Documents & Compliance Overview

The Documents & Compliance module in Smooth HR brings together employee file management, regulatory compliance tracking, and legally auditable e-signatures. HR teams use it to store passports and contracts, track I-9 and training renewals, send offer letters for signature, and connect signed PDFs back to onboarding and recruitment workflows.

Whether you are sending a one-off NDA to a contractor or orchestrating a multi-signer employment contract during pre-boarding, this module keeps documents organized, traceable, and tied to the correct Employee record.

Help URL: smoothhiring.com/help/hrms/documents-compliance/overview

Table of Contents

1. Overview
2. Who this is for
3. Module components
4. How the pieces connect
5. Desk paths
6. Typical workflows
7. Key records at a glance
8. Permissions and roles
9. Tips
10. Troubleshooting
11. Related guides

Overview

Smooth HR treats documents and compliance as first-class HR data—not loose attachments on an employee profile. The module is built around five pillars:

E-signatures are designed for auditability: SHA-256 document hashes, timestamped audit logs, optional consent checkboxes on the public sign page, and signed PDF retention on the request or envelope record.

Onboarding integration is a major entry point. When an Employee Onboarding Template lists a Signature Template on a required document row, the new hire signs from the Onboarding Portal. After signing, the PDF syncs to the onboarding document row and, when an Employee is linked, can flow into Employee Document automatically.

Recruitment teams also use this module from Job Offer—select a template, send for signature, and track status until the applicant signs.

Who this is for

If your site uses the Documents & Compliance workspace, open it from the app switcher. Otherwise search records by name (for example Signature Template).

Module components

Signature Templates

Templates define what gets signed. Upload a PDF and place signature, date, initials, text, and number fields—or build an HTML offer letter with merge placeholders like {{employee_name}} and {{position}}.

Settings on each template control expiry (default 7 days), reminder timing, whether signers receive a copy of the signed PDF, and whether a consent checkbox is required on the sign page.

See the dedicated guide: Signature Templates.

Signature Requests

When only one signer role exists on a template (typically employee), Smooth HR creates a Signature Request. HR sends it; the signer opens {yoursite}/sign/{access_token} without a desk login.

Status flow: Draft → Sent → Viewed → Signed (or Expired / Cancelled).

Signature Envelopes

When a PDF template tags fields for two or more signer roles (commonly employee and company), Smooth HR creates a Signature Envelope with Parallel routing. Each signer gets a unique token and link. The envelope progresses Draft → Sent → Partially Signed → Fully Executed.

Each signature overlays onto a staged document; when all signers complete, the Final Signed Document is stored on the envelope.

Note: Parallel multi-signer envelopes are not supported for AcroForm (fillable) PDFs. Use a flat PDF or a single-signer Signature Request instead.

Employee Documents

Employee Document is the per-person file cabinet. Each record stores one file attached to an Employee, classified by Employee Document Type (Passport, Driver's License, Offer Letter, etc.).

Optional expiry dates and Notify Before Expiry trigger scheduled emails to the employee and HR Managers 30 days before expiration.

Documents uploaded during onboarding—or signed PDFs synced after e-sign—can create or update Employee Document records automatically when an employee is linked.

Employee Compliance

Employee Compliance tracks mandatory regulatory and policy items: I-9 sections, EEO voluntary self-identification, safety training, background checks, and custom Compliance Type definitions.

Status options: Pending, In Progress, Complete, Expired, Non-Compliant. Renewal dates can be calculated from Compliance Type settings when Requires Renewal is enabled.

Scheduled jobs mark expired compliance and email HR Managers when items near expiry.

Signing Portal (/sign)

The public signing experience lives at /sign/{token}. Tokens belong either to a Signature Request or a Signature Envelope Signer row. Signers preview the PDF, complete assigned fields, accept consent if required, and submit.

Onboarding signers may be returned to /app/onboarding-portal after signing.

See: Signing Portal.

