> ## Documentation Index
> Fetch the complete documentation index at: https://docs.encoreos.io/llms.txt
> Use this file to discover all available pages before exploring further.

# Governance & Compliance Documentation

> Module: GR Core Audience: All Staff, Compliance Officers, Administrators Last Updated: 2025-12-14

**Module:** GR Core\
**Audience:** All Staff, Compliance Officers, Administrators\
**Last Updated:** 2025-12-14

***

## Overview

The Governance & Compliance (GR) module provides organizational governance, policy management, training & CEU tracking, compliance monitoring, and audit management capabilities for recovery housing organizations.

***

## Features

| Feature                          | Status     | Description                                                                |
| -------------------------------- | ---------- | -------------------------------------------------------------------------- |
| Policy Management (GR-01)        | ✅ Complete | Policy lifecycle, acknowledgments, and compliance tracking                 |
| Training & CEU Tracking (GR-02)  | ✅ Complete | Training programs, enrollments, and continuing education credits           |
| Compliance Tracking (GR-03)      | ✅ Complete | Regulatory compliance monitoring, evidence collection, remediation         |
| Audit Management (GR-04)         | ✅ Complete | Internal and external audit tracking, findings, corrective actions         |
| Risk Assessment (GR-05)          | ✅ Complete | Risk identification, assessment, and mitigation                            |
| AI Compliance Advisor (GR-06)    | ✅ Complete | AI-assisted compliance chat, gap analysis, audit prep, risk assessment     |
| Quality Improvement (GR-07)      | ✅ Complete | QI projects, PDSA cycles, metrics tracking, improvement actions            |
| Accreditation Management (GR-08) | ✅ Complete | Accreditation tracking, standards, surveys, evidence management            |
| Contract Management (GR-10)      | ✅ Complete | Contract lifecycle, obligations, milestones, expiration alerts             |
| Procedures Management (GR-11)    | ✅ Complete | Visual procedure editor, policy linkage, execution tracking, AI generation |

***

## User Guides

### For All Staff

* [Policy User Guide](./policy-user-guide.md) - View policies and complete acknowledgments
* [Training User Guide](./training-user-guide.md) - Complete training and track CEU credits
* [Compliance User Guide](./compliance-user-guide.md) - View compliance status and requirements
* [Audit User Guide](./audit-user-guide.md) - Understand audits and manage assigned corrective actions
* [Risk User Guide](./risk-user-guide.md) - Understand risks and manage assigned mitigations
* [AI Compliance Advisor User Guide](./ai-compliance-user-guide.md) - Use AI for compliance assistance
* [QI User Guide](./qi-user-guide.md) - View and complete QI improvements
* [Accreditation User Guide](./accreditation-user-guide.md) - View accreditations, standards, and surveys
* [Contract User Guide](./contract-user-guide.md) - View contracts and track obligations
* [Procedure User Guide](./procedure-user-guide.md) - View and execute procedures

### For Compliance Officers & Administrators

* [Policy Admin Guide](./policy-admin-guide.md) - Manage policies, assignments, and compliance
* [Training Admin Guide](./training-admin-guide.md) - Manage courses, enrollments, and CEU tracking
* [Compliance Admin Guide](./compliance-admin-guide.md) - Manage requirements, checks, and remediations
* [Audit Admin Guide](./audit-admin-guide.md) - Plan audits, record findings, track corrective actions
* [Risk Admin Guide](./risk-admin-guide.md) - Manage risks, assessments, and mitigations
* [AI Compliance Advisor Admin Guide](./ai-compliance-admin-guide.md) - Configure and manage AI features
* [QI Admin Guide](./qi-admin-guide.md) - Manage QI projects, PDSA cycles, metrics
* [Accreditation Admin Guide](./accreditation-admin-guide.md) - Manage accreditations, standards, surveys
* [Contract Admin Guide](./contract-admin-guide.md) - Manage contracts, obligations, milestones
* [Procedure Admin Guide](./procedure-admin-guide.md) - Create procedures, visual editor, AI generation

### Technical Reference

* [AI Prompts Reference](./ai-prompts-reference.md) - AI prompt templates and schemas

***

## Quick Links

### Policy Management

| Page                   | Route                    | Description                                |
| ---------------------- | ------------------------ | ------------------------------------------ |
| GR Overview            | `/gr`                    | Module dashboard with compliance metrics   |
| Policy Library         | `/gr/policies`           | Browse and search all policies             |
| My Acknowledgments     | `/gr/my-acknowledgments` | View pending and completed acknowledgments |
| Acknowledgment Tracker | `/gr/acknowledgments`    | Admin: Track employee acknowledgments      |
| Policy Reviews         | `/gr/reviews`            | Admin: Manage policy review cycles         |

