Issues Management
IM-09Deliver the quarterly issues summary and the annual board report
How Leela would run itQuarterly · quarterly, in the month after quarter end; annually to the board
From the policy libraryThe requirement
The Compliance Officer prepares a quarterly issues summary for the Chief Executive Officer, due in the month after each quarter ends, with new issues by severity, the status and summary of each Critical and High issue, closed issues with validation confirmed, and trends. An annual issues summary for the board covers the year’s counts by severity, Critical issues and their status, trend and root cause analysis, an assessment of whether the process is effective, and recommended improvements.
- 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
Pull the quarter’s counts, statuses, and trends from the log into the summary, send it within the month after quarter end, and build the annual report for the board from the four quarters.
What Leela keepsThe evidence this obligation leaves, as the work happens
Listed from the policy libraryContents
- 01Quarterly issues summaryReport with counts by severity, Critical and High status, closures, trends, dated
- 02Annual issues summaryBoard report with the year’s analysis and recommendations, with board minutes
Evidence
Quarterly issues summary
Issues Management §10
2
of 2 records
The work and the records come from this obligation in the policy library.