The security audit checklist
Item Description If YES, outline how and/or provide comments If NO, explain no, outline action needed
Overall management responsibilities
1. Are all Auscred Services staff informed and committed to the Compliance and Risk Management Framework and any related material, including the Privacy Policy?
2. Is the Compliance and Risk Management Framework and any related material (including the Privacy Policy) easily accessible by all Auscred Services staff?
3. Is the Compliance and Risk Management Framework reviewed annually by Auscred Services Legal and Compliance in conjunction with the business ?
Date of the most recent review of the Compliance and Risk Management Framework: ___________________________________
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Outcome of review: 4. Are Auscred Services staff informed and committed to the Privacy Policy? Date of most recent privacy training: __________________________________ 5. Do we review our Privacy Policy regularly? Date of most recent Privacy Policy review: __________________________________ Outcome of review: 6. Is the BCP is reviewed, tested/drilled and updated annually ? Date of the most recent review of the BCP: ___________________________________ Outcome of review: 7. Are technological resources reviewed annually, including: • developments in security and encryption technologies ; and • in terms of the adequacy technological resources , including IT staff? Date of the most recent review of technological resources: _____________________________ Outcome of review: 8. Do we have an IT strategy to support our current and future operational needs? 9. Have the risks of utilising outsourcing of external servers or facilities identified, assessed and managed (for example, regarding any IT systems for storing records in relation to engaging in credit activities )? 10. Where we have contracts with third parties that relate to technological resources, do they include service-level agreements? Frequency of review of levels of service delivery under the contracts: 11.
Are copies of signed confidentiality agreements or non-disclosure agreements properly saved and managed?
12. Are agreements or contracts containing confidentiality provisions (such as employment contracts and agreements with service providers) properly saved and managed?
13. Do we have a process for Auscred Services staff to report to IT when they have identified a potential security incident (such as any security incident response procedure)?
Account and password management
14. Do we have well-defined and documented procedures for distribution of user accounts and passwords?
15. Do we have a well-defined and documented policy for electronic authentication, authorisation and access control relating to our information systems, applications and data?
16. Do we ensure that only authorised persons have access to our systems/network and computers?
17. Do we require and enforce appropriate passwords?
18. Are our passwords secure? (For example, are users required to change their passwords regularly? Are users not permitted to write their passwords at obvious places?)
19. Are there any unused accounts found in the system/network?
20. Are administrator accounts used solely for administration
work? User identification and privileges management 21. Does each user have a unique user identity? 22. Are users are granted with minimum privileges that are sufficient for carrying out their duties? 23. Are user access right documented and reviewed? 24. Do we keep logs for user activities (such as connection time, connection point, and functions performed)? General mobile computing and remote access 25. Do we have a well-defined and documented policy specifying the security requirement of using mobile computing and remote access? 26. Do we use encryption and/or two-factor authentication? 27. Do we have inactive session timeout in place over VPNs? Application security 28. Do we have well-defined and documented change control procedures? 29. Do we evaluate the effects of change requests before we implement the change? 30. Are all changes are properly approved, recorded and tested before implementation? 31. Are adequate backups performed before and after the change? 32. Are access rights to amend the system/network’s configuration only granted to the administrator or similar dedicated Auscred Services staff? System/network security 33. Are our system/network that is connected to the internet appropriately protected by firewall and similar measures? 34. Is there a process in place to ensure that all firewalls and similar measures have the latest software and that they are patched regularly with the latest security updates from their respective vendors?
...nd Services Act 1973 (TAS), Fair Trading Act 1999 (VIC), Fair Trading Act 1987 (NSW), Fair Trading Act 1989 (Qld), Fair Trading Act 1987 (SA), Consumer Transactions Act 1972 (SA), Manufacturer’s Warranty Act 1974, Fair Trading Act 1987 (WA), Consumer Affairs Act 1971 (WA), Door to Door Trading Act 1987 (WA), Consumer is
‘Health and Safety at work act 1974’ is a very important Legislation when working in healthcare as this is here to keep everybody involved as safe as possible. This has a huge contribution to health care provisions as it involves mainly everything with the job, it will include providing the right training for the certain job they do, carrying out risk assessment for service uses and the equipment used. Making sure there is a safe environment to be working and providing the correct information on health and safety. There are many policies under this one legislation for example, First Aid. Every staff member working for the NHS and in health care should all have this basic training in case needed in an emergency. The...
