Compliance Training

1. Overview

Mandatory regulatory training assignment, tracking, and certification: sexual harassment training (CA SB-1343), HIPAA, OSHA, anti-bribery, SOX, GDPR, AML. Masters compliance_assignments and learner_certifications. Realizes COMPLIANCE-TRAIN and CERT-MGMT. Distinct from general LMS course delivery: assignments are mandatory and time-bound, lifecycle includes overdue/waived/expired states with regulator-evidence retention, and ownership typically sits with GRC/Compliance, not L&D.

2. Entity summary

Name	data_object	Description
Compliance Audit Records	compliance_audit_records	Regulator-facing audit records of who completed which training, when, with version and evidence references.
Compliance Regulations	compliance_regulations	Reference table of statutes a tenant is subject to, with jurisdiction, citation, and retention period; each tenant activates its applicable subset.
Compliance Training Assignments	compliance_assignments	Mandatory training assignments tied to a regulation, role, location, or hire event, with due dates and escalation policy.
Compliance Training Campaigns	compliance_training_campaigns	Campaigns that bundle compliance training assignments by audience and due date, such as an annual code-of-conduct cycle.
FDA Part 11 Audit Trails	fda_part11_audit_trails	Tamper-evident, retention-locked audit-trail rows for regulated training, meeting electronic-records requirements.
GxP Training Signoffs	gxp_training_signoffs	Witnessed electronic signatures binding learner, course, content version, and timestamp for regulated life-sciences training.
Harassment Training Acknowledgments	harassment_training_acknowledgements	Statutory acknowledgments that harassment training was completed, carrying a signed timestamp and IP address.
Phishing Simulation Results	phishing_simulation_results	Per-recipient outcomes of a phishing simulation, recording whether each person clicked, reported, or ignored the test message.
Phishing Simulations	phishing_simulations	Configured simulated-phishing campaigns used for security-awareness training and PCI DSS compliance.
Recertification Schedules	recertification_schedules	Recurrence configurations that drive periodic compliance-refresh assignment cycles for regulations like FINRA, HIPAA, and OSHA.
Regulator Filing Exports	regulator_filing_exports	Export artifacts prepared for regulator submissions, such as OSHA 300 logs, FINRA filings, and state rollups.
Training Evidence Records	training_evidence_records	Inspection-ready training evidence packages, bundling the signed roster, certificate hash, content version, and signature record for regulators.
Certifications	learner_certifications	Credentials issued to a worker (internal, vendor, or regulatory), with issue date, expiry, issuing body, and renewal rules. Drives recertification campaigns.
Cost Centers	cost_centers	Organizational units for cost allocation, with code, manager, hierarchy, and currency, driving variance and departmental reporting.
Courses	courses	Learning units such as e-learning modules, videos, live sessions, or blended programs, with format, duration, and prerequisites.
Employees	employees	Canonical records of people currently or formerly employed, carrying identity, employment metadata, and links to position, manager, and org unit.
Org Units	org_units	Nodes in the organizational hierarchy such as divisions, departments, and teams, with manager, cost center alignment, geographic scope, and parent-child links.
Positions	hcm_positions	Approved org slots with role definition, cost center, reporting line, location, and FTE allocation. Each can be open, filled, or eliminated.
Signature Records	signature_records	E-signature envelopes with signing audit trail, IP addresses, provider references, and the signed document, one contract may have many.
Onboarding Tasks	onboarding_tasks	Discrete to-do items within an onboarding journey, each with an assignee, due date, type, and completion state, some triggering handoffs to other systems.
Policy Attestations	policy_attestations	Records that a user read and acknowledged a policy, with timestamp, policy version, medium, and completion evidence.

flowchart TD
  classDef master fill:#d4f4dd,stroke:#27ae60,color:#0b3d20;
  classDef embedded_master fill:#fff4cc,stroke:#c79100,color:#5b4500;
  classDef consumer fill:#e8def8,stroke:#7b1fa2,color:#3a155d;
  classDef platform_builtin fill:#e0e0e0,stroke:#424242,color:#1a1a1a;
  org_units["Org Units"]
  compliance_assignments["Compliance Training Assignments"]
  employees["Employees"]
  cost_centers["Cost Centers"]
  learner_certifications["Certifications"]
  courses["Courses"]
  hcm_positions["Positions"]
  onboarding_tasks["Onboarding Tasks"]
  policy_attestations["Policy Attestations"]
  compliance_training_campaigns["Compliance Training Campaigns"]
  compliance_audit_records["Compliance Audit Records"]
  training_evidence_records["Training Evidence Records"]
  harassment_training_acknowledgements["Harassment Training Acknowledgments"]
  recertification_schedules["Recertification Schedules"]
  regulator_filing_exports["Regulator Filing Exports"]
  signature_records["Signature Records"]
  fda_part11_audit_trails["FDA Part 11 Audit Trails"]
  compliance_regulations["Compliance Regulations"]
  gxp_training_signoffs["GxP Training Signoffs"]
  phishing_simulations["Phishing Simulations"]
  phishing_simulation_results["Phishing Simulation Results"]
  users["Users"]
  compliance_training_campaigns -->|"generates"| compliance_assignments
  compliance_assignments -->|"evidences"| compliance_audit_records
  compliance_audit_records -->|"rolled_into"| training_evidence_records
  training_evidence_records -->|"supplies"| regulator_filing_exports
  compliance_assignments -->|"acknowledged_via"| harassment_training_acknowledgements
  recertification_schedules -->|"triggers"| compliance_training_campaigns
  compliance_assignments -->|"produces"| fda_part11_audit_trails
  org_units -->|"groups"| employees
  org_units -->|"contains"| hcm_positions
  hcm_positions -->|"is_filled_by"| employees
  cost_centers -->|"funds"| org_units
  org_units -->|"maps_to"| cost_centers
  courses -->|"fulfills"| compliance_assignments
  courses -->|"grants"| learner_certifications
  hcm_positions -->|"requires"| compliance_assignments
  org_units -->|"sponsors"| compliance_assignments
  employees -->|"reflected on"| compliance_assignments
  employees -->|"fills"| hcm_positions
  org_units -->|"rolls_up_to"| org_units
  compliance_regulations -->|"is_evidenced_by"| training_evidence_records
  users -->|"owns"| courses
  users -->|"acknowledges"| harassment_training_acknowledgements
  users -->|"audit_trailed_in"| fda_part11_audit_trails
  users -->|"attests to policies"| policy_attestations
  policy_attestations -->|"has attester"| users
  users -->|"signed"| signature_records
  employees -->|"is_linked_to"| users
  users -->|"manages"| hcm_positions
  users -->|"leads"| org_units
  users -->|"owns"| cost_centers
  users -->|"performs"| onboarding_tasks
  users -->|"created"| onboarding_tasks
  users -->|"authors"| courses
  users -->|"must complete"| compliance_assignments
  users -->|"owns"| compliance_assignments
  users -->|"holds"| learner_certifications
  org_units -->|"has members"| users
  class org_units embedded_master;
  class compliance_assignments master;
  class employees embedded_master;
  class cost_centers embedded_master;
  class learner_certifications embedded_master;
  class courses embedded_master;
  class hcm_positions embedded_master;
  class onboarding_tasks consumer;
  class policy_attestations consumer;
  class compliance_training_campaigns master;
  class compliance_audit_records master;
  class training_evidence_records master;
  class harassment_training_acknowledgements master;
  class recertification_schedules master;
  class regulator_filing_exports master;
  class signature_records embedded_master;
  class fda_part11_audit_trails master;
  class compliance_regulations master;
  class gxp_training_signoffs master;
  class phishing_simulations master;
  class phishing_simulation_results master;
  class users platform_builtin;
  style org_units stroke-dasharray:5 5;
  style cost_centers stroke-dasharray:5 5;
  style hcm_positions stroke-dasharray:5 5;
  style onboarding_tasks stroke-dasharray:5 5;
  style policy_attestations stroke-dasharray:5 5;
  style fda_part11_audit_trails stroke-dasharray:5 5;
  style gxp_training_signoffs stroke-dasharray:5 5;
  style phishing_simulations stroke-dasharray:5 5;
  style phishing_simulation_results stroke-dasharray:5 5;

