Committees & Activities

IT Examination Working Group
Financial Condition (E) Committee
Examination Oversight Task Force

The IT Examination Working Group monitors state usage of automated examination tools (ACL), technology changes, and emerging issues, in order to reevaluate examination processes and keep states abreast of the latest tools, techniques, and training.

Update as of May 19, 2009:

The IT Examination Working Group adopted a revised version of the General Information Technology Review (formerly titled Examination of Computer-Based Operations) located in Section 3, Part 3 of the Financial Condition Examiner’s Handbook on April 16, 2009.  The guidance outlines the procedures to be followed when conducting an IT review under the Risk-Focused Examination approach. 

In addition, the IT Examination Working Group adopted a revised version of Exhibit C – Evaluation of Controls in Information Technology (formerly Exhibit C – Evaluation of Controls in Information Systems (IS)) located within Section 2 of the Financial Condition Examiner’s Handbook on May 7, 2009.  The guidance is to be used as a tool when conducting the new IT review procedures (adopted above).  The guidance also follows the Risk-Focused Examination approach, in addition to utilizing the widely-accepted COBiT framework.

The new guidance described above can be accessed through the Financial Condition Examiner’s Handbook Updates page at the following link:

http://www.naic.org/secure/feh_updates/index.htm .

Note the website is password protected.  The user ID and password is located in the front of the 2009 Financial Condition Examiner’s Handbook. Updates are located within the "Risk- Focused Surveillance Approach Updates" link.

2009 Charges

  • Monitor state usage of automated examination tools (ACL and TeamMate), technology changes, and emerging issues in order to re-evaluate examination processes and keep states abreast of the latest tools, techniques and training.
  • Enhance current training opportunities for auditing tools and techniques: IT Examination, Introductory ACL, Advanced ACL, TeamMate and offering on-site training programs that are available to states upon request.
  • Continually review and consider revising the “Examination of Computer-Based Operations” and “Exhibit C – Evaluation of Controls in Information Systems” sections of the NAIC Financial Condition Examiners Handbook.
  • Develop and maintain tools that will be part of a more complete information technology (IT) examination process.

No related topics are available at this time.

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There are no exposure drafts at this time.

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Regulators may access meeting minutes through MyNAIC.org. Non-Regulators may purchase meeting minutes through NAIC Store.

There are no meeting materials at this time.

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The following are additional documents and resources related to the work of this committee.
TeamMate License Purchase
2009 ACL Training Class Schedule
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Media queries should be directed to the NAIC Communications Division at 816-783-8909 or news@naic.org.

Bruce Jenson
Financial Examination Manager
Phone: 816-783-8348
Fax: 816-460-7673

Bobbi Weians
Financial Examination Specialist
Phone: 816-783-8431
Fax: 816-460-7805
Please see the current Committee List for a complete list of committee members.