user attempts, completions status, scores, and other data. ComplianceWire Admin Guide - Introduction (Version 2.2) 81

82 Upload SCORM Courses Companies who wish to self- manage their own SCORM-compliant courses in ComplianceWire can upload and configure courses on their own. SCORM functionality is controlled by company preferences (OFF by default). Company references are available through UL, and not directly within the application. The SCORM Launch URL preference indicates the URL for Launching SORM content. When the SCORM Self Service preference is turned ON, the company can upload and manage SCORM content. The SCORM Storage Path preference indicates the server storage location for the company s uploaded SCORM content. The ComplianceWire SCORM engine will scan the file as it is being uploaded, and provide descriptive help if it encounters any course errors. The uploaded SCORM course will be in a pending state, enabling administrators to review before making it effective and assigning it to users. SCORM courses can be modified or developed so that they require Electronic Signatures. Courses converted to HIPX will automatically support SCORM esignature. Clients need to work with Learning Services to estimate the work involved in the conversion. Developer instructions for implementing esignature functionality with third party SCORM courses will be provided as requested. This functionality is controlled by company preferences (OFF by default). Company references are available through UL, and not directly within the application. SCORM courses can be revised without modifying/changing the version number. SCORM courses can have multiple languages assigned in the Languages option when viewing the SCORM training item: The Add Language option allows the user to select the language, provide a title and add upload the SCORM package in the language selected: ComplianceWire Admin Guide - Introduction (Version 2.2) 82

83 The language is included in the list on the Languages (summary) page. SCORM Courses available in multiple languages will be indicated with an icon when assigned and listed on the To-Do List: Note: Hosting, Single-File Upload (enabled) and Language Feature required. ComplianceWire Admin Guide - Introduction (Version 2.2) 83

84 SCORM Package Properties are modifiable. SCORM Course Scores (upon completion) can be displayed as a numeric score or listed as Qualified or Not Qualified : Options > Classroom Options / Company Preference: The Qualification Display Settings for the SCORM Course need to be set as well: ComplianceWire Admin Guide - Introduction (Version 2.2) 84

85 Click the Knowledge Center tab and click on History to bring up the History screen. Title Code Version Completed On Completion To-Do List (S10) or Catalog (S20) History (S31) Record bookmark Training Complete? Launch Record completion & completion date No Yes ComplianceWire Admin Guide - Introduction (Version 2.2) 85

86 Online Registration Processing The user can register online for an Instructor Based Training and class. See flowchart on following page. 1. The Allow Online Registration field on the Add/Edit Instructor Led Course screens determines whether the user is allowed to register for the Instructor Based Training online. 2. The Allow Online Registration field on the Add/Edit Class screens determines whether the user is allowed to register for the class online. 1. Online registration for a class is only permitted if the Instructor Based Training allows online registration. 3. If the user is already registered for a class on the To-Do List or Catalog screens, the user will be presented with the selected Instructor Based Training and class information. 4. If the user is not registered for a class, information about the Instructor Based Training and a list of available classes will be presented (if there are classes available). The list of available classes will display the class code, location, instructor, start date/time, and end date/time. All classes that have not begun will be listed. Only classes with open seats will be available for online registration. If the user has been withdrawn from a class, the user cannot use online registration to enroll in that class. 5. If there are no classes available for the selected Instructor Based Training, a "No classes available for online registration at this time" note will display 6. Online registration can require authentication (electronic signature). Electronic signature requirements are defined on the e-signature Requirements screen. See the e-signature Requirements section in Chapter If e-signatures are not required for online registration, the user will be asked to confirm the registration for the class. 3. If e-signatures are required for online registration, the user will be required to sign the registration for the class. 7. The user will be registered in the selected class. The user will be presented with the selected Instructor Based Training and class information. ComplianceWire Admin Guide - Introduction (Version 2.2) 86

