WORKING FORMAT / FICTIONAL EXAMPLE
Illustrative consistency check.
A short example of the working format used to compare a document statement with its supporting record.
Illustrative only. All statements, references and records below are fictional. This is not client work, a completed application or a statement of FCA requirements.
CONSISTENCY REVIEW / EXAMPLE 01STATUS: OPEN
Approval before implementation
- Document statement
- “Policy changes are approved by the board before implementation.”Business plan §4.2 / fictional source
- Evidence inspected
- The policy register records release on 13 March and board approval on 18 March.Policy register PR-01 / fictional record
- Consistency finding
- The recorded dates do not support the sequence described in the business plan. The documents alone do not establish whether a date is wrong or approval followed release.
- Question for the owner
- Confirm the dates against the approval record. If the statement describes a planned process, identify it as planned. Reconcile the narrative and evidence before sign-off.
- Close-out record
- Named owner; response date; corrected source reference; reviewer check. Leave open until the response and supporting record are available.
What is handed over
The statement, source references, discrepancy and question are kept together so the consultancy can resolve the point with its client. Missing evidence remains visible; an unsupported conclusion is not substituted for it.
This example demonstrates the documentation format. The consultancy retains responsibility for regulatory advice, client decisions and submission.