### Training & CEU Management

| Page             | Route                | Description                            |
| ---------------- | -------------------- | -------------------------------------- |
| Training Library | `/gr/training`       | Browse and search all training courses |
| Training Detail  | `/gr/training/:id`   | View course details and enrollments    |
| My Training      | `/gr/my-training`    | View pending and completed training    |
| CEU Transcript   | `/gr/ceu-transcript` | View and export CEU credit history     |

### Compliance Tracking

| Page                 | Route                             | Description                               |
| -------------------- | --------------------------------- | ----------------------------------------- |
| Compliance Dashboard | `/gr/compliance`                  | Monitor overall compliance status         |
| Requirements Library | `/gr/compliance/requirements`     | Browse and manage regulatory requirements |
| Requirement Detail   | `/gr/compliance/requirements/:id` | View requirement details and evidence     |
| Remediation Tracker  | `/gr/compliance/remediation`      | Track non-compliance issues               |

### Audit Management

| Page               | Route                           | Description                                       |
| ------------------ | ------------------------------- | ------------------------------------------------- |
| Audit List         | `/gr/audits`                    | Browse and manage audits                          |
| Audit Detail       | `/gr/audits/:id`                | View audit details, checklist, findings, evidence |
| Audit Findings     | `/gr/audits/findings`           | All findings across audits                        |
| Audit Readiness    | `/gr/audits/readiness`          | Readiness assessment dashboard                    |
| Corrective Actions | `/gr/audits/corrective-actions` | Track corrective action completion                |

### Risk Management

| Page          | Route           | Description                                 |
| ------------- | --------------- | ------------------------------------------- |
| Risk Register | `/gr/risks`     | Browse and manage organizational risks      |
| Risk Detail   | `/gr/risks/:id` | View risk details, assessments, mitigations |

### AI Compliance Advisor

| Page               | Route                    | Description                         |
| ------------------ | ------------------------ | ----------------------------------- |
| AI Suggestions     | `/gr/ai/suggestions`     | AI-generated compliance suggestions |
| AI Gap Analysis    | `/gr/ai/gap-analysis`    | AI-assisted gap analysis            |
| AI Audit Prep      | `/gr/ai/audit-prep`      | AI-assisted audit preparation       |
| AI Risk Assessment | `/gr/ai/risk-assessment` | AI-assisted risk assessment         |

### Quality Improvement

| Page           | Route                               | Description                                |
| -------------- | ----------------------------------- | ------------------------------------------ |
| QI Projects    | `/gr/quality-improvement`           | Browse and manage QI projects              |
| QI Dashboard   | `/gr/quality-improvement/dashboard` | QI overview statistics                     |
| QI Reports     | `/gr/quality-improvement/reports`   | Export QI data as PDF, CSV, Excel          |
| QI Templates   | `/gr/quality-improvement/templates` | Manage reusable QI project templates       |
| Project Detail | `/gr/quality-improvement/:id`       | Project with cycles, metrics, improvements |
| My QI          | `/gr/my-quality-improvement`        | Personal QI dashboard                      |

### Accreditation Management

| Page                    | Route                          | Description                                          |
| ----------------------- | ------------------------------ | ---------------------------------------------------- |
| Accreditation List      | `/gr/accreditations`           | Browse and manage accreditations                     |
| Accreditation Dashboard | `/gr/accreditations/dashboard` | Accreditation overview and metrics                   |
| Accreditation Detail    | `/gr/accreditations/:id`       | View accreditation with standards, surveys, evidence |
| Accreditation Reports   | `/gr/accreditations/reports`   | Status, renewal, compliance reports                  |

### Contract Management

| Page            | Route               | Description                                            |
| --------------- | ------------------- | ------------------------------------------------------ |
| Contract List   | `/gr/contracts`     | Browse and manage contracts                            |
| Contract Detail | `/gr/contracts/:id` | View contract with obligations, milestones, amendments |

### Procedures Management

| Page             | Route                     | Description                                     |
| ---------------- | ------------------------- | ----------------------------------------------- |
| Procedure List   | `/gr/procedures`          | Browse and manage procedures                    |
| Procedure Detail | `/gr/procedures/:id`      | View procedure with steps, versions, executions |
| Procedure Editor | `/gr/procedures/:id/edit` | Visual workflow editor                          |

### Settings

| Page        | Route          | Description                      |
| ----------- | -------------- | -------------------------------- |
| GR Settings | `/gr/settings` | Admin: Configure module settings |

***

## Getting Started

### For Employees

#### Policy Acknowledgments

1. Navigate to **GR → My Acknowledgments** to see pending policies
2. Click on a policy to view details and download the document
3. Complete the acknowledgment form before the due date
4. Track your acknowledgment history on the same page

#### Training & CEU

1. Navigate to **GR → My Training** to see pending training assignments
2. Click on a course to view details and access materials
3. Complete training requirements before the due date
4. View your CEU credits at **GR → CEU Transcript**

