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	Description
Certifications	Issued credential against a worker (internal certification, vendor cert, regulatory cert) with issue date, expiry, issuing body, and renewal rules. Drives recertification campaigns.
Compliance Training Assignments	Mandatory training assignment tied to a regulation, role, location, or hire-event (anti-harassment, AML, GDPR, OSHA, HIPAA). Carries due date, escalation policy, audit log.
Cost Centers	Organisational unit for cost allocation: name, code, manager, hierarchy, currency. Drives variance reporting and project / departmental P&L. A near-universal foreign key in finance and payroll.
Courses	Atomic learning unit: e-learning module, video, live session, blended programme, external content. Carries content reference, duration, format, language, prerequisites, certification award.
Employees	Canonical record of a person currently or formerly employed by the organization. Carries identity (legal name, contact, IDs), employment metadata (start date, end date, employment type, country), and pointers to position, job profile, org unit, manager, and life-event history. The most multi-mastered data object in the catalog: HCM masters the core HR slice, Payroll masters the comp/withholding slice, and IGA masters the identity/access slice. Onboarding, PA, and Talent Management consume or contribute.
Org Units	Node in the organizational hierarchy: division, business unit, department, team. Carries manager, cost center alignment, geographic scope, and parent/child relationships. HCM masters the operational hierarchy; EPM contributes the cost-center mapping (which would be Finance-mastered once a Finance/GL domain is loaded).
Positions	Approved slot in the org - a ‘chair’ with role definition, cost center, reporting line, location, and FTE allocation. Distinct from job_profiles (the catalog definition) and from employees (the person filling the slot). A position can be open, filled, or eliminated. SWP designs future positions via org_designs; HCM operationalizes them once approved.
Onboarding Tasks	Discrete to-do within a journey: sign I-9, attend orientation, complete compliance training, meet buddy, receive laptop. Carries assignee (new hire / manager / IT / facilities / HR), due date, completion state, evidence, and task type (form / training / meeting / provisioning / acknowledgement). Many tasks are local; a subset triggers cross-domain handoffs into ITSM, IWMS, Payroll, LMS, IGA, or HRSD.
Policy Attestations	Record that a user read, understood, and acknowledged a policy; timestamp, version, medium, 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"]
  learner_certifications["Certifications"]
  employees["Employees"]
  cost_centers["Cost Centers"]
  courses["Courses"]
  hcm_positions["Positions"]
  onboarding_tasks["Onboarding Tasks"]
  policy_attestations["Policy Attestations"]
  users["Users"]
  org_units -->|"groups"| employees
  org_units -->|"contains"| hcm_positions
  hcm_positions -->|"is_filled_by (opt)"| employees
  cost_centers -->|"funds"| org_units
  org_units -->|"maps_to (opt)"| cost_centers
  courses -->|"fulfills (opt)"| compliance_assignments
  courses -->|"grants (opt)"| learner_certifications
  hcm_positions -->|"requires (opt)"| compliance_assignments
  org_units -->|"sponsors (opt)"| compliance_assignments
  employees -->|"reflected on (opt)"| compliance_assignments
  employees -->|"fills (opt)"| hcm_positions
  org_units -->|"rolls_up_to (opt)"| org_units
  users -->|"owns (opt)"| courses
  employees -->|"is_linked_to (opt)"| users
  users -->|"manages (opt)"| hcm_positions
  users -->|"leads (opt)"| org_units
  users -->|"owns (opt)"| cost_centers
  users -->|"performs (opt)"| onboarding_tasks
  users -->|"created (opt)"| onboarding_tasks
  users -->|"authors (opt)"| courses
  users -->|"must complete"| compliance_assignments
  users -->|"owns (opt)"| compliance_assignments
  users -->|"holds"| learner_certifications
  org_units -->|"has members (opt)"| users
  class org_units embedded_master;
  class compliance_assignments master;
  class learner_certifications master;
  class employees embedded_master;
  class cost_centers embedded_master;
  class courses embedded_master;
  class hcm_positions embedded_master;
  class onboarding_tasks consumer;
  class policy_attestations consumer;
  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;

