Compliance-to-Pay Copy Pack

A plug-and-play implementation kit you can set up in 60–90 minutes to establish:

• tiered vendor compliance requirements (not one-size-fits-all)
• a compliance doc tracker with expirations and evidence links
• compliance-to-pay gating rules (what blocks payment vs what doesn't)
• an exception log (no silent exceptions)
• vendor request + reminder + escalation scripts
• a monthly compliance close cadence

Built for complete value chain intelligence:

• Cost reduction: prevent expensive incidents, downtime, rework, and "cleanup costs"
• Risk mitigation: reduce uninsured work, license gaps, security exposure, and audit risk
• Carbon impact (secondary): supplier discipline also supports data readiness later, but this pack is risk-control first

Beginner-safe truth: Compliance doesn't matter unless it's enforceable. Enforceability comes from clear gating rules + a tracker with owners.

Use this pack if any of these are true:

• COIs/licenses/security docs are missing or expire unnoticed
• vendors are paid even when required compliance is missing
• exceptions happen informally ("just pay it") with no record
• AP/ops/procurement aren't aligned on enforcement
• you're dependent on one person to remember compliance requirements

Step 1 — Tier vendors quickly (10–15 minutes)

Start with:

• top 20 vendors by spend and/or
• vendors that work onsite frequently and/or
• vendors with sensitive systems/data access

Assign Tier 1–4 using the rules below.

Step 2 — Define your gating policy (10 minutes)

Pick enforcement you will actually follow.

Recommended minimum gating:

• W-9/W-8 missing → blocks payment
• Unverified bank change → blocks payment (anti-fraud)
• Required trade license missing → blocks work and payment
• COI missing for onsite Tier 3–4 → blocks site access and payment

Beginner rule: enforce fewer rules consistently first, then expand.

Step 3 — Create the tracker (15 minutes)

Create a Google Sheet titled:

• Compliance_to_Pay_Tracker

Tabs:

• Vendor_Tiers
• Controls_Matrix
• Doc_Tracker
• Exceptions
• Holds_Releases

Step 4 — Backfill the top vendors (15–20 minutes)

For each vendor in scope:

• assign tier
• list required docs based on tier
• enter expiration dates and evidence links (or mark Missing)

Step 5 — Start enforcement (10–15 minutes)

• send request emails for missing/expiring items
• use hold/release tracking when gating payment
• track exceptions explicitly (no silent exceptions)