1 IT - General Controls Questionnaire Internal Control Questionnaire Question Yes No N/A Remarks G1. ACCESS CONTROLS Access controls are comprised of those policies and procedures that are designed to allow usage of data processing assets only in accordance with management s authorization. Protection of these assets consists of both physical and logical access controls that prevent or detect unauthorized use, damage, loss, or modifications. The data processing resources to be protected include the system software, application programs and tables, transaction detail and history files, databases, documentation, hardware, and tape or cartridge libraries. Access to these resources should be limited to those individuals authorized to process or maintain a particular system. PHYSICAL SECURITY 1. Does the university maintain written procedures relating to controls over the physical security of the computer equipment? 2. Is the physical location of the computer/server/storage/training rooms appropriate to ensure security? 3. *Are physical access devices (i.e., card-key or combination lock systems) used to restrict entrance to the computer room? 4. Obtain documentation listing all individuals with access to the computer room. a. Are only those with a legitimate need included? b. Are terminated or transferred employees' access codes cancelled in a timely manner? 5. Does the university have any policies for temporary access by employees, visitors, or outside vendors? (e.g., are these individuals escorted during their activities, or are ID badges or sign-in logs used?)
2 6. Does the university utilize monitoring software linked to the physical access device to electronically monitor computer room entrances? a. Are access reports generated? b. Are these reports reviewed by appropriate IT management? 7. Does the university use plate glass or other techniques (e.g., surveillance cameras) to visually monitor computer room access? 8. Does the university utilize procedures and devices to secure sensitive equipment and storage media from the risk of environmental damage, such as: a. Halon, CO2, or dry-piped water suppression systems? b. Hand held fire extinguishers? c. Smoke and heat sensors? d. Water detectors and humidity controls? e. Temperature controls and dedicated air conditioning units? f. An uninterruptible power supply (UPS), diesel or gas generators, or power generators? 9. For any other sensitive areas, are access controls to these areas adequate? Examples of sensitive areas (besides the computer room) would include communications closets, any UPS equipment, and tape libraries. LOGICAL ACCESS 10. Does the university maintain written policies or procedures related to the security controls over access to the system? 11. *Does the university utilize various levels of security products (e.g., security software, application and database security)?
3 12. *Determine the types of controls that are in place over the issuance, maintenance, and termination of passwords. Do such controls include: a. A security administrator designated to control password security? b. Informing employees of proper password security through training or signed security statements? c. Unique passwords? d. Passwords changed on a periodic basis? e. Passwords cancelled or access rights modified in a timely manner upon an employee's termination or transfer? 13. *Are reports generated by the system's security software? a. Are these reports regularly reviewed by the security administrator? b. Are procedures in place to follow up on these reports? 14. Is sensitive data protected by restricted access or other controls? 15. If student data is maintained on unit computers, is security over the data sufficient to ensure compliance with the Family Educational Right to Privacy Act (FERPA)? G2. PROGRAM CHANGE CONTROLS Program change control is the process of the programmer making changes to computer programs based upon requests from users or due to general computer maintenance requirements. The change process involves authorization and approval procedures, audit trail of the requests, program testing, segregation of duties and documentation of the process.
4 1. Does the university maintain written procedures for controlling program changes through IT management and programming personnel? 2. *Do program change authorization forms or screens prepared by the user (usually called a Request for Services) include: a. Authorizations by user management before proposed program changes are made? b. Testing program changes? c. IT management and user personnel review and approval of testing methodology and test results? 3. *Does the university use library control software or other controls to manage source programs and object programs, especially production programs? 4. *Does the university have procedures for emergency program changes (or program files)? G3. BACKUP AND RECOVERY CONTROLS Backup and recovery controls are the provisions to provide reasonable assurance that an organization will be able to recover from loss or destruction of data processing facilities, hardware, software, or data. These continuation provisions include the retention of copies of data files and software, arrangements for access to backup hardware on short notice and tested recovery plans. 1. *Are critical files and programs regularly copied to tapes or cartridges or other equivalent medium to establish a generation of files for audit trail purposes and removed to off-site storage to ensure availability in the event of a disaster? 2. Is a periodic inventory taken to verify that the appropriate backup files are being maintained? 3. Are controls in place at the off-site storage location to ensure that it is fireproof and secure?
