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Enterprise operations / APPLICATION BLUEPRINT

Regulatory Obligations & Evidence

Connect interpreted obligations to accountable control tasks, evidence submissions, exception review and approved reporting records.

Start generatingExplore illustrative interface

12 workspace menus · 12 business workflows · 5 role profiles

Application blueprint only. This is a proposed design, not a deployed or production-tested system. Screens and sample figures are illustrative; workflows, business rules, approvals, permissions and integrations require confirmation before build.

Designed for Compliance director and obligation owners

Regulatory Obligations & Evidence workspace interface preview; illustrative records and figures.
Regulatory Obligations & Evidence — operational workspaceIllustrative interface · Sample dataView full interface →

Explore an illustrative interface.

Illustrative workspace and record review. Select a concept screen to inspect it in full.

Regulatory Obligations & Evidence workspace interface preview; illustrative records and figures.
Regulatory Obligations & Evidence — operational workspaceIllustrative interface · Sample dataView full interface →
Regulatory Obligations & Evidence record interface preview; illustrative records and figures.
Regulatory Obligations & Evidence — record and workflow reviewIllustrative interface · Sample dataView full interface →

Operational dashboards and work queues.

Operational views

Review work, evidence, exceptions and authorised decisions within a defined operating scope.

Business unitPeriodAssigned teamReview state

Dashboard measures

  • Active control records
    Count of all records in the selected workspace.
  • Review queue
    Records at the third stage of the business workflow.
  • Needs attention
    Records with an assigned review requirement.
  • Final-stage records
    Records in the fourth business workflow stage.

Business workflow and operating scope

Connect interpreted obligations to accountable control tasks, evidence submissions, exception review and approved reporting records. An obligation register becomes difficult to trust when requirements are detached from evidence and responsible owners. The system connects reviewed obligations to scheduled work, submissions and corrective actions, helping the compliance team see what is complete and what still needs an accountable decision.

Operations

Operational overview

Review the work position and priority actions.

Reviewed obligation register

Coordinate reviewed obligation register with assigned responsibilities, linked records and review history.

Control ownership

Coordinate control ownership with assigned responsibilities, linked records and review history.

Evidence schedules

Coordinate evidence schedules with assigned responsibilities, linked records and review history.

Submission review

Coordinate submission review with assigned responsibilities, linked records and review history.

Noncompliance actions

Coordinate noncompliance actions with assigned responsibilities, linked records and review history.

Reporting approval

Coordinate reporting approval with assigned responsibilities, linked records and review history.

Traceable evidence records

Coordinate traceable evidence records with assigned responsibilities, linked records and review history.

Insights

Reports and saved views

Review the reporting scope and export agreed operational views.

Governance

Approvals and exceptions

Review delegated decisions, exceptions and recorded conditions.

Audit history

Trace accepted changes, decisions and accountable actions.

Access and configuration

Manage the agreed role permissions and configurable operating rules.

The end-to-end business journey.

From intake to authorised completion, with evidence at each decision.

01

Assign obligation ownership

Register applicable obligations with accountable ownership.

02

Schedule evidence tasks

Translate requirements into scheduled evidence and control tasks.

03

Review and correct

Review submissions and manage noncompliance actions.

04

Approve reporting records

Approve reporting and retain a traceable compliance record.

Business workflows

Select a workflow to review the steps, responsibilities, approval and exception handling.

01 · Coordinate reviewed obligation register

Coordinate reviewed obligation register within Regulatory obligation and compliance evidence management.

Trigger
Reviewed obligation register requires a new record, an agreed review or a controlled change.

Responsible role
Evidence contributor

  • Register reviewed obligation register and its operating scope
  • Collect the linked records and qualified evidence
  • Assign the responsible reviewer and record findings
  • Accept the outcome or assign corrective follow-up

Approval
Qualified compliance reviewer records the decision when the action changes an accepted commitment or requires delegated authority.

Exception handling
Evidence is incomplete, disputed, expired or outside the reviewer’s authority.

Outcome
A review finding, its accepted evidence and any accountable corrective actions.

02 · Coordinate control ownership

Coordinate control ownership within Regulatory obligation and compliance evidence management.

