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ARCHIVED - Office of the Superintendent of Financial Institutions - Supplementary Tables

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Internal Audits and Evaluations

Internal Audits (2010-2011 reporting period - covering 2009-2010 and 2010-2011 planning period)

1. Name of Internal Audit 2. Internal Audit Type 3. Status 4. Completion Date

Corporate Services - Finance – Revenue

Revenue Business Cycle Completed November 2010

Corporate Services - Human Resources Performance Management

Performance Management Completed November 2010

Regulation Sector -  Private Pensions Plan Division – Approvals Management and Control Framework

Approvals Completed November 2010
Corporate Services – Finance – Contracting for Professional Information Management/Information Technology Contracting for Professional Information Management/Information Technology In Progress June 2011
Superintendent’s Office  - Risk Management Risk Management In Progress 2011-12
Supervision Sector – Life Insurance Group – Conglomerates Risk Assessment & Intervention In Progress 2011-12
Regulation Sector: Actuarial Supervision Support Not yet Started 2011-12
Supervision Sector: Supervision Support Group, Credit Risk Division Risk Assessment & Intervention – Follow-Up In Progress 2011-12

OSFI’s Internal Audit group conducts regular internal audits. The Internal Audit Plan is approved one year at a time by the Audit Committee. The 2011-2012 to 2013-2014 audit plan was approved Q3 2010-2011. The audit plan is subject to change from year to year depending on changes to priorities or in the business.