🖥️ For practice admins using Practice HQ on the web. This applies only if your practice uses compliance tracking, and you need the Documents permission to see the Compliance tab.
This article walks you through tracking required documents, such as the IM+CANS, across your whole practice. It covers the Compliance dashboard and its filters, flagging and assigning requirements for a provider, client signatures and reminders, reopening, exporting to Excel, PDF or XML, and marking assessments as exported.
In this article
1. What compliance tracking is
Compliance tracking keeps a list of documents your clients are required to have, each with a due date.
Each item is a requirement: one client, one document, one provider, one due date.
A requirement can be added automatically because of the client's insurance, flagged by hand by your practice or the provider, or added when a reassessment is due.
When an assessment such as the IM+CANS is completed, Oasys adds the next reassessment to the list with its due date.
Which documents are required, for which insurance, and how due dates and reassessments are worked out (for example, a number of days after intake or before a set number of sessions) is set up for your practice by Oasys.
⚠️ Important: If you don't see Compliance in the Practice HQ sidebar, either your practice doesn't use compliance tracking or your role doesn't have the Documents permission. To turn compliance tracking on, or to change your practice's requirement rules, contact Oasys support.
2. The Compliance dashboard
Select Compliance in the Practice HQ sidebar to "Track document requirement status across your practice."
Summary cards
Open Requirements — requirements not yet completed or dismissed, across all providers.
Overdue — open requirements past their due date.
Due Within 30 Days — due dates in the next 30 days, not counting overdue items.
Completion Rate — the share of all requirements that have been completed.
The cards follow the filters you've set.
The requirements table
Columns: Client, Therapist, Document, Status, Due date, Clinician signed, Supervisor signed, Client signature, Exported and Actions.
A check mark means signed, a dash means not yet, and N/A means that signature isn't needed (for example, no supervisor sign-off).
Exported shows the date an IM+CANS was marked as exported, or an x for a completed IM+CANS that hasn't been.
The table is sorted by due date, earliest first. Click Client, Status or Due date to sort by it instead.
It shows 25 requirements per page.
On a smaller screen, each requirement shows as a card with the same details and actions.
3. Filtering the list
Use the filters to focus on one provider, one client or a date range.
Click Filters. The button shows how many filters are on.
Narrow the list by Therapist, Patient, Due From, Due To or Status.
Turn on Show Overdue Only to see only overdue items, or Show Dismissed to include dismissed ones.
Click Clear all to go back to the default view.
Choosing a client also selects their provider. Choosing a provider limits the client list to that provider's clients.
Filtering by Awaiting Patient shows IM+CANS waiting for the client's signature, whatever their clinical status.
💡 Tip: By default, the table shows requirements due in the next 6 weeks, plus anything already overdue. To see requirements due later, change Due To in Filters.
4. What each status means
The Status column tells you what each requirement is waiting for.
Status | What it means |
Pending Assignment | Required, but not yet assigned to the client. |
Pending Completion | Assigned, but not finished yet. |
Awaiting Patient | Waiting on the client. |
Awaiting Therapist | Waiting on the assigned provider. |
Awaiting Supervisor | Submitted and waiting for the supervisor's sign-off. |
Completed | The requirement is met. |
Dismissed | Dismissed with a reason. Hidden unless you turn on Show Dismissed. |
Overdue isn't a separate status. Any open requirement past its due date counts toward Overdue and shows when you turn on Show Overdue Only.
5. Flagging a document as required
Most requirements are added for you, but you can flag a document as required for any provider's client.
Click Flag as required. The Flag Document as Required dialog opens.
Choose the Therapist, then the client.
Choose the Template.
Optionally, set a Due Date Override (Optional). Leave it blank to use the template's due date rules.
Click Flag as required.
A client can have only one open requirement for the same document. If one already exists with a different due date, you'll see Requirement already exists. Choose Keep existing due date, or Change to the new date. Changing it updates the existing requirement rather than adding a second one.
6. Working on a requirement for a provider
Each row's Actions menu shows only the actions that apply at that moment. Anything you do here is done for the provider the requirement belongs to.
Assigning an IM+CANS
Open the row's Actions menu and choose Assign. This assigns the document to the client. It doesn't open the form.
Confirm in the dialog. If the due date is more than a month away, you'll see a warning and the button reads Assign Anyway.
If the client has a previous completed assessment, choose Pre-fill from Previous or Start Fresh.
You can only assign or edit an IM+CANS while the provider is active and the client is on their active caseload.
Editing an IM+CANS
Choose Edit to open the assigned form while it's waiting on the provider. You can close it, save a draft, or submit it through the usual clinician steps.
While it's Awaiting Supervisor, Edit opens it to "Edit and clinically complete the form as supervisor." Your name is recorded on the supervisor step.
Edit doesn't appear once the clinical steps are done. To change a submitted IM+CANS, see Reopening an IM+CANS.
✅ Good to know: Required IM+CANS are assigned from Compliance, not from Send documents, so they stay linked to their requirement.
Other row actions
View — opens the filled document once the provider has completed their part. From the preview you can Open in New Tab or Download PDF.
Change due date — sets a new due date on any open requirement. Leave the date blank to clear it.
Dismiss — removes a requirement that's still Pending Assignment. Enter a reason (up to 2,000 characters), then click Confirm Dismissal. The reason is kept in your practice's compliance records.
7. Client signatures and reminders
For an IM+CANS, the client's signature is optional and separate from completing the form.
Requesting the client's signature
Open the row's Actions menu and choose Request client signature. It's available while the IM+CANS is Awaiting Supervisor or Completed, until a signature has been requested.
Click Request signature to confirm, or Not now to skip.
If the client has more than one portal login, choose who should receive it under Choose a recipient, then click Send request.
