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Module: GR-03 Compliance Tracking
Audience: All Staff
Last Updated: 2025-12-13
Overview
The Compliance Tracking module helps your organization monitor regulatory compliance, track evidence of compliance, and address non-compliance issues. This guide covers how to view compliance status, understand requirements, and participate in compliance activities.
Getting Started
Accessing the Compliance Dashboard
- Navigate to GR → Compliance from the main menu
- The Compliance Dashboard shows overall compliance metrics
- View status breakdowns by regulatory body, category, and priority
What You’ll See
| Section | Description |
|---|
| Overall Compliance Rate | Percentage of requirements currently in compliance |
| Status Breakdown | Counts by Compliant, Non-Compliant, At Risk, Pending |
| Upcoming Checks | Requirements due for compliance check soon |
| Recent Remediations | Non-compliance issues being addressed |
Understanding Compliance Status
Status Types
| Status | Meaning | Icon |
|---|
| Compliant | Requirement is met with valid evidence | ✅ Green |
| Non-Compliant | Requirement is not met, remediation needed | ❌ Red |
| At Risk | Compliance check due soon or evidence expiring | ⚠️ Yellow |
| Pending Review | Awaiting compliance check or review | 🔄 Blue |
| Not Applicable | Requirement does not apply to your site | ➖ Gray |
Priority Levels
| Priority | Description |
|---|
| Critical | Regulatory requirements with severe consequences if not met |
| High | Important requirements with significant impact |
| Medium | Standard compliance requirements |
| Low | Nice-to-have or internal best practices |
Viewing Regulatory Requirements
Requirements Library
- Navigate to GR → Compliance → Requirements
- Browse all regulatory requirements for your organization
- Use filters to narrow by regulatory body, category, or status
Requirement Details
Click on any requirement to see:
- Description: What the requirement covers
- Regulatory Body: Which agency/standard requires it (e.g., CARF, State, OSHA)
- Category: Grouping (Clinical, Safety, HR, etc.)
- Check Frequency: How often compliance is verified
- Current Status: Latest compliance check result
- Evidence: Documents, policies, or training linked as proof
Evidence of Compliance
What Counts as Evidence?
Evidence proves that your organization meets a requirement:
| Evidence Type | Examples |
|---|
| Policies | Written policies addressing the requirement |
| Training Records | Completed training courses for staff |
| Documents | Certificates, inspection reports, licenses |
| Attestations | Signed acknowledgments or declarations |
How Evidence Links to Requirements
- Compliance officers link evidence to requirements
- Each piece of evidence shows when it was added and who added it
- Evidence may have expiration dates (e.g., certifications)
- When evidence expires, the requirement may move to “At Risk”
Your Role in Compliance
For All Employees
- Complete assigned training on time to maintain compliance
- Acknowledge required policies before due dates
- Follow procedures outlined in organizational policies
- Report concerns to your supervisor or compliance officer
Site-Specific Requirements
Some requirements apply only to specific sites:
- Your site’s compliance officer manages these
- You may see site-specific training or policies assigned to you
- Different sites may have different regulatory requirements
Compliance Notifications
Types of Notifications
| Notification | When | Who Receives |
|---|
| Check Due | Compliance check is due soon | Assigned compliance officers |
| Check Complete | Compliance status updated | Stakeholders |
| Remediation Created | Non-compliance issue identified | Assigned personnel |
| Remediation Resolved | Issue has been fixed | Stakeholders |
- Check your notifications regularly (bell icon in header)
- Click notifications to go directly to related items
- Complete any assigned tasks before due dates
When a compliance check finds a gap:
- A remediation is created to track fixing the issue
- Someone is assigned to address it
- A due date is set for resolution
- Progress is tracked until resolved
| Status | Meaning |
|---|
| Open | Issue identified, work not yet started |
| In Progress | Actively being addressed |
| Resolved | Issue has been fixed |
| Verified | Resolution confirmed by compliance officer |
| Closed | Fully resolved and closed |
FAQ
Why is my site showing “At Risk” status?
This usually means:
- A compliance check is due soon
- Evidence is expiring soon
- A remediation is still in progress
Contact your compliance officer for details.
I completed training but compliance still shows a gap
- Allow time for the system to update
- Ensure the training is properly recorded as complete
- The training must be linked as evidence to the specific requirement
- Contact your compliance officer if the issue persists
Reach out to your:
- Direct supervisor
- Site compliance officer
- Organization compliance administrator
How often is compliance checked?
It depends on the requirement:
- Critical requirements: Monthly or quarterly
- Standard requirements: Annually
- Low priority: As needed
Check the requirement details for specific frequency.
Need Help? Contact your compliance officer or system administrator.
