Compliance Checker User's Guide
Introduction
This manual serves as User Guide of Compliance Checker. Here you find the description of the checking modes and the application possibilities of different checking and reporting options.
There are two main ways to check if a compound is controlled or not: Single Check (for single compounds) and Batch Check for multiple compounds at once.
Single check
This check type gives you a very quick response to the question whether the substance of interest falls under any regulation or not.
Click 
to open the Simple check panel.
Substance input
You can choose between two input modes:
-
Draw molecule: draw the structure in a Marvin JS window, click OK when done.
-
Text: type or paste the IUPAC or common name of the molecule in the text box and the molecular structure appears in the panel above. As text recognition is instantaneous, the structure appears and changes dynamically as typing continues. You can also use any molecule file types that are understood by Marvin , e.g., CAS # , SMILES, MOL, Mrv (except binary formats like skc and cdx) .
Regulation categories
Regulation categories are the unique regulations, legislations issued by countries and by organizations, associations like European Union, United Nations.
Category examples:
AT Suchtgiftverordnung Anhang I
CH Swiss Controlled Substances Act (BetmVV-EDI) Narcotics List A
EU REGULATION (EC) No 273/2004 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL of 11 February 2004 on drug precursors ANNEX I
United Nations Single Convention on Narcotic Drugs 1961 Schedule I
Grouping of these categories serves to make easier to select regulations against which the actual compliance checking searches will be run.
We provide a built-in grouping of the categories from the point of view of the countries, beside this grouping, the possibility to create user defined category groups is also supported. User defined category groups are called check levels.
Categories by countries are built-in the Compliance Checker and cannot be modified by the user or by the administrator.
Each country as category group consists of the followings:
-
the own legislations, regulations of the given country;
-
the legislations, regulations of organizations valid in the given country.
Categories by check levels are not present in a freshly installed Compliance Checker. Its local administrator has to create check levels according to the local needs. Logging in as administrator, new check levels can be created by selecting the required categories one-by-one and / or by selecting the already present countries or user defined check levels. Modifying or deleting the already existing user defined check levels is also possible as administrator.
Two modes are offered for the user to select the regulation categories which are needed for the actual compliance checking: categories can be chosen by countries or by check levels.
Categories by countries
Here you can narrow down your compliance checking to the countries of interest. By default, all countries are searched. If you select a country, the check will run only against the categories specified for that country. If you select multiple countries, then categories specified in more than one country (e.g., the Rotterdam Convention) will be checked only once.
If you want to select the categories by check levels, click on the Switch to available check levels button.
Categories by check levels
Here you can narrow down your search to the check levels of interest. By default, no check levels are selected and the check will run against all categories.
If you select a check level, the check will run only against the categories specified by that level. When you select multiple levels, then categories specified in more than one level will be checked only once.
The available check levels can be set and modified only by the admin.
If you want to select the categories by countries, click on the Switch to available countries button.
Switching between available countries and available check levels will reset their default settings.
Output field options
You may choose from a set of various fields to show in your result table. You can tick these options, the changes take effect immediately.
The following field options are provided (see their explanation here):
-
What is controlled?
-
Match Details
-
Example (selected by default)
-
CAS # (selected by default)
-
DEA # (selected by default)
Date of regulations
Here you can set a date in the past in order to execute the compliance checking according to the regulations valid at the selected date.
The default date is the current date.
Executing check
Click on Check to execute the check of the given substance in the selected categories.
Results are displayed in Single check summary table if the checked substance is under regulation.
When the checked substance is not under regulation, a Certificate will be displayed.
Single check summary
The results of the simple search are shown on the right panel of the window. On the top of the table, the image of the checked substance, its name, the categories against which the checking was run, and the date and time of the checking are shown. The report can be generated by using the Generate button and when it is ready, it is automatically downloaded or prompted to download depending on the browser type and version. The format of the certificate can be PDF, SDF, MRV, XLSX or HTML.
The displayed fields can be selected/deselected using the Output field options check boxes even after the check has already run.
Each relevant legislation adds a new row to the table, so there can several rows correspond to a single compound, depending on the number of categories behind the selected country or level.
|
Fields |
Explanation |
|
# |
row number |
|
Legislation |
name of the given legislation displayed in web link format |
|
What is controlled? |
the name of substance(s) referred as example(s) in the matching legislation |
|
Match Details |
link to displaying the query structure applied to hit the checked substance and the details of the matching legislation |
|
Example |
all referred example structures present in the matching legislation |
|
CAS # |
Chemical Abstracts Service number(s) of the example(s) in the matching legislation |
|
DEA # |
Drug Enforcement Administration number(s) of the example(s) in the matching legislation |
Clicking on More.. in the Match Details column, the following can be seen (example):
Certificate
When the checked substance is not under regulation, a certificate appears displaying The given molecule is not under regulation.
Beside the image of the checked substance, its name and the categories against which the checking was run, and the date and time of the checking is displayed.
The certificate can be generated by using the Generate button and when it is ready, it is automatically downloaded or prompted to download depending on the browser type and version. The format of the certificate can be PDF, SDF, MRV, XLSX or HTML.
Batch check from file
A set of substances can be checked via the batch check from file check type where a single file containing all the substances is filtered for controlled substances.
Click 
to open the Batch check from file panel.
Choose file
In order to upload the file to be checked, click on the Browse button. A regular file open window will be displayed.
Batch check of chemical structure files
All molecule file types that are understood by Marvin are supported. E.g. SDF , MRV , SMILES or (IUPAC or trivial) names. The gzip compressed formats of these files are automatically extracted during the check.