3. Entities catalog

#	data_object	canonical code	singular	plural	role	mastered in	mastered label	necessity	personal_content	entity_type	write tier	notes
1	compliance_audit_records	compliance_audit_records	Compliance Audit Record	Compliance Audit Records	master	-	-	required	yes	operational_workflow	:manage	-
2	compliance_regulations	compliance_regulations	Compliance Regulation	Compliance Regulations	master	-	-	required	-	catalog	:admin	-
3	compliance_assignments	compliance_assignments	Compliance Training Assignment	Compliance Training Assignments	master	-	-	required	yes	operational_workflow	:manage	-
4	compliance_training_campaigns	compliance_training_campaigns	Compliance Training Campaign	Compliance Training Campaigns	master	-	-	required	-	operational_workflow	:manage	-
5	fda_part11_audit_trails	fda_part11_audit_trails	FDA Part 11 Audit Trail	FDA Part 11 Audit Trails	master	-	-	optional	yes	operational_workflow	:manage	-
6	gxp_training_signoffs	gxp_training_signoffs	GxP Training Signoff	GxP Training Signoffs	master	-	-	optional	yes	operational_workflow	:manage	-
7	harassment_training_acknowledgements	harassment_training_acknowledgements	Harassment Training Acknowledgment	Harassment Training Acknowledgments	master	-	-	required	yes	operational_workflow	:manage	-
8	phishing_simulation_results	phishing_simulation_results	Phishing Simulation Result	Phishing Simulation Results	master	-	-	optional	yes	operational_record	:manage	-
9	phishing_simulations	phishing_simulations	Phishing Simulation	Phishing Simulations	master	-	-	optional	-	catalog	:admin	-
10	recertification_schedules	recertification_schedules	Recertification Schedule	Recertification Schedules	master	-	-	required	-	catalog	:admin	-
11	regulator_filing_exports	regulator_filing_exports	Regulator Filing Export	Regulator Filing Exports	master	-	-	required	-	operational_workflow	:manage	-
12	training_evidence_records	training_evidence_records	Training Evidence Record	Training Evidence Records	master	-	-	required	yes	operational_workflow	:manage	-
13	learner_certifications	learner_certifications	Certification	Certifications	embedded_master	lms-credentials	Credentials, Badges and Continuing Education	required	yes	operational_workflow	:manage	-
14	cost_centers	cost_centers	Cost Center	Cost Centers	embedded_master	fin-gl-close	General Ledger and Close	optional	-	catalog	:admin	-
15	courses	courses	Course	Courses	embedded_master	lms-course-delivery	Course Delivery	required	-	operational_workflow	:manage	-
16	employees	employees	Employee	Employees	embedded_master	hcm-core-worker	Core Worker Record	required	yes	operational_workflow	:manage	-
17	org_units	org_units	Org Unit	Org Units	embedded_master	hcm-org-positions	Organization and Position Management	optional	-	operational_workflow	:manage	-
18	hcm_positions	hcm_positions	Position	Positions	embedded_master	hcm-org-positions	Organization and Position Management	optional	-	operational_workflow	:manage	-
19	signature_records	signature_records	Signature Record	Signature Records	embedded_master	clm-repository	Contract Repository	required	yes	operational_workflow	:manage	-
20	onboarding_tasks	onboarding_tasks	Onboarding Task	Onboarding Tasks	consumer	onb-journey-mgmt	Onboarding Journey Management	optional	yes	operational_workflow	:manage	-
21	policy_attestations	policy_attestations	Policy Attestation	Policy Attestations	consumer	-	-	optional	-	operational_workflow	:manage	-

4. Aliases and industry synonyms

(none: no industry-scoped aliases for this scope)

5. Relationships

5.1 Intra-scope edges

from	verb	to	cardinality	kind	necessity	owner_side	delete_mode	fk_format	notes
compliance_training_campaigns	generates	compliance_assignments	one_to_many	composition	required	source	cascade	parent	-
compliance_assignments	evidences	compliance_audit_records	one_to_many	reference	optional	target	clear	reference	-
compliance_audit_records	rolled_into	training_evidence_records	one_to_many	reference	optional	target	clear	reference	-
training_evidence_records	supplies	regulator_filing_exports	many_to_many	association	optional	source	clear	reference	-
compliance_assignments	acknowledged_via	harassment_training_acknowledgements	one_to_many	reference	optional	target	clear	reference	-
recertification_schedules	triggers	compliance_training_campaigns	one_to_many	reference	optional	target	clear	reference	-
compliance_assignments	produces	fda_part11_audit_trails	one_to_many	reference	optional	target	clear	reference	-
org_units	groups	employees	one_to_many	reference	required	source	restrict	reference	-
org_units	contains	hcm_positions	one_to_many	reference	required	source	restrict	reference	-
hcm_positions	is_filled_by	employees	one_to_one	reference	optional	target	clear	reference	-
cost_centers	funds	org_units	one_to_many	reference	required	source	restrict	reference	-
org_units	maps_to	cost_centers	one_to_one	reference	optional	source	clear	reference	-
courses	fulfills	compliance_assignments	one_to_many	reference	optional	source	clear	reference	-
courses	grants	learner_certifications	one_to_many	reference	optional	source	clear	reference	-
hcm_positions	requires	compliance_assignments	one_to_many	reference	optional	source	clear	reference	-
org_units	sponsors	compliance_assignments	one_to_many	reference	optional	source	clear	reference	-
employees	reflected on	compliance_assignments	one_to_many	reference	optional	source	clear	reference	-
employees	fills	hcm_positions	one_to_one	reference	optional	source	clear	reference	-
org_units	rolls_up_to	org_units	one_to_many	reference	optional	source	clear	reference	-
compliance_regulations	is_evidenced_by	training_evidence_records	one_to_many	reference	optional	target	clear	reference	-

5.2 Built-in edges (users and other platform built-ins)

from	verb	to	cardinality	necessity	owner_side	delete_mode	fk_format	notes
users	owns	courses	one_to_many	optional	source	clear	reference	-
users	acknowledges	harassment_training_acknowledgements	one_to_many	required	source	restrict	reference	-
users	audit_trailed_in	fda_part11_audit_trails	one_to_many	optional	source	clear	reference	-
users	attests to policies	policy_attestations	one_to_many	optional	source	clear	reference	-
policy_attestations	has attester	users	many_to_many	required	source	restrict	reference	-
users	signed	signature_records	one_to_many	optional	source	clear	reference	-
employees	is_linked_to	users	one_to_one	optional	target	clear	reference	-
users	manages	hcm_positions	one_to_many	optional	source	clear	reference	-
users	leads	org_units	one_to_many	optional	source	clear	reference	-
users	owns	cost_centers	one_to_many	optional	source	clear	reference	-
users	performs	onboarding_tasks	one_to_many	optional	source	clear	reference	-
users	created	onboarding_tasks	one_to_many	optional	source	clear	reference	-
users	authors	courses	one_to_many	optional	source	clear	reference	-
users	must complete	compliance_assignments	one_to_many	required	source	restrict	reference	-
users	owns	compliance_assignments	one_to_many	optional	source	clear	reference	-
users	holds	learner_certifications	one_to_many	required	source	restrict	reference	-
org_units	has members	users	one_to_many	optional	target	clear	reference	-

5.3 Cross-scope edges

5.3a Outbound from this scope’s masters and contributors

Edges this scope drives: the in-scope endpoint has role of master or contributor.

from	verb	to	cardinality	necessity	delete_mode	fk_format	notes
automated_enrollment_rules	creates	compliance_assignments	one_to_many	optional	none	n/a	-
compliance_assignments	escalates_via	manager_nudges	one_to_many	optional	none	n/a	-
compliance_obligations	tracked by	compliance_assignments	one_to_many	optional	none	n/a	-
compliance_assignments	triggers	iga_provisioning_events	one_to_many	optional	none	n/a	-

5.3b Context edges on embedded shells and consumed entities

Edges the canonical owner drives, shown for context: the in-scope endpoint has role of embedded_master, consumer, or derived.

