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.
Resources titles that are links to the resources appearing on the NCUA and FFIEC websites will highlight when you move your 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 the 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 available 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.