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Workflow template for compliance, risk and privacy

Obligation and filing calendar review

Before each scheduled review, the compliance lead, company secretary or environmental lead sees what comes due from the organisation's own register: each obligation, filing and renewal with its owner, its due date as recorded, the evidence on file and every gap as a question. It works out no deadline and files nothing.

This workflow template prepares legal work for a lawyer to review. It gives no legal advice and has not been reviewed by a lawyer. A lawyer decides and signs.

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The outcome

The review starts from one list instead of a spreadsheet and a memory. Every obligation in the window is there in date order: the annual reports for each company in the group, the licence and certificate renewals, the permit reports and monitoring rounds. Each line shows who owns it, the due date exactly as the register holds it, what evidence of completion the register asks for and what is actually on file.

The problems that usually surface the week something is due are on the page months before: a monitoring round with no owner, an owner who has left, a report whose recorded date has passed with no evidence on file, a registry reminder that gives a different date from the register, an entry nobody has verified for well over a year. Each one arrives as a numbered question addressed to the person who can answer it.

The register stays the only authority. The workflow template works out no deadline, from a law, a frequency or last year's date, and adds no obligation the register does not hold, even when a notice or a stray piece of evidence suggests one. It gives no legal advice, has not been reviewed by a lawyer, and never says whether a duty applies or has been met: counsel, or the specialist who verifies the register, decides that. It files, submits, pays and sends nothing, and changes nothing in the register.

Who starts the work, and when

The compliance lead, the company secretary or the environmental lead starts it when the agreed review of the register is due: monthly or quarterly for most organisations, and before a board meeting, an audit or a change of owner. Each can run it on their own part of the same register: the company secretary on entity filings, the environmental lead on permit and monitoring duties, the compliance lead on all of it.

The reviewer reads the list and sets priorities. Counsel, or the specialist named in the register, answers the questions about dates and verification. The owners do the work and keep the evidence.

What they supply

  • The obligation register, exported with its standard columns: each obligation, its kind, the company or site, the body it is owed to, the owner, the due date, the frequency, the evidence required, and who verified the entry and when. If the column headers differ, the workflow template stops and asks.
  • The evidence log, if one is kept: each piece of evidence of completion, the obligation and due date it answers, where it is kept and who recorded it.
  • The notices received: reminders and letters from registries, agencies, licensing offices or a registered agent, with the date each states.
  • A few settings: today's date, the window (90 days unless changed), the scope, the reviewer, who verifies when the register does not say, how often an entry should be verified again (12 months unless changed), and the list of current owners.

What comes out

One list, marked as a draft for the reviewer, in a fixed order:

  • Past recorded due date, no evidence on file.
  • Coming due in the window, earliest first, with the days to each recorded date.
  • Past recorded due date, evidence on file, where the register has not yet been given the next date.
  • No usable due date.
  • Notices that do not match the register, with both dates side by side and neither chosen, and notices for nothing in the register, with nothing added.
  • Evidence not placed: evidence recorded against an obligation the register does not hold.
  • Questions, numbered, each addressed to the owner, the reviewer or the person who verifies the register.
  • Also noted: what is due after the window, evidence for an earlier due date, and notices that agree with the register.

A group with nothing in it says "None." Every line can be checked against the register, and the header counts add up to the rows in scope.

An invented example

Illustrative example with invented data. The organisation, its companies, its plant, the registries and agencies, the people and every date below are invented. The organisation is an invented maker of industrial coatings, called the Company here, with two companies in its group (Entity A and Entity B) and one plant (Plant 1). The bodies it reports to are named by letter, and people are named by role. The compliance lead runs the quarterly review on Wednesday 11 November 2026. First come the inputs the compliance lead supplied, in full, then the list the workflow template returned.

