> ## Documentation Index > Fetch the complete documentation index at: https://docs.bizaxl.com/llms.txt > Use this file to discover all available pages before exploring further. # Compliance Tasks > Track every statutory filing and obligation for each client from assignment to completion, with built-in penalty risk estimation and workflow approvals. **Roles involved:** CA Staff creates and progresses tasks. CA Manager reviews and marks tasks as Filed. CA Partner is escalated to when a task is overdue by more than 7 days. **Upstream dependencies:** A CA Engagement must exist for the client. A Compliance Task Template must exist for the statutory form being tracked. **Downstream:** Filing a compliance task automatically chains the next obligation in the sequence. The task also auto-creates a CA Document Request when it is generated, so document collection starts immediately. *** ## What is a Compliance Task? A compliance task is the unit of work for any statutory filing or obligation. Every return, form, or filing the firm handles for a client lives as a compliance task with its own due date, assignee, and status. Tasks are named automatically in the format **CTASK-YYYY-#####** (for example, CTASK-2025-00143). You never need to assign names manually. Compliance Task list view showing task names, clients, compliance types, due dates, and current status ### How tasks are created Tasks are created in two ways: **Automatically by the obligation engine:** When a CA Engagement becomes Active, the system reads the applicable statutory forms from the engagement's applicability settings and generates a compliance task for each form that falls due in the period. This runs daily in the background and is idempotent: re-running never creates duplicates. **Manually:** A CA Manager or CA Staff member can create a task directly from the Compliance Task list or from within the client's engagement record. Use this for one-off obligations or tasks outside the standard calendar. *** ## Who Uses This Feature | Role | What they do | | -------------- | ------------------------------------------------------------------------------------------------------------------- | | **CA Staff** | Starts work on assigned tasks, prepares the filing, submits for review | | **CA Manager** | Reviews submitted tasks, marks them as Filed, or rejects them back to In Progress | | **CA Partner** | Receives escalation alerts when a task is overdue by 7 or more days | | **CA Client** | Receives reminder notifications; receives an in-app notification when their task reaches the Client Approval status | *** ## Before You Start * The client must have an active CA Engagement. Without it, the obligation engine cannot generate tasks and you cannot link a manual task to the client. * The relevant Compliance Task Template must exist for the form you are tracking. Templates define the recurrence pattern, penalty rate, and reminder schedule. * If you are creating a task manually, confirm with the CA Manager that it is not already auto-generated for the period. Check the Compliance Task list filtered by client and form before creating. *** ## Status Lifecycle A compliance task moves through the following statuses: ``` Pending | v (Start Work - CA Staff) In Progress | v (Submit for Review - CA Staff) Review Pending | v (Mark as Filed - CA Manager) Filed | v (Archive - CA Manager, optional) Archived ``` Two additional statuses are set outside the standard workflow: * **Overdue:** Applied automatically by the system when the due date passes and the task is not yet Filed. * **Waived:** Set manually by the CA Manager (with partner approval) when the obligation is exempt for the period, for example a nil return that does not need to be filed. Compliance task status progression from Pending through Filed, with Overdue and Waived shown as side states *** ## Workflow: Moving a Task Forward ### Step 1: Start Work (Pending to In Progress) **Who:** CA Staff Open the compliance task assigned to you. Confirm the due date and the linked document request. Click **Start Work**. The status moves to **In Progress**. **Path:** CA Practice Management workspace shortcut: Compliance Tasks, or Work section in the portal. Compliance task record in Pending status with the Start Work button visible ### Step 2: Prepare the Filing Work through the filing. As you complete each section: * Use the linked **CA Document Request** to confirm all required documents have been received. A task cannot be reviewed without the documents. * Update the **Remarks** field with any issues, assumptions, or points the reviewer should know about. * Attach any working papers or drafts using the Attachment field. The final filed return will be attached later. ### Step 3: Submit for Review (In Progress to Review Pending) **Who:** CA Staff When the filing is ready for the manager's check, click **Submit for Review**. The status moves to **Review Pending** and the assigned CA Manager receives an in-app notification. Compliance task in Review Pending status with reviewer notification shown ### Step 4: Review and File or Reject (Review Pending to Filed or back to In Progress) **Who:** CA Manager Open the task in Review Pending status. Check the filing details, attached documents, and the **Penalty Risk** figure. Then either: * **Mark as Filed:** Enter the **Filing Date** and **Acknowledgement Number**, attach the filed return or acknowledgement receipt, and click **Mark as Filed**. Status moves to **Filed**. * **Reject:** Click **Reject** and add a note in Remarks explaining what needs to be corrected. Status returns to **In Progress**. The assigned staff member receives a notification. Compliance task in Filed status showing filing date, acknowledgement number, and attached return ### Step 5: Archive (Optional) **Who:** CA Manager Once a filed task is fully closed and no further action is expected, click **Archive**. Archived tasks remain in the system for audit purposes but are excluded from active list views and report counts. *** ## Compliance Task Templates A Compliance Task Template is the reusable master record that describes a recurring statutory obligation. The system reads templates to auto-generate tasks. Staff and managers rarely need to edit templates, but understanding the fields helps you interpret what a task is tracking. **Path:** Compliance Management group in the workspace navigation cards. | Field | Description/Purpose | | --------------------------- | ------------------------------------------------------------------------------------------------------------------------------------------ | | **Task Name** | Human-readable name for this obligation (e.g. "GSTR-1 Monthly Filing"). | | **Compliance Type** | Category: GST, Income Tax, TDS, ROC, Secretarial, Audit, or Other. | | **Form Number** | The statutory form number this template applies to (e.g. GSTR-1, 26Q, AOC-4). | | **Recurrence** | How often this obligation repeats: Monthly, Quarterly, Half-Yearly, or Annual. | | **Due Date Formula** | The rule for calculating the due date from the period end (e.g. "15 days after period end"). | | **Statutory Due Date** | The fixed calendar due date, where applicable (e.g. 11th of each month for GSTR-1 under QRMP). | | **Penalty Per Day** | Penalty amount charged by the authority for each day of delay, used to calculate Penalty Risk. | | **Reminder Days Before** | Number of days before the due date when each reminder should be sent (supports multiple values). | | **Applicable Company Type** | Which entity types this template applies to: Proprietorship, Partnership, LLP, Private Limited, Public Limited, HUF, Individual, or Trust. | *** ## Field Guide | Field | Description/Purpose | | -------------------------- | ---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | | **Client Engagement** | The CA Engagement this task belongs to. Mandatory. Links the task to all client details, GSTIN, PAN, and portal access. | | **Template** | The Compliance Task Template this task was generated from. Auto-populated for auto-generated tasks; select manually for tasks created from scratch. | | **Task Name** | The name of the obligation, inherited from the template (e.g. "GSTR-3B Monthly Filing - April 2025"). | | **Compliance Type** | The statutory category: GST, Income Tax, TDS, ROC, Secretarial, Audit, or Other. Drives filtering in reports and the Command Centre. | | **Statutory Form** | The form being filed, linked to the Statutory Form Catalogue. | | **Form Number** | The form's official reference number (e.g. GSTR-1, 26Q, ITR-3). | | **Due Date** | The filing deadline for this task. Calculated by the obligation engine from the template's due date formula; editable by a CA Manager if the authority extends the deadline. | | **Assigned To** | The CA Staff or CS Executive responsible for this task. Set by Auto-Assign or by the CA Manager. | | **Status** | Current stage in the workflow: Pending, In Progress, Review Pending, Filed, Overdue, Waived, or Archived. | | **Priority** | Urgency level: Low, Medium, High, or Critical. Set manually or automatically. Tasks within 3 days of the due date should be set to Critical. | | **Filing Date** | The actual date the return was filed with the authority. Entered by the CA Manager when marking as Filed. | | **Acknowledgement Number** | The authority-issued reference number confirming the filing was received (e.g. ARN for GST returns). Mandatory before marking Filed. | | **Attachment** | The filed return document, acknowledgement receipt, or challan. Attach when marking as Filed. | | **Penalty Risk** | Auto-calculated estimate of the penalty that would apply if the return were not filed today. Based on the template's penalty-per-day rate and days past the due date. Refreshed daily by the system. | | **Remarks** | Free-text notes for the assignee or reviewer. Use this to flag issues, record assumptions, or communicate rejection reasons. | Compliance task form showing all fields including Compliance Type, Due Date, Assigned To, Status, Penalty Risk, and filing details *** ## Penalty Risk The **Penalty Risk** field shows an auto-calculated estimate of the penalty amount that would apply if the filing is not completed today. The system multiplies the **Penalty Per Day** rate from the template by the number of days past the due date. This is an estimate for planning purposes only. The actual penalty levied by the authority may differ based on waivers, circulars, or revised orders. Do not use this figure in correspondence with clients without verifying it against the current statutory position. The Penalty Avoidance report shows the cumulative penalty avoided across all clients for the period, based on tasks filed on or before the due date. *** ## Automatic Document Request When a compliance task is created (automatically or manually), the system immediately creates a linked **CA Document Request** using the per-form document checklist template. This means the firm can start requesting documents from the client the same day the obligation is generated, without waiting for a staff member to manually trigger the request. The document request status updates automatically as the client uploads documents: * **Open:** No documents received yet. * **Partially Received:** Some documents uploaded, others still pending. * **Received:** All required documents have been uploaded and acknowledged. A task in Review Pending status without a fully received document request is a flag for the reviewer. Check the document request before approving. *** ## Auto-Assignment When tasks are auto-generated by the obligation engine, the system assigns them using one of two methods: 1. **Form-specific default assignee:** If the Compliance Task Template specifies a default assignee for that form, the task goes to that person. 