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Governance Charter

The organization shall establish and maintain a formal regulatory change governance charter defining the purpose, scope, authority, roles, responsibilities, decision rights, escalation paths, and approval requirements for regulatory change management.

Requirement ID
REG-001-R001
Parent Control
REG-001
Domain Code
REG

Requirement Details & Guidance

REG-001-R001 · REG-001
Why This Requirement Exists

This requirement exists to establish accountable governance and formal decision authority for regulatory change management and to support consistent, auditable oversight.

Implementation Guidance

Define the required governance process, accountable roles, decision rights, approval points, evidence requirements, review frequency, and escalation criteria. Maintain the governance charter and integrate regulatory change decisions with enterprise risk and compliance governance.

Practical Application & Audit Readiness

REG-001-R001 · Field Guidance

Business Examples

    Common Audit Findings

      Common Mistakes

        Best Practices & Ownership

        REG-001 · Recommended Approach

        Recommended Practices

          Typical Owner

          Cross-Mapped Regulatory Frameworks

          Harmonized Control Mappings
          FRAMEWORK CODE FRAMEWORK NAME & DETAILS FAMILY / CATEGORY VERSION ACTION
          HIPAA Health Insurance Portability and Accountability Act HIPAA is a U.S. federal law supported by implement... Clause: § 164.308(a)(8) Standard: Assigned security responsibility; § 164.316(a)(1) Standard: Documentation - Policies and procedures
          US
          Law
          		 vCurrent View →
          PCI-DSS PCI DSS PCI DSS is an industry security standard maintaine... Clause: 12.1.1 – An overall information security policy is; 12.1.3; 12.1.4
          PCI
          Standard
          		 v4 View →
          COBIT2019 COBIT COBIT is an enterprise governance and management f... Clause: 4.2 – Align, Plan and Organize (APO) > APO01 – Managed I&T Management Framework > APO01.01 – Design the management system for enterprise I&T.; 4.2 – Align, Plan and Organize (APO) > APO01 – Managed I&T Management Framework > APO01.04 – Define and implement the organizational structures.; 4.2 – Align, Plan and Organize (APO) > APO01 – Managed I&T Management Framework > APO01.05 – Establish roles and responsibilities.
          COBIT
          Governance Framework
          		 v2019 View →
          ISO22301 ISO/IEC 22301 ISO 22301 specifies requirements for a Business Co... Clause: 5.1 – Leadership and commitment, 5.3 – Roles, responsibilities and authorities
          ISO
          Standard
          		 v2019 View →
          NIST-CSF NIST Cybersecurity Framework (CSF) The NIST Cybersecurity Framework provides high-lev... Clause: GV.RR-02 – Roles, Responsibilities, and Authorities; GV.PO-01 – Policy
          NIST
          Framework
          		 v2 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

          Parent Control Context

          Control Baseline
          Control Name:
          Regulatory Change Governance & Oversight (REG-001)
          Summary:
          Defines governance structures, roles, approval authority, escalation paths, and review responsibilities for regulatory change management, including formal oversight by a CCB or designated compliance leadership.
          Business Description:
          Establish clear accountability and governance for identifying, reviewing, assessing, approving, and implementing regulatory changes through a Change Control Board (CCB) or designated compliance leaders.
          View