On this page
Use one row per objective
The worksheet’s unit is an objective, rather than a meeting. An issuer can have several objectives, and one objective can require several actions. Give each objective a stable identifier so follow-up activity does not inflate the objective count. The example row concerns disclosure of supplier audit coverage.
Keep status and escalation separate
| Field group | Use |
|---|---|
| Issue and requested change | Describe the concern and the specific response sought |
| Evidence needed and received | Compare the original evidence request with the response |
| Start and review dates | Record the objective’s timing |
| Status | State whether the objective remains open or is resolved |
| Escalation action | Record an action without treating it as automatic resolution |
| Next decision | Describe the next step and what would change it |
Replace the demonstration row
Open the CSV in a spreadsheet application and replace the fictional issuer, dates and request with your own learning case. A received document can be entered under evidence received while the objective remains open if the document does not answer the request. If you later calculate a resolved share, first define the cohort and count each objective once.
Use the record for its stated task
This is an original learning worksheet, not a mandatory reporting form or a system for storing confidential issuer information. Its columns help compare an objective with a response. They do not certify that an engagement was effective or that a submission meets a regulator’s requirements.