How-To: Handle Compliance

Created by Kenneth Abad, Modified on Thu, 29 Aug at 9:10 AM by Kenneth Abad

This page will show how to create compliance items and keep them up to date to stay active in Umbrava.

Setting Up My Compliance

My Compliance is the place to put your W-9 and Certifications so that they are automatically shared with all of your clients in Umbrava.

Step 1: Go to the Company Profile and select the W9 & Certifications section

Step 2: Click the '+' button to add a new Compliance item.

Step 3: Fill in required fields and upload document.

You can only create one W-9 for your company. Once a W-9 has been created you will no longer be able to edit the Company name and Tax ID, and the certificate option will be automatically selected for all future company compliance items.

Step 4: Click 'Create' to create the Compliance Item.

Submitting Client Specific Compliance

You will be able to submit compliance items that are for a specific client, such as Insurance, Agreements, and Others.

Step 1: Go to the Client Profile → Compliance Tab.

Step 2: Click the '+' button at the top of the screen.

Step 3: Select the Compliance Item Type and fill in the information.

Step 4: Add the document for the Compliance Item.

Step 5: Click 'Submit' to send the compliance item to the client for approval.

Compliance Needs Action Tab

The 'Needs Action' tab is the home to all compliance items that need to be updated or changed to meet client needs, or remain active. Each item will be laid out by client and shows any item that is rejected, expiring, expired, or requiring you to make a change.

Step 1: Go to the Company Profile and select the 'Needs Action' tab.

Step 2: Review compliance items with the '!' indicator.

Step 3: Resubmit or Renew the items based on what is needed.

Items in the Rejected and Canceled status will need to be Resubmitted, Expired items will need to be Renewed.

Step 4: Confirm the information and submit the edited compliance item.

Step 5: Once all of the compliance items are handled, the '!' will no longer be present.