Trigger
Control ownership requires a new record, an agreed review or a controlled change.

Responsible role
Compliance coordinator

  • Register control ownership and its operating scope
  • Assign the accountable owner and required actions
  • Review the relevant evidence and unresolved conditions
  • Confirm the accepted outcome and retain its history

Approval
Qualified compliance reviewer records the decision when the action changes an accepted commitment or requires delegated authority.

Exception handling
Required information or responsibility is missing, or an operating condition changes.

Outcome
A completed operating record with its linked evidence and remaining obligations.

03 · Coordinate evidence schedules

Coordinate evidence schedules within Regulatory obligation and compliance evidence management.

Trigger
Evidence schedules requires a new record, an agreed review or a controlled change.

Responsible role
Compliance coordinator

  • Register evidence schedules and its operating scope
  • Compare suitable capacity and existing commitments
  • Confirm the provider, service window and accepted conditions
  • Track fulfilment, cancellation and capacity release

Approval
Qualified compliance reviewer records the decision when the action changes an accepted commitment or requires delegated authority.

Exception handling
Demand exceeds suitable capacity or a provider withdraws its commitment.

Outcome
An accepted capacity commitment with service conditions and completion evidence.

04 · Coordinate submission review

Coordinate submission review within Regulatory obligation and compliance evidence management.

Trigger
Submission review requires a new record, an agreed review or a controlled change.

Responsible role
Evidence contributor

  • Register submission review and its operating scope
  • Collect the linked records and qualified evidence
  • Assign the responsible reviewer and record findings
  • Accept the outcome or assign corrective follow-up

Approval
Qualified compliance reviewer records the decision when the action changes an accepted commitment or requires delegated authority.

Exception handling
Evidence is incomplete, disputed, expired or outside the reviewer’s authority.

Outcome
A review finding, its accepted evidence and any accountable corrective actions.

05 · Coordinate noncompliance actions

Coordinate noncompliance actions within Regulatory obligation and compliance evidence management.

Trigger
Noncompliance actions requires a new record, an agreed review or a controlled change.

Responsible role
Compliance coordinator

  • Register noncompliance actions and its operating scope
  • Assign the accountable owner and required actions
  • Review the relevant evidence and unresolved conditions
  • Confirm the accepted outcome and retain its history

Approval
Qualified compliance reviewer records the decision when the action changes an accepted commitment or requires delegated authority.

Exception handling
Required information or responsibility is missing, or an operating condition changes.

Outcome
A completed operating record with its linked evidence and remaining obligations.

06 · Coordinate reporting approval

Coordinate reporting approval within Regulatory obligation and compliance evidence management.

Trigger
Reporting approval requires a new record, an agreed review or a controlled change.

Responsible role
Compliance coordinator

  • Register reporting approval and its operating scope
  • Assign the accountable owner and required actions
  • Review the relevant evidence and unresolved conditions
  • Confirm the accepted outcome and retain its history

Approval
Qualified compliance reviewer records the decision when the action changes an accepted commitment or requires delegated authority.

Exception handling
Required information or responsibility is missing, or an operating condition changes.

Outcome
A completed operating record with its linked evidence and remaining obligations.

07 · Coordinate traceable evidence records

Coordinate traceable evidence records within Regulatory obligation and compliance evidence management.

Trigger
Traceable evidence records requires a new record, an agreed review or a controlled change.

Responsible role
Evidence contributor

  • Register traceable evidence records and its operating scope
  • Collect the linked records and qualified evidence
  • Assign the responsible reviewer and record findings
  • Accept the outcome or assign corrective follow-up

Approval
Qualified compliance reviewer records the decision when the action changes an accepted commitment or requires delegated authority.

Exception handling
Evidence is incomplete, disputed, expired or outside the reviewer’s authority.

Outcome
A review finding, its accepted evidence and any accountable corrective actions.

08 · Register the operating requirement

Coordinate operating requirement within Regulatory obligation and compliance evidence management.

Trigger
Operating requirement requires a new record, an agreed review or a controlled change.

