Criticality High Active

Regulatory Change Workflow & Audit Trail

Provides workflow-based routing, ownership assignment, due dates, status tracking, escalation, evidence capture, approval records, implementation decisions, and immutable or controlled audit trails for regulatory changes.

Control ID
REG-005
Domain Code
REG
Control Nature
Detective
Business Owner
Compliance / Regulatory Change Manager
Category
Operational
Compensating Control
No

Control Overview

REG-005 · Full Control Profile
Business Description

Use documented workflows to assign regulatory changes to accountable stakeholders, track implementation activities, record decisions and evidence, and maintain a complete audit trail.

Business Objective

To ensure regulatory changes are implemented, documented, and traceable from identification through closure.

Business Benefits

    Business Risks if Missing

      Stakeholders, Industries & Technologies

      REG-005 · Operating Context

      Primary Stakeholders

      Applicable Industries

      Applicable Technologies

      Mapped Regulatory & Industry Frameworks

      Harmonized Framework Mappings

      The following compliance and regulatory frameworks map directly to this control's governance scope.

      FRAMEWORK CODE FRAMEWORK NAME & DESCRIPTION FAMILY / CATEGORY VERSION ACTION
      HIPAA Health Insurance Portability and Accountability Act HIPAA is a U.S. federal law supported by implement...
      US
      Law
      		 vCurrent View →
      PCI-DSS PCI DSS PCI DSS is an industry security standard maintaine...
      PCI
      Standard
      		 v4 View →
      COBIT2019 COBIT COBIT is an enterprise governance and management f...
      COBIT
      Governance Framework
      		 v2019 View →
      ISO22301 ISO/IEC 22301 ISO 22301 specifies requirements for a Business Co...
      ISO
      Standard
      		 v2019 View →
      NIST-CSF NIST Cybersecurity Framework (CSF) The NIST Cybersecurity Framework provides high-lev...
      NIST
      Framework
      		 v2 View →
      CIS-V8 CIS Controls CIS Controls are a prioritized set of cybersecurit...
      CIS
      Best Practice
      		 vv8 View →

      Parent Domain Context

      Governance Domain Baseline
      Domain Name:
      Regulatory Change Management (REG)
      Purpose:
      To systematically identify, track, and assess changes in relevant laws and regulations to ensure the organization remains compliant.
      Scope:
      Enterprise
      View

      Compliance Requirements & Audit Crosswalk

      6 Specific Audit Clauses

      The following requirements dictate specific audit evidence criteria and testing steps mapped directly under this control.

      REQUIREMENT ID REQUIREMENT TITLE & DETAILS MAPPED CONTROL TYPICAL OWNER ACTION
      REG-005-R001 Regulatory Change Workflow The organization shall maintain a docume... REG-005 Regulatory Change Workflow & A... Compliance / Regulatory Change Manager View ↗
      REG-005-R002 Stakeholder Assignment The organization shall assign regulatory... REG-005 Regulatory Change Workflow & A... Compliance / Regulatory Change Manager View ↗
      REG-005-R003 Implementation Milestones The organization shall define implementa... REG-005 Regulatory Change Workflow & A... Compliance / Regulatory Change Manager View ↗
      REG-005-R004 Escalation and Overdue Actions The organization shall establish escalat... REG-005 Regulatory Change Workflow & A... Compliance / Regulatory Change Manager View ↗
      REG-005-R005 Audit Trail and Evidence The organization shall maintain an audit... REG-005 Regulatory Change Workflow & A... Compliance / Regulatory Change Manager View ↗
      REG-005-R006 Closure Approval The organization shall require documente... REG-005 Regulatory Change Workflow & A... Compliance / Regulatory Change Manager View ↗