How the pieces connect

Signature Template
       │
       ├──► Signature Request (single signer)
       │         └──► /sign/{token} ──► signed_document
       │
       └──► Signature Envelope (multi-signer)
                 └──► Signature Envelope Signer(s)
                           └──► /sign/{token} ──► staged → final_signed_document

Employee Onboarding Template (Required Documents + Signature Template)
       │
       └──► Employee Onboarding ──► onboarding document row
                 ├── signature_request OR signature_envelope
                 └── attachment (signed PDF) ──► Employee Document (when employee linked)

Job Offer ──► Signature Request (standalone recruitment flow)

Single-signer path: Template with one role → Signature Request → one email → Signed PDF on request.

Multi-signer path: Template with employee + company roles → Signature Envelope → parallel emails → each signer completes their fields → Fully Executed PDF on envelope → sync to onboarding if applicable.

Document retention path: Upload or signed PDF → Employee Document row with type and optional expiry → scheduler notifications before expiry.

Compliance path: Define Compliance Type → create Employee Compliance per hire → track completion, verification, I-9/EEO sections → renewal and expiry jobs.

Desk paths

Typical workflows

Workflow 1: Send a standalone policy acknowledgment

1. Create or open an active Signature Template (PDF Upload, single employee role).
2. Go to Signature Request → Add Signature Request.
3. Select the template; enter Signer Name and Signer Email.
4. Click Send for Signature (or save as Draft and send later).
5. Signer opens the email link, completes fields on /sign/{token}, submits.
6. HR opens the request → View Signed Document; audit trail shows timestamps and hashes.

Workflow 2: Offer letter with employee + HR countersignature

1. Build a PDF template with fields for both employee and company roles.
2. Link the template to an onboarding required document—or send from Job Offer.
3. Smooth HR creates a Signature Envelope (Parallel routing).
4. Employee and company signer each receive /sign/{token} links.
5. Track Partially Signed until both complete → Fully Executed.
6. Final PDF attaches to the envelope and syncs to onboarding if referenced.

Workflow 3: Maintain employee files after hire

1. Ensure Employee Document Type records exist (defaults install with Smooth HR).
2. Create Employee Document for each file: employee, type, name, attachment.
3. Set Issue Date / Expiry Date for IDs and certifications.
4. Enable Notify Before Expiry for passports, licenses, work authorization.
5. Mark Is Verified after HR review; Verified By and Verified On populate automatically.

Workflow 4: Track I-9 and mandatory compliance

1. Configure Compliance Type (for example I-9 Form, category Work Authorization).
2. Create Employee Compliance for each new hire.
3. Update I-9 Form Details sections as employee and employer complete each part.
4. Attach Verification Document; set status to Complete with Completion Date.
5. Scheduler marks Expired when past expiry; HR receives warning emails 30 days ahead.

Key records at a glance

Permissions and roles

The signing portal (/sign) is guest-accessible via token—no desk login. Protect signing links like passwords; they grant access to confidential documents until expiry.

Tips

• Start with templates. Invest time in PDF field placement and signer roles once; reuse across onboarding and standalone sends.
• Link Employee before onboarding e-sign. The onboarding API requires an Employee record with a valid email for signature creation.
• Use Employee Document Type categories. Identification, Legal, Compliance, and Financial categories make list views and reports easier to filter.
• Enable notify-before-expiry on work authorization and certifications—not on static forms like W-4 unless your policy requires renewal tracking.
• Prefer flat PDFs for multi-signer contracts. AcroForm detection blocks parallel envelopes.
• Copy signing links from the desk when email delivery is delayed (Copy Signing Link on Signature Request; Signing links on Signature Envelope).
• Do not delete templates with history. Deleting a Signature Template removes linked Signature Requests; deactivate (Is Active off) instead.

Troubleshooting

Related guides

• Signature Templates
• Signature Requests
• Signature Envelopes
• Employee Documents
• Employee Compliance
• Signing Portal (/sign)
• Onboarding Templates
• Employee Onboarding
• Job Offer

Last updated: May 2026

Smooth LMS (training)