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Division
Particulars
Board
ECB
ACB
RMC
(4)
(5)
(6)
(7)
MC MD
IC&CW
A&ID
(2)
(3)
17 - 3.2
A&ID
18 - 3.3
A&ID
18 - 3.3
A&ID
18 - 3.4
Page 1 of 16
(8)
(9)
(10)
(11)
(13)
Monitoring
Division
Related to
Division
Sl. Page No. & Annual audit plan will be drawn up. Based on the risk
Particulars
No. Para No. assessment matrix, the audit plan will be as Risk Rating
5
20 - 3.4
(i) High; (ii) medium; (iii) Low and Frequency (i)
Quarterly; (ii) Half yearly; (iii) yearly.
6
20 - 3.4
20 - 3.5
21 - 4.0
21 - 4.1
10
21 - 4.1
Board
ECB
ACB
RMC
MC MD
IC&CW
HRD
A&ID
Monitoring
Division
A&ID
Board
IC&CW
A&ID
Related to
11
12
13
21 - 4.1
22 - 4.1
22 - 4.1
Division
Board
Page 3 of 16
ECB
ACB
RMC
MC MD
IC&CW
HRD
Compliance
Division
Monitoring
Division
A&ID
HRD
Related to
Division
22 - 4.2
RMC
MC MD
IC&CW
IC&CW
IC&CW
HRD
16
22 - 4.2
17
23 - 4.2
Related to
Particulars
information in accurate, reliable and timely manner.
Employees' actions in compliance with policies,
standards, procedures, laws and regulations.
Use of acquired resources economically, efficiently
and adequately.
Achievement of programs, plans and objectives.
Fostering the quality and continuous improvement in
the bank's control process.
Appropriate recognition and addressing of legislative
and regulatory issues impacting the bank.
Board
ECB
ACB
RMC
MC MD
IC&CW
IC&CW
IC&CW
Division
HRD
Related to
Division
Board
23 - 4.3
19
23 - 4.3
20
23 - 4.3
21
23 - 4.3
22
23 - 4.3
18
ECB
ACB
RMC
MC MD
IC&CW
HRD
A&ID
ACB
MC
MC
A&ID
Page 6 of 16
Related to
Division
Sl. Page No. & ensure that audit plans are met, programs are carried out,
Particulars
No. Para No. and results of audits are promptly communicated to
Board ECB ACB
senior management and members of the Audit
Committee and full Board.
Workpapers adequately document the internal audit
work performed and support the audit reports.
RMC
MC MD
IC&CW
HRD
23 - 4.3
23 - 4.3
A&ID
25
24 - 4.3
A&ID
26
24 - 4.4
23
24
ACB
Page 7 of 16
IC&CW
HRD
29
30
Related to
Division
Particulars
of Internal Control and Compliance (ICC) of the bank.
Board
24 - 4.4
The rank of the Head of ICC must not be lower than one
step immediate below the CEO.
Board
HRD
24 - 4.4
Board
HRD
24 - 4.4
25 - 4.5
31
32
ECB
ACB
RMC
MC MD
IC&CW
HRD
IC&CW
Board
Page 8 of 16
ACB
A&ID
A&ID
HRD
Related to
Division
Board
ECB
ACB
RMC
MC MD
IC&CW
25 - 4.7
25 - 4.8
IC&CW
35
26 - 4.9
IC&CW
36
26 - 4.10
IC&CW
33
34
Page 9 of 16
ACB
IC&CW
HRD
A&ID
Monito- Compliring
ance
Division Division
HRD
Related to
Division
Sl. Page No. & HR Training, Research & Development Division of the
Particulars
No. Para No. bank should conduct various training programs for the
37 26 - 4.10.1 Executives/Officers/Staff to develop their efficiency so
that they can apply their knowledge and experience in
the bank regularly.
Board
ECB
ACB
RMC
MC MD
IC&CW
HRD
HRD
HRD
Each Year the Head of ICC will set out an Audit plan for
the year.
41 28 - 5.1 (a)
Page 10 of 16
HRD
IC&CW
ACB
ACB
A&ID
Related to
Division
Board
Board
ECB
ACB
RMC
MC MD
MC
IC&CW
HRD
44
28 - 5.2
45
28 - 5.2
A&ID
29 - 5.2
A&ID
47
29 - 5.2
ACB
IC&CW
48
29 - 5.2
ACB
IC&CW
49
29 - 5.3
46
IC&CW
A&ID
Related to
29 - 5.3
51
29 - 5.3
52
29 - 5.3
Division
RMC
MC MD
IC&CW
HRD
A&ID
A&ID
HRD
A&ID
A&ID
A&ID
HRD
Related to
Division
Board
ECB
ACB
RMC
MC MD
IC&CW
HRD
A&ID
A&ID
A&ID
A&ID
A&ID
61
32 - 5.5
62
32 - 5.5
ACB
MD
IC&CW
A&ID
Related to
Particulars
Directors for onward submission to Bangladesh Bank.
63
32 - 5.5
64
32 - 5.5
65
66
Board
ECB
ACB
67
68
RMC
MC MD
MD
Division
IC&CW
A&ID
A&ID
ACB
A&ID
Board
A&ID
A&ID
Board
Page 14 of 16
A&ID
HRD