Use This Doc For
/compliance/submissions/compliance/submissions/[id]
Purpose
A regulatory submission record coordinates preparation and records what happened with an external filing. The platform does not transmit the filing: Mark Submitted records state, submission time, and submitter after the authorized external submission has occurred.
Before You Start
- Confirm the regulation, recipient body, submission type, and official due date.
- Confirm who is authorized to approve and transmit the filing.
- Assemble the source data outside the status transition, and verify it against the authoritative system.
- Review the preparation checklist. It counts active evidence linked directly to the regulation’s active obligations; it does not judge evidence quality or block a transition.
Submission Lifecycle
- draft → pending when the package is assembled for final review.
- pending → draft when review finds changes are needed.
- pending → submitted only after external transmission. This records the time and current employee as submitter.
- submitted → acknowledged when the recipient confirms acceptance or receipt.
- submitted → rejected when the recipient rejects or returns it.
- rejected → draft to correct and prepare a new attempt.
Acknowledged is terminal in the current workflow. A submitted record cannot be returned directly to draft. Record confirmation references, response dates, and response summaries so another reviewer can reconstruct the outcome.
Final Review
- Every required obligation has current, accessible evidence.
- Numbers, dates, scope, and signatories match the authoritative source data.
- The recipient and submission channel are correct.
- Sensitive material is handled through an approved channel.
- An authorized person has approved the package.
- The external receipt or confirmation can be retained.
Decisions And Consequences
Changing status is an auditable record change, not an external action. The due date can create a calendar event when an employee context is available, but it does not guarantee delivery or escalation. Missing evidence in the checklist is a readiness warning; the interface still relies on operator judgment.
What To Watch
- submissions prepared without confirmed source data
- due dates tracked outside the submission record
- post-submission follow-up not being captured
- Mark Submitted used before the external filing actually occurs
- an acknowledgement recorded without a confirmation reference or retained receipt
Recovery
If review finds a problem while pending, return to draft. If the recipient rejects a submitted filing, record the rejection and response, then return it to draft for correction. If the wrong record was marked submitted, do not invent an acknowledgement; preserve the audit trail, document the error, and escalate to the compliance owner for the corrective record.