Issue Management - Building Registers

Having previously discussed the relevance of an issue management program, this article will speak to the importance of documenting issues and how you can include essential details in your register. We highlight the different types of registers, essential register elements, and how to build them.

Registers for Issue Management

To best evaluate, analyze, and resolve issues, a comprehensive issue management program will have multiple types of registers including business objectives, incidents, issues, and risks. In this article we focus on the following registers:

• Risk register

• Non-conformance register

• Issue register

Building a Risk Register

One important step in building a centralized issue management program is to formalize a risk management process describing how your organization identifies, categorizes, assesses, treats, and monitors risks. This process should create a set of requirements that all departments can follow on how risks associated with internal and external threats should be managed. There are many approaches to risk management, in this article, we will keep it simple and use a common example.

A risk register is the final documented outcome of executing a risk management process. Most risk register templates share these commonly used elements:

Building a Nonconformity Register

A nonconformity (NCR) is a type of issue that originates from internal assessments or external audits. When a nonconformity occurs, you must thoroughly document it and follow procedural steps until this issue can be closed.

There are a few key items to include in your nonconformity register:

Description: You must document all specific deviations or work that fails to meet the quality standard. This document allows the compliance department and the issue owner to understand the nature of the issue and take action to correct the nonconformity and eliminate the cause. The NCR description should detail:

• The standard or regulation

• The requirement/control affected by the nonconformance

• What went wrong to cause the NCR

• Pieces of evidence reviewed

Criticality: There are two types of nonconformances: major and minor. A major nonconformance is classified when there is an absence or a complete breakdown in your Management System based on the required controls. A minor nonconformance is defined as a finding with no substantial consequences to the Management System that will not result in a failure or majorly weaken it.

Ownership: Determine process owners who will assess and work on the NCR and in its associated procedures.

Root-Cause Analysis (RCA): A root cause is defined as a factor that caused a nonconformance and should be permanently eliminated through process improvement. The root cause is the core issue that must be identified using one of the available techniques, such as: fishbone analysis, 5 Whys, Pareto chart, among others.

Corrective Action: is the activities taken to eliminate the cause of a process nonconformity and it might include immediate actions taken or a comprehensive plan to correct the issue based on its root cause.

Issue Registers

An issue register is the documentation of all the issues directly connected to the results of the risk identification exercises established as part of your management program. Much like the previously mentioned registers, this document must connect to the escalated risks and includes description, category, cause, probability of occurring, impact on objectives, proposed responses, owners, and status of said Issues.

All the issue register components must be documented and communicated within the organization to ensure consistent reporting across the different departments and leaders will document, assess, and manage their individual issues.

Why Regularly Reviewing and Updating the Issue Register is Crucial

Keeping the issue register up-to-date is vital for successful project management. Regular reviews help identify potential problems before they spiral out of control. By promptly addressing these issues, project managers can ensure smooth project progression.

Prevent Small Issues from Growing

Neglecting to review the issue register can allow minor problems to evolve into significant barriers. Consistent updates provide an opportunity for early detection and resolution, helping prevent small issues from growing into major roadblocks.

Enhance Communication and Collaboration

An updated issue register facilitates effective communication among team members. It ensures everyone is on the same page regarding existing challenges, fostering a more collaborative environment. Team members can then work together more effectively to mitigate risks and develop solutions.

Improve Resource Allocation

Frequent reviews of the issue register allow for better resource management. By understanding the current issues, project managers can allocate resources more efficiently, prioritizing tasks and ensuring that the most critical problems receive immediate attention.

Boost Stakeholder Confidence

Stakeholders expect projects to be delivered on time and within budget. Regularly updating the issue register demonstrates proactive management, instilling confidence among stakeholders that the project is being handled diligently. This transparency can lead to stronger trust and stakeholder support.

Incorporating regular reviews into your project management routine is not just a best practice; it is essential for successful project delivery. By staying ahead of potential challenges, you ensure that your project stays on track and meets its objectives effectively.

How to Differentiate Between Issues and Risks

Understanding the difference between risks and issues is essential for effective GRC strategy and decision-making. Clear distinction allows organizations to respond appropriately, maintain compliance, and strengthen overall risk posture.

Understanding Risks

Potential Threats: Risks are uncertain future events that could impact business objectives, operations, or compliance—positively or negatively. They represent possibilities, not certainties.

Proactive Management: Risks require forward-looking strategies. This includes identifying, assessing, and mitigating risks before they impact the organization. Proactive risk management helps reduce exposure and supports strategic planning.

Identifying Issues

Current Challenges: Issues are problems that have already occurred. They pose immediate threats to operations, controls, or compliance obligations and must be addressed without delay.

Reactive Response: Unlike risks, issues demand swift, corrective action. This may involve incident response, policy adjustments, or escalation to ensure continuity and regulatory adherence.

How Risks and Issues Connect

• From Risk to Issue: When a known risk materializes—such as a third-party data breach or regulatory change—it becomes an issue requiring active resolution.

• From Issue to New Risk: In resolving an issue, new risks can emerge. For example, a rushed process fix may introduce operational vulnerabilities or compliance gaps.

By clearly distinguishing between risks and issues, organizations can build stronger GRC frameworks, respond more effectively to disruptions, and drive continuous improvement across governance, risk, and compliance activities.

Tips for Enhancing the Management and Effectiveness of an Issue Register

Managing an issue register effectively is crucial to the success of any project. Here are some key strategies to enhance both the management and utility of your issue register:

• Utilize GRC Tools: Use dedicated GRC software to manage your risk and issue registers. Unlike basic spreadsheets or general project management tools, GRC solutions centralize data, automate workflows, and enhance collaboration across teams. They allow you to link related risks and issues, assign ownership, set review schedules, and track mitigation progress in real time within a structured, auditable environment.

• Regular Review Sessions: Set aside dedicated time to regularly review ongoing issues. It's common for project managers to get swamped with daily tasks, but neglecting issue reviews can lead to unresolved matters snowballing into substantial problems.

• Transparency with Critical Issues: Honesty is essential when dealing with significant challenges. Ensure that these are not kept hidden from key stakeholders. The decision-makers rely on accurate data to make informed choices, so keeping them in the loop is paramount.

• Differentiate Between Issues and Risks: It's important to understand the distinction and connection between issues and risks. A risk turns into an issue when it manifests. Additionally, some issues may give rise to fresh risks, which need to be managed proactively.

• Document Lessons Learned: Every resolved issue is a chance to learn and enhance your project's future delivery. Document these lessons meticulously to refine your approach to managing issues in subsequent projects.

By incorporating these strategies, you'll not only improve the efficiency of issue resolution but also bolster the overall effectiveness of your project management processes.