Batch check of CSV files
CSV files containing chemical structures in one-row format (SMILES , SMARTS , names , CAS# , InChI e.t.c.) can be batch checked.
The file needs to have CSV extension but can have either comma-, tab- or space-separated values.
After selecting a CSV file the mandatory Specify structure column dropdown appears in a red box below the filename. The dropdown lists the first line items and the user must select the column that contains the structure. The Check button is inactive until the structure column is not selected.
Below this dropdown there is the No header checkbox which needs to be checked if the first row contains a structure to be checked.
Other columns of the CSV file will be available in the Report template together, as "Input data fields".
If the CSV file - especially the structure column - contains an error then the batch check fails with the Error during structure import message.
Batch check error
Mixed structure types (e.g. name and SMILES) are not allowed in a file and result in an error. If a CSV file's structure column was specified incorrectly then it also results in an error.
In this case "Error" will be displayed in the Progress cell and only the file Upload started cell will be filled out, the previous 4 cells will show the reason of the error, e.g. "Error during structure import".
This "Error" row does not have a dropdown to show the Summary but moving the cursor over this row a tooltip is displayed with showing the line number of the first error.
Clicking on this "Error" row will display a popup with the same contents as the tooltip.
Regulation categories
See the description here.
Report format
The file format(s) of the report can be selected here. Currently HTML, PDF, SDF, MRV and XLSX file formats are supported.
The default Report format selection can be defined by the administrator but the last used Report format(s) are saved and reloaded for the User's next Batch check.
Report content
Here you can define the content scope of the report(s). You can choose from the following possibilities:
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All (includes all substances of the uploaded file) or
select from:
-
Controlled substances
-
Non-controlled substances
-
Errors
The default setting is 'Controlled structures' and 'Errors'.
Description
Entering data in this field is optional. You can put here some details about the above uploaded file. This information will be displayed in the Summary table.
Date of regulati ons
See the description here.
Executing batch check
Clicking on the Check button the file upload popup will be displayed. After the file upload is finished the popup is closed and the started Batch check will appear in the first row of the Uploaded files table. The check of the uploaded file will be started automatically and can be monitored in that row. The results of the ongoing check are displayed in the # Input , # Hit , # Passed cells and a progress bar (%) in the Progress cell. The Batch check can be stopped by the user by clicking the "Kill this job" in the Actions cell.
When the check is finished the Progress cell will change to Done and shows the time that was required for the checking process, but the report generation will still going on.
The Progress cell will show Canceled when the batch check was interrupted by the user - clicking the Kill this job - and will show Error when the batch check fails due to e.g. a structure import error.
Clicking on a row of the Uploaded files table displays the Summary dropdown with the detailed results and the Generated reports table.
History of all executed batch checks - made by the logged in User - will be displayed in the Uploaded files table.
Viewing results
Uploaded files
The Uploaded files table contains all file checking jobs you have run recently. 15 rows per page are displayed.
Each row contains the following fields:
|
Field name |
Explanation |
|
Uploaded file name |
name of the uploaded file |
|
Download last reports |
download links of the already generated reports |
|
# Input |
count of input substances |
|
# Hit |
count of controlled substances |
|
# Passed |
count of non-controlled substances |
|
Upload started |
date and time when the file upload was started |
|
Progress |
% progress bar of the running job / Done (time of check) / Canceled / Error |
|
Actions |
the actually running job can be stopped if Kill this job is visible here |
In the Download last reports column the icons of the already generated PDF, HTML, SDF, MRV, and XLSX reports are displayed. Click the corresponding document icon to download the file.
Clicking on a row displays the Summary table of the selected batch check in a dropdown. To close the dropdown click on the row again.
Summary
The Summary table displays the checking details of the uploaded file.
In the top of the table the Description is visible that was entered when the file to be checked was uploaded.
|
Field name |
Explanation |
|
File |
name of the uploaded file |
|
User |
name of the user |
|
Upload started |
date and time when the file upload was started |
|
Check finished |
date and time when the checking was finished |
|
Pending fragments |
number of pending fragments |
|
Finished fragments |
number of finished fragments |
|
Dead fragments |
number of dead fragments |
|
Error count |
count of erroneous substances |
|
Input count |
count of input substances |
|
Hit count |
count of controlled substances |
|
Non-hit count |
count of non-controlled substances |
|
Against categories |
categories the check was run against |
|
Date of regulations |
selected date of regulations for the check |
Generating new reports
New reports can be generated by selecting a Report template from the dropdown list and the report content by selecting the relevant checkboxes:
-
Controlled structures
-
Non-controlled structures
-
Errors
Clicking on the Generate button the available Report format can be selected from a dropdown: PDF , SDF , MRV , XLSX or HTML. After the Report format selection the Report generation will start and will be listed in the Generated reports table.
Generated reports
The Generated reports table lists all reports of the selected batch check that were already generated and the process of the ongoing report generation. All previously generated reports are stored and can be downloaded later.
|
Field name |
Explanation |
|
Generated filename |
the auto-generated filename will have the 'OriginalFilename_jobID.ext' format |
|
Contents |
content of the report (full, hit only, certificate only, error-only, summary only) |
|
Report generated |
date and time when the report was generated |
|
Check finished |
date and time when the check was finished |
The 'OriginalFilename' should have only the following valid characters: a-z, A-Z, 0-9, ., _, -
Other characters (and spaces) will be replaced with "_" in the auto-generated filename.