from	verb	to	cardinality	necessity	delete_mode	fk_format	notes
employees	triggers	iga_provisioning_events	one_to_many	optional	none	n/a	-
employees	finalized by	onboarding_document_collections	one_to_many	optional	none	n/a	-
pre_employees	promotes to	employees	one_to_one	required	none (required-if-present)	n/a	-
legal_holds	identifies_custodians_from	employees	many_to_many	optional	none	n/a	-
legal_advice_records	references	employees	many_to_many	optional	none	n/a	-
employees	is host for	host_assignments	one_to_many	required	none (required-if-present)	n/a	-
courses	has_version	course_versions	one_to_many	required	⚠ audit: required composed child out of scope	n/a	-
courses	classified_as	course_categories	many_to_many	optional	none	n/a	-
courses	tagged_with	course_tags	many_to_many	optional	none	n/a	-
course_catalogs	lists	courses	many_to_many	optional	none	n/a	-
courses	reviewed_via	course_reviews	one_to_many	optional	none	n/a	-
courses	rated_via	course_ratings	one_to_many	optional	none	n/a	-
courses	discussed_in	course_discussions	one_to_many	optional	none	n/a	-
courses	scheduled_as	course_offerings	one_to_many	optional	none	n/a	-
certification_definitions	instantiated_as	learner_certifications	one_to_many	required	none (required-if-present)	n/a	-
certificate_templates	renders	learner_certifications	one_to_many	optional	none	n/a	-
courses	grants	certification_definitions	many_to_many	optional	none	n/a	-
courses	yields_credits_via	continuing_education_credits	many_to_many	optional	none	n/a	-
learning_path_steps	references	courses	one_to_many	optional	none	n/a	-
contingent_workers	converts_to	employees	one_to_one	optional	none	n/a	-
legal_contracts	witnessed_by	signature_records	one_to_many	required	⚠ audit: required composed child out of scope	n/a	-
merit_recommendations	applies to	employees	one_to_one	optional	none	n/a	-
equity_grants	granted to	employees	one_to_one	optional	none	n/a	-
compensation_statements	issued to	employees	one_to_one	optional	none	n/a	-
employees	requests	absence_requests	one_to_many	optional	none	n/a	-
job_profiles	defines	hcm_positions	one_to_many	required	none (required-if-present)	n/a	-
employees	signs	employment_contracts	one_to_many	required	⚠ audit: required composed child out of scope	n/a	-
employees	generates	employment_events	one_to_many	required	⚠ audit: required composed child out of scope	n/a	-
employees	triggers	asset_lifecycle_events	one_to_many	optional	none	n/a	-
employees	holds	skill_profiles	one_to_one	optional	none	n/a	-
org_units	engages	contingent_workers	one_to_many	optional	none	n/a	-
org_units	is_scored_by	engagement_drivers	one_to_many	optional	none	n/a	-
org_units	is_measured_by	people_kpis	one_to_many	optional	none	n/a	-
employees	triggers	service_requests	one_to_many	optional	none	n/a	-
org_units	triggers	iga_entitlement_definitions	one_to_many	optional	none	n/a	-
employees	triggers	pay_runs	one_to_many	optional	none	n/a	-
hcm_positions	spawns	job_requisitions	one_to_many	optional	none	n/a	-
employees	enrolls_in	course_enrollments	one_to_many	optional	none	n/a	-
job_profiles	maps_to	courses	many_to_many	optional	none	n/a	-
employees	becomes	career_aspirations	one_to_one	optional	none	n/a	-
employees	becomes	work_shifts	one_to_many	optional	none	n/a	-
employees	becomes	compensation_statements	one_to_one	optional	none	n/a	-
salary_bands	anchors	hcm_positions	one_to_many	optional	none	n/a	-
employees	triggers	benefit_enrollments	one_to_many	optional	none	n/a	-
employees	triggers	corporate_cards	one_to_many	optional	none	n/a	-
employees	spawns	onboarding_journeys	one_to_one	optional	none	n/a	-
employees	spawns	hr_cases	one_to_many	optional	none	n/a	-
employees	feeds	headcount_plans	one_to_many	optional	none	n/a	-
employees	feeds	agency_time_entries	one_to_many	optional	none	n/a	-
onboarding_stages	contains	onboarding_tasks	one_to_many	required	⚠ audit: required composed child out of scope	n/a	-
employees	onboarded by	onboarding_journeys	one_to_many	required	none (required-if-present)	n/a	-
onboarding_tasks	emits	service_requests	one_to_many	optional	none	n/a	-
onboarding_tasks	triggers	asset_lifecycle_events	one_to_many	optional	none	n/a	-
onboarding_tasks	emits	service_incidents	one_to_many	optional	none	n/a	-
onboarding_tasks	emits	workplace_service_requests	one_to_many	optional	none	n/a	-
onboarding_tasks	spawns	hr_cases	one_to_many	optional	none	n/a	-
onboarding_tasks	spawns	iga_access_requests	one_to_many	optional	none	n/a	-
onboarding_tasks	spawns	course_enrollments	one_to_many	optional	none	n/a	-
courses	sequenced_into	learning_paths	many_to_many	optional	none	n/a	-
courses	enrolled_via	course_enrollments	one_to_many	required	none (required-if-present)	n/a	-
skill_profiles	updated by	learner_certifications	one_to_many	optional	none	n/a	-
cost_centers	funds	course_enrollments	one_to_many	optional	none	n/a	-
employees	reflects	learning_records	one_to_many	optional	none	n/a	-
employees	declares	life_events	one_to_many	optional	none	n/a	-
org_units	sponsors	benefit_plans	many_to_many	optional	none	n/a	-
employees	updated by	life_events	one_to_many	optional	none	n/a	-
survey_campaigns	targets	org_units	many_to_many	optional	none	n/a	-
org_units	owns	action_plans	one_to_many	optional	none	n/a	-
employees	submits	survey_responses	one_to_many	optional	none	n/a	-
employees	flagged on	engagement_drivers	one_to_many	optional	none	n/a	-
employees	reflected on	engagement_drivers	one_to_many	optional	none	n/a	-
employees	raises	hr_cases	one_to_many	required	none (required-if-present)	n/a	-
employees	updated by	hr_cases	one_to_many	optional	none	n/a	-
case_categories	drives	employees	one_to_many	optional	none	n/a	-
envelopes	yields	signature_records	one_to_many	optional	none	n/a	-
contingent_workers	reviewed_against	employees	one_to_one	optional	none	n/a	-
candidates	becomes	employees	one_to_one	required	none (required-if-present)	n/a	-
employees	learns_via	course_enrollments	one_to_many	required	none (required-if-present)	n/a	-
employees	enrolls_in	benefit_enrollments	one_to_many	required	none (required-if-present)	n/a	-
survey_campaigns	targets	employees	many_to_many	optional	none	n/a	-
workforce_scenarios	drives	hcm_positions	one_to_many	required	none (required-if-present)	n/a	-
org_designs	proposes	hcm_positions	one_to_many	required	none (required-if-present)	n/a	-
employees	has	emergency_contacts	one_to_many	required	⚠ audit: required composed child out of scope	n/a	-
employees	has	work_eligibility_documents	one_to_many	required	⚠ audit: required composed child out of scope	n/a	-
employees	has	national_ids	one_to_many	required	⚠ audit: required composed child out of scope	n/a	-
employees	has	worker_addresses	one_to_many	required	⚠ audit: required composed child out of scope	n/a	-
employees	has	employee_dependents	one_to_many	required	⚠ audit: required composed child out of scope	n/a	-
employees	has	worker_change_requests	one_to_many	required	none (required-if-present)	n/a	-
employees	applies_as	candidates	one_to_many	optional	none	n/a	-
employees	is the worker behind	traveler_profiles	one_to_one	optional	none	n/a	-
exit_risk_assessments	assesses	employees	one_to_one	optional	none	n/a	-
insider_risk_cases	concerns	employees	one_to_many	optional	none	n/a	-
frontline_recognitions	recognizes	employees	one_to_many	required	none (required-if-present)	n/a	-
advocate_profiles	represents	employees	one_to_one	required	none (required-if-present)	n/a	-

6. Cross-domain context

6.1 Master consumers (other modules / domains that embed this scope’s masters)

data_object	other module / domain	role	necessity	notes
compliance_assignments	HCM-LIFECYCLE-WORKFLOWS (Employee Lifecycle Workflows) - HCM	consumer	optional	-
compliance_assignments	HRSD-CASE-MGMT (HR Case Management) - HRSD	consumer	optional	-
compliance_assignments	IGA-AUTO-PROVISIONING (IGA Automated Provisioning) - IGA	consumer	optional	Overdue compliance training fires auto-revoke of gated access (e.g. PII data, regulated systems).
compliance_assignments	LMS-AUTOMATION (Learning Automation) - LMS	embedded_master	required	-
compliance_assignments	TRAINING-RECORDS-STARTER (Training Records (Compliance Documentation Starter)) - LMS	embedded_master	required	-
compliance_regulations	TRAINING-RECORDS-STARTER (Training Records (Compliance Documentation Starter)) - LMS	embedded_master	optional	-
fda_part11_audit_trails	TRAINING-RECORDS-STARTER (Training Records (Compliance Documentation Starter)) - LMS	embedded_master	optional	-
harassment_training_acknowledgements	TRAINING-RECORDS-STARTER (Training Records (Compliance Documentation Starter)) - LMS	embedded_master	optional	-
training_evidence_records	TRAINING-RECORDS-STARTER (Training Records (Compliance Documentation Starter)) - LMS	embedded_master	required	-

