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IST Related Examination Resources
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.
If you have questions or comments about the information provided on these IS&T
pages, please send them to the NCUA
Office of Examination and Insurance.