Plan, test, and validate each material change within 30 days of go-live

Change Management policy, §6, §7

Before an approved change is deployed, the change owner prepares an implementation plan covering scope, affected systems and teams, the testing approach, a rollback plan, a communications plan, and the validation approach, and the Compliance Officer reviews the plan and the testing results before production. Within 30 days after implementation the Compliance Officer validates that the change operates as intended, has no unintended effects, delivered its disclosures and communications, and left compliance controls working, and tracks any remediation to closure.

Event-driven

Each approved material change; validation due 30 days after implementation

Review the implementation plan and the test results before deployment, set the validation date at go-live, complete the five validation checks by that date, and open a remediation item for anything that fails.

• Implementation plan and test results

  Plan sections, test cases, outcomes, Compliance Officer sign-off

• Post-implementation validation record

  Five checks with results, issues found, remediation plan and closure date

Compliance Officer

Leela can set the 30-day validation date from the go-live date, flag it as it nears, and keep the remediation items open until they close.

Tell Leela about your company to see whether this applies.