Deployment Checklist¶

Step-by-step deployment validation checklist for the Compliance Dashboard solution.

Pre-Deployment Checklist¶

Verify all prerequisites are met before starting deployment.

Licensing¶

Power BI Pro or Premium license verified for target users
Dataverse capacity available in target environment (minimum 1 GB recommended)
Power Automate Premium license for automated data collection flows
Microsoft 365 E5 or E5 Compliance license for Purview Compliance Manager access

Permissions¶

User has Purview Compliance Admin role (required for Purview Compliance Manager API access)
User has Power Platform Admin role (required for environment access and DLP policy data)
User has Power BI Admin role (required for workspace creation and sharing)
User has System Administrator role in target Dataverse environment (required for table creation)

Dependencies¶

Environment Lifecycle Management solution v1.1.0+ deployed (provides zone classification data)
Network access to Dataverse environment confirmed (no firewall blocking)
Microsoft Entra ID tenant ID and Dataverse environment URL documented

Schema and Flow Deployment¶

This solution does not ship a packaged .zip file. Create all Dataverse tables, columns, option sets, and flows manually using the guides below.

Create Dataverse Schema¶

Follow Dataverse Schema to create all 5 tables (fsi_controlmaster, fsi_controlassessment, fsi_compliancescore, fsi_complianceexception, fsi_complianceevidence) with columns and option sets
Verify all relationships between tables are created
Create the 3 security roles (CD Viewer, CD Assessor, CD Admin) as documented in Dataverse Schema

Build Power Automate Flows¶

Follow Flow Configuration to manually build CD-ScoreCalculator and CD-ExceptionMonitor flows in Power Automate designer
Configure connection references (Dataverse, Office 365 Outlook, Microsoft Teams) during flow creation
Set the CD_NotificationEmail environment variable to the compliance administrator email address

Post-Import Validation¶

Verify Dataverse Tables¶

Navigate to Power Apps > Tables and confirm the following tables exist:

Verify Power Automate Flows¶

Navigate to Power Automate > Solutions > Compliance Dashboard and confirm flows exist:

CD-ScoreCalculator flow exists
Flow type: Scheduled cloud flow
Trigger: Recurrence (Daily at 6:00 AM)
Owner: Solution importer
CD-ExceptionMonitor flow exists
Flow type: Scheduled cloud flow
Trigger: Recurrence (Hourly)
Owner: Solution importer

Verify Security Roles¶

Navigate to Power Apps > Security roles and confirm roles exist:

CD Viewer - Read-only access
CD Assessor - Assessment entry and exception management
CD Admin - Full administrative access

Sample Data Loading (Optional)¶

Load sample data for demonstration and testing purposes.

Prerequisites¶

Python 3.8+ installed
Required packages: requests, msal (install with pip install -r requirements.txt)

Set Environment Variables¶

export AZURE_TENANT_ID="your-tenant-id"
export AZURE_CLIENT_ID="your-client-id"
export AZURE_CLIENT_SECRET="your-client-secret"

Or on Windows:

$env:AZURE_TENANT_ID = "your-tenant-id"
$env:AZURE_CLIENT_ID = "your-client-id"
$env:AZURE_CLIENT_SECRET = "your-client-secret"

Run Sample Data Loader¶

Confirm the control master source matches your control inventory (the shipped sample contains 62; the validated baseline contains 78) before loading data
Navigate to scripts/ directory
Run: python load_sample_data.py --environment "https://your-org.crm.dynamics.com"
Verify output: "Loaded X control master records"
Note: Assessment, score, and exception upload is not yet implemented. Use --export to generate JSON files, then import via Power Apps or Dataverse API.

Verify Sample Data¶

Navigate to Power Apps > Tables > fsi_controlmaster
Verify the expected number of control records exist (62 if loading the shipped sample; 78 if loading the validated baseline)
Check sample controls: "1.1 - Identity and Access Management", "2.12 - Supervision and Oversight"
Navigate to fsi_compliancescore table
Verify 90 daily score snapshots exist (today going back 90 days)
Check score values are realistic (not all 100 or all 0)
Navigate to fsi_complianceexception table
Verify sample exceptions exist with varied severities and statuses

Flow Activation¶

Activate CD-ScoreCalculator Flow¶

Activate CD-ExceptionMonitor Flow¶

Navigate to CD-ExceptionMonitor flow
Verify all connections valid (green checkmarks)
Click Turn on
Click Test > Manually to run immediately
Verify flow runs successfully
Navigate to fsi_complianceexception table
Verify fsi_slastatus field updated for open exceptions
Check exceptions near SLA deadline show "At Risk" status

Power BI Deployment¶

Open Power BI Template¶

Build ComplianceDashboard.pbit per Power BI Template Specification (no .pbit ships with this repo per the Solution Content Policy)
Open in Power BI Desktop (version: latest recommended)
Template prompts for parameters

Configure Parameters¶

DataverseEnvironmentUrl:
Enter: https://your-org.crm.dynamics.com
No trailing slash
Use actual environment URL from Power Platform admin center
Note: This is a Power BI template parameter, distinct from the deprecated fsi_CD_DataverseEnvironment solution environment variable (which is unused by flows). Do not confuse the two.
TenantId:
Enter Microsoft Entra ID tenant ID (format: 12345678-1234-1234-1234-123456789abc)
Find in Azure Portal > Microsoft Entra ID > Overview
Click Load

