Client: Vendor Compliance

Vendor Profile Compliance

A vendors compliance items are their documentation that prove that they are qualified or insured to do the job at hand. This is where Vendors will show their insurance policies, contracts, W-9 and more.

The vendor profile shows an overview of their compliance on the Details page in the Billing section.  This shows all active compliance items. Clicking on these displayed items brings you directly to the compliance item in the compliance tab. Compliance can be reached in the Vendor profile through the left nav bar.

Selecting the compliance tab allows you to upload new compliance and bring up all uploaded compliance items that have been uploaded to the vendor.

Pending Approval Tab

The Company Profile has a compliance section with a Pending Approval tab. This tab holds all compliance items that have been submitted by vendors to you that has not been approved/rejected yet.

From here, you can review the compliance items that vendors have submitted to you, and Accept or Reject the compliance. Once all items have been reviewed and approved or rejected, the '!' indicator will no longer be on the sidebar of the profile.

Creating Compliance

Creating compliance in Umbrava is a simple process, and you can create compliance items for vendors that are not on Umbrava.

To create compliance for a Vendor: Select the '+' button at the top of the compliance tab Input the Name of the Compliance Input the Type The Type will designate which fields appear and what information is required. Fill in the rest of the required information Upload the document itself. The types of compliance to upload are: Certificate W-9 Insurance Agreement Other With each type of compliance it is required to upload a document to accompany the details that are input.

Once compliance has been uploaded, the compliance tab will display each of the compliance documents. This shows the compliance items names and statuses. 

Creating a W-9 for a vendor will lock in the vendors Company Name and Tax ID, meaning these fields cannot be edited again in the future.

Compliance States

There are 7 statuses that a compliance piece can be in, they are listed and defined below.

Pending Approval: Submitted compliance items from your vendors will be in the Pending Approval status until you Approve or Reject. These items will notify you with a '!' indicator to take action. You can modify an item or cancel an item from this status.

Active: Active compliance is a compliance piece that is within its effective date window, and has not been deactivated. Active items can be renewed to stay up to date, or deactivated to no longer be used.

Expiring Soon: Compliance Items in Expiring Soon are Active, but are 15 days or less from expiring. Any compliance item in this state, without being renewed and having an item upcoming will have the '!' needs action indicator. The indicator will only be present for compliance items you can renew for the Vendor. 

Expired: Expired compliance is when a compliance piece is after its effective date window, and has not been deactivated. Items in this state will have the '!' needs action indicator when the item has not been renewed to have a replacement upcoming. The indicator will only be present for compliance items you can renew for the Vendor.

Upcoming: Upcoming compliance is when a compliance piece is before its effective date window, and has not been deactivated.

Rejected: Compliance items will be in the Rejected status after you reject an item that was Pending Approval. This sends the item back to the vendor to revise or make changes based on your Rejection reason.

Canceled: Items in the canceled status are no longer in use by the vendor. These compliance items can be resubmitted with new information for the client if needed.

Inactive: Inactive compliance is any compliance piece that has been deactivated, these items are not able to be actioned at all.

Actions on Compliance

From here, you can select a compliance piece and view the details that have been provided. You can preview and download the compliance documents. Going into the context menu of the compliance piece will bring up the options to:

1. Approve
2. Reject
3. Edit
4. Modify
5. Renew
6. Deactivate
7. History

Approve will take a compliance item that is in Pending Approval and make the item either Active or Upcoming depending on the Effective Date of the item.

Reject takes a compliance item that is Pending Approval and move it to the Rejected state. You must put in a rejection reason in order to reject. Adding a description will let the vendor know any additional information that they should know for fixing the rejected compliance item.

Edit allows you to change the information in the compliance item.  You are not able to change the document that has been uploaded. Any changes made into the compliance item will be reflected in the compliance audit, which we will look at later on.

Renew allows you to update an older compliance item.  you can update the information and document in the compliance item. It will use the newly input date as a new expiration window, and take over the compliance item that was renewed. You can view the older compliance items details and documents by going to the Compliance History.

Deactivate will make the compliance piece no longer appear in the Compliance Summary on the Profile. Deactivated compliance pieces will also always be sorted to bottom of the compliance listings. 

Once a compliance piece has been deactivated, it cannot be undone.

Compliance History

History will bring up all past entries of the compliance piece.  Anytime a compliance piece is renewed, the history of the compliance will update to show all iterations that the compliance has been in, with access to the previous documents that have been uploaded with the compliance.  This will be the place to reference all past compliance pieces the specific vendor. View Audit for a compliance piece will provide information on who has uploaded/made changes to any compliance. This information will show who and when changes were made and what those changes were.