5 DISASTER RECOVERY PLAN 4. Does the university have a documented disaster recovery plan for processing critical jobs in the event of a major hardware or software failure? a. Has the disaster recovery plan been updated on a regular basis? b. Has the recovery plan been tested? 5. Is the disaster recovery plan maintained off-site and updated when changes occur? 6. Does the backup and recovery plan include the following: a. Personnel assigned to disaster teams with operating procedures and emergency phone numbers to reach them? b. Arrangements for a designated physical facility? c. A risk analysis identifying the critical applications, their exposures, and an assessment of the impact on the entity? d. Arrangements with vendors to support the needed hardware and software requirements? e. Forms or other control documents to use in case of a disaster? G4. SYSTEM DEVELOPMENT AND ACQUISITION CONTROLS Systems development is the process of creating new computerized applications in-house (i.e., within the organization). The development life cycle consists of several phases. Each phase has objectives, processes, products and reviews. The reviews provide a mechanism for determining at each phase whether user needs are being met and whether cost, control, and audit objectives are being achieved. Systems acquisition is the process of purchasing and implementing an
6 application that has been developed by a third-party software vendor. The effective implementation of purchased applications also requires the entity to adopt a formal methodology to control the process. This methodology closely resembles that of in-house developed systems 1. Interview IT management to determine whether any new financial applications were either: 1.) developed in-house or acquired from a vendor or 2.) are being planned or investigated during the current audit period. If no planning related to the development or acquisition of new financial systems was performed during the audit period, do not complete this control module. 2. Did the university's procedures for developing new applications include: a. System requirements analysis? b. System specifications? c. Technical design? d. Technical procedure development? e. User procedure development? f. System and acceptance testing? g. Transition? 3. *Were user personnel involved in new systems development (acquisition), particularly during design, development, testing, and conversion? 4. *Were audit and security concerns considered during the initial analysis phase? (If university has an internal audit staff, were internal auditors involved in new systems development (acquisition)?)
7 5. Did IT management adequately document: a. Systems documentation? b. Program documentation? c. Operations documentation? d. Users documentation? G5. COMPUTER OPERATIONS CONTROLS Computer operations controls are designed to ensure that systems continue to function consistently, as planned. They include controls over the use of the correct data, programs, and other resources, and the proper performance of this function by operators, particularly when a problem occurs. 1. Does the university maintain general operational documentation relating to the following procedures for which the operations staff are responsible? a. System start-up procedures b. Backup assignments c. Emergency procedures d. System shutdown procedures e. Error message debugging instructions f. System and job status reporting instructions 2. Does the university maintain application-specific operational instructions including:
8 a. Definitions of input sources, input data, and data formats? b. Descriptions of restart procedures and checkpoints? c. Descriptions of data storage requirements? d. Types of console message instructions? e. Copies of system flowcharts? 3. *Are operating logs maintained, retained and reviewed on an ongoing basis? 4. Are workloads properly managed by using manual or automated processing schedules to ensure that all jobs are processed and that deadlines and priorities are considered? G6. DATABASE CONTROLS A database is a collection of related data organized in a manner intended to be accessed by multiple users for varied purposes. Database controls are designed to ensure that activities related to the security, integrity, accountability and recoverability of the database are controlled. 1. Does the university have a Database Administrator (DBA)? Is the DBA responsible for managing the entity s databases, including the following: a. Design and implementation? b. Monitoring and availability? c. Integrity and security?