If the client has exactly one portal login, the request goes there without asking.
If the client has no portal login, you'll see "Add a portal login before requesting a signature." and nothing is sent.
Once requested, the Client signature column shows it's pending and the request action disappears.
Hover over the Client signature icon to see its label: Not sent, Awaiting client signature, Signed or Refused. For a refusal, the tooltip shows the client's reason if they gave one.
Sending a signature reminder
While the signature is pending, choose Send reminder from the row's Actions menu. This works even after the IM+CANS is completed.
One reminder can be sent every 24 hours per document, whether it's sent from Practice HQ or by the provider.
Due-date reminders
Oasys reminds the assigned provider 7 days before the due date, the day before, and on the due date, then every day once it's overdue.
Clients, supervisors and practice admins don't get these reminders.
Providers can turn them off in their own notification settings. See Compliance Documents.
Whether the client signs, declines or never responds doesn't change the IM+CANS status, the requirement, or when the next reassessment is due.
8. Reopening an IM+CANS
A submitted IM+CANS can't be edited directly. If it needs changes, reopen it.
Open the row's Actions menu and choose Reopen for editing. It's available while the IM+CANS is Awaiting Supervisor, Awaiting Patient or Completed.
Enter the reason for reopening (required, up to 2,000 characters). It's stored in the audit history.
Click Reopen for editing.
⚠️ Important: Reopening keeps the clinical responses but removes existing signatures and completion evidence, and returns the IM+CANS to its assigned provider as a draft. It has to be submitted again. Reopen for editing isn't available once the IM+CANS is marked as exported.
9. Exporting requirements
Click Export at the top of the dashboard and choose a format. Export is unavailable when there are no requirements to export.
Excel and PDF
Export as Excel and Export as PDF export the requirements that match your Therapist, Patient, due-date, Status and Show Overdue Only filters.
With All statuses selected, dismissed requirements are included even if Show Dismissed is off.
The file has a summary (open, completed, dismissed, total, due within 30 days, overdue and completion rate) and one row per requirement.
Each row shows the client, provider, document, status, due date, whether the clinician, supervisor and client signed, and any client refusal note.
IM+CANS XML
Export as XML creates an XML file of IM+CANS assessments for upload to the HFS portal.
Set Filters for the provider, client and due dates you want. The XML export uses these filters, not Status.
Choose Export → Export as XML. The Review IM+CANS export dialog opens.
Under Ready to export, tick the assessments to include. All ready assessments are ticked to start with.
Leave Mark selected assessments as exported ticked to record the export, or untick it.
Click the Export button, which shows how many assessments you selected, to download the file.
Only completed IM+CANS are ready to export, including supervisor sign-off when it's needed.
IM+CANS already marked as exported are left out.
Assessments with problems are listed under Needs attention with what to fix, such as a required field that's missing, a value that's too long, or a date in the wrong format. They're skipped until fixed.
⚠️ Important: HFS accepts up to 50 records per XML file. If more than 50 match, you'll see IM+CANS XML batch is too large. Narrow the filters and export 50 or fewer at a time.
10. Marking and clearing export status
Export status records which IM+CANS you've sent to the HFS portal.
Mark as exported — on a completed IM+CANS that isn't marked yet, choose this from the row's Actions menu and confirm. Use it if you uploaded it another way or unticked the box during an XML export.
Clear Export Status — on a marked IM+CANS, choose this and confirm to undo the mark. The original mark and the correction both stay in the audit history.
Marking records that the IM+CANS was exported to the HFS portal. It doesn't check that HFS received or accepted it. To reopen a marked IM+CANS, clear its export status first.
11. What providers see vs. practice admins
Providers have their own Compliance tab for their own clients. Here's how it compares with Practice HQ.
What | Providers | Practice admins |
Which requirements | Only their own | Every provider in the practice, with a Therapist column and filter |
Summary cards | Needs My Action, Awaiting Others, Overdue, Due Within 7 Days | Open Requirements, Overdue, Due Within 30 Days, Completion Rate |
Signature columns | Client signature | Clinician signed, Supervisor signed and Client signature |
Source column | Yes | No |
Export and export status | No | Excel, PDF and XML, plus mark and clear exported |
Flag, assign, edit, signatures, due dates, reopen, dismiss | Yes, for their own requirements | Yes, for any active provider |
Due-date reminder emails | Yes | No |
Supervisors review their supervisees' requirements from the Compliance view in their Supervision tab. See Supervision.
Documents linked to a requirement are tracked here, not in the overdue-documents list on your Practice HQ dashboard.
For the provider's steps, see Compliance Documents.
Frequently asked questions
How do we turn on compliance tracking?
Contact Oasys support. They also set up which documents are required and how due dates and reassessments are calculated.
I'm an admin. Why don't I see the Compliance tab?
Either compliance tracking isn't on for your practice, or your role doesn't have the Documents permission. Ask your practice owner to check your permissions, or contact Oasys support.
Why can't I see a requirement that's due in a few months?
By default, the table shows requirements due in the next 6 weeks, plus anything already overdue. Open Filters and change Due To.
Is the client's signature required to complete an IM+CANS?
No. It's optional and separate. The IM+CANS is completed when the provider submits it, or when the supervisor signs off if the provider is supervised.
Why is an IM+CANS missing from my XML export?
It's either not completed yet, already marked as exported, outside your filters, or listed under Needs attention because something needs fixing.
We marked an IM+CANS as exported by mistake. Can we undo it?
Yes. Choose Clear Export Status from the row's Actions menu. The correction is kept in the audit history.
Why can't I dismiss a requirement?
Only requirements that are still Pending Assignment can be dismissed. Once a document is assigned, finish it or change its due date instead.