Compliance Monitoring & Testing
MT-04Run the quarterly testing battery
How Leela would run itQuarterly · in the last month of each quarter, feeding the quarterly report
From the policy libraryThe requirement
Each quarter the risk-based and random tests run together: disclosure accuracy and timeliness, complaint investigation quality, recordkeeping integrity, data access controls, vendor governance, and change management verification, with a walkthrough of each major control area.
- 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
Execute each scheduled test on its population, walk through each control area with the people operating it, classify findings, and route them to Issues Management.
What Leela keepsThe evidence this obligation leaves, as the work happens
Listed from the policy libraryContents
- 01Quarterly test workpapersOne workpaper per test with sample and results
- 02Walkthrough notesPer control area, with attendees and observations
Evidence
Quarterly test workpapers
Compliance Monitoring & Testing §4.1, §4.2
2
of 2 records
The work and the records come from this obligation in the policy library.