3. Entities catalog

#	data_object	role	mastered in	necessity	pattern flags	notes
1	`learner_certifications` (Certifications)	master	-	required	personal_content	-
2	`compliance_assignments` (Compliance Training Assignments)	master	-	required	-	-
3	`cost_centers` (Cost Centers)	embedded_master	`ERP-FIN` (domain-level, not modularized)	optional	-	-
4	`courses` (Courses)	embedded_master	`lms-course-delivery`	required	-	-
5	`employees` (Employees)	embedded_master	`hcm-core-worker`	required	personal_content	-
6	`org_units` (Org Units)	embedded_master	`hcm-org-positions`	optional	-	-
7	`hcm_positions` (Positions)	embedded_master	`hcm-org-positions`	optional	single_approver	-
8	`onboarding_tasks` (Onboarding Tasks)	consumer	`onb-journey-mgmt`	required	personal_content	-
9	`policy_attestations` (Policy Attestations)	consumer	`GRC` (domain-level, not modularized)	required	-	-

4. Aliases and industry synonyms

(no industry-scoped aliases or non-synonym alias types loaded for this scope; generic synonyms are omitted as common knowledge.)

5. Relationships

5.1 Intra-scope edges

from	verb	to	cardinality	kind	necessity	owner_side	notes
`org_units`	groups	`employees`	one_to_many	reference	required	source	-
`org_units`	contains	`hcm_positions`	one_to_many	reference	required	source	-
`hcm_positions`	is_filled_by	`employees`	one_to_one	reference	optional	target	-
`cost_centers`	funds	`org_units`	one_to_many	reference	required	source	-
`org_units`	maps_to	`cost_centers`	one_to_one	reference	optional	source	-
`courses`	fulfills	`compliance_assignments`	one_to_many	reference	optional	source	-
`courses`	grants	`learner_certifications`	one_to_many	reference	optional	source	-
`hcm_positions`	requires	`compliance_assignments`	one_to_many	reference	optional	source	-
`org_units`	sponsors	`compliance_assignments`	one_to_many	reference	optional	source	-
`employees`	reflected on	`compliance_assignments`	one_to_many	reference	optional	source	-
`employees`	fills	`hcm_positions`	one_to_one	reference	optional	source	-
`org_units`	rolls_up_to	`org_units`	one_to_many	reference	optional	source	-

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

from	verb	to	cardinality	necessity	owner_side	notes
`users`	owns	`courses`	one_to_many	optional	source	-
`employees`	is_linked_to	`users`	one_to_one	optional	target	-
`users`	manages	`hcm_positions`	one_to_many	optional	source	-
`users`	leads	`org_units`	one_to_many	optional	source	-
`users`	owns	`cost_centers`	one_to_many	optional	source	-
`users`	performs	`onboarding_tasks`	one_to_many	optional	source	-
`users`	created	`onboarding_tasks`	one_to_many	optional	source	-
`users`	authors	`courses`	one_to_many	optional	source	-
`users`	must complete	`compliance_assignments`	one_to_many	required	source	-
`users`	owns	`compliance_assignments`	one_to_many	optional	source	-
`users`	holds	`learner_certifications`	one_to_many	required	source	-
`org_units`	has members	`users`	one_to_many	optional	target	-

