Issues Management
IM-01Register every issue in the Issues Log at intake
How Leela would run itEvent-driven · each issue, on receipt through any intake channel
From the policy libraryThe requirement
Every issue, whatever its channel, is registered in the Issues Log on receipt with a unique identifier, a description, its source, the date identified, the area of the business affected, and its type. Findings from monitoring and testing, systemic complaints, regulatory inquiries, audit results, employee reports, and sponsor bank notices all enter the same log.
- Applies
- Tell Leela about your company to see whether this applies.
- Status
- Setup needed
Tell Leela how you handle it today, or hand it over: see what’s next.
The work
Open a log entry for each issue as it arrives, assign the identifier, record the intake fields, and link the source finding, complaint, or notice.
What Leela keepsThe evidence this obligation leaves, as the work happens
Listed from the policy libraryContents
- 01Issues Log entryIdentifier, description, source, date identified, area affected, type
- 02Source recordThe finding, complaint, audit report, or bank notice that raised the issue
Evidence
Issues Log entry
Issues Management §2, §3
2
of 2 records
The work and the records come from this obligation in the policy library.