they would be looking after the individual as their job duties entail. A public statement could
The Australian Commission On Safety And Quality in Health care was founded as a powerful body to reform Health care system in Australia. It was established on 1st june 2006 in an incorporated form to lead and coordinate numerous areas related to safety and quality in healthcare across Australia (Windows into Safety and Quality in Health Care, 2011). The commission’s work programs include; development of advice, publications and resources for healthcare teams, healthcare professionals, healthcare organisations and policy makers (Australian Commission On Safety And Quality in Health care). Patients, carers and members of public play a vital role in giving shape to commission’s recommendations thereby ensuring safe, efficient and effective delivery of healthcare services. The commission acknowledges patients and carers as a partner with health service organisations and their healthcare providers. It suggests the patients and carers should be involved in decision making, planning, evaluating and measuring service. People should exercise their healthcare rights and be engaged in the decisions related to their own healthcare and treatment procedures. ...
CQC (2009) Guidance about compliance. Summary of regulations, outcomes and judgement. Available at: http://www.cqc.org.uk/sites/default/files/media/documents/guidance_about_compliance_summary.pdf Accessed on: 21/03/2014
In reality, employees do have to pass on certain information which is why the Health and Social Care Information Centre published guidelines that staff can follow regarding confidentiality (The Open University, 2015, p. 59). There are five rules within these guidelines, firstly, it states that any information about a person is to be
In my opinion it is vital for me as a prospective Healthcare Assistant to be fully compliant on a consistent continual basis when taking all potential hazards into consideration.
Assisted in the development, implementation, and revision of policies, procedures and practices to meet regulatory standards and provide guidance
The act established the Scottish Social Services Council (SSSC) and the Scottish Commission for the Regulation of Care (Care Inspectorate). The SSSC ensures the standards of care practice by the workforce is raised through continuous and rigorous training programmes and education, and the Care Inspectorate, which has since been changes to Social Care and Social Work Improvement Scotland (SCSWIS) under the Public Service Reform (Scotland) Act 2011, inspects care services to ensure they are meeting the required National Care Standard set out by legislation. (Coalition of Care and Support Providers in Scotland. 2016) (Community Care and Criminal Justice.
List and briefly describe the elements of the 7 Component Framework Industry Standards for Auditing and Monitoring
An examination of the disclosure of the names of providers who have breached the Code of the Health and Disability Services Consumer Rights, with a discussion of the consultation review report and case 06HDC15791.
At my work place, each member of the team is influenced and guided by the teams overall vision and strategic direction. We do have policies and procedures, which reflect the vision and strategic direction of the team. If we look at the governments vision‘Your health, your care, your say’, one area of this vision is ‘Protection’. The importance of ensuring, that there are sensible safeguards policy in place, against the risk of abuse or neglect as risk, is no longer an excuse to limit people’s freedom. My workplace has policies and procedures, to safeguard the service users e.g. risk assessments, care plans, adequate training etc. These policies and procedures, influence the way the team meet that vision and also provide the staff
The E-mail/Internet usage and privacy policies at my job are part of a system of written decisions established by the organization to support and to build a desire culture through managing risk, regulation, and administration. They are current regulatory policies that happen within the workplace. The written guidelines help people keep up the integrity of business organization. The policies allows the organization to limit the discretion of person; to regulated; and arrive at certain types of behavior whether behaviors are good or bad. They tell every one of the written standards of conduct that governed the company's e-mail usage, internal usage, and its privacy policies within the company. They establish responsibilities; standards of behavior; and obligation of the policies. Current laws regulating employee e-mail and Internet privacy are few because employers usae electronic surveillance.
Companies must adhere to the Data Protection Act (1998) which protects consumers’ data privacy. According to the EU Data Protection Directive (1995), there are eight principles of which the data collection should follow:
The first thing that we must consider about Information Security is that there is not a final destination at which we can arrive. IT Security is an ongoing set of processes and activities that requires attention and expertise on a daily basis. It is important to understand that systems are not secured by themselves and it is our responsibility to maintain and improve them periodically as required. It is of vital importance to establish the appropriate mechanisms and requirements in order to support the company’s CIA triad. The following report will provide you guidance about auditing and hardening techniques applied though the 7 Domains by utilizing IT Security Best Practices.