9 2. *Are Database Management Systems (DBMS) security features used to protect data against unauthorized access or manipulation? 3. *Are DBMS utilities and commands restricted to those responsible for the maintenance of the DBMS (usually a designated DBA)? 4. *For change control procedures for the Data Dictionary and DBMS: a. Is proper authorization obtained prior to modification? b. Are modifications tested? c. Are modifications reviewed and approved? d. Are changes documented? 5. Is the database and its data backed-up on a regular basis, and are backups secured off-site? G7. TELECOMMUNICATION CONTROLS Telecommunication controls relate to the risk and control considerations for the transmission media, hardware and software that compose a communication system, as well as the management of a communication system. Complete this section only if the university processes material financial activity using this technology. 1. Does the university have written telecommunication policies and procedures? Do policies and procedures include: a. Methodology to implement telecommunication projects (hardware and software)?
10 b. Construction and software change management controls? c. Security controls? d. Problem/incident reporting? e. Contingency planning? 2. *Has telecommunication software (VTAM) been defined to the access control software and is access restricted to only authorized users? 3. Is communication equipment physically secured and adequately protected from environmental concerns? 4. *Are data transmissions logged to provide for an audit trail and to provide the ability to recover all activity, which may have failed to be properly sent or received? 5. *Are data transmission errors reported to management for problem analysis and corrective action? 6. *Is there a process of data communications change management (e.g., changes in configuration)? 7. Do requests for changes in the telecommunications configuration include: a. Proper authorization prior to the change? b. Testing of changes? c. Review and approval of changes?
11 d. Documentation of changes? 8. Are there recovery procedures for a failure of data communications equipment or software? 9. Do the back-up and recovery procedures include: a. Back-up copies of communications software? b. Alternate line/carrier facilities (public or private)? c. Multiple paths to critical sites on the network? d. Responsive reconfiguration procedures? G8. NETWORK CONTROLS Network controls address the threats and risks to sensitive and critical data that are accessed and transmitted through networks. Network controls ensure proper security performance and reliability of all network components. Complete this section only if the university processes material financial activity using this technology. 1. Do the LAN administrator's responsibilities include support for: a. User training? b. Policies and procedures? c. Security?
12 2. Is the physical security adequate for the: a. File server? b. Cabling? c. Modems? d. Any external devices? 3. *Do individual users have unique identification on the LAN? (e.g., user sign-on, password) 4. *Are there methods to prevent unauthorized access by other groups into individual files and department-shared files? 5. *Are there procedures for limiting access to LAN and network operating software? 6. *Are there procedures for obtaining and securing modem dial-up access to the network? a. Confidential modem telephone numbers b. Change modem telephone numbers periodically c. Automatic call back system d. Modem disconnect policy
13 7. If the LAN file server logs network activity, is this information periodically reviewed by the LAN administrator? 8. Does the university adequately backup files and software? (Consider its location, security, and that the proper files are being retained.) 9. Are there procedures to prevent and detect computer viruses, including: a. Anti-virus or virus-detection software? b. Guidelines on using shareware, bulletin boards, personal diskettes/cd/jump drives/ and other data medium? c. Awareness training on computer viruses? 10. *Are there procedures to ensure compliance with the provisions of software licenses? G9. PERSONAL COMPUTER AND END-USER COMPUTING (EUC) CONTROLS The term personal computer, or PC, refers to a small computer equipped with all the system, utility, and application software, and the input/output devices and other peripherals that are needed to perform one or more tasks. End-user computing (EUC) is any development, programming, or other activity where the end-users create or maintain their own systems or applications, usually on their own personal computers. These systems function outside the traditional information systems controls and, therefore, need close scrutiny. EUC controls at the organizational level would include strategic planning by management, policies and procedures regarding traditional general control activities, and technical support and training. At the organizational level the auditor would typically interview IT management. Complete this section only if the university processes material financial activity using this technology.
