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- Regulatory Change Management
- Process
- Plan an assessment
Plan an assessment
Define the review period, business unit and test scope before work begins.
Step by step
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Choose the organization Control Owner
The Control Owner identifies the entity responsible for the assessment.
- Set entity scope
- Updates Organizations 2, Assessments 2
-
Name the business unit Control Owner
The owner selects the counterparty and confirms its organization and active state.
- Set operating scope
- Updates Business units 2, Assessments 2
-
Set the review period Control Owner
The owner enters the start and end dates and gives the assessment a subject and scope statement.
- Record period and subject
- Updates Assessments 2
-
Assign ownership Control Owner
A named team member owns the assessment and planned test work.
- Identify accountable owner
- Updates Team members 2, Assessments 2
-
Select controls Control Owner
The owner connects planned tests to the controls that address the relevant risks.
- Connect tests to controls
- Updates Risks 2, Controls 2, Assessment tests 2
-
Begin testing Control Owner
The assessment moves from planning to testing when the scope is ready.
- Move planned work into testing
- Updates Assessments 2
Who does what
Roles and permissions- Control Owner
- Sets the assessment scope; App Administrator maintains organization and business unit records; Independent Assurance Reviewer examines the resulting evidence.
Set up Regulatory Change Management your way.
Start free, then use Proto to change fields, steps and approvals before your team goes live.