The inputs

1. Settings (typed by the compliance lead)

Organisation: the Company
Today: 2026-11-11
Window: 90 days
Scope: every row
Reviewer: Compliance lead
Default verifying role: Counsel
Re-verification period: 12 months
Current owners: Company secretary, Office manager, Environmental lead, Maintenance manager

2. Obligation register (exported from the Company's register)

obligation_id,obligation,kind,entity_or_site,owed_to,owner,due_date,frequency,evidence_required,verified_by,verified_on
OB-01,Annual report,filing,Entity A,Registry A,Company secretary,2026-12-15,annual,filing receipt,Counsel,2026-03-02
OB-02,Annual report,filing,Entity B,Registry B,Company secretary,2027-01-31,annual,filing receipt,Counsel,2025-06-10
OB-03,Business licence renewal,renewal,Plant 1,City licensing office C,Office manager,2026-12-31,annual,renewed licence,Counsel,2026-02-20
OB-04,Air permit quarterly monitoring report,report,Plant 1,Environmental agency E,Environmental lead,2026-10-30,quarterly,submission confirmation and monitoring log,Environmental specialist,2026-01-15
OB-05,Stormwater sampling,monitoring,Plant 1,Water authority W,,2026-12-20,quarterly,laboratory results and sampling log,Environmental specialist,2026-01-15
OB-06,Hazardous materials inventory report,report,Plant 1,Fire authority F,Environmental lead,2027-03-01,annual,submission confirmation,Environmental specialist,2026-01-15
OB-07,Boiler inspection certificate renewal,renewal,Plant 1,Inspection body I,Maintenance manager,2027-01-15,annual,inspection certificate,,
OB-08,Annual emissions inventory submission,report,Plant 1,Environmental agency E,Environmental lead,2026-09-30,annual,submission confirmation,Environmental specialist,2026-01-15
OB-09,Waste generator registration renewal,renewal,Plant 1,Environmental agency E,Environmental lead,,every two years,renewed registration,Environmental specialist,2026-01-15
OB-10,Annual report for registration in another state,filing,Entity A,Registry S,Controller,2027-02-05,annual,filing receipt,Counsel,2026-04-01

3. Evidence log

evidence_id,obligation_id,for_due_date,evidence_type,location,dated,recorded_by
EV-01,OB-08,2026-09-30,submission confirmation,Compliance drive/Environmental/2026/Emissions,2026-09-24,Environmental lead
EV-02,OB-03,2025-12-31,renewed licence,Compliance drive/Licences/Plant 1/2025,2025-12-12,Office manager
EV-03,OB-02,2027-01-31,filing receipt,Compliance drive/Entities/Entity B/2027,2026-11-05,Company secretary
EV-04,OB-12,2026-10-15,training attendance sheet,Compliance drive/Environmental/Training,2026-10-15,Environmental lead
EV-05,OB-07,2027-01-15,inspection certificate,,2026-11-09,Maintenance manager

4. Notices received

notice_id,received_on,from,about,date_stated,obligation_id
N-1,2026-10-20,Registry A,Annual report reminder for Entity A,2026-11-30,OB-01
N-2,2026-11-02,Water authority W,New annual stormwater report form,2027-01-28,
N-3,2026-11-06,Registry B,Annual report reminder for Entity B,2027-01-31,OB-02

The output

OBLIGATION AND FILING CALENDAR REVIEW: the Company

For: Compliance lead. Prepared: Wed 2026-11-11. Window: Wed 2026-11-11 to Tue 2027-02-09 (today plus 90 days, both included). Scope: every row. From: the obligation register (10 rows, 10 in scope), the evidence log (5 rows), the notices (3 rows) and the settings. Column check: all headers matched. Every due date is used exactly as the register records it. No date has been worked out and no obligation has been added. In scope: 10. Past recorded due date, no evidence on file: 1. Coming due in the window: 6. Past recorded due date, evidence on file: 1. No usable due date: 1. Due after the window: 1. Questions: 11.

1. PAST RECORDED DUE DATE, NO EVIDENCE ON FILE

OB-04 Air permit quarterly monitoring report (report). Plant 1. Owed to: Environmental agency E.

  • Owner: Environmental lead.
  • Due as recorded: Fri 2026-10-30, 12 days ago. Frequency as recorded: quarterly.
  • Evidence required: submission confirmation and monitoring log. Evidence on file: none on file for this due date.
  • Verified: Environmental specialist, Thu 2026-01-15.
  • Notices: none.
  • Gaps: no evidence for a passed due date. See Q1.