Responsible role
Compliance coordinator

  • Register operating requirement and its operating scope
  • Compare options, dependencies and operating constraints
  • Review the selected option with its accountable owners
  • Accept the plan and track its delivery conditions

Approval
Qualified compliance reviewer records the decision when the action changes an accepted commitment or requires delegated authority.

Exception handling
An assumption changes, prerequisites are missing or stakeholders cannot accept the proposed commitment.

Outcome
An approved operating plan and owned actions for its accepted conditions.

09 · Resolve operating exceptions

Coordinate operating exceptions within Regulatory obligation and compliance evidence management.

Trigger
Operating exceptions requires a new record, an agreed review or a controlled change.

Responsible role
Compliance coordinator

  • Register operating exceptions and its operating scope
  • Gather the relevant evidence and review options
  • Route the case to the delegated decision owner
  • Record the outcome, conditions and follow-up obligations

Approval
Qualified compliance reviewer records the decision when the action changes an accepted commitment or requires delegated authority.

Exception handling
The case exceeds delegation, contains a conflict or has disputed evidence.

Outcome
An authorised decision or escalation with accountable resolution actions.

10 · Verify completion and follow-up

Coordinate completion and follow-up within Regulatory obligation and compliance evidence management.

Trigger
Completion and follow-up requires a new record, an agreed review or a controlled change.

Responsible role
Evidence contributor

  • Register completion and follow-up and its operating scope
  • Collect the linked records and qualified evidence
  • Assign the responsible reviewer and record findings
  • Accept the outcome or assign corrective follow-up

Approval
Qualified compliance reviewer records the decision when the action changes an accepted commitment or requires delegated authority.

Exception handling
Evidence is incomplete, disputed, expired or outside the reviewer’s authority.

Outcome
A review finding, its accepted evidence and any accountable corrective actions.

11 · Review controlled operating changes

Coordinate controlled operating changes within Regulatory obligation and compliance evidence management.

Trigger
Controlled operating changes requires a new record, an agreed review or a controlled change.

Responsible role
Evidence contributor

  • Register controlled operating changes and its operating scope
  • Collect the linked records and qualified evidence
  • Assign the responsible reviewer and record findings
  • Accept the outcome or assign corrective follow-up

Approval
Qualified compliance reviewer records the decision when the action changes an accepted commitment or requires delegated authority.

Exception handling
Evidence is incomplete, disputed, expired or outside the reviewer’s authority.

Outcome
A review finding, its accepted evidence and any accountable corrective actions.

12 · Prepare scoped operational reports

Coordinate scoped operational reports within Regulatory obligation and compliance evidence management.

Trigger
Scoped operational reports requires a new record, an agreed review or a controlled change.

Responsible role
Compliance coordinator

  • Register scoped operational reports and its operating scope
  • Assign the accountable owner and required actions
  • Review the relevant evidence and unresolved conditions
  • Confirm the accepted outcome and retain its history

Approval
Qualified compliance reviewer records the decision when the action changes an accepted commitment or requires delegated authority.

Exception handling
Required information or responsibility is missing, or an operating condition changes.

Outcome
A completed operating record with its linked evidence and remaining obligations.

Governance and control

  • Authoritative obligations and thresholds must be version-controlled.
  • High-risk cases require designated reviewer approval.
  • Automated alerts may prioritise but must not silently make accountable regulatory decisions.
  • Evidence and decision rationale must be retained.
  • Periodic reviews must be scheduled from risk and policy rules.
Operating rules by business workflow
  • For reviewed obligation register, evidence, reviewer authority and acceptance conditions are visible before a reviewed outcome is accepted.
  • For control ownership, the record retains an accountable owner, its supporting evidence and accepted outcome.
  • For evidence schedules, capacity is committed only after prerequisites and the responsible provider are confirmed.
  • For submission review, evidence, reviewer authority and acceptance conditions are visible before a reviewed outcome is accepted.
  • For noncompliance actions, the record retains an accountable owner, its supporting evidence and accepted outcome.
  • For reporting approval, the record retains an accountable owner, its supporting evidence and accepted outcome.
  • For traceable evidence records, evidence, reviewer authority and acceptance conditions are visible before a reviewed outcome is accepted.
  • For operating requirement, the accepted plan records assumptions, rejected alternatives, dependencies and conditions.
  • For operating exceptions, a decision retains its authority, reason, supporting evidence and resulting obligations.
  • For completion and follow-up, evidence, reviewer authority and acceptance conditions are visible before a reviewed outcome is accepted.
  • For controlled operating changes, evidence, reviewer authority and acceptance conditions are visible before a reviewed outcome is accepted.
  • For scoped operational reports, the record retains an accountable owner, its supporting evidence and accepted outcome.