Authenticate¶

Sign in with organizational account when prompted
Select Organizational account authentication type
Click Connect
Wait for authentication to complete

Verify Data Refresh¶

Power BI Desktop loads data from Dataverse
Check status bar: "Loading data..."
Wait for refresh to complete (typically 30-60 seconds)
Verify no error messages
Check table row counts in Model view:
ControlMaster: 62 rows (shipped sample) or 78 rows (validated baseline)
ComplianceScore: 90 rows (if sample data loaded)
ComplianceException: varies based on sample data

Verify Report Pages Render¶

Verify DAX Measures Calculate¶

Click Data view in Power BI Desktop
Select ComplianceScore table
Verify measures appear in field list (right panel)
Check key measures:
Overall Score: Displays percentage (e.g., "87.5%")
Score Trend: Displays delta (e.g., "+3.2%")
Compliant Count: Displays integer
Exception Count: Displays integer
SLA Compliance %: Displays percentage

Publish to Power BI Service¶

Click Publish button in Home ribbon
Select destination workspace (or create new)
Wait for publish to complete (progress bar reaches 100%)
Click Open 'ComplianceDashboard.pbix' in Power BI link
Browser opens to Power BI Service
Report renders successfully in browser

Configure Scheduled Refresh¶

Assign Workspace Access¶

Navigate to workspace settings
Click Access tab
Add users or groups:
Compliance team: Viewer role (read-only dashboard access)
Risk managers: Contributor role (can edit reports)
Administrators: Admin role (full workspace control)
Click Add
Verify users receive email notification

Final Validation¶

Executive Summary Page¶

Overall Score displays realistic value (0-100)
Score Trend shows positive/negative/stable indicator
Pillar breakdown shows 4 pillars with individual scores
Zone distribution shows 3 zones
Exception count matches fsi_complianceexception table count
SLA Status shows On Track/At Risk/Breached breakdown

Pillar Overview Page¶

All 4 pillars display with scores
Control count by status matches expected distribution
Pillar trend lines show historical data (if 90 days available)
Non-compliant controls table populated (if any exist)

Control Details Page¶

All expected controls display in table (62 sample / 78 baseline)
Filtering by pillar/zone/status works correctly
Click control in table populates assessment history chart
Evidence list shows linked evidence items
Regulatory tags slicer filters controls correctly

Exception Tracker Page¶

Open exception count accurate
SLA distribution shows realistic percentages
Exception table sortable by days open, severity, owner
Age distribution histogram shows realistic distribution
Owner workload chart shows balanced distribution

Trend Analysis Page¶

90-day score trend displays continuous line
Pillar trends show all 4 pillars with different colors
Month-over-month change KPI displays delta
30-day forecast trendline extends beyond current date (if analytics enabled)
Control status changes waterfall shows transitions

Interactive Filtering¶

Date range slicers work correctly
Zone selector filters all pages
Pillar selector filters all pages
Drill-through from control details works
Clear filters button resets to default view

Rollback Procedure¶

If deployment issues are encountered and rollback is required:

Delete Power BI Report¶

Turn Off Power Automate Flows¶

Navigate to Power Automate > Solutions > Compliance Dashboard
For each flow (CD-ScoreCalculator, CD-ExceptionMonitor):
Click flow name
Click Turn off
Verify flow status shows "Off"

Delete Solution from Power Apps¶

Navigate to Power Apps > Solutions
Locate Compliance Dashboard solution
Click ... > Delete
Confirm deletion
Wait for deletion to complete (2-5 minutes)

Delete Dataverse Tables (Optional)¶

Warning: This will delete all compliance data. Only perform if data is not needed.

Navigate to Power Apps > Tables
For each table (fsi_controlmaster, fsi_controlassessment, fsi_compliancescore, fsi_complianceexception, fsi_complianceevidence):
Click table name
Click Delete table
Confirm deletion
Verify tables no longer appear in table list

Clean Up Sample Data¶

If sample data was loaded but production data is needed:

Manually delete sample records via Power Apps or Dataverse API
Verify all sample records deleted
Ready for production data loading

Troubleshooting Common Issues¶

Issue	Cause	Resolution
Solution import fails	Missing connection reference	Create required connections before import
Flow won't turn on	Invalid connection	Edit flow, update connection references
Power BI can't connect	Network restriction	Verify firewall allows Dataverse access
No data in dashboard	Tables empty	Load sample data or create assessments
Refresh fails in Service	Authentication expired	Re-authenticate dataset credentials
Measures show errors	Missing relationship	Verify DateTable relationship to ComplianceScore

Next Steps¶

After successful deployment:

Load Production Data:
Create assessment records for each applicable control
Link evidence items to assessments
Document exceptions with remediation plans
Configure Users:
Assign Dataverse security roles (CD Viewer, CD Assessor, CD Admin)
Add users to Power BI workspace
Configure Row-Level Security if needed (see Power BI Setup)
Schedule Regular Reviews:
Weekly: Review open exceptions and SLA status
Monthly: Analyze trend data and identify patterns
Quarterly: Validate control assessments and update evidence
Integrate with Workflows:
Link to FINRA Supervision Workflow for supervision metrics
Connect to incident reporting processes
Embed dashboard in compliance review meetings

Compliance Dashboard v1.0.3 - Deployment Checklist