Compliance Analytics

About Compliance Analytics

Compliance Analytics performs a real-time analysis of training records to identify the degree (expressed as a percentage) to which departments, groups, and individuals have completed one or more specified courses. When scanning records, courses with an overall status of Completed, Finished Using, and Passed are interpreted as Completed for statistical purposes.

When calculating the overall compliance results for groups, each individual is interpreted as either conforming or nonconforming. 

For example:

• Learner A in department X has completed 10 of 10 courses.
• Learner B in the same department has completed 2 of 10.

The percentage compliance overall for department X is 50% (1 of 2 compliant), while the training progress figure is 60% (12/20 courses completed).

Compliance Analysis Types

You can select the following types of analysis:

• Modules
• Program sessions
• Program progress

The Modules type considers transcripts for the selected target learning only and does not drill down into program components.

The Program Sessions type considers transcripts for modules in the selected target program session.

For the Program Progress type, for each selected target program session the analysis identifies an appropriate enrollment for the learner and produces results against transcripts within the identified enrollment's transcript hierarchy.

The following scenario shows the difference between the three analysis types:

• A program P1 with a single session that contains a Module O1
• A learner completes O1 as a standalone module
• Subsequently, the learner enrolls in P1 and fails the component O1

The learner's records would look like this:

Transcript ID	Module ID	Status
T1	O1	Completed
T2	P1	In Process
T3	O1	Failed

Using default settings, the compliance analysis for the learner and program session would show the following results:

Type	Compliance Status	Considered Transcripts
Modules	Not Compliant	T2
Program Sessions	Compliant	T1
Program Progress	Not Compliant	T2, T3

Run Compliance Analytics

There are five steps to setting up compliance analytics:

1. Select the Participants.
2. Select the modules or program sessions, including possible equivalents.
3. Select the transcripts available for the participants and courses selected in the above steps.
4. Select the criteria for compliance-based dates, revision and enrollment.
5. Filter the results.

Those steps are applied in sequence, filtering out transcripts at each step. So it is possible to run compliance analysis for users with multiple enrollments within the time period selected, where, for example, the 'most recent' may not comply while a previous enrollment will comply.

Step 1: Select Participants for Compliance Analytics

You can select participants for analysis individually (without grouping) or by one or the following grouping methods:

• One or more organizations
• One or more user groups
• One or more direct appraisers

To select participants for compliance analysis

1. Go to Home > Reports > Compliance Analytics.
2. To include all participants by organization, user group or appraiser, select a grouping criteria from the Participants grouped by drop-down list. To select participants individually, select No grouping.
3. Click in the Organizations or User Groups boxes to select them, or click the browse icon to select direct appraisers or individual participants. The appropriate selector dialog opens.
4. If you selected participants by organization or user group and you want to include participants with closed accounts, select the Include closed user accounts check box.

Step 2: Select the Modules or Program Sessions for Compliance Analytics

You can select the type of analysis and then the target modules or program sessions for the analysis.

To select the modules or program sessions for compliance analysis

1. Scroll to Step 2: Target Learning.
2. Select the analysis type from the drop-down list.
3. Click the + icon to select the learning modules or programs to include in the analysis.

Step 3:  Select the Transcripts for Compliance Analytics

Compliance Analytics uses the transcripts for the participants identified in step 1 (Target Participants) and for the learning modules or program sessions selected in step 2 (Target Learning). You can further limit the transcripts to include in step 3 (Target Transcripts).

To select the transcripts for compliance analysis

1. Scroll to Step 3: Target Transcripts.
2. Select the check boxes if you want to include self-enrolled target transcripts and completed equivalent transcripts.
3. If a participant has multiple enrollments for a given course, select whether to match the compliance criteria against any of the participant's transcripts or only their most recent transcript.

Step 4:  Select the Criteria for Transcript Compliance

In this step you define the criteria for transcripts to be compliant. You can select whether learning must have been completed between two specified dates, or whether learning is completed or on-target by a specified date in the future. (This can be used to identify participants who will lose their on-target status if they do not complete some learning by the specified date.)

You can select whether the learning can be from any revision or must be on the effective revision.

To select the criteria for compliance

1. Scroll to Step 4: Criteria for Compliance.
2. Select an option and the dates for Compliance Definition. This step is optional.
3. Select the Revision constraint.
4. Select an inclusion option for participants:

• All Target Learning - Applies on to the Module analysis type.
• Learning in Enrolled Target Program Sessions - Applies to Program Sessions and Program Progress analysis types.  Completed sub-module transcripts are not counted if the participants have not yet enrolled in the program session selected in step 2.  The analysis results for participants without any counted transcripts show N/A.
• Target Program Sessions with Auto-Enroll Criteria that apply - Only participants who are auto-enroll targets for the selected program sessions are included in the compliance analysis.  Leftover participants are reported as N/A in the analysis results.

5. To exclude transcripts for enrollments that are no longer required, select the Disregard Deactivated Target Modules / Program Sessions check box. The modules and sessions are marked as N/A instead of compliant or non-compliant if the participant's overall status for them is Deactivated.

Step 5: Filter Compliance Results

After compliance per participant has been calculated in Step 4, Compliance Analytics can further filter the results so that you can focus on the necessary information only.

You can choose to focus on:

• All Participants
• Compliant Participants Only
• Non-compliant Participants Only

You can also choose to include learners with no enrollments on any target learning. Learners with no enrollments are those reported as N/A in the analysis results.

To filter the compliance results

1. Scroll to Step 5: Results Filtering.
2. Select the participants to include in the analysis results, in terms of their compliance.
3. If required, select the check box to include learners with no enrollments on any target learning.
4. Click Start Analysis. The page refreshes with the compliance analysis results, which you can print and export to a comma-separated variable (CSV) file.