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Compliance Requirements

During the submission of cost payment applications, contracts, RFQs, or change orders, subcontractors often have to provide supporting documentation to general contractors. 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.

In this article:

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:

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, 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, 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 RFQs or Payments.
  7. Click Save.
Tip: Start with the most common requirements your project needs, then add others as needed.

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 More menu icon next to any requirement.
  2. Choose Make Optional or Make Required.

Compliance requirement optional or required configuration options

Note: If all requirements are optional, the item is considered compliant.

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.

Compliance requirement expiration date configuration dialog

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 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.

Note: When using budget code segment conditions, the contract is blocked if any of its linked budgets matches the specified values.

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 Autodesk Docs: Select from connected Autodesk Docs.

Compliance requirements document upload workflow demonstration

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

Tip: Documents become Referenced in Compliance Requirements and 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.

Compliance status column in overview table

Note: You can unblock and allow submission actions even when compliance is pending.

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, RFQs, or SCOs) in the Cost or Change Order tool.
  2. Click the Settings gear icon 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.

Adding compliance document expiration date column to table view

Calendar Integration

Expiration dates automatically appear in:

  • Project home page calendar view.
  • Date-based table groupings.
  • Notification systems.
Note: When multiple requirements have different expiration dates, only the latest date displays in calendar and list views.

Troubleshooting

Issue Solution
Can't submit even with documents uploaded Check if all required compliance items have documents
Documents not appearing in compliance section Ensure that documents are uploaded to the correct requirement
Compliance column not visible Add the column through table settings (gear icon)
Can't modify uploaded document Documents in compliance requirements have limited editing for audit purposes
Wrong expiration date showing System shows the latest expiration date when multiple requirements exist
Contract blocked unexpectedly Check condition-based requirements for budget code segment rules that apply to linked budgets
Parent page: Manage Documents in Cost Management

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