2. COMING DUE IN THE WINDOW

OB-01 Annual report (filing). Entity A. Owed to: Registry A.

  • Owner: Company secretary.
  • Due as recorded: Tue 2026-12-15, in 34 days. Frequency as recorded: annual.
  • Evidence required: filing receipt. Evidence on file: none on file for this due date.
  • Verified: Counsel, Mon 2026-03-02.
  • Notices: N-1, received Tue 2026-10-20, states Mon 2026-11-30.
  • Gaps: notice states another date. See Q2.

OB-05 Stormwater sampling (monitoring). Plant 1. Owed to: Water authority W.

  • Owner: not assigned.
  • Due as recorded: Sun 2026-12-20, in 39 days. Frequency as recorded: quarterly.
  • Evidence required: laboratory results and sampling log. Evidence on file: none on file for this due date.
  • Verified: Environmental specialist, Thu 2026-01-15.
  • Notices: none.
  • Gaps: no owner. See Q3.

OB-03 Business licence renewal (renewal). Plant 1. Owed to: City licensing office C.

  • Owner: Office manager.
  • Due as recorded: Thu 2026-12-31, in 50 days. Frequency as recorded: annual.
  • Evidence required: renewed licence. Evidence on file: none on file for this due date.
  • Verified: Counsel, Fri 2026-02-20.
  • Notices: none.
  • Gaps: None.

OB-07 Boiler inspection certificate renewal (renewal). Plant 1. Owed to: Inspection body I.

  • Owner: Maintenance manager.
  • Due as recorded: Fri 2027-01-15, in 65 days. Frequency as recorded: annual.
  • Evidence required: inspection certificate. Evidence on file: EV-05, inspection certificate, dated Mon 2026-11-09, at location not given.
  • Verified: not recorded.
  • Notices: none.
  • Gaps: verification not recorded; evidence location not given. See Q4, Q5.

OB-02 Annual report (filing). Entity B. Owed to: Registry B.

  • Owner: Company secretary.
  • Due as recorded: Sun 2027-01-31, in 81 days. Frequency as recorded: annual.
  • Evidence required: filing receipt. Evidence on file: EV-03, filing receipt, dated Thu 2026-11-05, at Compliance drive/Entities/Entity B/2027.
  • Verified: Counsel, Tue 2025-06-10, older than the 12-month period.
  • Notices: N-3, received Fri 2026-11-06, states Sun 2027-01-31.
  • Gaps: verification older than the period. See Q6.

OB-10 Annual report for registration in another state (filing). Entity A. Owed to: Registry S.

  • Owner: Controller, not on the current list.
  • Due as recorded: Fri 2027-02-05, in 86 days. Frequency as recorded: annual.
  • Evidence required: filing receipt. Evidence on file: none on file for this due date.
  • Verified: Counsel, Wed 2026-04-01.
  • Notices: none.
  • Gaps: owner not current. See Q7.

3. PAST RECORDED DUE DATE, EVIDENCE ON FILE

OB-08 Annual emissions inventory submission (report). Plant 1. Owed to: Environmental agency E.

  • Owner: Environmental lead.
  • Due as recorded: Wed 2026-09-30, 42 days ago. Frequency as recorded: annual.
  • Evidence required: submission confirmation. Evidence on file: EV-01, submission confirmation, dated Thu 2026-09-24, at Compliance drive/Environmental/2026/Emissions.
  • Verified: Environmental specialist, Thu 2026-01-15.
  • Notices: none.
  • Gaps: next due date not recorded. See Q8.

4. NO USABLE DUE DATE

OB-09 Waste generator registration renewal (renewal). Plant 1. Owed to: Environmental agency E.

  • Owner: Environmental lead.
  • Due as recorded: not recorded. Frequency as recorded: every two years.
  • Evidence required: renewed registration. Evidence on file: none on file; no usable due date to match.
  • Verified: Environmental specialist, Thu 2026-01-15.
  • Notices: none.
  • Gaps: no usable due date. See Q9.