#### Corrective Actions

1. Navigate to **GR → Audits → Corrective Actions**
2. Filter by **Assigned to Me** to see your tasks
3. Update progress and mark complete when finished
4. Attach evidence of resolution

### For Compliance Officers

#### Policy Management

1. Navigate to **GR → Settings** to configure reminder notifications
2. Create policies at **GR → Policies** → **New Policy**
3. Assign policies to employees based on role, department, or site
4. Monitor compliance at **GR → Acknowledgments**
5. Manage review cycles at **GR → Reviews**

#### Training Management

1. Create training courses at **GR → Training** → **New Course**
2. Configure CEU credits and expiration periods
3. Enroll employees individually or in bulk
4. Track completions and compliance at **GR → Training**
5. Monitor expiring certifications on the GR Overview dashboard

#### Audit Management

1. Create audits at **GR → Audits** → **New Audit**
2. Assign audit teams and generate checklists
3. Execute audits and document findings
4. Create corrective actions for findings
5. Track resolution at **GR → Audits → Corrective Actions**
6. Use readiness assessment for upcoming audits

***

## Key Concepts

### Policy Status Workflow

```
Draft → In Review → Approved → Active
                              ↓
                         Deprecated → Archived
```

### Training Status Workflow

```
Not Started → In Progress → Completed
     ↓              ↓
  Overdue ────→ Overdue
```

### Audit Status Workflow

```
Planned → In Progress → Completed
              ↓
          Cancelled
```

### Finding Status Workflow

```
Open → In Remediation → Resolved → Closed
```

### Corrective Action Status Workflow

```
Pending → In Progress → Completed → Verified
```

### Risk Status Workflow

```
Active → Mitigated → Resolved → Closed
```

### Mitigation Status Workflow

```
Planned → In Progress → Completed → Verified
```

### Risk Rating Levels

| Rating       | Score Range | Description                            |
| ------------ | ----------- | -------------------------------------- |
| **Critical** | 16-25       | Immediate executive attention required |
| **High**     | 10-15       | Active mitigation required             |
| **Medium**   | 5-9         | Monitor monthly                        |
| **Low**      | 1-4         | Monitor quarterly                      |

### Finding Severity Levels

| Severity        | Description                                           | Response Time |
| --------------- | ----------------------------------------------------- | ------------- |
| **Critical**    | Immediate risk to health, safety, or compliance       | 24-48 hours   |
| **Major**       | Significant non-compliance requiring prompt attention | 30 days       |
| **Minor**       | Gap that should be addressed but not urgent           | 90 days       |
| **Observation** | Improvement opportunity, not a true deficiency        | Optional      |

### Acknowledgment Types

* **Required**: Employee must acknowledge to remain compliant
* **Recommended**: Suggested reading, not required
* **Informational**: FYI only, no acknowledgment needed

### Training Types

* **Online**: Web-based self-paced modules
* **In-Person**: Classroom or hands-on training
* **Webinar**: Live online sessions
* **Self-Paced**: Materials for independent study
* **On-the-Job**: Supervised practical training

### CEU Credit Categories

* **State Licensing**: Credits for state license renewal
* **Professional Certification**: Credits for professional credentials
* **Organization Required**: Internal training requirements

### Review Cycles

* **Annual**: Review every 12 months
* **Biennial**: Review every 24 months
* **As Needed**: No scheduled review

***

## Related Documentation

* [Platform Notifications Guide](../pf/notifications-guide.md)
* [Document Management Guide](../pf/document-management-guide.md)

***

## Module Settings

Compliance officers can configure GR module settings at **GR → Settings**:

### Policy Settings

* Enable/disable reminder notifications
* Set default reminder days (30, 14, 7 days before due)
* Configure review cycle defaults

### Training Settings

* Enable/disable training reminders
* Set expiration reminder days (90, 60, 30 days before)
* Configure default course settings

### Audit Settings

* Enable/disable audit reminders
* Set upcoming audit reminder days (14, 7, 3 days before)
* Set finding due date reminder intervals
* Set corrective action reminder intervals

### Risk Settings

* Enable/disable risk reminders
* Set default risk review frequency
* Set mitigation due date reminder intervals
* Configure risk rating thresholds

### AI Settings

* Enable/disable AI Compliance Advisor
* AI features include: compliance chat, gap analysis, audit preparation, risk assessment

### QI Settings

* Enable/disable Quality Improvement module
* Set default PDSA cycle duration
* Enable PDSA completion notifications
* Enable metric goal achievement alerts
* Configure improvement reminder intervals

### Contract Settings

* Default expiration alert days (90, 60, 30)
* Renewal notice days before expiration
* Auto-generate contract numbers
* Contract number prefix
* Require contract approval
* Approval threshold amount
* Obligation reminder days
* Auto-mark obligations overdue

***

**Need Help?** Contact your system administrator or compliance officer.