This section of NCUA's web site provides examination resources for IS&T.
Although the primary audience for these resources is examiners, credit unions
may also find this information useful when planning, implementing and evaluating
IS&T initiatives.
Resource titles that are
links to the resources appearing on the the NCUA and FFIEC websites
will highlight when you mouse over them.
NCUA
Examiners
Guide - The Examiner’s Guide sets out guidance
for an examiner on NCUA’s examination and supervision
of credit unions. The primary goal is to ensure the overall
safety and soundness of the credit union system via a risk-focused
examination and supervision program. Chapter 6 provides guidance
on information systems and technology.
AIRES IT Exam Questionnaires - Several optional questionnaires are available to examiners reviewing a credit union’s information systems and technology. The questionnaires focus on Information Systems Security, Audit, Technology, and Member Services. Please note - When opening the Excel spreadsheet select (1) disable macros (2) don’t update links
FFIEC
The Federal Financial Institutions Examination Council
(FFIEC) is composed of the five federal financial regulators: Board
of Governors of the Federal Reserve System, Federal Deposit Insurance
Corporation, National Credit Union Administration, the Office of the
Comptroller of the Currency, and the Office of Thrift Supervision.
FFIEC
Information Technology (IT) Examination Handbook - The FFIEC Information Technology Examination Handbook is comprised of individual
booklets. These booklets represent a series
of updates to the existing 1996 FFIEC Information
Systems Examination Handbook. They address
significant changes in financial institution
technology since 1996. They incorporate changes
in technology-related risks and controls and
follow a risk-based approach to evaluating
risk management practices. The booklets provide
valuable information to both examiners and
financial institution management.
As completed,
booklets are made available in electronic format
for on-line viewing and downloading (including
file formats suitable for printing) from the above
link. Hardcopies are not availalbe for ordering.