Data, interfaces and operating requirements.

Core records

Obligation / ruleSubject / entityAssessmentAlert / issueReviewDecisionRemediationEvidence
Record fields and linked information
  • Record identifier — Stable reference for the operating transaction.
  • Business unit — Business scope used for responsibility and reporting.
  • Operating subject — The request, commitment or work item being handled.
  • Accountable owner — Named responsibility for the next action.
  • Workflow stage — Current position in the agreed business journey.
  • Review requirement — Required review and outstanding decision.
  • Due or review date — Agreed action window or review trigger.
  • Linked evidence — Source records supporting the operating decision.
  • Decision authority — The delegated authority relevant to the accepted outcome.
  • Accepted outcome — Recorded decision and its business consequences.
  • Follow-up obligation — Remaining responsibilities after an accepted action.
  • Revision history — Trace of accepted changes and their evidence.
  • Reviewed obligation register reference — Link the relevant reviewed obligation register to the operating transaction and its decision evidence.
  • Control ownership reference — Link the relevant control ownership to the operating transaction and its decision evidence.
  • Evidence schedules reference — Link the relevant evidence schedules to the operating transaction and its decision evidence.
  • Submission review reference — Link the relevant submission review to the operating transaction and its decision evidence.
  • Noncompliance actions reference — Link the relevant noncompliance actions to the operating transaction and its decision evidence.

Systems and interfaces

  • Authoritative regulatory change feeds
  • Approved document repositories
  • Jurisdiction-specific reporting interfaces

Interface scope, data mapping and testing are agreed for each engagement.

Implementation requirements
Authoritative regulatory interpretation, change feeds and jurisdiction-specific reporting requirements.

Mobile and tablet access

Review assigned evidence and approve permitted tasks from responsive views.

Access approved workflows through the Dalfin mobile app. Device tasks and permissions are confirmed for the deployment.

Apple App Store ↗Google Play ↗

AI extensions

Organise supplied evidence against reviewer-approved requirements. Regulatory interpretation remains with qualified owners.

AI extensions are scoped around the required data, business outcome and review controls.

Engineered with Genesis.

Structured application engineering

Connect requirements, roles, records, workflows and interfaces through the agreed Genesis engineering process.

Controlled changes

Review dependency impact and validation requirements. Context Memory supports governed changes and accepted application revisions.

Deployment and support

Agree customer cloud or on-premises requirements, device access, implementation acceptance and ongoing engineering support.

AN EXAMPLE OPERATING SCENARIO

What to validate in a scoped demonstration.

A obligation is assigned to a responsible owner with an evidence deadline. A reviewer rejects an incomplete submission, the corrective action is completed and the approved reporting record links back to the interpreted obligation and its evidence.

What to review

  • A saved end-to-end transaction
  • An exception and its authorised resolution
  • Different operator, approver and reviewer permissions
  • Final records, history and the relevant report
Discuss this solution

Questions before implementation.

How is this system adapted to our organisation?

Roles, approval authority, business rules, records and reporting are configured around your operating model. Scope definition connects the required business outcome to workflows, interfaces and acceptance criteria.

How are approvals and responsibilities defined?

Operators, reviewers and authorised decision makers have defined responsibilities. Approval limits, exception handling and access permissions are agreed with your business owners and tested against the selected workflows.

Can it connect with our existing systems?

Interface requirements cover your existing business systems, data ownership, mapping and authentication. Connection design and testing form part of the agreed implementation scope.

What will we review in a solution walkthrough?

Start with a relevant business transaction, then review its approvals, an exception, role permissions and final records. Discuss the integrations, reporting and operating requirements that matter to your organisation.