2. **Round-robin:** If no default assignee is set, the system distributes tasks evenly across all CA Staff and CS Executive role holders. A CA Manager can always override the assignment manually from the task record or in bulk from the Command Centre. *** ## Reminders and Escalation ### Reminder cadence The Reminder Engine sends notifications automatically on the following schedule for each compliance task: | Trigger | What happens | | ----------------------------- | -------------------------------------------------------------------------------- | | 7 days before due date (T-7) | Client receives a reminder via their preferred channel (WhatsApp, SMS, or Email) | | 3 days before due date (T-3) | Second reminder sent | | 1 day before due date (T-1) | Urgent reminder sent | | Due date | Final reminder on the day | | Every week after the due date | Weekly overdue reminder until Filed or Waived | Each reminder is logged to prevent duplicates. If a client's preferred channel is not configured, the reminder falls back to an in-app notification on their portal. ### Escalation for overdue tasks If a task reaches **Overdue** status and remains unresolved for 7 or more days after the due date, the Escalation Engine creates a high-priority to-do for the CA Partner. This to-do appears in the partner's task queue and Command Centre view. The partner then decides whether to intervene, reassign, or waive the task. High-priority to-do created for CA Partner showing overdue task details and days overdue *** ## Workspace Access **Desk workspace:** Open the workspace shortcut tile labelled **Compliance Tasks** (orange tile) for one-click access to the task list. The Compliance Tasks navigation card in the Compliance Management group gives the same access. **Portal:** Go to the **Work** section and open **Tasks**. Staff see their own assigned queue. Managers and partners see tasks across all staff and all clients. **Command Centre (portal):** Shows all overdue and due-soon tasks in one view, across the entire firm. Use the Command Centre for daily triage. You can bulk-reassign tasks directly from here. *** ## What Happens After Filing When you mark a task as Filed: 1. The system automatically generates the next task in the obligation chain. For example, filing Form 26Q for Q3 automatically creates the Q4 task with the correct due date. 2. If the filing status reaches **Client Approval** at any point in the chain (for example, for ITR-related tasks), the client receives an in-app notification on their portal prompting them to review and approve. 3. The compliance task's acknowledgement number and filing date are recorded and appear in the Compliance Ageing report, the Client Compliance Health Score, and the Penalty Avoidance report. *** ## Best Practices * **Always fill the Acknowledgement Number when marking as Filed.** An acknowledgement number is proof the filing was accepted by the authority. A filed task without one is incomplete and will show as a gap in audit reviews. * **Set Priority to Critical for tasks within 3 days of the due date.** Critical priority surfaces these tasks at the top of the staff queue and Command Centre, ensuring they are not missed during busy periods. * **Mark Waived only with partner approval.** Waiving a task removes it from the overdue count and stops reminders. Use it only for genuine exemptions (nil return exemption, client in dissolution, etc.) and document the reason in Remarks. * **Never delete an overdue task.** Deleting an overdue task removes the audit trail. If an obligation genuinely no longer applies, mark it Waived or Archived rather than deleting it. * **Check the Penalty Risk field before each review.** A high penalty risk figure is a prompt to prioritise the task immediately. If the penalty estimate is unexpectedly large, verify the penalty-per-day rate in the template before proceeding. * **Use Remarks for everything the reviewer needs to know.** Rejection notes, filing assumptions, exceptions, and client-specific instructions all belong in Remarks. This field is visible to both the assignee and the reviewer throughout the workflow. *** ## Related Features * [Feature Overview](/professional-services/ca-practice-management/feature-overview) for the full map of all compliance modules. * [Workflow Overview](/professional-services/ca-practice-management/workflow-overview) for the end-to-end filing journey. * **CA Document Request** for the document collection process linked to each task. * **GST Returns** for the dedicated GST return preparation and ITC reconciliation workflow. * **Reports and Analytics** for the Compliance Ageing report, Penalty Avoidance report, and Client Compliance Health Score.