> ## Documentation Index
> Fetch the complete documentation index at: https://docs.canary.effectiveai.app/llms.txt
> Use this file to discover all available pages before exploring further.

# Managed and reference filings

> What the Managed in Effective and Reference markers mean, and what you can do with each kind of filing.

Every filing in Effective is either **managed** or **reference**. A managed filing is one your
team prepares in Effective: you build its package, check it, stage it to SERFF and answer
objections. A reference filing is kept for context, such as a filing brought in from another
source, and its source information is read-only.

The difference is set when the filing is added and doesn't change later.

## Tell them apart

| You see | Where | Meaning |
| - | - | - |
| A briefcase beside the filing's name | Filings list, filing page header, filing preview panel | Managed |
| A **Reference** badge beside the filing's name | Filings list | Reference |

Hover over the briefcase, or move keyboard focus to it, to see **Managed in Effective**. On a
reference filing, the Overview tab opens with a **Reference filing** notice.

To list only one kind, filter the Filings list by **Filing mode**.

## Work on a managed filing

A managed filing has **Overview**, **Workspace**, **Manage**, **Documents** and **Activity**
tabs. A typical path through them:

1. **Build the package in Workspace.** Workspace lays out the filing's details and its
   schedules, and shows each open note where it applies. The bar at the top counts the open
   notes and objections; use its arrows to step through them. **Resolve in chat** asks
   Effective's agent to work through the open notes together and ask you any questions at once.
2. **Attach documents in Documents.** Upload files and attach them to the filing's schedules.
3. **Run pre-review in Manage.** **Run pre-review** starts every check that applies to the
   filing. Problems become notes on the filing or its documents. After a review finishes, use
   **Rerun all checks**, or **Rerun check** on one check, to check again. A check that could
   not complete explains why when you hover over its status. Overview shows a short summary of
   the latest review; **View checks** opens Manage.
4. **Stage to SERFF.** **Stage to SERFF** in Manage creates a draft of the filing in SERFF.
   Staging doesn't submit it; review and submit the draft in SERFF. Manage shows the filing's
   owner, who is the person who created it. Only the owner can stage, using their own SERFF
   login for the chosen destination: **Production — live SERFF** or **Beta — test
   environment**. Add the login in **Settings → Secrets → Logins** first. When a note needs
   your answer before staging, Manage says so; **Answer in Workspace** takes you to it.
5. **Sync from SERFF** in Manage after submission to bring the filing's SERFF status and
   details back into Effective. Like staging, only the filing's owner can sync, using their own
   SERFF login for the chosen destination, and syncing needs the filing's full SERFF tracking
   number. The filing's SERFF details are listed at the bottom of Manage.
6. **Answer objections.** When a regulator objects, the Overview shows the objection and its
   due date. On the objection, **Run triage** posts a recommended response in each open item's
   discussion.

Approvals, related filings and the history on **Activity** work as they do for other records.

> [!NOTE]
>
> Staging works in SERFF as you, with your login. Choose **Beta — test environment** while you are
> trying a filing out; **Production — live SERFF** creates the draft in your live SERFF account.

## What you can do with a reference filing

A reference filing has no Workspace, Manage or Documents tab; its SERFF details are on
Overview. You can read it, and **View SERFF filing** previews its imported SERFF package in
Effective, where you can also download the package as a ZIP. You can't change its source
information, prepare it, run pre-review, stage it or triage its objections. Trying
to returns a message that reference filing source information is read-only.

You can still edit **Internal context** in Details, which is your team's own notes and is kept
separately from the filing's source information.

## How a filing becomes managed

A filing you create in Effective is managed, whether you create it from the Filings list or
[through the API](/guides/managed-filings/create-filings.md). A filing's mode can't be changed
afterwards, in either direction.

To prepare a filing you only have as a reference filing, create a new managed filing for it.

Some older filings show neither marker. They were added before Effective distinguished managed
and reference filings, and they keep working as they did: they have every tab and you can edit
their details. Pre-review, staging, sync and document uploads need a managed filing, though,
and return "Only managed filings can be prepared". Contact Effective to have one classified.

## Use the API

Filings read through the API include `filingMode`, which is `managed`, `reference`, or `null`
for an unclassified filing. Only managed filings can be edited, prepared or commented on through
the API. See [Read filings](/guides/managed-filings/read-filings.md) and
[Create and edit filings](/guides/managed-filings/create-filings.md).


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