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Subcontract Tracking & Compliance

Introduction

This guide outlines the standard procedure for tracking subcontractor compliance documents and managing the contract execution process. Following these steps ensures all necessary documentation is properly collected, stored, and monitored throughout the project lifecycle.

File Locations

  • Template files are located in OneDrive at DOCBASE\Project Setup Files\CONTRACTS\Subcontracts
  • DOCBASE is a folder in the root of OneDrive

Procedure

1. Subcontract Issuance

  1. Send Subcontract Package

The subcontract will be issued through email with a request for all required compliance documents.

Required Compliance Documents

  • W9
  • Certificate of Insurance (COI)
  • Auto Insurance
  • Contractor's license
  • Supplier list
  • Submittals

2. Track Issued Subcontract and Compliance Documents

  1. Locate the Compliance Tracking Document

In the project folder, navigate to the "CONTRACTS" folder and find the excel document titled "Project name – Compliance".

  1. Update the Compliance Log

Edit the compliance log to include all subcontractors' names and the sent dates of their contracts.

  1. Record Received Documents

Whenever a compliance document is received from a subcontractor:

  • Enter the received date for contracts
  • Mark with an X under the appropriate compliance item for other documents
  • Record expiration dates for COI and Contractor's license documents

Tracking Expirations

Always enter expiration dates for COI and Contractor's licenses to ensure you can track when renewals are needed.

  1. Store Documents Properly
  • Save W9 forms in DOCBASE under "01. Admin", "Subcontractor W9's" for auditing purposes
  • Save all other compliance documents (except submittals) in the subcontractor's contract folder
  • Save submittals in the dedicated "Submittals" folder
  1. Follow Up on Outstanding Documents

Compliance Follow-up

It is essential to follow up on any outstanding compliance documents that haven't been received. Best practice is to follow up after 3 business days.

3. Routing Received Contracts Through AdobeSign

  1. Review Contract Status

When a signed contract is received, determine if there are any redlines:

  • No redlines: Project manager can fully execute the contract
  • With redlines: Contract must be reviewed, accepted, and executed by the CEO
  1. Process Contract Through AdobeSign
  • Login to Adobe Sign and select "Request e-signature"
  • Locate the signed document under "DOCBASE", "CONTRACTS", "Subcontracts" and upload it to Adobe Sign
  • Enter signee information in the appropriate field
  • Add initial and signature fields on the contract to be signed by OVI
  • Send the document for signature

4. Returning Fully Executed Contract to Subcontractor

  1. Save the Executed Contract

When a contract is fully executed by OVI:

  • Adobe Sign will send an email notification
  • Save the signed contract into the subcontractor's contract folder
  1. Send to Subcontractor

Email the fully executed contract back to the subcontractor for their records.

Compliance Checklist

  • Subcontract issued to subcontractor with request for compliance documents
  • Compliance tracking log updated with subcontractor information
  • Received documents properly logged in compliance tracking document
  • Expiration dates recorded for COI and Contractor's license
  • W9 saved in DOCBASE under appropriate location
  • Other compliance documents saved in subcontractor's contract folder
  • Submittals saved in Submittals folder
  • Follow-up performed for any missing documents
  • Contract routed through AdobeSign for OVI signatures
  • Fully executed contract saved in subcontractor's folder
  • Fully executed contract returned to subcontractor