6.2 Outbound handoffs (events this scope publishes)

source module	target domain	target module	trigger_event	transition	payload	integration	friction	description
LMS-COMPLIANCE-TRAINING	GRC	(domain-level)	compliance_assignment.completed	(lifecycle)	compliance_assignments	event_stream	low	-
LMS-COMPLIANCE-TRAINING	GRC	(domain-level)	compliance_assignment.due	(threshold)	compliance_assignments	event_stream	medium	GRC obligation tracker updates the per-employee compliance status to ‘due’ so the regulator-evidence dashboard reflects the impending breach risk. Drives audit-evidence reporting (e.g., Compliance Operations dashboard).
LMS-COMPLIANCE-TRAINING	GRC	(domain-level)	compliance_assignment.expired	(threshold)	compliance_assignments	event_stream	high	-
LMS-COMPLIANCE-TRAINING	GRC	(domain-level)	compliance_assignment.overdue	(threshold)	compliance_assignments	event_stream	high	Compliance training overdue is a control failure; GRC tracks obligation status, IGA may suspend high-risk access.
LMS-COMPLIANCE-TRAINING	GRC	(domain-level)	training_evidence_record.submitted	(lifecycle)	training_evidence_records	event_stream	low	-
HCM-CORE-WORKER	HRSD	HRSD-CASE-MGMT	employee.terminated	terminated (lifecycle)	employees	event_stream	medium	Termination kicks off offboarding case (exit interview, knowledge transfer, paperwork). Multiple downstream HRSD tasks created.
LMS-COMPLIANCE-TRAINING	HRSD	HRSD-CASE-MGMT	compliance_assignment.due	(threshold)	compliance_assignments	api_call	medium	HR Service Delivery opens (or updates) an employee-facing case/task with the impending obligation, deadline, and link to the assigned course. Failure mode: when an HRSD platform isn’t deployed, the nudge falls back to direct email and the in-tool reminder.
HCM-CORE-WORKER	IGA	IGA-ACCESS-REQUEST	employee.created	created (lifecycle)	employees	api_call	high	New employee in HCM triggers directory account creation and birthright-role assignment in IGA. High friction because role-to-entitlement mappings drift per business unit, and IGA frequently needs additional context (cost center, manager, location) that arrives later in the journey. Same trigger event as the HCM → Onboarding and HCM → Payroll handoffs.
HCM-CORE-WORKER	IGA	IGA-ACCESS-REQUEST	employee.promoted	(lifecycle)	employees	event_stream	high	Promotion (mover event) requires entitlement re-evaluation: add new role access, revoke prior-role access. SoD risk window during transition.
HCM-CORE-WORKER	IGA	IGA-ACCESS-REQUEST	employee.terminated	terminated (lifecycle)	employees	api_call	high	Termination in HCM must immediately revoke identity access in IGA: disable account, remove group memberships, terminate app-level entitlements. Failure modes: contractor terminations not flowing (different HCM table); rehires confuse the de-provisioning idempotency; access lingers after termination is the canonical audit finding.
HCM-ORG-POSITIONS	IGA	IGA-ACCESS-REQUEST	org_unit.created	(state_change)	org_units	event_stream	medium	New org unit drives IGA group/role provisioning. Group-name conventions and ownership must be encoded; otherwise orphan groups proliferate.
HCM-ORG-POSITIONS	IGA	IGA-ACCESS-REQUEST	org_unit.disbanded	(state_change)	org_units	event_stream	high	Org-unit disbandment requires IGA group cleanup; orphan-group risk if employees re-assigned slowly.
HCM-ORG-POSITIONS	IGA	IGA-ACCESS-REQUEST	org_unit.merged	(state_change)	org_units	event_stream	high	Org-unit merge consolidates IGA groups: members migrate, entitlements deduplicated, SoD revalidated. Often runs as a batch project rather than event.
LMS-COMPLIANCE-TRAINING	IGA	IGA-AUTO-PROVISIONING	compliance_assignment.expired	(threshold)	compliance_assignments	api_call	high	-
LMS-COMPLIANCE-TRAINING	IGA	IGA-AUTO-PROVISIONING	compliance_assignment.overdue	(threshold)	compliance_assignments	api_call	high	Severe overdue (PCI, HIPAA, SOX-relevant) may auto-suspend system access pending completion. Alert-without-feedback-loop common.
LMS-CREDENTIALS	IGA	IGA-AUTO-PROVISIONING	learner_certification.expired	(threshold)	learner_certifications	api_call	high	-
LMS-CREDENTIALS	IGA	IGA-AUTO-PROVISIONING	learner_certification.renewed	(lifecycle)	learner_certifications	api_call	medium	-
LMS-CREDENTIALS	IGA	IGA-AUTO-PROVISIONING	learner_certification.revoked	(lifecycle)	learner_certifications	api_call	high	-
HCM-CORE-WORKER	HCM	HCM-LIFECYCLE-WORKFLOWS	employee.created	created (lifecycle)	employees	lifecycle_progression	low	New worker record surfaces in self-service: manager dashboard, new-hire welcome surface, lifecycle task inbox. In-process state read; no message bus.
HCM-CORE-WORKER	HCM	HCM-LIFECYCLE-WORKFLOWS	employee.terminated	terminated (lifecycle)	employees	lifecycle_progression	low	Termination drives the offboarding self-service flow: exit-interview prompt, equipment-return task, knowledge-handoff surfaces in the lifecycle workflow module.
LMS-COMPLIANCE-TRAINING	HCM	HCM-LIFECYCLE-WORKFLOWS	compliance_assignment.due	(threshold)	compliance_assignments	event_stream	medium	Compliance assignment due-date nudges to HCM-mastered manager/employee record. HCM surfaces the impending obligation on the employee profile and routes a reminder to the line manager.
HCM-CORE-WORKER	PAYROLL	PAYROLL-RUN	employee.created	created (lifecycle)	employees	api_call	medium	New employee in HCM triggers comp profile activation in Payroll: gross-to-net rules selected by jurisdiction, deductions initialised, bank account and tax setup collected via Onboarding flow. Same trigger event as the HCM → Onboarding handoff; both subscribe to the employee.created event.
HCM-CORE-WORKER	PAYROLL	PAYROLL-RUN	employee.promoted	(lifecycle)	employees	event_stream	medium	Promotion typically includes salary change. Effective-dated change must flow to PAYROLL with retroactive handling.
HCM-CORE-WORKER	PAYROLL	PAYROLL-RUN	employee.terminated	terminated (lifecycle)	employees	event_stream	high	Termination drives final pay (severance, accrued PTO payout, prorated bonus). Cross-vendor stack when HCM and PAYROLL are different vendors; retro-adjustments are common.
HCM-ORG-POSITIONS	ATS	ATS-RECRUITMENT-PIPELINE	hcm_position.approved	(state_change)	hcm_positions	api_call	medium	-
HCM-ORG-POSITIONS	ATS	ATS-RECRUITMENT-PIPELINE	hcm_position.approved_for_creation	approved_for_creation (lifecycle)	hcm_positions	event_stream	medium	Approved position flows to ATS as the basis for a requisition. Approval state must be in sync to avoid requisitions opened against unapproved positions.
HCM-ORG-POSITIONS	ATS	ATS-RECRUITMENT-PIPELINE	hcm_position.eliminated	(state_change)	hcm_positions	api_call	high	-
HCM-ORG-POSITIONS	ATS	ATS-RECRUITMENT-PIPELINE	hcm_position.filled	(state_change)	hcm_positions	api_call	medium	-
HCM-ORG-POSITIONS	ATS	ATS-RECRUITMENT-PIPELINE	hcm_position.frozen	(state_change)	hcm_positions	api_call	high	-
HCM-ORG-POSITIONS	ATS	ATS-RECRUITMENT-PIPELINE	hcm_position.opened	(state_change)	hcm_positions	api_call	medium	-
HCM-ORG-POSITIONS	ATS	ATS-RECRUITMENT-PIPELINE	org_unit.activated	(state_change)	org_units	api_call	low	-
HCM-ORG-POSITIONS	ATS	ATS-RECRUITMENT-PIPELINE	org_unit.closed	(state_change)	org_units	api_call	high	-
HCM-ORG-POSITIONS	ATS	ATS-RECRUITMENT-PIPELINE	org_unit.created	(state_change)	org_units	api_call	medium	-
HCM-ORG-POSITIONS	ATS	ATS-RECRUITMENT-PIPELINE	org_unit.disbanded	(state_change)	org_units	api_call	high	-
HCM-ORG-POSITIONS	ATS	ATS-RECRUITMENT-PIPELINE	org_unit.merged	(state_change)	org_units	api_call	high	-
HCM-ORG-POSITIONS	ATS	ATS-RECRUITMENT-PIPELINE	org_unit.reorganized	(state_change)	org_units	api_call	high	-
LMS-COMPLIANCE-TRAINING	LMS	LMS-AUTOMATION	compliance_assignment.overdue	(threshold)	compliance_assignments	lifecycle_progression	low	-
LMS-COMPLIANCE-TRAINING	LMS	LMS-AUTOMATION	compliance_training_campaign.launched	(lifecycle)	compliance_training_campaigns	lifecycle_progression	low	-
HCM-CORE-WORKER	TALENT-MGMT	TALENT-PERFORMANCE-MGMT	employee.created	created (lifecycle)	employees	api_call	low	New employee triggers talent-profile initialisation in Talent Management: career aspirations, mobility preferences, skills profile stubs. Same employee.created trigger as Onboarding / Payroll / IGA handoffs.
HCM-CORE-WORKER	TALENT-MGMT	TALENT-PERFORMANCE-MGMT	employee.promoted	(lifecycle)	employees	event_stream	low	Promotion updates succession-plan slots and 9-box placement context.
HCM-CORE-WORKER	WFM	(domain-level)	employee.created	created (lifecycle)	employees	event_stream	low	New employee provisioned in HCM becomes a schedulable resource in WFM - identity, position, base FTE. Mid-shift onboarding and badge-binding are typical edge cases.
HCM-CORE-WORKER	COMP-MGMT	COMP-PLANNING	employee.created	created (lifecycle)	employees	event_stream	low	New-hire creation provides compensation basis. Bands and grades attach via job profile.
HCM-CORE-WORKER	COMP-MGMT	COMP-PLANNING	employee.promoted	(lifecycle)	employees	event_stream	low	Promotion event triggers off-cycle compensation review (eligibility, band placement, increase recommendation) in COMP-MGMT.
HCM-ORG-POSITIONS	COMP-MGMT	COMP-PLANNING	hcm_position.approved_for_creation	approved_for_creation (lifecycle)	hcm_positions	event_stream	low	Approved position carries grade/band, anchoring offer-comp generation.
HCM-CORE-WORKER	BEN-ADMIN	BEN-ENROLLMENT	employee.created	created (lifecycle)	employees	event_stream	medium	New-hire creation seeds benefits eligibility (waiting periods, default elections). Drives carrier feed setup at end of new-hire window.
HCM-CORE-WORKER	BEN-ADMIN	BEN-ENROLLMENT	employee.terminated	terminated (lifecycle)	employees	event_stream	high	Termination triggers benefits termination, COBRA / equivalent notices, and dependent coverage decisions. Late notifications cause coverage gaps.
HCM-ORG-POSITIONS	FIN	(domain-level)	org_unit.created	(state_change)	org_units	api_call	medium	New org unit usually maps to cost-center; ERP-FIN must reflect the structure for budgeting and labor allocation.
FIN-GL-CLOSE	EPM	(domain-level)	cost_center.created	(lifecycle)	cost_centers	event_stream	low	New cost centers get a plan slot in EPM.
HCM-CORE-WORKER	EXPENSE	(domain-level)	employee.terminated	terminated (lifecycle)	employees	event_stream	medium	Termination triggers EXPENSE corporate-card deactivation and outstanding-report close-out.
HCM-CORE-WORKER	PSA	PSA-PROJECT-DELIVERY	employee.terminated	terminated (lifecycle)	employees	event_stream	medium	Terminated employee may be the assignee on open project_tasks. PROJECT-DELIVERY needs to surface affected tasks for reassignment or completion handover.
HCM-CORE-WORKER	PSA	PSA-RESOURCE-MGMT	attrition_risk.high	(state_change)	employees	event_stream	high	ML attrition score crosses high threshold. PSA resource managers may proactively rebalance assignments away from at-risk consultants on critical engagements. High friction: probabilistic→deterministic pattern (score requires judgment call), false-positive volume can swamp the staffing queue.
HCM-CORE-WORKER	PSA	PSA-RESOURCE-MGMT	employee.created	created (lifecycle)	employees	event_stream	low	New consultant hired. PSA resource pool adds the employee as available capacity; skill inventory record is seeded for downstream certifications.
HCM-CORE-WORKER	PSA	PSA-RESOURCE-MGMT	employee.promoted	(lifecycle)	employees	event_stream	low	Consultant promoted (level / job profile change). PSA reevaluates billable rate band and skill inventory; existing project_assignments may need rate revision.
HCM-CORE-WORKER	PSA	PSA-RESOURCE-MGMT	employee.terminated	terminated (lifecycle)	employees	event_stream	medium	Consultant terminated. PSA must release any active project_assignments, return capacity to bench and re-allocate forecast. Medium friction: leaver-event timing varies (immediate vs notice period) and active assignments may need urgent rebalancing.
LMS-COURSE-DELIVERY	SKILLS-MGMT	SKILLS-MGMT-PROFILE	course.published	(lifecycle)	courses	lifecycle_progression	low	-
LMS-COMPLIANCE-TRAINING	SKILLS-MGMT	SKILLS-MGMT-PROFILE	learner_certification.earned	(lifecycle)	learner_certifications	lifecycle_progression	low	-

