Vendors: Compliance

What Is Compliance?

Compliance is the documents that you need in order to perform work for a client. These items include your W-9, Certifications, COI (Certificate of Insurance), Agreements, or any other documentation that a client might require.

This information is used by clients to confirm that they can trust the work that you do and ensure that your profile remains active for the client. 

Lets break down where you can control these documents and what they do.

My Compliance

In your company profile, there is a section called 'My Compliance'. 

This section is where you can upload your W-9 and any Certifications.  Any document that is uploaded here will be shared to every client on Umbrava that you are connected with.

To create compliance items in your profile:

1. Select the '+' button at the top of the compliance tab
2. Input the Name of the Compliance
   
3. Input the Type
   1. The Type will designate which fields appear and what information is required.
4. Fill in the rest of the required information
5. Upload the document itself.

Once uploaded, your clients will be able to see the new compliance items on your profile.

Client Profile Compliance

The Client Profile has a section called Compliance, where you can upload client specific compliance documentation. The items that are added here will only show to that one client. 

You can add any of the following compliance types: Agreement Insurance Other Following the same steps as the 'My Compliance' section of the Company Profile, you can add the compliance items. Once you have filled in the required fields, and uploaded the file. You can Create the compliance item and it will be automatically shared with your client.

Compliance States

There are 4 statuses that a compliance piece can be in; Active, Expired, Upcoming, and Inactive.

Active: Active compliance is a compliance piece that is within its effective date window, and has not been deactivated.

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

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

Inactive: Inactive compliance is any compliance piece that has been deactivated.

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. Edit
2. Renew
3. Deactivate
4. History
5. View Audit

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.