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- Regulatory Change Management
- Who it's for
- Compliance operations
Compliance operations
A compliance operations team may receive rule publications from several authorities while business units perform the affected work. The rule change register records the authority, publication and effective date. Its linked assessment carries the business unit and owner. The review decision captures the source revision and reason, helping the team distinguish a submitted plan from one that has been approved or completed.
How Regulatory Change Management is set up for you
Intake
Give each incoming change an organization and a source publication reference.
Assessment
Place impact work with a named owner and a defined period.
Decision
Ask an Independent Assurance Reviewer to decide on the submitted revision.
Follow-through
Check implementation status and operation receipts after the decision.
A compliance operations team may receive rule publications from several authorities while business units perform the affected work. The rule change register records the authority, publication and effective date. Its linked assessment carries the business unit and owner. The review decision captures the source revision and reason, helping the team distinguish a submitted plan from one that has been approved or completed.
Choose a publication that affects one business unit. Register the authority, source reference and effective date. Link an assessment and document its scope. Identify controls for testing and record any findings that change the implementation plan. Submit the rule change for independent review and check the recorded decision and any operation receipt. Continue until the approved work is complete, using the status to show the distinction between approval and finished implementation.
Before expanding the register, agree where publications are received and who validates the citation. Decide who may submit a revision and who will reconcile an operation that ends in a failed or review-needed state. Practice a returned decision as well as an approval so the owner can see what must change before resubmission. The recorded reason should let another owner continue the case.
Features to start with
Roles on the team
- Independent Assurance Reviewer
- Review eligible revisions independently and reconcile operational evidence.
- Control Owner
- Prepare assigned operational records and execute eligible reviewed actions.
Set up Regulatory Change Management your way.
Start free, then use Proto to change fields, steps and approvals before your team goes live.