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- Compliance Management
- Data model
The tables behind Compliance Management
Compliance Management ships with 15 tables, grouped here by the feature that uses them. Every record your team works with lives in one of them, and you can add fields and tables in Proto.
- Tables
- 15
- Features
- 6, plus shared settings
- Change it
- Add fields and tables in Proto
How the model is organised
Organization
Organizations contain business units and team members; Users provide the linked sign-in identity.
Risk and safeguards
Risks belong to business units, and Controls connect to Risks and team members.
Assessment work
Assessments link to Organizations, business units and team members; assessment tests link each check to an Assessment and Control.
Exceptions
Findings connect an Assessment and Control to corrective actions and Retests.
Review and evidence
Regulatory obligations, review decisions, record attachments and operation receipts belong to Assessments.
Every table, by feature
- Obligations4
- Risks and controls6
- Assessments6
- Control testing5
- Findings and remediation6
- Review and evidence6
- Shared and settings1
- Regulatory obligations
A rule or deadline from a regulator that the organization must meet.
Linked to Assessments, Organizations - Assessments
A review project for a period, tracked from planning through approval.
Linked to Organizations, Team members, Business units - Organizations
The company or client entity whose compliance program the team manages here.
- Review decisions
A reviewer's approve or reject call on something submitted for sign-off.
Linked to Assessments, Team members
- Risks
A potential problem the team tracks and rates by how likely and how bad it'd be.
Linked to Business units, Team members - Controls
A safeguard the team relies on to keep a specific risk in check.
Linked to Risks, Team members - Business units
A division or site within the organization that compliance work is organized by.
Linked to Organizations - Team members
A person working in the organization, with their role and status.
Linked to Organizations, Users - Assessment tests
A single test run against a control, showing what was checked and what it found.
Linked to Assessments, Controls - Findings
An issue uncovered during an assessment that the team needs to resolve.
Linked to Assessments, Controls
- Assessments
A review project for a period, tracked from planning through approval.
Linked to Organizations, Team members, Business units - Assessment tests
A single test run against a control, showing what was checked and what it found.
Linked to Assessments, Controls - Findings
An issue uncovered during an assessment that the team needs to resolve.
Linked to Assessments, Controls - Regulatory obligations
A rule or deadline from a regulator that the organization must meet.
Linked to Assessments, Organizations - Record attachments
A file attached to another record as supporting proof or evidence.
Linked to Assessments, Team members - Operation receipts
A log entry confirming an action happened, what changed, and whether it worked.
Linked to Assessments
- Assessment tests
A single test run against a control, showing what was checked and what it found.
Linked to Assessments, Controls - Assessments
A review project for a period, tracked from planning through approval.
Linked to Organizations, Team members, Business units - Controls
A safeguard the team relies on to keep a specific risk in check.
Linked to Risks, Team members - Findings
An issue uncovered during an assessment that the team needs to resolve.
Linked to Assessments, Controls - Retests
A follow-up check confirming a fixed finding actually stayed fixed.
Linked to Findings, Team members
- Findings
An issue uncovered during an assessment that the team needs to resolve.
Linked to Assessments, Controls - Corrective actions
A fix someone owns for a finding, tracked from assignment through completion.
Linked to Findings, Team members - Retests
A follow-up check confirming a fixed finding actually stayed fixed.
Linked to Findings, Team members - Assessments
A review project for a period, tracked from planning through approval.
Linked to Organizations, Team members, Business units - Controls
A safeguard the team relies on to keep a specific risk in check.
Linked to Risks, Team members - Team members
A person working in the organization, with their role and status.
Linked to Organizations, Users
- Review decisions
A reviewer's approve or reject call on something submitted for sign-off.
Linked to Assessments, Team members - Record attachments
A file attached to another record as supporting proof or evidence.
Linked to Assessments, Team members - Operation receipts
A log entry confirming an action happened, what changed, and whether it worked.
Linked to Assessments - Assessments
A review project for a period, tracked from planning through approval.
Linked to Organizations, Team members, Business units - Regulatory obligations
A rule or deadline from a regulator that the organization must meet.
Linked to Assessments, Organizations - Team members
A person working in the organization, with their role and status.
Linked to Organizations, Users
Keys and references
Keep the exact parent and owner references when importing records. Assessment tests.Parent and assessment tests.Control identify both the review and safeguard. Findings.Assessment and Findings.Control do the same for an exception. Corrective actions.Finding and Retests.Finding keep correction and independent follow-up beside that issue. Regulatory obligations.Parent and review decisions.Parent anchor obligation work and decisions to the assessment. Record attachments.Parent and operation receipts.Parent preserve evidence and action outcomes in the same context.
Migration order
- Load Organizations, Users, team members and business units; verify organization and user references.
- Load Risks and Controls with business unit, risk and owner references intact.
- Load Assessments with their organization, owner and business unit references.
- Load regulatory obligations, assessment tests, Findings and record attachments against their parents.
- Load corrective actions, Retests, review decisions and operation receipts after the referenced work exists.
- Compare sample assessment histories across periods before using reports for operating decisions.
Set up Compliance Management your way.
Start free, then use Proto to change fields, steps and approvals before your team goes live.