6.3 Inbound handoffs (events this scope reacts to)

target module	source domain	source module	trigger_event	transition	payload	integration	friction	description
CLM-REPOSITORY	CLM	CLM-NEGOTIATION	signature_record.completed	(state_change)	signature_records	lifecycle_progression	low	Signature envelope completion in negotiation hands the executed envelope to the repository for persistence. Intra-domain lifecycle progression; the signed document gets indexed and the linked legal_contract transitions out_for_signature -> signed.
HCM-CORE-WORKER	ATS	ATS-CANDIDATE-CRM	candidate.hired	hired (lifecycle)	employees	event_stream	medium	Candidate-to-employee conversion: hired candidate from ATS triggers employee-record creation in HCM. Field mapping (candidate → employee) is rarely perfect; missing fields (legal name spelling, work-eligibility detail, tax IDs) get collected in the Onboarding journey and back-filled into HCM.
HCM-CORE-WORKER	COMP-MGMT	COMP-PLANNING	merit_cycle.approved	approved (state_change)	employees	event_stream	low	Cycle-close pay-rate changes post to the worker record (base salary, bonus target, equity guideline).
HCM-CORE-WORKER	EMP-EXP	EMP-EXP-CONTINUOUS-LISTEN	attrition_risk.high	(state_change)	employees	api_call	high	Attrition-risk inference from engagement signals surfaces to managers via HCM dashboards. Probabilistic-signal → deterministic-action pattern: a risk score is not a directive; intervention is gated by manager judgment, data-privacy rules (anonymity floor), and DEI-bias concerns.
HCM-CORE-WORKER	PA	PA-PREDICTIVE-MODELS	attrition_risk.high	(state_change)	employees	event_stream	high	Flight-risk score flagged on employee; HR-business-partner motion required. Probabilistic-signal-to-deterministic-action friction shape; false-positive volume drives mistrust.
HCM-CORE-WORKER	MDM	(domain-level)	employee_golden_record.created	active (lifecycle)	employees	api_call	medium	Resolved identity → HCM links operational HR record.
LMS-COMPLIANCE-TRAINING	GRC	(domain-level)	compliance_policy.updated	published → republished (state_change)	policy_attestations	api_call	medium	Policy version triggers LMS compliance-training requirement for scoped users.
LMS-COMPLIANCE-TRAINING	LMS	LMS-COURSE-DELIVERY	course.published	(lifecycle)	courses	lifecycle_progression	low	-
LMS-COMPLIANCE-TRAINING	ONBOARDING	ONB-JOURNEY-MGMT	task.compliance_training_required	(state_change)	onboarding_tasks	api_call	medium	Compliance training items (security awareness, anti-harassment, HIPAA, country-specific code-of-conduct, role-specific certifications) trigger LMS enrollments. LMS masters the enrollment record and completion certificate; Onboarding consumes the completion event to close out its task. Friction sits in keeping the training catalog mapped to roles/jurisdictions.

6.4 Master providers (modules / domains that own masters this scope embeds)

data_object	role here	necessity	canonical owner(s)	slice notes
cost_centers	embedded_master	optional	FIN-GL-CLOSE (FIN)	-
courses	embedded_master	required	LMS-COURSE-DELIVERY (LMS)	-
employees	embedded_master	required	HCM-CORE-WORKER (HCM)	-
hcm_positions	embedded_master	optional	HCM-ORG-POSITIONS (HCM)	-
learner_certifications	embedded_master	required	LMS-CREDENTIALS (LMS)	-
org_units	embedded_master	optional	HCM-ORG-POSITIONS (HCM)	-
signature_records	embedded_master	required	CLM-REPOSITORY (CLM)	-
onboarding_tasks	consumer	optional	ONB-JOURNEY-MGMT (ONBOARDING)	-
policy_attestations	consumer	optional	(no canonical owner recorded)	-

7. Lifecycle states

compliance_assignments (Compliance Training Assignment)

order	state_name	initial?	terminal?	requires_permission?	derived gate	description
1	assigned	✓	-	-	-	Mandatory training assignment created for a learner with due date.
2	in_progress	-	-	-	-	Learner has started the underlying course or activity.
3	completed	-	✓	✓	lms-compliance-training:complete	Learner finished the assignment within the due window.
4	overdue	-	-	-	-	Due date passed without completion and escalation policy engaged.
5	waived	-	✓	✓	lms-compliance-training:waive	Assignment formally waived by compliance owner with audit reason.
6	expired	-	✓	✓	lms-compliance-training:expire	Assignment closed unmet at the regulatory deadline.

compliance_audit_records (Compliance Audit Record)

order	state_name	initial?	terminal?	requires_permission?	derived gate	description
1	recorded	✓	-	-	-	-
2	validated	-	-	✓	lms-compliance-training:validate	-
3	submitted	-	-	✓	lms-compliance-training:submit	-
4	archived	-	✓	✓	lms-compliance-training:archive	-

compliance_training_campaigns (Compliance Training Campaign)

order	state_name	initial?	terminal?	requires_permission?	derived gate	description
1	draft	✓	-	-	-	-
2	scheduled	-	-	✓	lms-compliance-training:schedule	-
3	running	-	-	-	-	-
4	completed	-	✓	✓	lms-compliance-training:complete	-
5	canceled	-	✓	✓	lms-compliance-training:cancel	-

courses (Course)

This scope holds courses as embedded_master; the canonical state machine is owned by LMS-COURSE-DELIVERY.

