T&C - Practical Instructions for Implementation

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Practical Instructions for Implementation

By now you should have a good grasp of the fundamentals of implementing a T&C scheme and an understanding of how ComplianceServe will support the scheme. This section describes the elements that make up the ComplianceServe T&C solution and outlines the considerations and actions you will need to take to configure them for your firm. There are several key stages in implementing the solution and you will need to determine which elements are required to meet the needs of your firm. We will explore these in more detail now. Having read the guidance material you will also be able to view a video guide that pulls all the pieces together!

Implementation Key Stages

Establishing Employee > Supervisor Relationships

Once your scheme has been implemented, the majority of day-to-day interactions will be between your employees and their supervisors. The ComplianceServe T&C solution uses the configurable ‘Supervisor’ relationship to drive workflows, calls to action and to manage and track T&C activity sign-off amongst other things.

If not already configured, you should assign the correct supervisor to each employee account on the system as follows:

  • Select ‘Organisation & Users’ from the main menu option

Click Organisation & Users

  • Select the Users’ tab on the left hand side

  • Search for an employee and click on the correct user from results

Search for user

  • Access the ‘Supervisor’ tab on the employee’s profile and click ‘Set Supervisor’

Click to set supervisor

  • Search for the appropriate supervisors account and click ‘ok’.

Select supervisor and click ok

  • Repeat this process for all relevant employee accounts where supervisor relationships are required.

Configuring your T&C Pathways

Included within your T&C solution are two template T&C pathways one for regulated employees and one for non-regulated employees. These pathways represent the core of the solution so it’s very important to understand exactly what is included within them by default and what changes you are able to make.

The template pathways have been designed as a useful start point for implementing a simple T&C solution. They have been designed to support you in evidencing and recording 12 months of key T&C activity and are equally suited to those employees under higher supervision levels who are in the process of attaining competence and those more experienced employees who are in the cycle of maintaining competence.

The following table lists the activities included by default within the T&C pathway templates:

Activity Name Type Number of Instances Configured Workflow
One to One Online Form 12 Supervisor > Employee > Supervisor
Action Plan Online Form 4 Supervisor > Employee > Supervisor
Competency Sign-off Online Form 1 Supervisor > Employee > Supervisor

Note:the pathways for regulated and non-regulated employees contain the same list of activities but the information captured within the forms differs.

As you can see from the above table, the pathways are made up of a series of online forms; the forms are in essence a way of capturing information online that may have otherwise been recorded on paper/documents.

Access content manager > search for ‘T&C Pathway’ > access the details tab of the activity and click ‘copy’ > rename the pathway so you can easily identify it e.g. ‘*Company Name* T&C Pathway (Regulated Employees) 2016’

IMPORTANT: Each pathway copy that you make must include "T&C" within the name as this is used to provide the filtered T&C view of the managers and admin dashboard.

Now that you have created your own pathway version you can make any required changes to meet your needs, configuration options include:

  • Adding in additional forms (including PIP).
  • Removing existing forms.
  • Reordering forms.
  • Configuring due dates for each form.
  • Deciding if forms are mandatory for overall pathway completion.

Don’t panic, that might sound like a lot of options but it is actually all relatively simple to configure!

**Video coming soon**

Assigning your T&C Pathways

Once you have refined your own T&C Pathway(s) and you are ready to release them to your employees you can assign them as you would any other training activity within the ComplianceServe platform. They can either be assigned to individual accounts or en-mass via the registration rules feature [Click here for further guidance]. Once assigned, T&C Pathway’s will be available to your employees from the My Activities area of the platform and visible to Supervisors within the My Team Activity area.


Once you have decided to use ComplianceServe T&C, prepared your pathways and enrolled your employees you will need to consider how you communicate this to those involved. Due to the importance of the initiative you will probably want to use your own internal communication channels to handle this however if you do want to communicate via the system you can target employees that have been registered to the T&C pathways using the Reminder Emails functionality. [Click here for further guidance]

Getting Started

Once pathways have been configured and allocated and your requirements effectively communicated to your employees you should be in a position to get started. All forms have been configured with a workflow that relies on the Supervisor initiating the process. To do this a Supervisor will need to access the My Team Activity area:

Supervisor Workflow

1. From the menu click on 'Dashboard'

2. Then locate and access the T&C pathway for the relevant individual

Go to Managers Dashboard

Click into pathway from main dashboard view

3. Launch and complete the required information from the first form

1:1 Form Page1

1:1 Form Page2

1:1 Form Page3

1:1 Form Page4

1:1 Form Page5

1:1 Form Page6

1:1 Form Page7

4. Once the information has been completed the Supervisor will be able to ‘Submit to Employee’ this will trigger an email notifying the employee that they now have a form that requires their attention.

1:1 Form Page8

Employee Workflow

1. Click on the 'My Activities' portlet and find the T&C Pathway

2. Click on the correct pathway name to show the list of forms, select the form with 'action' icon.

3. Launch and complete the required information for the form

4. Once the information has been completed the user will be able to ‘Submit to Supervisor’ this will trigger an email notifying the supervisor that they now have a form that requires their attention.

Supervisor Workflow

1. Access the 'Dashboard' from the menu

2. Locate the correct pathway and access the form with the 'action' icon

3. Review and sign-off the relevant form

4. Once the form has been signed off it will now be shown as complete for both the supervisor and employee

Note:that dues dates are displayed to both the supervisor and the employee to help them manage their T&C activities.


Delegation can be used for when managers are on sick, annual or maternity/paternity leave. Delegation can also be used for when a users T&C supervisor is not also the same users line manager. It allows the delegated user to take over for the manager to keep an eye on a users T&C Pathway. Specifically, delegated users can now sign-off, view and edit all T&C forms. Typical access to these forms will be via the ‘Dashboard’.

A guide about setting up delegated functionality can be found here.

It is important to note that a user with delegated authority will not receive form workflow notification emails, these will still be received by the users line manager.


Once your scheme is up and running as the central T&C Administrator you will want to monitor progress. To support this we have created the following reports which will be available from the Reports section of the platform.

  • T&C pathway status report – a report that allows you to track which employees have been assigned which pathway and their current progress.
  • T&C pathway detail report – a report that allows you to track progress against the individual forms within the context of the overall T&C pathway
  • Form status report – a report that will show you allocation and current completion status of all online forms.

Note:Depending on the number of pathways you implement and your own specific MI needs you may prefer to create your own copies of these reports so you can further refine how they have been configured.

Other Considerations

  • Additional offline forms - in addition to the online forms outlined above we are also providing you with access to a number of more complex forms for offline use as part of your observation and file checking process. You can access these form the T&C Guidance home page and either print or save.

  • What happens next – After the first 12 months T&C activity you will be able to create new copies of the pathways for ongoing allocation. To achieve this follow the same process as you did when first creating your pathways. Copy the template or your own pathways, tweak as required then assign to your employees.

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