Make your review process ready for scrutiny.
The Compliance agent template is for enterprise compliance, security, and operations teams that need to organize evidence, test controls, and route findings for human review. It is a preparation and certification workflow—not a promise of automatic regulatory compliance.
01 / Before you start
Bring the context your reviewer will need.
Good certification starts with a well-defined operating context. Have these pieces ready before you configure the template.
Setup requirements
The agent can help structure the work, but your team supplies the authority, scope, and source-of-truth material.
An enterprise account
A Modelab enterprise workspace where the template can be configured and reviewed.
Named owner and reviewer
One person accountable for the package, plus a reviewer who can approve the result.
A target deployment environment
The cloud or internal environment where the workflow will be run and tested.
Applicable frameworks and policies
The controls, internal policies, and external frameworks that define your scope.
Data classification and retention rules
A clear description of what data may be used, retained, or excluded from the workflow.
Approved sources and representative tests
Source locations and test cases that reflect the work the agent will perform in practice.
02 / The setup sequence
Six moves from scope to handoff.
Keep each step reviewable. If a decision cannot be explained, it is not ready to be part of the certification package.
- 01
Define scope and controls
Write down the workflow boundary, the policies it should check, and the outcomes that count as acceptable.
- 02
Connect approved inputs
Identify the allowed source locations and connect only the documents, exports, and artifacts in scope.
- 03
Configure review and approval rules
Set reviewer ownership, escalation paths, approval thresholds, and what happens when a check is inconclusive.
- 04
Run representative tests
Use a repeatable test set with expected outcomes so reviewers can compare results and spot drift.
- 05
Resolve findings
Investigate gaps, update the configuration or sources, and close critical findings before handoff.
- 06
Submit the package for certification
Collect the scope, source list, test results, approvals, and version trail into the review package.
03 / Supported inputs
Start with sources your team already trusts.
Sensitive data should be limited to approved sources and formats. If an input is not supported, convert it to a supported format or discuss the right path with support before connecting it.
Keep sensitive material inside approved locations and follow your organization’s classification and retention rules throughout setup.
Internal policies, control descriptions, procedures, standards, and framework mappings in approved document formats.
Audit workpapers, access reviews, logs, tickets, attestations, screenshots, and other traceable evidence.
Structured exports that preserve field names, dates, identifiers, and the context needed to interpret each record.
Representative scenarios, expected answers, edge cases, and reviewer questions that define a reliable outcome.
04 / Certification standard
Certification is a documented handoff, not a green button.
When the checklist is complete, submit the package for review. The certification handoff captures the approved scope, source set, test results, findings, and sign-offs so another person can understand what was evaluated.
Documented scope
The workflow boundary and applicable controls are explicit.
Current source material
Every source is approved, relevant, and current for the review.
Repeatable test set
Tests include expected outcomes and can be rerun consistently.
Owner and reviewer sign-off
The accountable owner and an independent reviewer have approved the package.
No unresolved critical findings
Critical gaps are resolved or explicitly dispositioned before handoff.
Auditable version and date trail
The package records what changed, when, and which sources were reviewed.
Know when to re-review.
Certification describes a specific version of the workflow. Trigger a re-review when the scope, connected inputs, applicable controls, or approval rules change. A new date and version trail keeps the record honest.
Put the evidence trail in place before the review starts.
Start with the workflow template, or talk through your sources and certification scope with the Modelab team.