5.3 Cross-scope edges

from	verb	to	cardinality	necessity	notes
`employees`	triggers	`iga_provisioning_events`	one_to_many	optional	-
`employees`	finalized by	`onboarding_document_collections`	one_to_many	optional	-
`pre_employees`	promotes to	`employees`	one_to_one	required	-
`legal_holds`	identifies_custodians_from	`employees`	many_to_many	optional	-
`legal_advice_records`	references	`employees`	many_to_many	optional	-
`employees`	is host for	`host_assignments`	one_to_many	required	-
`job_profiles`	defines	`hcm_positions`	one_to_many	required	-
`employees`	signs	`employment_contracts`	one_to_many	required	-
`employees`	generates	`employment_events`	one_to_many	required	-
`employees`	triggers	`asset_lifecycle_events`	one_to_many	optional	-
`employees`	requests	`absence_requests`	one_to_many	optional	-
`employees`	holds	`skill_profiles`	one_to_one	optional	-
`org_units`	engages	`contingent_workers`	one_to_many	optional	-
`org_units`	is_scored_by	`engagement_drivers`	one_to_many	optional	-
`org_units`	is_measured_by	`people_kpis`	one_to_many	optional	-
`employees`	triggers	`service_requests`	one_to_many	optional	-
`org_units`	triggers	`iga_entitlement_definitions`	one_to_many	optional	-
`employees`	triggers	`pay_runs`	one_to_many	optional	-
`hcm_positions`	spawns	`job_requisitions`	one_to_many	optional	-
`employees`	enrolls_in	`course_enrollments`	one_to_many	optional	-
`job_profiles`	maps_to	`courses`	many_to_many	optional	-
`employees`	becomes	`career_aspirations`	one_to_one	optional	-
`employees`	becomes	`work_shifts`	one_to_many	optional	-
`employees`	becomes	`compensation_statements`	one_to_one	optional	-
`salary_bands`	anchors	`hcm_positions`	one_to_many	optional	-
`employees`	triggers	`benefit_enrollments`	one_to_many	optional	-
`employees`	triggers	`corporate_cards`	one_to_many	optional	-
`employees`	spawns	`onboarding_journeys`	one_to_one	optional	-
`employees`	spawns	`hr_cases`	one_to_many	optional	-
`employees`	feeds	`headcount_plans`	one_to_many	optional	-
`employees`	feeds	`agency_time_entries`	one_to_many	optional	-
`onboarding_stages`	contains	`onboarding_tasks`	one_to_many	required	-
`employees`	onboarded by	`onboarding_journeys`	one_to_many	required	-
`onboarding_tasks`	emits	`service_requests`	one_to_many	optional	-
`onboarding_tasks`	triggers	`asset_lifecycle_events`	one_to_many	optional	-
`onboarding_tasks`	emits	`service_incidents`	one_to_many	optional	-
`onboarding_tasks`	emits	`workplace_service_requests`	one_to_many	optional	-
`onboarding_tasks`	spawns	`hr_cases`	one_to_many	optional	-
`onboarding_tasks`	spawns	`iga_access_requests`	one_to_many	optional	-
`onboarding_tasks`	spawns	`course_enrollments`	one_to_many	optional	-
`courses`	sequenced_into	`learning_paths`	many_to_many	optional	-
`courses`	enrolled_via	`course_enrollments`	one_to_many	required	-
`skill_profiles`	updated by	`learner_certifications`	one_to_many	optional	-
`cost_centers`	funds	`course_enrollments`	one_to_many	optional	-
`compliance_obligations`	tracked by	`compliance_assignments`	one_to_many	optional	-
`compliance_assignments`	triggers	`iga_provisioning_events`	one_to_many	optional	-
`employees`	reflects	`learning_records`	one_to_many	optional	-
`employees`	declares	`life_events`	one_to_many	optional	-
`org_units`	sponsors	`benefit_plans`	many_to_many	optional	-
`employees`	updated by	`life_events`	one_to_many	optional	-
`survey_campaigns`	targets	`org_units`	many_to_many	optional	-
`org_units`	owns	`action_plans`	one_to_many	optional	-
`employees`	submits	`survey_responses`	one_to_many	optional	-
`employees`	flagged on	`engagement_drivers`	one_to_many	optional	-
`employees`	reflected on	`engagement_drivers`	one_to_many	optional	-
`employees`	raises	`hr_cases`	one_to_many	required	-
`employees`	updated by	`hr_cases`	one_to_many	optional	-
`case_categories`	drives	`employees`	one_to_many	optional	-
`contingent_workers`	reviewed_against	`employees`	one_to_one	optional	-
`candidates`	becomes	`employees`	one_to_one	required	-
`employees`	learns_via	`course_enrollments`	one_to_many	required	-
`employees`	enrolls_in	`benefit_enrollments`	one_to_many	required	-
`survey_campaigns`	targets	`employees`	many_to_many	optional	-
`workforce_scenarios`	drives	`hcm_positions`	one_to_many	required	-
`org_designs`	proposes	`hcm_positions`	one_to_many	required	-

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`	HRSD-CASE-MGMT (HR Case Management) - HRSD	consumer	optional	Consumed by HRSD-CASE-MGMT when an inbound handoff escalates to an HR case. Routed via B10b 2026-05-26 audit fixes.
`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).
`learner_certifications`	LMS-SKILLS (Skills and Learning Paths) - LMS	embedded_master	required	-