order	state_name	initial?	terminal?	requires_permission?	derived gate	description
1	draft	✓	-	-	-	Course being authored by an instructional designer or SME.
2	in_review	-	-	-	-	Content under review by L&D or compliance reviewers.
3	published	-	-	✓	lms-compliance-training:publish	Course released to the catalog and available for enrollment.
4	retired	-	✓	✓	lms-compliance-training:retire	Course removed from the catalog and kept for historical transcripts.

employees (Employee)

This scope holds employees as embedded_master; the canonical state machine is owned by HCM-CORE-WORKER.

order	state_name	initial?	terminal?	requires_permission?	derived gate	description
1	draft	✓	-	-	-	Pre-hire stub created during requisition or onboarding handoff; not yet a worker of record.
2	active	-	-	✓	lms-compliance-training:active_employee	Worker is currently employed and appears in headcount, payroll eligibility, and directory feeds.
3	on_leave	-	-	✓	lms-compliance-training:on_leave_employee	Employee is on approved leave (parental, medical, sabbatical); active record but suppressed from some downstream feeds.
4	suspended	-	-	✓	lms-compliance-training:suspended_employee	Employment temporarily halted (investigation, disciplinary); pay and access may be paused.
5	terminated	-	✓	✓	lms-compliance-training:terminated_employee	Employment ended (voluntary or involuntary); final pay processed, access deprovisioned.

fda_part11_audit_trails (FDA Part 11 Audit Trail)

order	state_name	initial?	terminal?	requires_permission?	derived gate	description
1	recorded	✓	-	-	-	-
2	validated	-	-	✓	lms-compliance-training:validate	-
3	archived	-	✓	✓	lms-compliance-training:archive	-

gxp_training_signoffs (GxP Training Signoff)

order	state_name	initial?	terminal?	requires_permission?	derived gate	description
1	pending	✓	-	-	-	-
2	signed	-	-	✓	lms-compliance-training:sign	-
3	locked	-	✓	✓	lms-compliance-training:lock	-

harassment_training_acknowledgements (Harassment Training Acknowledgment)

order	state_name	initial?	terminal?	requires_permission?	derived gate	description
1	pending	✓	-	-	-	-
2	acknowledged	-	-	✓	lms-compliance-training:acknowledge	-
3	archived	-	✓	✓	lms-compliance-training:archive	-

hcm_positions (Position)

This scope holds hcm_positions as embedded_master; the canonical state machine is owned by HCM-ORG-POSITIONS.

order	state_name	initial?	terminal?	requires_permission?	derived gate	description
1	proposed	✓	-	-	-	Position has been designed but not yet approved against the headcount plan.
2	approved	-	-	✓	lms-compliance-training:approved_position	Cleared by headcount/finance owner; eligible to spawn a requisition.
3	open	-	-	✓	lms-compliance-training:open_position	Approved and actively being recruited against; not yet filled.
4	filled	-	-	✓	lms-compliance-training:filled_position	An employee occupies the position.
5	frozen	-	-	✓	lms-compliance-training:frozen_position	Temporarily not fillable (hiring freeze, budget hold); retains the slot.
6	eliminated	-	✓	✓	lms-compliance-training:eliminated_position	Removed from the org structure permanently.

learner_certifications (Certification)

This scope holds learner_certifications as embedded_master; the canonical state machine is owned by LMS-CREDENTIALS.

order	state_name	initial?	terminal?	requires_permission?	derived gate	description
1	issued	✓	-	✓	lms-compliance-training:issue	Credential awarded to the learner with issue and expiry dates.
2	active	-	-	-	-	Credential in force and valid for compliance or role requirements.
3	renewing	-	-	-	-	Recertification campaign engaged before expiry.
4	renewed	-	-	✓	lms-compliance-training:renew	Credential renewed with a fresh validity window.
5	expired	-	✓	-	-	Credential past its expiry date and no longer valid.
6	revoked	-	✓	✓	lms-compliance-training:revoke	Credential withdrawn by the issuing body or L&D for cause.

onboarding_tasks (Onboarding Task)

This scope holds onboarding_tasks as consumer; the canonical state machine is owned by ONB-JOURNEY-MGMT.

order	state_name	initial?	terminal?	requires_permission?	derived gate	description
1	pending	✓	-	-	-	Task assigned; due date set; not yet started.
2	in_progress	-	-	-	-	Assignee has started work or partial evidence captured.
3	completed	-	✓	✓	onb-journey-mgmt:completed_onboarding_task	Task done; evidence (form, acknowledgment, signature, ticket id) captured.
4	skipped	-	✓	✓	onb-journey-mgmt:skipped_onboarding_task	Task waived by manager/HR for this journey.
5	canceled	-	✓	✓	onb-journey-mgmt:canceled_onboarding_task	Task voided (journey canceled, prerequisite removed).

org_units (Org Unit)

This scope holds org_units as embedded_master; the canonical state machine is owned by HCM-ORG-POSITIONS.

order	state_name	initial?	terminal?	requires_permission?	derived gate	description
1	draft	✓	-	-	-	Org unit defined as part of a future structure; not yet operational.
2	active	-	-	✓	lms-compliance-training:active_org_unit	Operational unit; carries headcount, cost-center linkage, and reporting lines.
3	reorganized	-	✓	✓	lms-compliance-training:reorganized_org_unit	Unit folded into or replaced by a new structure; references remain for history.
4	closed	-	✓	✓	lms-compliance-training:closed_org_unit	Unit dissolved; no employees or positions reside in it.

phishing_simulations (Phishing Simulation)

order	state_name	initial?	terminal?	requires_permission?	derived gate	description
1	draft	✓	-	-	-	-
2	launched	-	-	✓	lms-compliance-training:launch	-
3	closed	-	✓	✓	lms-compliance-training:close	-

regulator_filing_exports (Regulator Filing Export)

order	state_name	initial?	terminal?	requires_permission?	derived gate	description
1	drafted	✓	-	-	-	-
2	finalized	-	-	✓	lms-compliance-training:finalize	-
3	filed	-	-	✓	lms-compliance-training:file	-
4	archived	-	✓	✓	lms-compliance-training:archive	-

signature_records (Signature Record)

This scope holds signature_records as embedded_master; the canonical state machine is owned by CLM-REPOSITORY.

order	state_name	initial?	terminal?	requires_permission?	derived gate	description
10	pending	✓	-	-	-	Signature envelope created but not yet dispatched.
20	sent	-	-	-	-	Envelope dispatched to first signer(s); awaiting first signature.
30	in_progress	-	-	-	-	One or more signers have signed; others remain.
40	completed	-	✓	-	-	All required signers have signed. The signed contract document is persisted. Terminal positive outcome.
50	declined	-	✓	-	-	A signer declined to sign. Envelope is terminal; a new envelope can be created if negotiation re-opens.
60	voided	-	✓	✓	lms-compliance-training:void_signature_record	Sender voided the envelope before all signers completed. Terminal.

training_evidence_records (Training Evidence Record)

order	state_name	initial?	terminal?	requires_permission?	derived gate	description
1	drafted	✓	-	-	-	-
2	finalized	-	-	✓	lms-compliance-training:finalize	-
3	submitted	-	-	✓	lms-compliance-training:submit	-
4	archived	-	✓	✓	lms-compliance-training:archive	-

