How to manage compliance training automatically with Plans

Background

Many of our partners are doing annual compliance training but not taking advantage of the full power of learning plan automation to make this easy. This article is intended to help you automate what are sometimes tedious manual steps when tracking mandatory compliance training

Here are some typical goals with regards to managing compliance training in UniversitySite

• enroll all current and future employees so that they complete the mandatory course/s 
• assign a due date (e.g. 30/60/90 days after enrollment),
• communicate to staff that they must complete the plan within 60 days, using the enrollment email template in the Plan
• set an automated deadline reminder 7 days prior to their deadline if they have not completed 
• be able to view and show reporting on who has and hasn’t completed both courses after 60 days
• be able to allow grace for those procrastinators who don't complete it until after their deadline (hint: use Suggested deadline type...it's the default)

Steps to set this up using plans in UniversitySite

Note: It is important to do these steps in the order indicated below to ensure enrollees get the right deadlines and that the enrollment notices use the update custom template you edited

1. Create a learning plan for your compliance training e.g 2023 Annual Firmwide Security Training
2. In the description field of the plan, consider briefly outlining the firm's expectation for participation/completion of the plan (mandatory, deadlines, etc)
3. Set the Status of the plan to Staged (to ensure no emails accidentally get sent out until you are ready)
4. Expand the Enrollee settings section of the plan
5. Click the Future enrollees tab 
6. From the Date drop down menu choose Enrollment Date, then specify 60 days
7. Expand the Courses section
8. Add your desired course/s
9. Expand the Email section
10. Specify your desired Sender/Reply address to be used with this plan
11. Enable Send Enrollment Notices to New Enrollees
12. Enable Use Custom Template
13. Edit this custom template
14. Modify the subject or body as desired/needed but only remove <variables> if you are certain you don't need that information in your email
15. Preview your changes, then close the window
16. Enable Deadline Reminders
17. Enable Custom Schedule
18. Edit the custom schedule and remove any reminders not desired
19. Consider enabling Overdue plan reminders
20. If you do enable overdue reminders, consider enabling Use custom template 
21. Edit the custom template and specify "CC Additional People" to be notified when someone is overdue then close the window
22. Expand the Security section
23. Make sure "Visible in LearningSite" is OFF if you intend to control who is enrolled in the plan rather than making it optional for interested parties to opt into.  Note: plans are still visible to any enrollees even when this switch is off
24. Edit the plan again
25. NOW you can add enrollees so go back to the Enrollee Settings section
26. Add Criteria
27. Enable the "Everyone" switch or specify other criteria you intend to use e.g. audience membership
28. Next, then continue
29. Save Plan

When you are ready to activate and roll out this plan do the following

1. Edit the plan
2. Set the Status to Active
3. Doublecheck that you have the emails enabled that you desire; Recommended notifications show below
4. Save the plan
5. Click on the Notifications banner with all the enrollment notications waiting to be sent out
6. Select all
7. Send (ONLY click Send ONCE)

To view compliance status for this plan

1. View the plan in InstructorSite
2. Click the User's tab
3. Click the Download button