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Compliance Tracking

This application will be available with the 2024.3 release.  For more information on this release, including the timing of its availability, please refer to July 2024 Release Notes.


The Compliance Tracking app allows you to record and track documentation related to contracts and purchase orders, such as insurance policies, bonds, business licenses, permits, training certifications, supplier agreements, tax documents, etc. These documents can be requested from vendors, and vendors can return the requested information along with supporting document files. The requested documentation can be reviewed and approved at the project and corporate level through the application workflow.


TABLE OF CONTENTS


Create a new compliance record


To create a new compliance record, complete the following steps:

  1. Ensure that you are in the correct project or partition.
  2. Navigate to the Compliance Tracking application (Apps > All Apps > Compliance Tracking).
  3. Click New.
  4. In the Details section, complete the following fields:

    Field

    Description

    Number

    This field populates automatically.

    Parent Document Type

    The Compliance Record can be linked to an existing Expense Contract or Purchase Order. Select the appropriate parent document type here.

    Expense Contract/ Purchase Order

    After a selection is made in the Parent Document Type field, a list of the available parent documents will appear. Select the correct Expense Contract or Purchase Order


    Once selected, the Vendor Contact from the contract or P.O. will appear. This contact is the person who will receive the initial request for the compliance document and any subsequent update requests when the request is made through the Kahua workflow.

    Title

    Enter a title for the document.

    Description

    Optionally enter a description of the document.

    Type

    Select an item from the list of document types. This list can be managed in the Configuration app.

    Limit

    Optionally enter the specified or required policy limit amount.

    Policy Number

    If you have the policy number on hand, enter it here. If you will be requesting it from the vendor by using the app workflow, leave this field blank.

    Issued By/Issued By (Text)

    If you have the issuing company information, select the compliance document issuing company from the list if available (Issued By) or enter the name manually (Issued By (Text)). Leave these fields blank if you will be requesting the information from the vendor through the app workflow.

    Trade Manager

    Select the name of the project-level individual who is responsible for managing this compliance document. This person will be the project-level approver when the vendor submits the document.

    Effective Date

    Enter the start date of the compliance document.

    Expiration Date

    Enter the end date of the compliance document.

    Risk Manager

    Optionally, select a contact to serve as a secondary approver after the document is submitted and approved by the Trade Manager. This might be someone at the corporate risk-management level who is required to review compliance documentation.

    Approved Date

    This is the date that the submitted documents were approved. This will be automatically populated when the document is approved using the Kahua workflow.

    Status

    This field indicates the status of the compliance document. It is updated automatically through Kahua workflow. The values of "Expired" and "Void" are available and must be set manually. These values will not be automatically set by the Kahua workflow.

  5. Optionally enter a value in the Comment section.
  6. Once complete, click Save to save the record, or click Request from Vendor to save the record and send a request for the document to the vendor contact.

 

Request a compliance document from the vendor


When a record is initially created, you can select Request from Vendor to save the document and request it from the vendor. If the record was instead saved initially, you can open the document at any time and select Request Update


This will send a task through Kahua to the Vendor Contact listed on the Expense Contract or Purchase Order associated with the compliance document.



Recall a request


If at some point you have the need to recall a request for an update on a document before the vendor has submitted the requested information, complete the following steps:

  1. Open the record.
  2. Select Recall.
  3. The Provide a Reason dialog box appears. Enter a reason and select Continue.
  4. The record will be returned to its original state and the task will be removed from the vendor's task list. The vendor will be notified that the request was recalled. The notification will include the reason entered above.


Submit a compliance document to the contractor


If you've received a request to submit a compliance document from the contractor, complete the following steps to submit the electronic copy of the document and supporting information:

  1. From the Tasks app, open the task which will open the Compliance Tracking document. 
  2. Review the Details section to understand what document is being requested. In particular, note the Expense Contract or Purchase Order the requested document is associated with, as well as the Title, Description, and Type
  3. In the Submitted Details section, complete the following fields:

    Field

    Description

    Submitted Policy Number

    Enter the policy number.

    Submitted Issued By/Submitted Issued By (Text)

    Select the compliance document issuing company from the list, if available (Issued By), or enter the name manually (Issued By (Text)).

    Limit

    Enter the policy limit amount value.

    Effective Date

    Enter the start/effective date of the compliance document.

    Expiration Date

    Enter the end/expiration date of the compliance document.

  4. To attach an electronic copy of the document, select Upload in the References section, or Add Kahua Doc if the document is available in Kahua.  Note that you must complete this step in order to be able to submit the record.
  5. Click Save to save your work. When you are ready to submit the record including the electronic copy of the requested document, select Submit.


Approve an updated compliance document


Once submitted, the status of the document will be "Trade Manager Review" or "Risk Review". You can open the document from the Tasks app or directly in the Compliance Tracking app. From the Tasks app, select View Source Record to open the document in the Compliance Tracking app.


Review the content in the Submitted Details section of the record, and the content of the supporting documents in the References section.

  • If acceptable, select Approve.
  • If not acceptable, select Reject

Once the approvals are complete, the status changes to "Active".



Track expirations and request renewals


Use the log view or a report to track document expiration dates. At the appropriate time, you can request renewal information from a document with an "Active" status by opening the record and selecting Request Renewal.


This will send a task through Kahua to the Vendor Contact listed on the Expense Contract or Purchase Order associated with the compliance document.



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