14 PERSONAL COMPUTERS 1. *Does the university maintain written policies and procedures relating to: a. PC security (including virus protection)? b. User-developed, commercial, or shareware software? c. Maintaining PC software? d. Backup and recovery? 2. Does the university provide physical security over PCs by using such controls as: a. Locked doors? b. Cables? c. Anchor pads? d. Alarms? e. Keyboard locks? 3. Does control over storage media include:
15 a. Using write-protecting and read-only properties b. Using secured storage? 4. *Determine whether access control software is used. If not, what other controls prevent misuse of critical data and applications? If used, are the security features of the package being utilized for: a. Passwords? b. Directory locking/restricting? c. Restricted access to operating system command prompts? d. Boot protection? 5. Is appropriate hardware backup available? 6. Are duplicate copies of PC software and documentation maintained off-location? 7. Are users receiving adequate technical support and training? 8. Is the use of external modems restricted? 9. Is the use of remote access software restricted?
16 END-USER COMPUTING (EUC) 1. For critical PC applications, is there documentation describing data, programs, hardware, and system requirements? 2. Is a disciplined approach taken in acquiring or developing new applications in an EUC environment? Do procedures include: a. Cost/benefit analysis? b. Design? c. Testing? d. Controls? 3. *Are there procedures for controlling end-user changes to applications? Are the following conditions performed: a. Changes authorized by user management? b. Changes tested? c. Changes identified to show an audit trail? d. Documentation modified to reflect any changes? 4. If upload/download PC software is available, do procedures require the following:
17 a. Authorization and approvals? b. Virus detection/prevention? G10. INTERNET & ELECTRONIC COMMERCE CONTROLS The Internet is an enormous system of world-wide linked computer networks that facilities data communication services such as remote login, electronic mail, the World Wide Web and file transfer. Electronic commerce (e-commerce) on the Internet generally includes the electronic exchange of payments, invoices, orders and other documents. The security exposures of the Internet and the risks of electronic transactions require control techniques that ensure data is transmitted, translated, and passed to financial systems in a secure, accurate manner. Complete this section only if the university processes material financial activity using this technology. INTERNET 1. Does the university maintain written policies or procedures related to the security controls over access to the Internet, use of Internet resources (e.g., electronic mail), etc.? If the university maintains a Web site, then continue with Step 2, otherwise continue with Electronic Commerce section. 2. Does management provide guidance for the development and maintenance of a Web site? 3. *Does the university utilize various levels of security to control activity on the Web site and to prohibit access to the host computer from the site (e.g. firewall)? 4. Are these policies and procedures requiring Web site review, approval and testing by an independent person?
18 5. *Are updates to the Web site independently reviewed, approved and tested? 6. Are the contents of the Web site backed-up to ensure an orderly recovery if the site is corrupted? ELECTRONIC COMMERCE If the university conducts financial transactions on the Internet, then continue with Step 1, otherwise skip this section. 1. Does the university have a methodology for developing an electronic commerce application to conduct internet business? 2. *Does the university utilize various levels of security to control access to sensitive information (e.g., encryption)? 3. *Is transaction approval adequately controlled, preferably using electronic signatures? 4. *Are there controls in place to ensure the accuracy, completeness, and timeliness of transactions? 5. Are there guidelines established for the retention of data? 6. Does the university have alternative processing procedures to rely on in case of processing disruptions? 7. *Does the university have trading partner agreements? If so, review for the following provisions: a. Error detection and correction b. Security breaches c. Processing disruptions
Information Technology General Controls Review (ITGC) Audit Program Date Prepared: 2012 Internal Audit Work Plan Objective: IT General Controls (ITGC) address the overall operation and activities of the
Contributed 4/23/99 by Steve_Parker/TBE/Teledyne@teledyne.com DETAIL AUDIT PROGRAM Information Systems General Controls Review 1.0 Introduction The objectives of this audit are to review policies, procedures,
FORM 20A.9 SAMPLE AUDIT PROGRAM FOR TESTING IT CONTROLS Workpaper Reference Date(s) Completed Organization and Staffing procedures used to define the organization of the IT Department. 2. Review the organization
HALKYN CONSULTING LTD Supplier Security Assessment Questionnaire Security Self-Assessment and Reporting This questionnaire is provided to assist organisations in conducting supplier security assessments.
