Compliance Documents: General Information

Companies that manage construction projects have requirements to protect their customers, vendors, suppliers, and partners from potential issues associated with compliance. These compliance issues might be associated with federal, state, and local governmental requirements, but may also be legal and procedural. By tracking compliance, a company can establish the compliance documents that should be captured for different types of entities, so that this information can be used for in-place warnings to users and for reports on project exposure.

Learning Objectives

In this chapter, you will learn how to do the following:

  • Configure categories and statuses for compliance documents
  • Enter compliance documents for a vendor
  • Track expired compliance documents

Applicable Scenarios

You apply a compliance document to an entity in the system when it is necessary to warn users about potential issues associated with compliance.

Creation of Compliance Types

You can use compliance types—that is, types of compliance documents—for tracking and reporting on compliance issues. The following compliance types are predefined on the Custom Attributes tab of the Compliance Preferences (CL301000) form:

  • Certificate
  • Insurance
  • Lien Waiver
  • Notice
  • Status
  • Other

You define the values of the custom attributes for any of the listed compliance types on the Compliance Preferences form. On the Common Attributes tab of the form, you can also configure common attributes that are available for all types of compliance documents. Once attribute values have been configured for a compliance type, you can enter and view compliance documents of that type on the Compliance Management (CL401000) form.

Warnings About Compliance Issues

Each compliance document can be associated with various types of documents and with multiple entities, such as project, project task, cost code, vendor, and customer. On the Compliance tab of each of the following forms, you can enter and review the compliance document associated with the document or entity:

Based on the entered information, the system warns users of any records with compliance issues where applicable. For example, if a compliance document is overdue for a particular bill, the system displays a warning message on the Bills and Adjustments form.