Compliance Requirements

During the submission of cost payment applications, contracts, OCOs, RFQs, or SCOs, project teams often have to provide supporting documentation. With the compliance requirements workflow, you can track and store lien waivers, certificates of insurance, bonding documents, and other required materials before submissions proceed.

Project administrators create compliance requirement templates in settings. Then members upload the required documents in the item's details panel. The system tracks compliance status and can block submissions until requirements are met.

For contract compliance, you can also create condition-based requirements — including conditions that use TradeTapp supplier qualification and risk data — to automatically block sending contracts to non-compliant suppliers.

In this article:

• Set Up Compliance Requirements
• Make Requirements Optional or Required
• Set Expiration Dates
• Create Condition-Based Requirements
  • TradeTapp-based Compliance
  • How TradeTapp Compliance Appears in Contracts
• Upload Required Documents
• Track Compliance Status
  • View Compliance Status in Tables
  • Calendar Integration
• Troubleshooting
• Related Articles

Set Up Compliance Requirements

Project administrators create compliance requirement templates in project settings. Choose the appropriate settings location based on what you're creating requirements for:

• Contracts & Cost Payment Applications: Go to Compliance Requirements in Cost settings.
• OCOs, RFQs & SCOs: Go to Compliance Requirements in Change Order settings.

This lets you create templates like Insurance Certificate, Lien Waiver, Safety Documentation, and Bond Certificate.

To create a compliance requirement template:

1. Select the Settings tool from the left navigation.
2. Switch to the Cost or Change Order tab.
3. Expand the Compliance Requirements section.
4. Click Add next to the item type (Contract, Payment, OCO, RFQ, or SCO).
5. Add a requirement name and description.
6. Choose the compliance type based on the item type:
   • Document-based: Available for all item types (Contracts, Payments, OCOs, RFQs, and SCOs). Requires document submission before the item can be processed.
   • Condition-based: Available for Contracts and SCOs only. Sets conditions that must be met based on contract status, budget codes, or other criteria. Not available for OCOs, RFQs, or Payments.
7. Click Save.

Make Requirements Optional or Required

After creating templates, you can customize requirements for specific items. Navigate to any item's details panel and find the Compliance Requirements section:

1. Click the More menu next to any requirement.
2. Choose Make Optional or Make Required.

Set Expiration Dates

For time-sensitive documents like insurance certificates, you can require expiration dates. This option is available for document-based compliance requirements only.

1. In the requirement setup, enable Requires document expiration date.
2. Members will be prompted to set expiration dates when uploading documents.
3. Expired documents will show in calendar views and notifications.

Create Condition-Based Requirements

Condition-based requirements are available for Contracts and SCOs. They allow you to block actions based on specific conditions being met. For contracts, you can create condition-based requirements that block actions based on:

• Budget code segments or contract values (for example, Cost Type or Original Commitment vs. Revised Budget).
• TradeTapp supplier qualification and risk data (Risk Status, Qualification Status, or Insurance Programme), once the TradeTapp integration is configured. See TradeTapp-based Compliance below.

For SCOs (Supplier Change Orders), you can create condition-based requirements that control when SCOs can be processed.

Learn more about setting condition-based requirements for contracts and SCOs.

TradeTapp-based Compliance

For projects with the TradeTapp integration configured, contract compliance can be conditioned on supplier qualification and risk data synced from TradeTapp. This blocks sending a contract to a supplier whose data doesn't meet the criteria you set.

TradeTapp fields appear in the condition-field dropdowns of the Add Requirement dialog:

• Risk Status — multi-select with the Equals operator. Choose the acceptable values (Low, Moderate, High, Severe, No Financials). Sending the contract is blocked when the supplier's TradeTapp Risk Status is not one of the selected values.
• Qualification Status — multi-select with the Equals or Does not equal operator. Choose acceptable statuses (Qualified, Qualified with exceptions, Denied, No Status).
• Insurance Programme — uses the Is present and not expired operator. Sending the contract is blocked if the supplier's insurance documents are missing in TradeTapp or have expired.
• Internal Single Limit — used as a comparison value with Original Commitment to block awarding a contract whose committed value exceeds the supplier's Internal Single Limit value in TradeTapp. Example: Allow sending Contract only if Original Commitment is less than or equal to Internal Single Limit.

How TradeTapp Compliance Appears in Contracts

When a project has TradeTapp-based compliance requirements configured, members see the rule and its current status directly in the contract flyout panel.

Compliance rule details: The Compliance Requirements section in the contract flyout shows each TradeTapp compliance rule, the condition that must be satisfied (for example, Insurance Programme is present and not expired), and whether the supplier currently meets it.

Supplier data display: The supplier's current Risk Status, Qualification Status, Insurance Programme, Internal Single Limit, and Internal Total Limit appear in the Qualification and Risk Profile section of the contract flyout, pulled directly from TradeTapp.

Insurance not present: If the supplier has no insurance documents in TradeTapp, the Insurance Programme field doesn't appear in the Qualification and Risk Profile section. Instead, an Insurance is not present indicator is shown, and the Insurance Programme is present and not expired compliance rule fails.

Blocking the Send action: When a TradeTapp condition fails for the contract's supplier, the Send button in the Review and send step is disabled and shows the tooltip The following compliance requirement is not fulfilled: TradeTapp Compliance. Members can click View to see the failing rule, or Request Revision to send the contract back for changes — but Send stays disabled until the supplier's TradeTapp data satisfies the rule.

Upload Required Documents

Members with collaborative permission can upload documents to meet compliance requirements.

When compliance requirements are active, you'll see them in the item's details panel. When requirements are needed, you'll see:

• A note: The following compliance requirement is required
• Submit button disabled until documents are uploaded
• List of required vs. optional documents

To upload documents:

1. Go to the Compliance Requirements section in the item details.

2. Click Add Document next to the requirement.

3. Choose your upload method:

   • Select Existing Documents: Choose from documents already in the project.
   • Upload from your Computer: Browse and upload new files.
   • Attach from Forma Data Management: Select from connected Forma Data Management.

You can view, download, or remove documents before submission. After submission, documents have limited editing to maintain audit trails.

Track Compliance Status

The compliance column in overview tables shows real-time status:

• Compliant: All requirements met.
• Pending: Documents needed.
• Not Applicable: No compliance requirements apply to this item.
• Not Required: Compliance requirements are not mandatory for this item.

View Compliance Status in Tables

Add the Compliance Document Exp. Date column to track expiration dates:

1. Go to the relevant tab (Contract, Cost Payment Applications, OCOs, RFQs, or SCOs) in the Cost or Change Order tool.
2. Click the icon.
3. Find and select the Compliance Document Exp. Date column.

The column appears in the Dates section. Use grouping by dates to quickly identify upcoming expirations.

Calendar Integration

Expiration dates automatically appear in:

• Project home page calendar view.
• Date-based table groupings.
• Notification systems.

Troubleshooting

Related Articles

• Compliance Requirements in Cost Settings
• Compliance Requirements in Change Order Settings
• Cost Permission Management
• Filtering and Grouping