6.2 Outbound handoffs (events this scope publishes)

source module	target domain	target module	trigger_event	payload	integration	friction	description
LMS-COMPLIANCE-TRAINING	GRC	(domain-level)	`compliance_assignment.overdue`	`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)	`compliance_assignment.due`	`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	HRSD	HRSD-CASE-MGMT	`compliance_assignment.due`	`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.
LMS-COMPLIANCE-TRAINING	IGA	IGA-AUTO-PROVISIONING	`compliance_assignment.overdue`	`compliance_assignments`	api_call	high	Severe overdue (PCI, HIPAA, SOX-relevant) may auto-suspend system access pending completion. Alert-without-feedback-loop common.
LMS-COMPLIANCE-TRAINING	HCM	(domain-level)	`compliance_assignment.due`	`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.
LMS-COMPLIANCE-TRAINING	LMS	LMS-SKILLS	`learner_certification.earned`	`learner_certifications`	lifecycle_progression	low	-

6.3 Inbound handoffs (events this scope reacts to)

target module	source domain	source module	trigger_event	payload	integration	friction	description
LMS-COMPLIANCE-TRAINING	GRC	(domain-level)	`compliance_policy.updated`	`policy_attestations`	api_call	medium	Policy version triggers LMS compliance-training requirement for scoped users.
LMS-COMPLIANCE-TRAINING	LMS	LMS-COURSE-DELIVERY	`course.published`	`courses`	lifecycle_progression	low	-
LMS-COMPLIANCE-TRAINING	ONBOARDING	ONB-JOURNEY-MGMT	`task.compliance_training_required`	`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	ERP-FIN (Core ERP Financial Management)	-
`courses`	embedded_master	required	LMS-COURSE-DELIVERY (LMS)	-
`employees`	embedded_master	required	HCM-CORE-WORKER (HCM), PAYROLL (Payroll Management), IGA (Identity Governance and Administration), MDM (Master Data Management)	-
`hcm_positions`	embedded_master	optional	HCM-ORG-POSITIONS (HCM)	-
`org_units`	embedded_master	optional	HCM-ORG-POSITIONS (HCM)	-
`onboarding_tasks`	consumer	required	ONB-JOURNEY-MGMT (ONBOARDING)	-
`policy_attestations`	consumer	required	GRC (Governance, Risk and Compliance)	-

7. Lifecycle states (per touched entity)

`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.

`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-course-delivery:publish`	Course released to the catalog and available for enrollment.
4	`retired`	-	✓	✓	`lms-course-delivery: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`	-	-	✓	`hcm-core-worker:active_employee`	Worker is currently employed and appears in headcount, payroll eligibility, and directory feeds.
3	`on_leave`	-	-	✓	`hcm-core-worker:on_leave_employee`	Employee is on approved leave (parental, medical, sabbatical); active record but suppressed from some downstream feeds.
4	`suspended`	-	-	✓	`hcm-core-worker:suspended_employee`	Employment temporarily halted (investigation, disciplinary); pay and access may be paused.
5	`terminated`	-	✓	✓	`hcm-core-worker:terminated_employee`	Employment ended (voluntary or involuntary); final pay processed, access deprovisioned.

`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`	-	-	✓	`hcm-org-positions:approved_position`	Cleared by headcount/finance owner; eligible to spawn a requisition.
3	`open`	-	-	✓	`hcm-org-positions:open_position`	Approved and actively being recruited against; not yet filled.
4	`filled`	-	-	✓	`hcm-org-positions:filled_position`	An employee occupies the position.
5	`frozen`	-	-	✓	`hcm-org-positions:frozen_position`	Temporarily not fillable (hiring freeze, budget hold); retains the slot.
6	`eliminated`	-	✓	✓	`hcm-org-positions:eliminated_position`	Removed from the org structure permanently.

`learner_certifications` (Certification)

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, acknowledgement, signature, ticket id) captured.
4	`skipped`	-	✓	✓	`onb-journey-mgmt:skipped_onboarding_task`	Task waived by manager/HR for this journey.
5	`cancelled`	-	✓	✓	`onb-journey-mgmt:cancelled_onboarding_task`	Task voided (journey cancelled, 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`	-	-	✓	`hcm-org-positions:active_org_unit`	Operational unit; carries headcount, cost-center linkage, and reporting lines.
3	`reorganized`	-	✓	✓	`hcm-org-positions:reorganized_org_unit`	Unit folded into or replaced by a new structure; references remain for history.
4	`closed`	-	✓	✓	`hcm-org-positions:closed_org_unit`	Unit dissolved; no employees or positions reside in it.

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: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: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	✓

8.2 Business rules

rule_name	data_object	source flag	intent
`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`