8. Permissions and business rules (derived)

8.1 Permissions

permission	tier	description	included in :admin?
lms-compliance-training:read	baseline-read	Read access to every entity in the module	✓
lms-compliance-training:manage	baseline-manage	Edit operational records	✓
lms-compliance-training:admin	baseline-admin	Edit reference data and inherit every workflow gate below	-
lms-compliance-training:active_employee	workflow-gate (lifecycle)	Transition employees into state active	✓
lms-compliance-training:on_leave_employee	workflow-gate (lifecycle)	Transition employees into state on_leave	✓
lms-compliance-training:suspended_employee	workflow-gate (lifecycle)	Transition employees into state suspended	✓
lms-compliance-training:terminated_employee	workflow-gate (lifecycle)	Transition employees into state terminated	✓
lms-compliance-training:approved_position	workflow-gate (lifecycle)	Transition hcm_positions into state approved	✓
lms-compliance-training:open_position	workflow-gate (lifecycle)	Transition hcm_positions into state open	✓
lms-compliance-training:filled_position	workflow-gate (lifecycle)	Transition hcm_positions into state filled	✓
lms-compliance-training:frozen_position	workflow-gate (lifecycle)	Transition hcm_positions into state frozen	✓
lms-compliance-training:eliminated_position	workflow-gate (lifecycle)	Transition hcm_positions into state eliminated	✓
lms-compliance-training:active_org_unit	workflow-gate (lifecycle)	Transition org_units into state active	✓
lms-compliance-training:reorganized_org_unit	workflow-gate (lifecycle)	Transition org_units into state reorganized	✓
lms-compliance-training:closed_org_unit	workflow-gate (lifecycle)	Transition org_units into state closed	✓
lms-compliance-training:void_signature_record	workflow-gate (lifecycle)	Transition signature_records into state voided	✓
lms-compliance-training:publish	workflow-gate (lifecycle)	Transition courses into state published	✓
lms-compliance-training:retire	workflow-gate (lifecycle)	Transition courses into state retired	✓
lms-compliance-training:issue	workflow-gate (lifecycle)	Transition learner_certifications into state issued	✓
lms-compliance-training:renew	workflow-gate (lifecycle)	Transition learner_certifications into state renewed	✓
lms-compliance-training:revoke	workflow-gate (lifecycle)	Transition learner_certifications into state revoked	✓
lms-compliance-training:complete	workflow-gate (lifecycle)	Transition compliance_assignments into state completed	✓
lms-compliance-training:waive	workflow-gate (lifecycle)	Transition compliance_assignments into state waived	✓
lms-compliance-training:expire	workflow-gate (lifecycle)	Transition compliance_assignments into state expired	✓
lms-compliance-training:schedule	workflow-gate (lifecycle)	Transition compliance_training_campaigns into state scheduled	✓
lms-compliance-training:cancel	workflow-gate (lifecycle)	Transition compliance_training_campaigns into state canceled	✓
lms-compliance-training:validate	workflow-gate (lifecycle)	Transition compliance_audit_records into state validated	✓
lms-compliance-training:submit	workflow-gate (lifecycle)	Transition compliance_audit_records into state submitted	✓
lms-compliance-training:archive	workflow-gate (lifecycle)	Transition compliance_audit_records into state archived	✓
lms-compliance-training:finalize	workflow-gate (lifecycle)	Transition training_evidence_records into state finalized	✓
lms-compliance-training:acknowledge	workflow-gate (lifecycle)	Transition harassment_training_acknowledgements into state acknowledged	✓
lms-compliance-training:file	workflow-gate (lifecycle)	Transition regulator_filing_exports into state filed	✓
lms-compliance-training:sign	workflow-gate (lifecycle)	Transition gxp_training_signoffs into state signed	✓
lms-compliance-training:lock	workflow-gate (lifecycle)	Transition gxp_training_signoffs into state locked	✓
lms-compliance-training:launch	workflow-gate (lifecycle)	Transition phishing_simulations into state launched	✓
lms-compliance-training:close	workflow-gate (lifecycle)	Transition phishing_simulations into state closed	✓
lms-compliance-training:view_all_compliance_training_assignments	override (personal_content)	View all compliance_assignments rows beyond row-scope	✓
lms-compliance-training:manage_all_compliance_training_assignments	override (personal_content)	Manage all compliance_assignments rows beyond row-scope	✓
lms-compliance-training:view_all_employees	override (personal_content)	View all employees rows beyond row-scope	✓
lms-compliance-training:manage_all_employees	override (personal_content)	Manage all employees rows beyond row-scope	✓
lms-compliance-training:view_all_certifications	override (personal_content)	View all learner_certifications rows beyond row-scope	✓
lms-compliance-training:manage_all_certifications	override (personal_content)	Manage all learner_certifications rows beyond row-scope	✓
lms-compliance-training:view_all_compliance_audit_records	override (personal_content)	View all compliance_audit_records rows beyond row-scope	✓
lms-compliance-training:manage_all_compliance_audit_records	override (personal_content)	Manage all compliance_audit_records rows beyond row-scope	✓
lms-compliance-training:view_all_training_evidence_records	override (personal_content)	View all training_evidence_records rows beyond row-scope	✓
lms-compliance-training:manage_all_training_evidence_records	override (personal_content)	Manage all training_evidence_records rows beyond row-scope	✓
lms-compliance-training:view_all_harassment_training_acknowledgments	override (personal_content)	View all harassment_training_acknowledgements rows beyond row-scope	✓
lms-compliance-training:manage_all_harassment_training_acknowledgments	override (personal_content)	Manage all harassment_training_acknowledgements rows beyond row-scope	✓
lms-compliance-training:view_all_signature_records	override (personal_content)	View all signature_records rows beyond row-scope	✓
lms-compliance-training:manage_all_signature_records	override (personal_content)	Manage all signature_records rows beyond row-scope	✓
lms-compliance-training:view_all_fda_part_11_audit_trails	override (personal_content)	View all fda_part11_audit_trails rows beyond row-scope	✓
lms-compliance-training:manage_all_fda_part_11_audit_trails	override (personal_content)	Manage all fda_part11_audit_trails rows beyond row-scope	✓
lms-compliance-training:view_all_gxp_training_signoffs	override (personal_content)	View all gxp_training_signoffs rows beyond row-scope	✓
lms-compliance-training:manage_all_gxp_training_signoffs	override (personal_content)	Manage all gxp_training_signoffs rows beyond row-scope	✓
lms-compliance-training:view_all_phishing_simulation_results	override (personal_content)	View all phishing_simulation_results rows beyond row-scope	✓
lms-compliance-training:manage_all_phishing_simulation_results	override (personal_content)	Manage all phishing_simulation_results rows beyond row-scope	✓

8.2 Business rules

rule_name	data_object	source flag	intent
compliance_training_assignment_edit_scope	compliance_assignments	has_personal_content	Row-scope by default; override via lms-compliance-training:view_all_compliance_training_assignments / lms-compliance-training:manage_all_compliance_training_assignments
employee_edit_scope	employees	has_personal_content	Row-scope by default; override via lms-compliance-training:view_all_employees / lms-compliance-training:manage_all_employees
certification_edit_scope	learner_certifications	has_personal_content	Row-scope by default; override via lms-compliance-training:view_all_certifications / lms-compliance-training:manage_all_certifications
compliance_audit_record_edit_scope	compliance_audit_records	has_personal_content	Row-scope by default; override via lms-compliance-training:view_all_compliance_audit_records / lms-compliance-training:manage_all_compliance_audit_records
training_evidence_record_edit_scope	training_evidence_records	has_personal_content	Row-scope by default; override via lms-compliance-training:view_all_training_evidence_records / lms-compliance-training:manage_all_training_evidence_records
harassment_training_acknowledgment_edit_scope	harassment_training_acknowledgements	has_personal_content	Row-scope by default; override via lms-compliance-training:view_all_harassment_training_acknowledgments / lms-compliance-training:manage_all_harassment_training_acknowledgments
signature_record_edit_scope	signature_records	has_personal_content	Row-scope by default; override via lms-compliance-training:view_all_signature_records / lms-compliance-training:manage_all_signature_records
fda_part_11_audit_trail_edit_scope	fda_part11_audit_trails	has_personal_content	Row-scope by default; override via lms-compliance-training:view_all_fda_part_11_audit_trails / lms-compliance-training:manage_all_fda_part_11_audit_trails
gxp_training_signoff_edit_scope	gxp_training_signoffs	has_personal_content	Row-scope by default; override via lms-compliance-training:view_all_gxp_training_signoffs / lms-compliance-training:manage_all_gxp_training_signoffs
phishing_simulation_result_edit_scope	phishing_simulation_results	has_personal_content	Row-scope by default; override via lms-compliance-training:view_all_phishing_simulation_results / lms-compliance-training:manage_all_phishing_simulation_results

9. Roles, RACI, and responsibilities (derived)

Baseline roles, the permission hierarchy, and RACI realization are DERIVED from this scope’s entity-type write tiers + process_raci; none of it is stored in the catalog (the deployer provisions it from this blueprint).

9.1 LMS-COMPLIANCE-TRAINING

Baseline roles:

role	baseline grant
lms-compliance-training_viewer	lms-compliance-training:read
lms-compliance-training_manager	lms-compliance-training:manage
lms-compliance-training_admin	lms-compliance-training:admin

Permission hierarchy:

