Change backlog

Regulatory obligations added or amended that have no control mapped yet, with the days since each became effective, per business unit. Every obligation is mapped, in progress with an owner and a target date, or unmapped with the days counted.

DefinitionRegulatory obligations added or amended that have no control mapped yet, with the days since each became effective, per business unit. Every obligation is mapped, in progress with an owner and a target date, or unmapped with the days counted.

Mapped to a retired control is unmapped

It looks covered in the register and is not.

In progress needs a date

Without a target date, in progress is forever and never overdue.

How it is computed

New or amended obligations in the regulatory change log with no control mapped, each with its effective date and the days since.

Example

Of 64 obligations added this year, 51 have a control mapped. Thirteen do not, and four of those took effect more than ninety days ago. Those four are the agenda.

Where it goes wrong

Regulatory change is tracked as a list of documents read, not as obligations with controls. The backlog is invisible until an examiner asks.

Articles that use this term

Coverage and territory · Compliance

Ten questions a head of compliance asks, and the table that answers each

The ten questions a head of compliance puts to the business units and the compliance team, which obligations have no control, which controls were not tested on schedule, which findings are past their date and how many times extended, which regulatory changes have no mapping yet, who is overdue on training, which units report nothing, which high-rated issues are open, what will a regulator find first, what did the last audit find that the register did not, and what changed, each with the table from the registers, the identity behind it, and the answer to send back.

16 Sept 20262 min read Coverage and territory · Compliance

Obligation coverage on ten obligations: the whole arithmetic on one page

The complete obligation-to-control coverage calculation on ten obligations, small enough to check by hand: each obligation's rating and business unit from the register, the controls mapped to it, the control's testing frequency and last test date, whether the control is on cadence, the obligation's state, covered by a control on cadence, covered by a slipped control, mapped to a retired control, or unmapped, coverage by unit and by rating, the change backlog for the two obligations from this year's regulatory changes, and the assertion that the states sum to ten, so a reader can reproduce every figure and then run it on their own registers.

17 Sept 20264 min read How-to guides

The worked examples: every measure on ten rows you can check by hand

A hub for the worked-example pages on this site: each core measure computed in full on a book small enough to check by hand, ten accounts, ten deals, ten invoice lines, five clients, four territories, with every intermediate figure shown and the identity at the end. This page lists them by measure with what each example demonstrates, so a reader can reproduce the arithmetic before running it on their own export.

17 Sept 20268 min read