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- Trade Compliance
- Data model and import order
The tables behind Trade Compliance
Trade Compliance 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 context:
Organizations, business units, team members and Users identify the entity, counterparty and accountable people.
Risk and controls:
Risks and Controls connect scored exposure to the control tested.
Assessment and testing:
Assessments and assessment tests keep period, scope, result and control together.
Exceptions:
Findings, corrective actions and Retests separate deficiency, repair and independent assurance.
Export decision:
Export reviews connect a shipment review to its parent assessment and organization.
Evidence:
Review decisions, record attachments and operation receipts keep the decision, source material and operation result.
Every table, by feature
- Assessments6
- Control testing5
- Risk and controls5
- Findings and remediation5
- Export reviews5
- Review and evidence5
- Shared and settings1
- Assessments
Compliance assessments covering a defined period and scope
Linked to Organizations, Team members, Business units - Assessment tests
Individual control tests executed within an assessment
Linked to Assessments, Controls - Findings
Deficiencies raised from failed control tests
Linked to Assessments, Controls - Export reviews
Export review records released through authorized review
Linked to Assessments, Organizations - Record attachments
Evidence files attached to assessment records
Linked to Assessments, Team members - Review decisions
Independent reviewer decisions on submitted revisions
Linked to Assessments, Team members
- Assessment tests
Individual control tests executed within an assessment
Linked to Assessments, Controls - Assessments
Compliance assessments covering a defined period and scope
Linked to Organizations, Team members, Business units - Controls
Controls mitigating identified trade compliance risks
Linked to Risks, Team members - Findings
Deficiencies raised from failed control tests
Linked to Assessments, Controls - Record attachments
Evidence files attached to assessment records
Linked to Assessments, Team members
- Risks
Trade compliance risks scored on likelihood and impact
Linked to Business units, Team members - Controls
Controls mitigating identified trade compliance risks
Linked to Risks, Team members - Business units
Counterparties and internal business units in scope
Linked to Organizations - Team members
Compliance personnel and their platform identities
Linked to Users, Organizations - Assessment tests
Individual control tests executed within an assessment
Linked to Assessments, Controls
- Findings
Deficiencies raised from failed control tests
Linked to Assessments, Controls - Corrective actions
Remediation actions assigned against findings
Linked to Findings, Team members - Retests
Independent retests of remediated findings
Linked to Findings, Team members - Controls
Controls mitigating identified trade compliance risks
Linked to Risks, Team members - Assessments
Compliance assessments covering a defined period and scope
Linked to Organizations, Team members, Business units
- Export reviews
Export review records released through authorized review
Linked to Assessments, Organizations - Assessments
Compliance assessments covering a defined period and scope
Linked to Organizations, Team members, Business units - Organizations
Legal entities under trade compliance control
- Record attachments
Evidence files attached to assessment records
Linked to Assessments, Team members - Operation receipts
Durable receipts for guarded workflow operations
Linked to Assessments
- Review decisions
Independent reviewer decisions on submitted revisions
Linked to Assessments, Team members - Record attachments
Evidence files attached to assessment records
Linked to Assessments, Team members - Operation receipts
Durable receipts for guarded workflow operations
Linked to Assessments - Assessments
Compliance assessments covering a defined period and scope
Linked to Organizations, Team members, Business units - Team members
Compliance personnel and their platform identities
Linked to Users, Organizations
Keys and references
Use stable identifiers for organizations and business units. Preserve the assessment record number and revision when importing tests or reviewer decisions. Each test references an assessment and a control. Each finding references an assessment and a control; actions and retests reference the finding. An export review references its assessment and organization. Attachments, decisions and receipts reference the assessment. Reconcile the source revision in every decision against the assessment being examined.
Migration order
- Load Organizations and Users, then team members and business units.
- Load Risks and Controls with their owners and business units.
- Load Assessments and linked assessment tests for a bounded period.
- Load Findings, corrective actions and Retests; reconcile their parent references.
- Load export reviews, record attachments, review decisions and operation receipts; inspect revision and visibility before release.
Set up Trade Compliance your way.
Start free, then use Proto to change fields, steps and approvals before your team goes live.