permission	includes
lms-compliance-training:admin	lms-compliance-training:manage
lms-compliance-training:manage	lms-compliance-training:read
lms-compliance-training:admin	lms-compliance-training:active_employee
lms-compliance-training:admin	lms-compliance-training:on_leave_employee
lms-compliance-training:admin	lms-compliance-training:suspended_employee
lms-compliance-training:admin	lms-compliance-training:terminated_employee
lms-compliance-training:admin	lms-compliance-training:approved_position
lms-compliance-training:admin	lms-compliance-training:open_position
lms-compliance-training:admin	lms-compliance-training:filled_position
lms-compliance-training:admin	lms-compliance-training:frozen_position
lms-compliance-training:admin	lms-compliance-training:eliminated_position
lms-compliance-training:admin	lms-compliance-training:active_org_unit
lms-compliance-training:admin	lms-compliance-training:reorganized_org_unit
lms-compliance-training:admin	lms-compliance-training:closed_org_unit
lms-compliance-training:admin	lms-compliance-training:void_signature_record
lms-compliance-training:admin	lms-compliance-training:publish
lms-compliance-training:admin	lms-compliance-training:retire
lms-compliance-training:admin	lms-compliance-training:issue
lms-compliance-training:admin	lms-compliance-training:renew
lms-compliance-training:admin	lms-compliance-training:revoke
lms-compliance-training:admin	lms-compliance-training:complete
lms-compliance-training:admin	lms-compliance-training:waive
lms-compliance-training:admin	lms-compliance-training:expire
lms-compliance-training:admin	lms-compliance-training:schedule
lms-compliance-training:admin	lms-compliance-training:cancel
lms-compliance-training:admin	lms-compliance-training:validate
lms-compliance-training:admin	lms-compliance-training:submit
lms-compliance-training:admin	lms-compliance-training:archive
lms-compliance-training:admin	lms-compliance-training:finalize
lms-compliance-training:admin	lms-compliance-training:acknowledge
lms-compliance-training:admin	lms-compliance-training:file
lms-compliance-training:admin	lms-compliance-training:sign
lms-compliance-training:admin	lms-compliance-training:lock
lms-compliance-training:admin	lms-compliance-training:launch
lms-compliance-training:admin	lms-compliance-training:close
lms-compliance-training:admin	lms-compliance-training:view_all_compliance_training_assignments
lms-compliance-training:admin	lms-compliance-training:manage_all_compliance_training_assignments
lms-compliance-training:admin	lms-compliance-training:view_all_employees
lms-compliance-training:admin	lms-compliance-training:manage_all_employees
lms-compliance-training:admin	lms-compliance-training:view_all_certifications
lms-compliance-training:admin	lms-compliance-training:manage_all_certifications
lms-compliance-training:admin	lms-compliance-training:view_all_compliance_audit_records
lms-compliance-training:admin	lms-compliance-training:manage_all_compliance_audit_records
lms-compliance-training:admin	lms-compliance-training:view_all_training_evidence_records
lms-compliance-training:admin	lms-compliance-training:manage_all_training_evidence_records
lms-compliance-training:admin	lms-compliance-training:view_all_harassment_training_acknowledgments
lms-compliance-training:admin	lms-compliance-training:manage_all_harassment_training_acknowledgments
lms-compliance-training:admin	lms-compliance-training:view_all_signature_records
lms-compliance-training:admin	lms-compliance-training:manage_all_signature_records
lms-compliance-training:admin	lms-compliance-training:view_all_fda_part_11_audit_trails
lms-compliance-training:admin	lms-compliance-training:manage_all_fda_part_11_audit_trails
lms-compliance-training:admin	lms-compliance-training:view_all_gxp_training_signoffs
lms-compliance-training:admin	lms-compliance-training:manage_all_gxp_training_signoffs
lms-compliance-training:admin	lms-compliance-training:view_all_phishing_simulation_results
lms-compliance-training:admin	lms-compliance-training:manage_all_phishing_simulation_results

Processes wired:

process_key	process_name	PCF code	PCF ID	level	description
manage_maintain_employee_data	Manage and maintain employee data	7.7.3	10524	3	Capturing and updating employee information and data and information on the employees.
manage_leave_absence	Manage leave of absence	7.6.2.2	10515	4	Managing the period of time that an employee must be away from their primary job, while maintaining the status of employee (i.e., paid and unpaid leave of absence but not vacations, holidays, hiatuses, sabbaticals, and work-from-home programs).
manage_separation	Manage separation	7.6.2	10513	3	Managing the process of employee separation, including leaves of absence, resignations, discharges, and layoffs. Inform the employee of the termination. Complete paperwork for continuation of benefits. Enter employment status change into system.
create_organizational_design	Create organizational design	1.2.5	10041	3	Formulating a design for the organization’s resources that allow it to meet its objectives. Develop a new framework for molding the organization’s various processes into a coherent and seamless whole.
conduct_organization	Conduct organization restructuring opportunities	1.1.5	16792	3	Examining the scope and contingencies for restructuring based on market situation and internal realities. Map the market forces over which any and all probabilities can be probed for utility and viability. Once the restructuring options have been analyzed and the due-diligence performed, execute the deal. Consider seeking professional services for assistance in formalizing these opportunities.
manage_contracts	Manage contracts	4.2.3.4	10291	4	Keeping contracts up-to-date with routine evaluation. Maintain order and discipline with the contracts in order to avoid any loss of information and mishaps.
develop_conduct_manage_employee	Develop, conduct, and manage employee training programs	7.3.4.5	10493	4	Creating, implementing, and managing the programs for training employees. Create and design sessions on the basis of the needs and the availability of the skills. Conduct the sessions in person or virtually. Manage all aspects related to the training programs. Consider including literacy training, interpersonal skills training, technical training, problem-solving training, diversity or sensitivity training, etc.
manage_examinations	Manage examinations and certifications	7.3.4.6	20125	4	Managing identified training programs for employees. Engage with industries to provide certifications, administer certification test, and maintain active certification.
train_employees_appropriate	Train employees on appropriate regulatory requirements	2.1.3.5.1	12772	5	Conducting training and impart learning to existing and new employees. Training will relate to the most recent/enforced regulations of the business to meet Manage regulatory requirements [12771].

RACI realization:

actor	kind	raci	process_key	realization
HR-PEOPLE-OPS-SPECIALIST	persona	responsible	manage_maintain_employee_data	grant gates [lms-compliance-training:active_employee] + the gated entities’ write tier
HR-BUSINESS-PARTNER	persona	accountable	manage_maintain_employee_data	approval gate
HR-HRIS-ADMIN	persona	consulted	manage_maintain_employee_data	advisory read grant
PEOPLE-MANAGER	persona	informed	manage_maintain_employee_data	notification side effect (trigger_event / webhook_receiver)
HR-PEOPLE-OPS-SPECIALIST	persona	responsible	manage_leave_absence	grant gates [lms-compliance-training:on_leave_employee] + the gated entities’ write tier
PEOPLE-MANAGER	persona	accountable	manage_leave_absence	approval gate
HR-BUSINESS-PARTNER	persona	consulted	manage_leave_absence	blocking consultation state
HR-HRIS-ADMIN	persona	informed	manage_leave_absence	notification side effect (trigger_event / webhook_receiver)
HR-PEOPLE-OPS-SPECIALIST	persona	responsible	manage_separation	grant gates [lms-compliance-training:terminated_employee] + the gated entities’ write tier
HR-BUSINESS-PARTNER	persona	accountable	manage_separation	approval gate
PEOPLE-MANAGER	persona	consulted	manage_separation	advisory read grant
HR-HRIS-ADMIN	persona	informed	manage_separation	notification side effect (trigger_event / webhook_receiver)
HR-ORG-DESIGN-ANALYST	persona	responsible	create_organizational_design	grant gates [lms-compliance-training:approved_position, lms-compliance-training:active_org_unit] + the gated entities’ write tier
HR-BUSINESS-PARTNER	persona	accountable	create_organizational_design	approval gate
PEOPLE-MANAGER	persona	consulted	create_organizational_design	advisory read grant
HR-HRIS-ADMIN	persona	informed	create_organizational_design	notification side effect (trigger_event / webhook_receiver)
HR-ORG-DESIGN-ANALYST	persona	responsible	conduct_organization	grant gates [lms-compliance-training:reorganized_org_unit] + the gated entities’ write tier
HR-BUSINESS-PARTNER	persona	accountable	conduct_organization	approval gate
PEOPLE-MANAGER	persona	consulted	conduct_organization	advisory read grant
CONTRACT-OPS-SPECIALIST	persona	responsible	manage_contracts	grant gates [lms-compliance-training:void_signature_record] + the gated entities’ write tier
CONTRACT-OPS-MANAGER	persona	accountable	manage_contracts	approval gate
LEGAL-COUNSEL	persona	consulted	manage_contracts	advisory read grant
LD-INSTRUCTIONAL-DESIGNER	persona	responsible	develop_conduct_manage_employee	grant gates [lms-compliance-training:publish] + the gated entities’ write tier
LD-LEARNING-ADMIN	persona	accountable	develop_conduct_manage_employee	approval gate
LD-INSTRUCTOR	persona	consulted	develop_conduct_manage_employee	advisory read grant
PEOPLE-MANAGER	persona	informed	develop_conduct_manage_employee	notification side effect (trigger_event / webhook_receiver)
LD-LEARNING-ADMIN	persona	responsible	manage_examinations	grant gates [lms-compliance-training:issue] + the gated entities’ write tier
GRC-COMPLIANCE-TRAINING-MANAGER	persona	accountable	manage_examinations	approval gate
LD-INSTRUCTOR	persona	consulted	manage_examinations	advisory read grant
GRC-COMPLIANCE-TRAINING-MANAGER	persona	responsible	train_employees_appropriate	grant gates [lms-compliance-training:complete, lms-compliance-training:schedule, lms-compliance-training:submit, lms-compliance-training:file] + the gated entities’ write tier
GRC-COMPLIANCE-TRAINING-MANAGER	persona	accountable	train_employees_appropriate	approval gate
PEOPLE-MANAGER	persona	consulted	train_employees_appropriate	advisory read grant
LEGAL-COMPLIANCE-SPECIALIST	persona	informed	train_employees_appropriate	notification side effect (trigger_event / webhook_receiver)

9.2 Functional ownership and default grants

responsibility	business function	default role	default tier
owner	Learning and Development	admin	:admin
contributor	Governance, Risk and Compliance	manage	:manage
contributor	Legal	manage	:manage
consumer	Manufacturing Operations	read	:read
consumer	Sales	read	:read
consumer	Software Engineering	read	:read