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Run: IRIS Ratio Self-Monitoring Worksheet

Track NAIC IRIS solvency ratios in one worksheet, compare each result to internal thresholds, and document exceptions, follow-up actions, and review sign-off...

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Reporting Period and Submission Details

Reporting Period End Date (required)

Select the end date for the monitoring period.

Reporting Frequency (required)

Choose the cycle used for this self-monitoring review.

Prepared By (required)

Name or team identifier of the person preparing this worksheet.

Department (required)

Select the primary department responsible for the review.

Purpose of Review (required)

Identify why this worksheet is being completed.

Source Data and Assumptions

Source Data Period (required)

Date representing the source data cutoff used for the calculations.

Source Systems Used (required)

Select all systems used to compile the ratio inputs.

Material Assumption Changes Since Last Review (required)

Indicate whether any material assumptions changed since the prior monitoring cycle.

Yes No N/A

Assumption Change Summary

If assumptions changed, summarize the change and why it matters for the ratio result.

Data Quality or Reconciliation Notes

Record any reconciliation items, data gaps, or adjustments that affect the reliability of the inputs.

IRIS Ratio Results

IRIS Ratio Name (required)

Select the IRIS ratio being monitored.

Current Ratio Value (required)

Enter the current calculated ratio value.

Prior Period Ratio Value

Enter the prior monitored value for trend comparison.

Internal Threshold (required)

Enter the internal threshold or trigger level used for monitoring.

Threshold Direction (required)

Specify how the threshold should be interpreted.

Result Status (required)

Classify the result based on the internal threshold and trend.

Trend Commentary

Briefly explain the trend, drivers, or notable changes in the ratio result.

Exception Analysis and Follow-Up

Exception Identified (required)

Indicate whether the ratio result requires exception handling.

Primary Exception Reason

Select the main drivers if an exception exists.

Corrective Actions or Mitigation Plan

Describe actions planned or already taken to address the exception.

Target Completion Date

Enter the expected completion date for corrective actions.

Regulatory Escalation Needed

Indicate whether the issue may warrant escalation to compliance or regulatory affairs.

Review, Attestation, and Audit Trail

Reviewer Name (required)

Name or role of the reviewer completing the internal check.

Review Status (required)

Select the current review status.

Review Date (required)

Date the review was completed.

Attestation (required)

Confirm the worksheet is complete and suitable for internal audit trail use.

Yes No N/A

Reviewer Notes

Add any final comments, follow-up items, or references to supporting workpapers.

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