21 st June Agenda 09:15Arrival – Breakfast served 09:30Workshop Group Questions 10.30Networking Control Framework Control Framework Breakfast Group

Control Framework Checkpoint Progress Checkpoint 2: By end of Jan 2012 Allocate Project Owner Confirm Start Date Checkpoint 3: By end Q2/2012 Assess Risks Identify Controls and Gaps Checkpoint 4: By end Q2/2012 Evidence remediation plan Checkpoint 5: By end Q2/2012 Agree assurance to be shared

Question 1 Scoping. How did you determine what was Service Company Business with regard to Phase 1 of the Lloyds Control Framework Project at your organisation/s? Control Framework Workshop Questions wholly owned by the group capital provider? YES Not a Service Company under Control Framework NO Service Company under Control Framework Risks processed on an individual basis? YES NO

Question 2 Who (which department/role) is responsible for regular reporting on progress of the Control Framework Project to the board? How often does this happen? Why does this project need to be visible at board level? Board sign off on the Control Framework is mandatory by June 2013 Internal audit required in order for sign off to occur? Board authorisation and monitoring to allocate resource if required? Control Framework Workshop Questions

Question 3 How did you obtain project support for the Lloyds Control Framework at: a) Board level and b) a departmental level within your organisation/s? Which departments are represented on the Control Framework project team currently? Compliance Tax IT Operations Underwriting Internal Audit Control Framework Workshop Questions

Question 4 In your experience, what were the best existing resources to assess whether your organisation/s meets the requirements within the Control Framework User Guide? Why? Underwriting Platform Operating Manuals Training logs Risk Logs MI reports Past Audit Reports Control Framework Workshop Questions

Control Framework Questions?