5. NOTICES NOT MATCHING THE REGISTER

  • N-1, received Tue 2026-10-20 from Registry A: Annual report reminder for Entity A. Date stated: Mon 2026-11-30. The register records Tue 2026-12-15 for OB-01; the two differ. See Q2.
  • N-2, received Mon 2026-11-02 from Water authority W: New annual stormwater report form. Date stated: Thu 2027-01-28. Not in the register; nothing has been added. See Q10.

6. EVIDENCE NOT PLACED

  • EV-04: training attendance sheet, for OB-12, dated Thu 2026-10-15, at Compliance drive/Environmental/Training, recorded by Environmental lead. No such obligation in the register. See Q11.

7. QUESTIONS

  • Q1. Environmental lead (owner). OB-04 Air permit quarterly monitoring report, owed to Environmental agency E: the register records Fri 2026-10-30, 12 days ago, and asks for a submission confirmation and monitoring log; none is on file for that due date. Where is the evidence of completion for that due date?
  • Q2. Counsel (verifying role). OB-01 Annual report, Entity A: the register records Tue 2026-12-15; notice N-1 from Registry A, received Tue 2026-10-20, states Mon 2026-11-30. Which date should the register hold?
  • Q3. Compliance lead (reviewer). OB-05 Stormwater sampling, Plant 1, recorded as due Sun 2026-12-20: no owner is recorded. Who owns it?
  • Q4. Counsel (verifying role). OB-07 Boiler inspection certificate renewal, recorded as due Fri 2027-01-15: the register records no verification. Are the obligation and its due date as recorded?
  • Q5. Maintenance manager (owner). OB-07: evidence EV-05, an inspection certificate dated Mon 2026-11-09, has no location. Where is it kept?
  • Q6. Counsel (verifying role). OB-02 Annual report, Entity B: last verified Tue 2025-06-10, more than 12 months before today. Are the obligation and its due date of Sun 2027-01-31 still as recorded?
  • Q7. Compliance lead (reviewer). OB-10 Annual report for registration in another state, Entity A, recorded as due Fri 2027-02-05: the owner, Controller, is not on the list of current owners. Who owns it now?
  • Q8. Environmental specialist (verifying role). OB-08 Annual emissions inventory submission: the register still records Wed 2026-09-30, and EV-01, a submission confirmation dated Thu 2026-09-24, is on file for that date. What next due date should the register hold?
  • Q9. Environmental specialist (verifying role). OB-09 Waste generator registration renewal: no due date is recorded, and the frequency is recorded as every two years. What due date should the register hold?
  • Q10. Compliance lead (reviewer). N-2 from Water authority W, received Mon 2026-11-02, about a new annual stormwater report form, states Thu 2027-01-28 and names no obligation in the register. Who confirms whether the register should hold an entry for it?
  • Q11. Environmental lead (recorded by). EV-04, a training attendance sheet dated Thu 2026-10-15, is recorded for OB-12, which is not in the register. Which obligation is it evidence for?

8. ALSO NOTED

  • Due after the window: OB-06, Mon 2027-03-01.
  • Evidence for another due date: EV-02 for OB-03, for Wed 2025-12-31.
  • Notices that agree with the register: N-3 for OB-02.

Draft for the Compliance lead. Nothing has been filed, submitted, paid, sent, marked complete or changed in the register.

Where it fits

  • Compliance, risk and privacy, which keeps the register of what the organisation owes, to whom and by when.
  • Legal and contracts, where the company secretary keeps each company's annual filings in order and counsel verifies what is owed.
  • Health, safety and environment, where the environmental lead tracks permit reports and monitoring rounds and the evidence each one leaves.
  • Manufacturing, where a plant carries permits, inspections and licence renewals on many different cycles.
  • Energy, where sites report monitoring results and renew registrations to several agencies at once.
  • Finance and investment, where a group of companies and registrations each carries its own annual filings.
  • Healthcare, where facility licences, inspection certificates and registrations each renew on their own date.
  • Established businesses, where the register has grown over years and some of its owners have moved on.
  • Acquisitions and integration, where a newly acquired company's obligations join the register and need owners, verification and evidence before the first review.

Agreements with renewal and notice clauses belong in contract renewal and notice register, which works under counsel's own counting rules. When an audit is coming, audit preparation gathers the requests and evidence around it.