OPERATIONAL CAPABILITY TECHNOLOGY QUESTIONNAIRE Please provide all relevant documents responsive to the information requests listed within each area below. In addition to the specific documents requested,
Agency Prepared By Initials Date Reviewed By Audit Program - Computer Operations W/P Ref Page 1 of 1 Procedures Initials Date Reference/Comments OBJECTIVE - To document the review of the computer operations
Rajan R. Pant Controller Office of Controller of Certification Ministry of Science & Technology email@example.com Meaning Why is Security Audit Important Framework Audit Process Auditing Application Security
Supplier Information Security Addendum for GE Restricted Data This Supplier Information Security Addendum lists the security controls that GE Suppliers are required to adopt when accessing, processing,
1 General Computer Controls Governmental Unit: University of Mississippi Financial Statement Date: June 30, 2007 Prepared by: Robin Miller and Kathy Gates Date: 6/29/2007 Description of computer systems
Certified Information Systems Auditor (CISA) Course Introduction Course Introduction Module 01 - The Process of Auditing Information Systems Lesson 1: Management of the Audit Function Organization of the
11-1 CHAPTER 11 COMPUTER SYSTEMS INFORMATION TECHNOLOGY SERVICES CONTROLS INTRODUCTION The State Board of Accounts, in accordance with State statutes and the Statements on Auditing Standards Numbers 78
CHAPTER 14 INFORMATION TECHNOLOGY CONTROLS SCOPE This chapter addresses requirements common to all financial accounting systems and is not limited to the statewide financial accounting system, ENCOMPASS,
SWAP EXECUTION FACILITY OPERATIONAL CAPABILITY TECHNOLOGY QUESTIONNAIRE Please provide all relevant documents responsive to the information requests listed within each area below. In addition to the specific
DESIGNATED CONTRACT MARKET OPERATIONAL CAPABILITY TECHNOLOGY QUESTIONNAIRE Please provide all relevant documents responsive to the information requests listed within each area below. In addition to the
PART 10 COMPUTER SYSTEMS 10-1 PART 10 COMPUTER SYSTEMS The following is a general outline of steps to follow when contemplating the purchase of data processing hardware and/or software. The State Board
FINAL May 2005 Guideline on Security Systems for Safeguarding Customer Information Table of Contents 1 Introduction 1 1.1 Purpose of Guideline 1 2 Definitions 2 3 Internal Controls and Procedures 2 3.1
IT Best Practices Audit TCS offers a wide range of IT Best Practices Audit content covering 15 subjects and over 2200 topics, including: 1. IT Cost Containment 84 topics 2. Cloud Computing Readiness 225
A. JOSEPH DeNUCCI AUDITOR The Commonwealth of Massachusetts AUDITOR OF THE COMMONWEALTH ONE ASHBURTON PLACE, ROOM 1819 BOSTON, MASSACHUSETTS 02108 TEL. (617) 727-6200 No. 2008-1308-4T OFFICE OF THE STATE
MCR Checklist for Automated Information Systems (Major Applications and General Support Systems) Name of GSS or MA being reviewed: Region/Office of GSS or MA being reviewed: System Owner: System Manager:
Information Security Risk Assessment Checklist A High-Level Tool to Assist USG Institutions with Risk Analysis Updated Oct 2008 Introduction Information security is an important issue for the University
IGMT/15/036 Network Security Policy Date Approved: 24/02/15 Approved by: HSB Date of review: 20/02/16 Policy Ref: TSM.POL-07-12-0100 Issue: 2 Division/Department: Nottinghamshire Health Informatics Service
As public servants, it is our responsibility to use taxpayers dollars in the most effective and efficient way possible while adhering to laws and regulations governing those processes. There are many reasons
PCI Data Security and Classification Standards Summary Data security should be a key component of all system policies and practices related to payment acceptance and transaction processing. As customers
Acquire or develop application systems software Controls provide reasonable assurance that application and system software is acquired or developed that effectively supports financial reporting requirements.
