Compliance Reference Guide

Compliance is a system of unlimited electronic document storage and completion. Your list of compliance items is customizable to your organization's needs. 

• You can complete Compliance items by uploading files from your computer, or we can make compliance forms available to fill out online.
• There are individual settings for each compliance item where we can set up configuration and reporting specifications for any documents or file slots you need.  For more information, read Compliance Settings.  

Contact your Account Manager or our ALIS Customer Success Team for assistance.

Compliance Overview 

Compliance is available for residents, staff, and at the community level. Here are some examples of documentation you may store or have digitized to fill online in ALIS: 

• Resident - Admissions documents, clinical documents, state forms, etc.
• Staff - Training documentation, community policy acknowledgment forms, etc.
• Community - Emergency response plans, building compliance documentation, etc.

This article overviews completion of Resident Compliance, however the below information also applies to Staff and Community Compliance completion. 

Compliance Summary Section

On a resident's profile, scroll down to the Compliance Summary section. Click the Compliance Documents blue bar to see all resident compliance items and their completion statuses.

Compliance Table Details

• Compliance Item - This is the customizable name of the compliance item. The items may also be organized into custom groups (i.e., "ALIS Forms" and "Clinical" shown below). 
• Status - The status will show as Incomplete, Completed, or Expired.
• Expires on - This will show as a specific date or "Never".
• File Location - If the item has never been completed for the resident, this will say "Not Available". If you mark the item as "In Cabinet", that status will show here. If completed, it will have a link to the most recently completed read-only Filled Online or Uploaded versions of the document.
  • If the most recently completed version of the item was Filled Online, people with administrator permissions will be able to edit the most recently completed version without having to create a new version. Click the pencil icon to edit.

Compliance Item Colors

Notice the thin stripe of color on the very left border of the compliance item rows. The colors indicate the following statuses:
 

• Red - the item is required and is incomplete or expired.
• Yellow/Orange - the item is optional and is incomplete or expired.
• Green - the item has the Completed status.
• The red asterisk means the compliance item is required.

Actions on Individual Compliance Items

Each item begins with three buttons on the right side which allow you to complete or manage the individual item.

• Choose File - Upload compliance documentation from your device. (Described further in the "Upload a Compliance Item" section below.)
• Fill Online - Fill out a digitized form directly in ALIS. Note that if this button is grayed out, there is no digitized form uploaded for this item. (Described further in the "Fill Online a Compliance Item" section below.)
• Options - This dropdown menu contains a variety of possible actions:  
  • Change expiration: Manually update the expiration date.
  • In Cabinet: Mark an item as Completed without any electronic submission of a document and indicates "the completed document exists somewhere in physical storage."
    • It is advised to use this option sparingly and only if you have the physical document on hand, because there is no way for you to access it electronically.
    • You have the option to remove the In Cabinet option from the dropdown menu by updating your Company Settings. Contact your Account Manager or our ALIS Customer Success Team for further assistance. 
  • Mark Required: Mark an optional compliance item as required. Items are set as required or optional by default for all residents, but you can change this for individual residents. The completion of required items impacts the resident's compliance percentage.
  • Mark Optional: Mark a required compliance item as optional. Items are set as required or optional by default for all residents, but you can change this for individual residents. Optional items do not affect compliance percentages.
  • Hide From List: Hide the compliance item from the list for this resident. To view it again, click the "Show Hidden Compliance Items" link at the top right of the table. This link only exists if there are hidden items. 
  • Show in List: Change a hidden item's status back to a visible item on the list for this resident. 
  • Pre-populated Template: Generate a template with all the information that pre-populates from ALIS data on your form. 
    • You can not fill online from this template, but it is convenient if you are printing the form to fill it out on paper, since some details are filled in automatically.
    • To keep track of the form electronically, scan it to your computer and use the Choose File option to upload it. You can also utilize the Inbound Documents center to file.
  • Blank Template: Generate a template with no pre-populated fields. Use this option to print a copy of the blank form. 

Bulk Actions

The checkboxes on the lefthand side of the items allow you to perform some actions in bulk for multiple items at a time.

Generate Custom Packet

The custom packet feature allows you to select any completed documents and compile them into a single downloadable PDF file.

1. Click the checkboxes to the left of the compliance items you want to include in the custom packet. Only completed items can be included.
2. Click the Generate Custom Packet button above the table. A PDF will load containing all selected items, starting with a cover page listing the names of the items included in the packet.

Upload a Compliance Item

If you have a document you need to add to Resident compliance but it was completed on paper or is not a form (i.e., insurance cards, ID cards, etc.), you can save the document to your computer using a scanner and upload it to the correct compliance slot. 

1. Scan the item and save it to your computer. 
2. Either drag the file from the folder on your computer to the ALIS window in the compliance item area, or click the Choose File button to open your file browser and find the correct file. 
   • This will change the status to "Pending," and you can then select an expiration date if needed. Click Complete to save the document.

Fill Online a Compliance Item

In order for a form to be filled online, you must first send the ALIS team your blank form templates. Once we have the forms, we complete a process of digitizing them. The digitized documents can pull in ALIS data to certain form fields automatically (i.e., resident name, other demographic data, contact information, etc.) in addition to being able to type into other open fields to complete the form. 

An additional benefit of using the Fill Online option, is that previously filled-online documents will always retain your previous entries on the form (except for signatures). This means that if you need to fill it out again, you only have to update the things that changed without having to fill out everything again.