87 Administrator Online Registration Process for Instructor Based Training Add/Edit Instructor Based Training Add/Edit Class Login to ComplianceWire Access Training Choose Allow users to self register for this course online Choose Online User Self Registration Learner Online Registration Process to Enroll in a Class Login to ComplianceWire Click on Instructor Based Training on To-Do or Catalog Is learner already registered for a class? YES NO Learner will be presented with a list of classes for the Instructor Based Training Click on Class to register Is e-signature required for online registration? NO YES Learner will be required to electronically sign the registration for the class Learner will be asked to confirm the registration into the class * NOTES * A class can only allow online registration if the Instructor Based Training allows online registration Learner will be enrolled in the selected class The list of available classes will display the class code, location, instructor, start date/time, and end date/time. All classes that have not yet begun will be listed. Only classes with open seats will be available for online registration. If an administrator withdraws a student from a class, the student cannot use online registration to enroll in that class. Learner will be presented with the online registration information ComplianceWire Admin Guide - Introduction (Version 2.2) 87

88 Resource & Skill Planning Managers can use ComplianceWire for workforce planning, resource allocation, and skill tracking. What if scenarios can be asked to determine who in an organization is qualified, or could be qualified, to perform a specific job or role. This will help managers to plan for future growth, vacation scheduling, cross-training, assigning personnel to special projects, and more. Users have visibility into their qualification for jobs to which they are not currently assigned but could be in the future. Those users not only can view their status, but can perform self-directed learning and even advance their own career planning. Here s how it works: A job role, skill, or other resource capability is represented in ComplianceWire by a User Group and a corresponding Curriculum. Users who need to be qualified for this role (skill, resource) would be added as members of the Group. A manager can also define criteria for Suggested membership in that Group. This enables end users to view their qualification status against that Group, without being assigned that entire curriculum or being an actual member of that Group. Users can view their Suggested Group qualifications, and even launch and complete training to achieve qualification. Managers can use the User Summary Qualification Report to check the qualification of any employee against any Group. ComplianceWire will automatically check individuals qualifications against that Group, reviewing their progress against prescribed training requirements. Managers can determine which individuals are qualified, in progress to be qualified, or not qualified, using color-coded status reports. The report will even show the percent an employee has completed and number of assignments needed to complete a specific qualification. Assignments necessary to fulfill a role can be made proactively, increasing the number of individuals qualified to perform those functions. Managers can ask and get answers to questions and scenarios such as: One facility is reducing capacity while another needs to staff up how will I redeploy personnel with a minimum amount of additional training? Three key workers just called in sick are there any people currently on-site who have been cross-trained for this job? How many people across these 10 locations are within three assignments of being qualified for a particular strategic role? This technology within ComplianceWire enables managers to anticipate and respond to dynamic operational staffing needs across an organization. Management also gains new visibility into skill inventories and readiness which may never before have been available. This enables companies to be better equipped to right-size training by assigning only that training needed to meet the specific work objective. ComplianceWire Admin Guide - Introduction (Version 2.2) 88

89 ios ipad Learner App ios mobile application that provides access to mobile compatible content and targets the ComplianceWire Learner experience on the ipad. Optimized for Apple IOS products (ipad) only. Only the Learner view (To-Do list) is available. Downloadable from the Apple App store (ComplianceWire) - Free Ability to launch the app is disabled by default in ComplianceWire. Clients who want to allow Learners to launch the app must contact Client Services. A preference in EduAdmin will enable the mobile app access for ALL users in a company code. Upon launch, the App will require first time users to update the Preference Settings: Drop down menus will be displayed to select the Language, Time Zone, Date Format and Time Format. Sync Preferences When this option is enabled, the personal device settings will be adopted. Company Code is required in the Preference Settings and on the Login Screen. After the Preference Settings are applied, the login page will be displayed. Here users will login in with the same credentials (user name and password) they use to log into ComplianceWire from their desktop. Persistent login (no session time-out) will make it easier for the user to login once and return to the session to access their To-Do List without logging in again. If the company code is not enabled for the ipad App, a message will appear. The company code field on the login page is not able to be edited Once the User Name and Password for ComplianceWire are entered, the user Accepts the Terms of Use to proceed and the To-Do List will be displayed. The following features are planned for future app updates: Apps for iphone, Android and Windows devices Off-Line Content Access to the History, Course Catalog and Curriculum Vitae (CV) SCORM, HIP2 and Magazine Course Types SSO Interface from the App ComplianceWire Admin Guide - Introduction (Version 2.2) 89