A SYSTEMS UNDERSTANDING A 1.0 Organization Objective: To ensure that the audit team has a clear understanding of the delineation of responsibilities for system administration and maintenance. A 1.1 Determine
GAO United States General Accounting Office Report to the Secretary of the Interior July 2001 INFORMATION SECURITY Weak Controls Place Interior s Financial and Other Data at Risk GAO-01-615 United States
A.R. Number: 2.6 Effective Date: 2/1/2009 Page: 1 of 7 I. PURPOSE In recognition of the critical role that electronic information systems play in City of Richmond (COR) business activities, this policy
ASSESSABLE UNIT: ENTER THE NAME OF YOUR ASSESSABLE UNIT HERE BUSINESS PROCESS: ENTER YOUR BUSINESS PROCESS HERE BANNER INDEX CODE: ENTER YOUR BANNER INDEX CODE HERE Risk: If you monitor the activity and
Information Security Standards Data Center Security Standard IS-DCS Effective Date TBD Email firstname.lastname@example.org # Version 3.0 Contact Mike Cook Phone 408-924-1705 Standard: Data Center Security Page 1 Executive
1. Obtain previous workpapers/audit reports. FIREWALL CHECKLIST Pre Audit Checklist 2. Obtain the Internet Policy, Standards, and Procedures relevant to the firewall review. 3. Obtain current network diagrams
HIPAA Privacy and Security Risk Assessment and Action Planning Practice Name: Participants: Date: MU Stage: EHR Vendor: Access Control Unique ID and PW for Users (TVS016) Role Based Access (TVS023) Account
SITECATALYST SECURITY Ensuring the Security of Client Data June 6, 2008 Version 2.0 CHAPTER 1 1 Omniture Security The availability, integrity and confidentiality of client data is of paramount importance
OFFICE OF THE STATE AUDITOR Agency: * University Please answer all of the following questions. Where we ask for copies of policies and procedures and other documentation, we would prefer this in electronic
Network Security Policy Policy number: Version: 2.0 New or Replacement: Approved by: ULH-IM&T-ISP06 Replacement Date approved: 30 th April 2007 Name of author: Name of Executive Sponsor: Name of responsible
Data Security Systems Internal Control Questionnaire I. GENERAL DATA SECURITY SYSTEM A. Does security system management: 1. Determine how access levels are granted? 2. Define when access is granted unless
Internet Banking Internal Control Questionnaire Completed by: Date Completed: 1. Has the institution developed and implemented a sound system of internal controls over Internet banking technology and systems?
Sample Information Security Policies Sample Information Security Policies May 31, 2011 1 13740 Research Blvd Suite 2, Building T Austin, TX 78750 512.351.3700 www.aboundresources.com Boston Austin Atlanta
Introduction This document provides a summary of technical information security controls operated by Newcastle University s IT Service (NUIT). These information security controls apply to all NUIT managed
UNIVERSITY OF MAINE SYSTEM STANDARDS FOR SAFEGUARDING INFORMATION ATTACHMENT C This Attachment addresses the Contractor s responsibility for safeguarding Compliant Data and Business Sensitive Information
Shipman & Goodwin LLP HIPAA Security Alert July 2008 EXECUTIVE GUIDANCE HIPAA SECURITY COMPLIANCE How would your organization s senior management respond to CMS or OIG inquiries about health information
Application Development within University Security Checklist April 2011 The Application Development using data from the University Enterprise Systems or application Development for departmental use security
Title: Rotherham CCG Network Security Policy V2.0 Reference No: Owner: Author: Andrew Clayton - Head of IT Robin Carlisle Deputy - Chief Officer D Stowe ICT Security Manager First Issued On: 17 th October
Vermont Information Technology Leaders HIPAA COMPLIANCE POLICIES AND PROCEDURES Policy Number: InfoSec 1 Policy Title: Information Privacy and Security Management Process IDENT INFOSEC1 Type of Document:
LAMAR STATE COLLEGE - ORANGE INFORMATION RESOURCES SECURITY MANUAL for INFORMATION RESOURCES Updated: June 2007 Information Resources Security Manual 1. Purpose of Security Manual 2. Audience 3. Acceptable
The Ministry of Information & Communication Technology MICT Document Reference: ISGSN2012-10-01-Ver 1.0 Published Date: March 2014 1 P a g e Table of Contents Table of Contents... 2 Definitions... 3 1.
ICT NETWORK AND INFRASTRUCTURE FILE SERVER POLICY Version 1.0 Ratified By Date Ratified Author(s) Responsible Committee / Officers Issue Date Review Date Intended Audience Impact Assessed CCG Committee
Small Business IT Risk Assessment Company name: Completed by: Date: Where Do I Begin? A risk assessment is an important step in protecting your customers, employees, and your business, and well as complying
Version: Modified By: Date: Approved By: Date: 1.0 Michael Hawkins October 29, 2013 Dan Bowden November 2013 Rule 4-004L Payment Card Industry (PCI) Physical Security (proposed) 01.1 Purpose The purpose
3 Audit Trail Files Data generated during the creation of a master file or database, used to validate a master file or database during a processing cycle. GS 14020 Retain for 3 backup cycles Computer Run
Best Practices For Department Server and Enterprise System Checklist INSTRUCTIONS Information Best Practices are guidelines used to ensure an adequate level of protection for Information Technology (IT)
Select the appropriate answer from the drop down in the column, and provide a brief description in the section. 1 Do you have a member of your organization with dedicated information security duties? 2
A Practical Approach to Network Vulnerability Assessment AN AUDITOR S PERSPECTIVE BRYAN MILLER, IT DIRECTOR JOHN KEILLOR, CPA, AUDIT PARTNER 1 Agenda Audits Articles/Examples Classify Your Data IT Control
HIPAA RISK ASSESSMENT PRACTICE INFORMATION (FILL OUT ONE OF THESE FORMS FOR EACH LOCATION) Practice Name: Address: City, State, Zip: Phone: E-mail: We anticipate that your Meaningful Use training and implementation
Network Security Developed in response to: Contributes to HCC Core Standard number: Type: Policy Register No: 09037 Status: Public IG Toolkit, Best Practice C7c Consulted With Post/Committee/Group Date
IT Controls Webinar Series Information Technology Internal Controls Part 2 Presented by the Arizona Office of the Auditor General October 23, 2014 Part I Overview of IT Controls and Best Practices Part
The Practice of Internal Controls Cornell Municipal Clerks School July 16, 2014 Page 1 July 18, 2014 Cash Receipts (Collection procedures) Centralize cash collections within a department or for the local
Any physical access to devices or data held in an Melbourne datacentre that houses a customer s cardholder data must be controlled and restricted only to approved individuals. PCI DSS Requirements Version
INFORMATION SECURITY GOVERNANCE ASSESSMENT TOOL FOR HIGHER EDUCATION Information security is a critical issue for institutions of higher education (IHE). IHE face issues of risk, liability, business continuity,
Vendor Risk Assessment Questionnaire VENDOR INFORMATION: Vendor Name: Vendor Address: Vendor Contact Name: Vendor Contact Phone No: Vendor Contact Email: DATA SENSITIVITY What is the nature of data that
CHIS, Inc. and HIPAA CHIS, Inc. provides services to healthcare facilities and uses certain protected health information (PHI) in connection with performing these services. Therefore, CHIS, Inc. is classified
Compliance HIPAA Security COMPLIANCE Checklist For Employers All of the following steps must be completed by April 20, 2006 (April 14, 2005 for Large Health Plans) Broadly speaking, there are three major
15 Organisation/ICT/02/01/15 Back- up 15.1 Description Backup is a copy of a program or file that is stored separately from the original. These duplicated copies of data on different storage media or additional
