2.10 Audit Findings

  1. Audit findings are the foundation of the audit report so it is important that they be completed in accordance with the directions specified in section 3.3.4.3 of the IAM.
  2. The "non-conformance to" section shall be filled out in the following manner:

    1. state the source of the regulatory requirement using its acronym (CAR, CASS, COM (FOM), FAM, AOM, SOP, etc.); and
    2. identify the alpha-numeric designation of the provision [i.e., 705.127(1)(c)].

A non-conformance using the above examples would be written as "non-conformance to: CAR 705.127(1)(c)".

Date modified: