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- Regulatory Change Management
- Data model
The tables behind Regulatory Change Management
Regulatory Change 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
Organizations2, business units2, team members2 and Users2 identify entities, operating units and people.
Change and assessment
Rule changes2 links a publication and organization to Assessments2; assessment periods carry owner and business unit scope.
Risk and control
Risks2 belongs to a business unit; Controls2 links to a risk and owner.
Test and remedy
Assessment tests2 links assessments and controls; Findings2 links both; corrective actions2 and Retests2 follow findings.
Review and evidence
Review decisions2, record attachments2 and operation receipts2 attach review history and evidence to assessments.
Every table, by feature
- Rule Changes5
- Assessments6
- Risks and Controls5
- Testing and Findings6
- Remediation and Retests6
- Review and Evidence6
- Shared and settings1
- Rule changes 2
Incoming regulatory rule changes and implementation plans
Linked to Assessments 2, Organizations 2 - Assessments 2
Impact and control assessment periods per organization and owner
Linked to Organizations 2, Team members 2, Business units 2 - Organizations 2
Regulatory entities operating the change programme
- Review decisions 2
Independent reviewer decisions recorded per source revision
Linked to Assessments 2, Team members 2 - Operation receipts 2
Durable operation receipts for guarded workflow commands
Linked to Assessments 2
- Assessments 2
Impact and control assessment periods per organization and owner
Linked to Organizations 2, Team members 2, Business units 2 - Business units 2
Business units and counterparties in scope for assessment activity
Linked to Organizations 2 - Organizations 2
Regulatory entities operating the change programme
- Assessment tests 2
Individual control test lines recorded against an assessment
Linked to Assessments 2, Controls 2 - Findings 2
Control test findings raised from assessment scope
Linked to Assessments 2, Controls 2 - Review decisions 2
Independent reviewer decisions recorded per source revision
Linked to Assessments 2, Team members 2
- Business units 2
Business units and counterparties in scope for assessment activity
Linked to Organizations 2 - Risks 2
Likelihood and impact risk register per business unit
Linked to Business units 2, Team members 2 - Controls 2
Controls mitigating registered risks
Linked to Risks 2, Team members 2 - Assessment tests 2
Individual control test lines recorded against an assessment
Linked to Assessments 2, Controls 2 - Findings 2
Control test findings raised from assessment scope
Linked to Assessments 2, Controls 2
- Assessment tests 2
Individual control test lines recorded against an assessment
Linked to Assessments 2, Controls 2 - Assessments 2
Impact and control assessment periods per organization and owner
Linked to Organizations 2, Team members 2, Business units 2 - Controls 2
Controls mitigating registered risks
Linked to Risks 2, Team members 2 - Findings 2
Control test findings raised from assessment scope
Linked to Assessments 2, Controls 2 - Corrective actions 2
Remediation actions owned against findings
Linked to Findings 2, Team members 2 - Retests 2
Independent retests confirming remediation
Linked to Findings 2, Team members 2
- Findings 2
Control test findings raised from assessment scope
Linked to Assessments 2, Controls 2 - Corrective actions 2
Remediation actions owned against findings
Linked to Findings 2, Team members 2 - Retests 2
Independent retests confirming remediation
Linked to Findings 2, Team members 2 - Team members 2
Named staff with operational roles and organization membership
Linked to Organizations 2, Users 2 - Controls 2
Controls mitigating registered risks
Linked to Risks 2, Team members 2 - Assessments 2
Impact and control assessment periods per organization and owner
Linked to Organizations 2, Team members 2, Business units 2
- Review decisions 2
Independent reviewer decisions recorded per source revision
Linked to Assessments 2, Team members 2 - Operation receipts 2
Durable operation receipts for guarded workflow commands
Linked to Assessments 2 - Record attachments 2
Uploaded evidence files linked to an assessment
Linked to Assessments 2, Team members 2 - Assessments 2
Impact and control assessment periods per organization and owner
Linked to Organizations 2, Team members 2, Business units 2 - Rule changes 2
Incoming regulatory rule changes and implementation plans
Linked to Assessments 2, Organizations 2 - Team members 2
Named staff with operational roles and organization membership
Linked to Organizations 2, Users 2
Keys and references
Keep organization codes and business unit codes distinct within the operating scope. A rule change’s Parent points to an assessment and its Organization points to the responsible entity. Assessment tests2 uses Parent for its assessment and Control for the examined control. Findings2 points to Assessment and Control. Corrective actions2 and Retests2 each point to Finding. Review decisions2 and operation receipts2 point to the assessment whose revision and action they document. Use the same reference fields consistently when importing related records.
Migration order
- Organizations. Establish entity codes, time zones and active state.
- Membership and business units. Add users, team members and the units each organization operates.
- Risks and controls. Enter owned risks and the controls with their effective dates.
- Assessments and changes. Create assessment scope, then link rule changes to the responsible assessment and organization.
- Operational evidence. Bring test lines, findings, actions, retests, attachments, decisions and receipts with their parent links intact.
Set up Regulatory Change Management your way.
Start free, then use Proto to change fields, steps and approvals before your team goes live.