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#248635 - 09/24/04 02:34 PM OCC IT Examination Procedures
Starter Offline
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Starter
Joined: Aug 2004
Posts: 513
NJ
Does anyone know where I can find OCC Examination Procedures for an IT audit?

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Audit
#248636 - 09/24/04 02:59 PM Re: OCC IT Examination Procedures
LiL Bit Moore Offline
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LiL Bit Moore
Joined: Nov 2002
Posts: 624
Texas
The OCC and regulatory agencies will refer to the FFIEC IT examination handbooks and the scope will depend on a "risk tier" they determine. This tier takes into consideration facts such as the complexity of your IT environment (in-house or outsource), previous exam findings and the types of products you offer (internet banking, debit card, etc.). Here is a link to the FFIEC handbook. Click on IT booklets:

FFIEC Examination guide

Good Luck!

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#248637 - 09/24/04 03:35 PM Re: OCC IT Examination Procedures
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Starter
Joined: Aug 2004
Posts: 513
NJ
Thank you - I appreciate your help. Hey, has anyone undergone an OCC IT exam? And if so, what have they been looking at????

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#248638 - 09/24/04 04:16 PM Re: OCC IT Examination Procedures
RR Sarah Offline
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RR Sarah
Joined: Mar 2004
Posts: 2,507
Up North
Our bank went through an OCC exam in August. I had followed the FFIEC IT exam guidelines and we passed that part of the exam with flying colors. In conjunction with the IT exam guidelines, I also incorporated procedures FFIEC Information Security booklet.
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