Active
Post-Implementation Validation
The organization shall perform documented validation after implementing material regulatory changes to confirm that required policies, processes, systems, and controls have been implemented as intended.
Requirement Details & Guidance
REG-006-R001 · REG-006Why This Requirement Exists
This requirement exists to confirm that regulatory changes are implemented effectively and remain aligned with regulatory requirements through validation and continuous monitoring.
Implementation Guidance
Define validation criteria and testing methods, retain evidence, track deficiencies, perform remediation, and establish ongoing monitoring. Trigger reassessment when regulatory requirements, business processes, or control environments change.
Practical Application & Audit Readiness
REG-006-R001 · Field GuidanceBusiness Examples
After implementing a regulatory change, Compliance tests affected controls, reviews evidence, records deficiencies, and schedules continued monitoring for subsequent regulatory updates.
Common Audit Findings
Post-implementation validation is not performed, control testing evidence is incomplete, or recurring regulatory developments are not incorporated into monitoring.
Common Mistakes
Treating implementation completion as proof of compliance; testing documentation rather than operating effectiveness; failing to track remediation from failed tests.
Best Practices & Ownership
REG-006 · Recommended ApproachRecommended Practices
Define validation criteria, perform control and process testing, retain evidence, track deficiencies to remediation, monitor effectiveness indicators, and trigger reassessment when requirements change.
Typical Owner
Compliance / Internal Audit / Control Owners
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)(3) Standard: Evaluation; § 164.316(a)(2) Standard: Documentation - Actions, activities, and assessments |
US
Law
|
vCurrent | View → |
| PCI-DSS | PCI DSS PCI DSS is an industry security standard maintaine... Clause: 6.5.2 – Upon completion of a significant change, all |
PCI
Standard
|
v4 | View → |
| COBIT2019 | COBIT COBIT is an enterprise governance and management f... Clause: 4.5 – Monitor, Evaluate and Assess (MEA) > MEA03 – Managed Compliance With External Requirements > MEA03.03 – Confirm external compliance.; 4.3 – Build, Acquire and Implement (BAI) > BAI07 – Managed IT Change Acceptance and Transitioning > BAI07.08 – Perform a post-implementation review. |
COBIT
Governance Framework
|
v2019 | View → |
| ISO22301 | ISO/IEC 22301 ISO 22301 specifies requirements for a Business Co... Clause: 8.6 – Evaluation of business continuity documentation and capabilities, 9.1 – Monitoring, measurement, analysis and evaluation |
ISO
Standard
|
v2019 | View → |
| NIST-CSF | NIST Cybersecurity Framework (CSF) The NIST Cybersecurity Framework provides high-lev... Clause: GV.OV-03 – Oversight |
NIST
Framework
|
v2 | View → |
| CIS-V8 | CIS Controls CIS Controls are a prioritized set of cybersecurit... Clause: Control 18 – Penetration Testing: 18.4 – Validate Security Measures |
CIS
Best Practice
|
vv8 | View → |
Parent Domain Context
Governance Domain BaselineDomain 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
Parent Control Context
Control BaselineControl Name:
Regulatory Change Validation & Continuous Monitoring (REG-006)
Summary:
Requires post-implementation validation, control testing, evidence review, issue tracking, effectiveness monitoring, and periodic reassessment to confirm continued alignment with regulatory requirements.
Business Description:
Validate implemented regulatory changes through testing and review, confirm that required controls operate effectively, and continuously monitor for regulatory developments and compliance effectiveness.