Compliance Overview

Compliance Overview

OVERVIEW

By properly selecting and maintaining Compliance Codes in CMiC, Swinerton can ensure subcontract payments are not released until the subcontractor has provided all necessary documentation and/or fulfilled all requirements. Compliance Codes in CMiC include various insurance requirements, contractual and non-contractual requirements and manual Project Manager holds. If applicable, the codes can be designated as date sensitive for items that expire such as insurance certificates. If a code is date sensitive, subcontract payments are automatically placed on hold once the expiration date has passed.

Compliance requirements for jobs will be determined based on 1) Company policy and 2) The requirements specific to a particular job. Compliance will be managed at the subcontract (commitment) level in CMiC. For subcontracts managed in Textura, the compliance information will be managed in CMiC and will export to Textura daily. All compliance data will be maintained in CMiC.

Compliance Setup

CMiC offers the ability to assign Compliance Codes automatically to all subcontracts entered into CMiC or at the job level if a job has specific requirements. This will reduce the administrative burden of manually selecting the appropriate Compliance Codes for each subcontract. Compliance Codes can be flagged to default as compliant or to require dates to track expiration dates. Compliance Codes can also be assigned to a subcontract on the fly as needed. Only items listed on the LOV or drop down menu can be selected.

Subcontract Level – Certain Compliance Codes are automatically assigned to ALL subcontracts entered in CMiC. As of January 2017, the codes in the table below are automatically assigned once a subcontract is entered into CMiC. These codes are required by Risk Management and should not be removed without proper authorization. PMHOLD should NEVER be removed from the subcontract. This code is required for PMHOLD to work via workflow.
Subcontract Level – Codes BUSLIC (Business License) and CONTLICBRD (Contractor's License Board) are automatically assigned only to jobs located in certain regions. If these codes default onto your job, they must be used per legal requirements.
Subcontract Level – Code DIRREG# (DIR Registration # of Public Works) is automatically assigned to jobs if Public Works Project = YES on the User Defined Fields tab of Opportunity Management.
Subcontract Level – Code CERTPR (Certified Payroll) is automatically assigned to jobs if Prevailing Wage Project = YES on the User Defined Fields tab of Opportunity Management.

List of all Codes that are auto-assigned to all commitments

Code

Description

Date Sensitive

Default Compl.

CLOSEOUTDS

Closeout Documentation Date Sensitive

COMMSIGN

Commitment Signed

PMHOLD

PM Hold

SAFEMANUAL

Safety Manual (IIPP)

WRAPUP

Wrap Up Enrollment Completed

Job Level – If all subcontracts for a specific job have a code that is required and not automatically assigned at a global level, the Financial Manager (at the job level) has the ability to add any other compliance codes and automatically assign them to all subcontracts on the job.

Other available codes – The following codes can be selected at the subcontract level as needed. The insurance related codes would be used for jobs that are not enrolled in a WRAP program. Other non-insurance codes can be used as needed.

NOTE - List of all available codes is attached below.

Compliance Maintenance

Once the appropriate Compliance Codes have been added to the subcontract, compliance can be edited as needed. Depending on the region, compliance will be updated by the Project Administrator or the Job Accountant.

Project Administrators will access compliance in CMiC via JSP, Subcontract, Compliance. Other Project Team members will have view access to this screen. Project Managers will have access to update PMHOLD.

Job Accountants will access compliance via Enterprise, Subcontract Management, Status, Change Compliance Status.

From either location, Compliance Codes can be added or deleted. Dates can be updated for Date Sensitive items. Once the subcontract is posted, any updated information will export to Textura during the following integration run.

If the subcontract has Compliance Codes that are not marked as compliant, as in the examples above, a payment will not be released against this subcontract until all items are compliant.

Compliance on the Voucher

Compliance is also attached to the voucher as shown above. Changes to Compliance on the subcontract (above) must be properly performed in order for the compliance hold on the voucher to hold and release holds properly. Please see Compliance Training Guides for details.