VRH s Internal Customer Service Policy Excellent customer service depends mainly on two elements: (1) training, and (2) management follow-through. VRH asset managers must always maintain a calm and professional
GENERAL DISTRIBUTION OCDE/GD(95)115 OECD SERIES ON PRINCIPLES OF GOOD LABORATORY PRACTICE AND COMPLIANCE MONITORING NUMBER 10 GLP CONSENSUS DOCUMENT THE APPLICATION OF THE PRINCIPLES OF GLP TO COMPUTERISED
Disclaimer An Introduction to HIPAA and how it relates to docstar This document is provided by docstar to our partners and customers in an attempt to answer some of the questions and clear up some of the
UNIVERSITY OF PITTSBURGH POLICY SUBJECT: SECURITY OF ELECTRONIC MEDICAL RECORDS COMPLIANCE WITH THE HEALTH INSURANCE PORTABILITY AND ACCOUNTABILITY ACT OF 1996 (HIPAA) DATE: March 18, 2005 I. SCOPE This
Technology Help Desk 412 624-HELP  technology.pitt.edu University of Pittsburgh Security Assessment Questionnaire (v1.5) Directions and Instructions for completing this assessment The answers provided
Intel Enhanced Data Security Assessment Form Supplier Name: Address: Respondent Name & Role: Signature of responsible party: Role: By placing my name in the box above I am acknowledging that I am authorized
INFORMATION SECURITY AND PRIVACY PROTECTION POLICY AND GUIDELINES FOR ESTATE AGENTS Estate Agents Authority The contents of this document remain the property of, and may not be reproduced in whole or in
IT NETWORK AND INFRASTRUCTURE FILE SERVER POLICY Version 3.0 Ratified By Date Ratified April 2013 Author(s) Responsible Committee / Officers Issue Date January 2014 Review Date Intended Audience Impact
ISO 27001 s and Objectives A.5 Security policy A.5.1 Information security policy Objective: To provide management direction and support for information security in accordance with business requirements
Computer Security Policy (Interim) Updated May, 2001 Department of Information Systems & Telecommunications Table of Contents 1. SCOPE...1 2. OVERVIEW...1 3. RESPONSIBILITIES...3 4. PHYSICAL SECURITY...4
ICT NETWORK AND INFRASTRUCTURE FILE SERVER POLICY Version 1.0 Ratified By Date Ratified 5 th March 2013 Author(s) Responsible Committee / Officers Issue Date 5 th March 2013 Review Date Intended Audience
JUNE 1, 2012 SalesNOW Security Policy v.1.4 2012-06-01 v.1.4 2012-06-01 1 Overview Interchange Solutions Inc. (Interchange) is the proud maker of SalesNOW. Interchange understands that your trust in us
Appendix VIII SAS 70 Examinations of EBT Service Organizations Background States must obtain an examination by an independent auditor of the State electronic benefits transfer (EBT) service providers (service
HIPAA: In Plain English Material derived from a presentation by Kris K. Hughes, Esq. Posted with permission from the author. The Health Insurance Portability and Accountability Act of 1996 (HIPAA), Pub.
Procedure Title: TennDent HIPAA Security Awareness and Training Number: TD-QMP-P-7011 Subject: Security Awareness and Training Primary Department: TennDent Effective Date of Procedure: 9/23/2011 Secondary
HIPAA Security Regulations: Documentation and Procedures The Second National HIPAA Summit Healthcare Computing Strategies, Inc. John Parmigiani Practice Director, Compliance Programs Tom Walsh, CISSP Practice
goes to great lengths to ensure the security and availability of vcloud Air services. In this effort VMware has completed an independent third party examination of vcloud Air against applicable regulatory