1. Click Fill Online for a compliance item.
   • Click New Form to start a new document. This will still pre-populate ALIS fields such as the resident name, room number, insurance information, contacts, and more. 
   • If the form has been filled online previously, you can click the Previous Form option to start working on the form with the previous entries. This is a helpful option for documents where most information doesn't change much, but some information may need to be periodically updated.
2. Fill out the form to your satisfaction and add your signature if applicable. 
   • Note that the form fields will not expand to fit the size of text you enter. Therefore, if a form field is too small, you will need to update your form template to have larger text fields and contact your Account Manager or our ALIS Customer Success Team for further assistance. 
3. Click Save, and then close the form window.
   • This puts the item in the Edit in-progress status. You can click the Edit button to pick up where you left off if needed. You can also add an expiration if applicable.
4. To complete the form, click Complete.
   • The most recently completed version of the item will display as a link in the File Location column. Click this link to view the read-only version of the completed document.
   • A View All Versions link will appear below the item name, and you can view all versions of the previously completed document.
   • You may also have a pencil icon available in the File Location column due to your level of access. This allows you to edit the most recently completed document without having to start a new version.

Special features with Fill Online

Form Field Validation

If you would like to make some form fields required on a document, be sure to communicate this to the ALIS team when sending your form templates for digitization. It is also possible to set date or numeric fields to allow only specific formatting or numeric characters.

We can set up your form template to require information in any text box you need, and this will prevent someone from completing a version of the document without adding text to your specified form fields. 

Refer to this Required Fields on Compliance Documents guide for more information.

Dropbox Sign Integration

ALIS integrates with the electronic signature tool Dropbox Sign. This allows your team to collect any signatures of resident family members or other outside parties by sending compliance documents directly from ALIS to their email. 

When using this feature, an automated reminder is sent 3 days and then 7 days after the form was initially sent electronically. You also have the ability to send reminders via a 'Send Reminders' button. It is important to note that using the reminder button logs your reminder attempts in the Audit history, whereas the automated reminders will not.

Read this E-Sign Compliance Items article for more information about external signatures. To enable Dropbox Sign, contact your Account Manager or our ALIS Customer Success Team. 

Required Items and Compliance Percentage

The percentage of completed required items determines a resident's compliance percentage. By default, all compliance items have the required status, but we can set any item to be optional in Resident Settings.

You can also set items to be either required or optional for an individual resident using the Options button. The required items are identified by a red asterisk after their names. 

Access Resident Documents

When compliance items have been marked complete, you can easily access the most recent version and unlimited versions of the item that were completed earlier.

View All Versions

Click the View All Versions link to see all previously completed versions sorted by date. You can click the links in the File Name column to view any of these versions. Click Hide All Versions to collapse.

Emergency Packet

The Emergency Packet is typically opened at the top of the resident's profile by clicking the button below their photo. However, there is the option to generate an Emergency Packet in the Compliance section.

Items that are included in this Emergency Packet must be configured per community in Resident Settings. Read this How to set up an Emergency Packet guide for more information.

Reports

On the Reports page, there is a Resident Compliance Details report and a Staff Compliance Details report. Each of these reports shows all compliance items for all resident or staff profiles. 

• To bulk print any one compliance item for residents or staff, select one item in the Compliance Item filter and click the Refresh button. This makes the Print Compliance Documents button available, which allows you to download a zipped folder of all completed forms of the filtered item. 

Expiration Dates and Alerts

Compliance items can be set to expire after a specific length of time post-completion. This expiration timeframe can be set on a per-document basis when created or edited in Resident Settings, and this expiration would apply that expiration to all residents' compliance. However, you can also always update or set expiration dates as you complete items for individual residents.

When an item is Expired, it decreases the resident's compliance percentage if it is marked as required. To view all expired documentation, you can filter for expired items in the Compliance Details report.

You can also set up alerts for staff at your organization which will notify them when an item expires soon (in two weeks) and the once the item actually expires. Refer to this How to Manage Alerts article to learn more about setting up alerts.

Miscellaneous Documents

The Miscellaneous Documents section is located at the bottom of the Compliance Summary. While this section offers flexibility, the best practice is to use it sparingly.

• Prioritize Tracking: It is always recommended to create formal items within the main Compliance Documents table. This ensures completion status is properly tracked and managed.

• Targeted Storage: Miscellaneous Documents are most useful for storing items relevant to only one person or a very small group of individuals.

Manage Uploads

Once a document is uploaded, it remains available for viewing and is sorted alphabetically by name. View the Status column to find the exact date the document was uploaded.  

Rename Miscellaneous Documents

Additionally, you can rename Miscellaneous Documents directly from the document list:

1. Locate the file, and click the Rename button on the right. 

2. In the pop-up, type the new name. 

3. Click Rename to instantly save your changes.

Deleted Compliance Items > Miscellaneous

If any compliance item is deleted from your Resident Settings, the system ensures no data is lost:

• Any previously completed versions of a deleted item are automatically moved to the Miscellaneous Documents section.

• Deleted items are grouped together within this area for easy identification.

• You maintain full access to View All Versions of these previously completed items, preserving the historical record.

Related Articles:

• Staff Compliance
• Compliance Settings
• E-Sign Compliance Items
• How do I bulk print a compliance item for all residents?
• How to Set up an Emergency Packet 

For more assistance with Compliance,

Contact our ALIS Customer Success Team:

 888.404.ALIS (2547) or support@go-alis.com