Obligations

A Compliance Lead records a regulatory obligation for an organization and links it to the assessment that will examine its impact. The jurisdiction, authority source, effective date and days to deadline help the team identify which rule is being considered. The record’s status and revision show whether the obligation is still being prepared, has been submitted for review or has received a decision.

Suppose a new requirement applies to a particular operating site. The lead first confirms the organization and the assessment period. They capture the source and jurisdiction, then check which risks and controls the assessment already covers. That keeps an obligation review tied to the work the team can inspect, rather than to an isolated calendar reminder.

• Intake. The Compliance Lead prepares the obligation and its source details under the relevant organization and assessment.
• Review. A submitted obligation goes to the Independent Reviewer, who records a decision, reason and source revision.
• Follow-through. The team checks the assessment and related corrective work before marking the obligation completed.

Agree who may create an obligation, who may submit it and who may make the review decision. A jurisdiction label should mean the same thing across the first operating cycle. Decide how the authority source will be recorded so reviewers can find the original rule and confirm that its interpretation still applies.

The assessment link is important. A reviewer should be able to open the parent assessment, see its scope and understand why this obligation belongs there. If a rule spans business units, agree whether the assessment scope covers them together or whether the team needs separate assessment work. Keep the deciding person separate from the preparer for the pilot.

Choose an obligation that affects an assessment already planned for a real period. The Compliance Lead enters its authority source and jurisdiction, then submits the revision being reviewed. The Independent Reviewer checks the source, parent assessment and likely impact. The decision record carries the reviewer, reason, decision time, source revision and an operation key that identifies the obligation within the assessment. If the reviewer returns the work, the lead corrects the obligation and presents the changed revision for another decision.

The team then checks the obligation’s status against the decision. Use the decision’s operation key and source revision to distinguish an earlier review from the corrected submission. The Operations Overview can help the lead find pending review decisions, while the obligation review queue gives the reviewer a focused working list.

• Obligation review queue — Submitted obligations awaiting a decision, with their revision and source context.
• Open obligations — Current obligation work by status, organization and effective date.

See obligation review and assessment cycle.