What has to change for your company

Map your register's columns to the standard headers once, and keep your own words for each kind of obligation. Set the window and how often the review runs. Decide the scope for each reader. Name the reviewer, and who verifies each kind of obligation: usually counsel or the company secretary for company filings, and the environmental specialist for permit and monitoring duties. Set how often an entry must be verified again, keep the list of current owners up to date, and agree where evidence is kept so every reviewer can open it. Decide who updates the register after the review.

We sit with the person who keeps the register and the people who verify it, write down how the review is really done, and set it up in the AI product your company has approved: ChatGPT, Claude, Copilot or Gemini. It runs from files you supply and needs no connection to any registry or agency portal.

What has been checked

Fully Powered AI wrote this workflow template from its own published map of the work. It was editorially reviewed on 11 November 2026. It was tried on its invented example in Claude on 11 November 2026, and the record of that run is published with the template. It has not yet been tested in a client environment, and it has not yet been tested as a packaged version in ChatGPT, Claude, Copilot or Gemini.

Testing in your organisation means running it on a past review your compliance lead remembers well, plus hard cases written in advance, each with its expected result: a report whose recorded date has passed with no evidence, a reminder that gives a different date from the register, a renewal with no due date and a frequency of every two years, an owner who has left, and a request to "just add a year". The reviewer checks every date against the register before anyone relies on the list. Pilot acceptance-test preparation builds that set, and what we test before we call an AI workflow ready describes the record we keep.

Who decides

People decide

Your people keep

  • Which due date the register holds
  • Whether a duty applies or has been met
  • Priorities for the review
  • Who updates the register after the review
By design

It does not

  • Works out no deadline
  • Adds no obligation the register does not hold
  • Files, submits, pays and sends nothing
  • Changes nothing in the register
  • Gives no legal advice

Questions people ask

Who is it for?

The compliance lead, the company secretary or the environmental lead starts it when the agreed review of the register is due. Each can run it on their own part of the same register.

What do I need to supply?

The obligation register with its standard columns, the evidence log if one is kept, the notices received and a few settings. It needs no connection to any registry or agency portal.

Does it work out our deadlines?

No. It works out no deadline, from a law, a frequency or last year's date. When the register holds no due date, the list puts the question to the person who verifies the register.

What does it not do?

It gives no legal advice, adds no obligation the register does not hold, and files, submits, pays and sends nothing. It changes nothing in the register.

What has been checked?

It was editorially reviewed on 11 November 2026 and tried on its invented example in Claude on 11 November 2026. The record of that run is published with the template. It has not yet been tested in a client environment.

The full workflow template

Everything above is the outline. The complete workflow template is the working version: the roles, the inputs, the procedure, the exceptions and stop conditions, the output format, the reviewer checklist, the acceptance tests, the instructions for an AI assistant and what to customize for your company. It comes with a download and the link to its folder in Fully Powered’s public repository.

View the full template

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Next step

Put this workflow template to work for your team: on your plan, or built with you in a sprint.

Put this on your plan

Add it to a workflow in the Fully Powered Planner, beside the teams and roles that will run it.

Build this in a sprint

In a sprint, Fully Powered adapts this workflow template to your rules, proves it on your own work and puts it in the hands of the roles that own it.

Two ways to begin:

Rather talk it through first? Book a fit callDiscuss adapting this

  • Contract renewal and notice register

    From your signed agreements and amendments, the contracts manager gets a register for counsel to confirm: each term, renewal and notice clause quoted with its section, cancel-by and send-by dates proposed only under counsel's own counting rules, and the windows sorted by proposed send-by date. Nothing is sent.

    Prepares work for a lawyer. Not legal advice.

  • Audit preparation

    Before the external auditors arrive, your controller holds one audit pack: every request with its owner, date, document and status, the control evidence they will test, last year's findings and what was done, and draft answers to the questions they will ask. People approve everything before it goes.

  • Emissions activity data schedule

    When the reporting period closes, the environmental reporting owner gets one source-linked schedule of energy, fuel and transport quantities with units and the boundary supplied, estimates kept apart from measured activity, missing factor references and gaps listed. It calculates no emissions figure.