Quick Reference

Group Models
Instruments & Sources LegalInstrument · InstrumentProvision · InstrumentChange · BusinessUnit
Obligations LegalObligation · ObligationApplicability · ObligationOccurrence · ObligationReview
Controls & Evidence Control · ObligationControl · EvidenceRequirement · EvidenceItem
Verification & Assurance VerificationPlan · Verification · ComplianceAssessment
Exceptions & Actions Exception · CorrectiveAction · Communication

18 models in total.

The models

Model Purpose
LegalInstrument The legal source — Act, regulation, licence, permit, contract
InstrumentProvision A specific clause/section of an instrument
InstrumentChange A detected amendment to an instrument + impact assessment
BusinessUnit Org structure that owns obligations and controls (self-nesting)
LegalObligation A governed requirement — typed, risk-rated, owned, with a due rule
ObligationApplicability Which entities/sites an obligation applies to, and why
ObligationOccurrence A dated instance of a recurring obligation
ObligationReview The periodic review that keeps interpretation current
Control A control managing obligations (preventive/detective/…)
ObligationControl Maps a control to an obligation
EvidenceRequirement What evidence must be kept (with retention)
EvidenceItem An actual evidence record (hash, acceptance)
VerificationPlan A plan to test control effectiveness
Verification A performed verification with a result
ComplianceAssessment A recorded assurance status with its basis
Exception A breach / control failure
CorrectiveAction Remediation for an exception
Communication Related correspondence

Status vocabularies (enums)

  • Instrument: draft · current · superseded · revoked · expired · archived
  • Obligation: draft · active · under_review · suspended · satisfied · not_applicable · retired
  • Obligation type: mandatory · prohibitive · conditional · reporting · notification · recordkeeping · payment · approval · inspection · training · disclosure · other
  • Frequency: once · daily · weekly · monthly · quarterly · six_monthly · annual · event_driven · continuous · ad_hoc
  • Control: proposed · active · ineffective · suspended · retired (type: preventive · detective · corrective · directive)
  • Verification result: effective · partially_effective · ineffective · not_tested · not_applicable
  • Evidence: expected · requested · received · accepted · rejected · expired · superseded
  • Assurance: unknown · compliant · at_risk · non_compliant · not_applicable
  • Exception: open · investigating · action_required · monitoring · resolved · closed
  • Action: open · assigned · in_progress · blocked · completed · verified · cancelled
  • Risk: low · medium · high · critical

The demo data set — one coherent story

A Queensland operator with two legal sources:

  • ENV-REG-2026 (Environmental Reporting Regulation, provision s12) → obligation OBL-ENV-001 "Submit quarterly environmental report" (quarterly, owned by HSE). Q1 lodged on time and assessed compliant; Q2 overdue.
  • OP-LIC-114 (Operating Licence, condition C7) → obligation OBL-LIC-001 "Notify reportable incidents within 24h" (event-driven, OPS).

Controls CTL-001 (report prep/approval) and CTL-002 (incident escalation) are mapped; evidence requirements and items recorded; a verification finds CTL-001 partially effective; the overdue Q2 raises EXC-2026-007 with two corrective actions; an instrument change shortens the lodgement window; and a communication proactively notifies the regulator.

32 seeded rows across all 18 models.

Key demo codes

ENV-REG-2026 / OP-LIC-114 (instruments) · OBL-ENV-001 / OBL-LIC-001 (obligations) · CTL-001 / CTL-002 (controls) · EXC-2026-007 (exception).

Notes

  • Fields named name on LegalObligation / Control / Exception / VerificationPlan exist so referencing lists show a short label rather than the description paragraph (a framework display-field convention). BusinessUnit and EvidenceRequirement already carry a name. People are plain string fields.
  • The compliance engine (due-date computation, overdue/verification-due detection, assurance rollups, dashboard metrics) is Phase 2; the demo models those outcomes statically.