Compliance Overview
Why is Compliance Important?
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 fulfilled all requirements.
What does Compliance Involve?
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.
How is Compliance Determined?
Compliance requirements for jobs will be determined based on Company policy and 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.
Where is Compliance Managed?
- CMiC Enterprise in the Subcontract Management Module
- CMiC Field in the Budget & Cost Management tab
The two platforms share the same data table, so changes made to subcontract compliance in either environment are reflected in both.
CMiC Enterprise View: CMiC Field View:
Who Manages Compliance on Projects?
Project Administrators are responsible for maintaining and updating Compliance in CMiC.
What Standard Compliance Codes are Included at the Subcontract Level?
The following five codes 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.
Closeout Documentation Date Sensitive
Wrap Up Enrollment Completed
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. Code DIRREG# (DIR Registration # of Public Works) are automatically assigned to certain jobs based on information that is entered at the time of job setup. If these codes default onto your job, please do not remove them.
The following codes can be selected at the subcontract level as needed. Please consult with Legal and Risk Management before requesting that these Compliance codes be applied to your project.
Asbestos Training Program Required
Bureau of Labor & Industries
Verify of Apprentice Certification
Verify of Appr/Journ Hours
Notarized Affidavit of Compliance
Contractor's License Board
Y only for jobs in certain regions
General Liability $1M or $2M
General Liability Offsite $1M or $2M
Prim Addl Ins Endst w / Cmpl Ops
Professional Liability $1M
Representation & Certification
Umbrella Offsite $1M if needed
Waiver of Subrogation - GL
Waiver of Subrogation - Workers' Comp
Workers' Compensation Offsite
Waiver of Subrogation - Auto
Helpful Tips – CMiC
- There is a separate compliance table that is attached to the vouchers in CMiC
- Voucher Compliance is updated based on the information entered in the Subcontract Compliance screen
- On expiring certification, do not update the Start Date. After the initial certification is received and the Start Date is entered, only the End Date should be updated on expired documents.
- For date sensitive codes to be compliant, both the compliant box and the Date Complaint box must be checked.
Helpful Tips – Textura
- Compliance is maintained in CMiC and exports to Textura
- Project Accountants are responsible for upholding outstanding compliance items in Textura
- If compliance is entered correctly in CMiC, Textura will update properly.
- Once a subcontract is posted, ‘In Process’, compliance exports to Textura on a daily basis.
- Do not enter Start Dates and End Dates for Compliance Codes that are not Date Sensitive in CMiC. This creates an issue with the Project Requirement Setup in Textura and places incorrect holds
- If a Compliance Code is deleted from a subcontract in CMiC after the subcontract was exported to Textura, you must manually delete the requirement from Textura.
Why is Date Sensitive Important?
You need to make sure Compliance documents are valid before releasing payment. Does their BUSLIC have an expiration date? Get a current one!
What Does Default Compl. Mean?
Default compliance hold – something automatic that you have to clear. PWP = N/Y.
The Compliance Screen in CMiC
See below for a breakdown of each Compliance function (screen shot three). Screen shot one and two below describe how to get to the Compliance screen.
1. Date Sensitive: If a code is setup to track expirations dates, the Date Sensitive box will be checked when you click on the line.
2. Start Date and End Date: If a code is Date Sensitive, a Start Date and End Date is required. Do not enter dates for non-date sensitive items.
3. Date Compl.: The system will check this box if the code is date compliant meaning the ‘As of Date’ falls between the Start Date and the End Date. This box cannot be updated by the user.
4. Compl.: When a requirement is met, the user must check this box to make the code compliant. Note: For a date sensitive code to be compliant the Date Compl. and Compl. box must be checked.
5. Insurance Bonding Company: This field is not used.
6. Certification Number, Certification Location and Amount: These fields are optional and can be used for tracking insurance information.
7. Documents and Notes: These fields are optional and can be used as needed. You cannot upload documents. If Documents or Notes exists, an * will be shown on the tab when you click on a line.
8. Insert Click insert to add additional lines for adding codes. Click Delete to delete codes.
9. Add to PO’s / Add to Contracts:
When clicking on the “Add to Contracts” button; this feature will ONLY apply to unpaid vouchers. This feature does not apply to paid vouchers since they are closed and paid out in the system.
When clicking on the “Add to PO’s” button; this feature will ONLY apply to unpaid PO’s. This feature does not apply to paid PO’s since they are closed and paid out in the system.
10. Apply Changes: This saves any Compliance changes made. *Note this only applies to the specific subcontractor on the specific job ONLY; it does not apply to the subcontractor companywide for any other jobs they may be working on.
11. SC Auto Assign: Box will be checked if this code was automatically assigned to all subcontracts when entered into CMiC.