INSURANCE DATA SECURITY COMPLIANCE CHECKLIST

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--- DATA GOVERNANCE & POLICIES ---
[ ] Data Governance Framework Adopted? (COBIT, DAMA-DMBOK, Other (Specify))
[ ] Summary of Data Governance Policy
[ ] Number of Data Stewards
[ ] Last Policy Review Date
[ ] Policy Access Method (Centralized Repository, Shared Drive, Intranet)
[ ] Describe Data Classification Scheme

--- ACCESS CONTROLS & AUTHENTICATION ---
[ ] Multi-Factor Authentication (MFA) Enabled? (Yes, No, Partial (some systems))
[ ] Password Complexity Requirements? (Strong (min length, special chars, rotation), Moderate, Weak/None)
[ ] Maximum Login Attempts Before Lockout
[ ] Role-Based Access Controls (RBAC) Implemented? (Yes, No, Partial)
[ ] Last Review of Access Control Lists (ACLs)
[ ] Which user roles have access to sensitive data? (Underwriter, Claims Adjuster, Actuary, Customer Service, IT Support)

--- DATA ENCRYPTION & STORAGE ---
[ ] Encryption Method (Data at Rest) (AES-256, RSA, Triple DES, Other - Specify in Long Text)
[ ] Encryption Method (Data in Transit) (TLS 1.3, TLS 1.2, SSL 3.0 (Not Recommended), Other - Specify in Long Text)
[ ] Key Rotation Frequency (Days)
[ ] Detailed Description of Encryption Key Management Process
[ ] Storage Type (Sensitive Data) (Cloud Storage (Specify Provider), On-Premise Storage, Hybrid Storage)
[ ] Storage Security Assessment Report (Optional)

--- DATA LOSS PREVENTION (DLP) ---
[ ] Number of DLP Rule Violations in Last 30 Days
[ ] DLP Software Version in Use (Version 1.0, Version 2.0, Version 2.1, Latest Version)
[ ] Data Types Protected by DLP Rules (Select all that apply) (Personally Identifiable Information (PII), Financial Data, Health Information (PHI), Proprietary Information)
[ ] Summary of Recent DLP Incidents and Remediation Steps
[ ] DLP Rule Monitoring Frequency (Real-time, Hourly, Daily)
[ ] Upload Configuration File for DLP System

--- INCIDENT RESPONSE & RECOVERY ---
[ ] Date of Incident Detection
[ ] Time of Incident Detection
[ ] Detailed Description of the Incident
[ ] Incident Severity Level (Low, Medium, High, Critical)
[ ] Systems Affected (Claims System, Policy Administration System, Customer Database, Internal Network, External Website)
[ ] Containment Actions Taken
[ ] Estimated Number of Records Potentially Affected
[ ] Date of Incident Containment
[ ] Lessons Learned and Recommendations

--- THIRD-PARTY RISK MANAGEMENT ---
[ ] Vendor Security Assessment Completed? (Yes, No, In Progress)
[ ] Vendor Risk Score (1-100)
[ ] Last Security Assessment Date
[ ] Vendor Security Assessment Report
[ ] Contractual Security Requirements Defined? (Yes, No, N/A)
[ ] Summary of Vendor's Security Practices
[ ] Security Domains Covered in Assessment (Physical Security, Network Security, Data Encryption, Access Controls, Application Security)

--- COMPLIANCE & REGULATORY REQUIREMENTS ---
[ ] Applicable Regulations (Select all that apply) (GDPR, CCPA, HIPAA, State-Specific Privacy Laws (Specify in LONG_TEXT), NAIC Model Laws)
[ ] Specific State Privacy Laws Applied (If selected above)
[ ] Last Regulatory Compliance Training Date
[ ] Frequency of Regulatory Compliance Reviews (per year)
[ ] Recent Regulatory Audit Status (Pass, Conditional Pass, Fail)
[ ] Uploaded Documentation (e.g., Audit Reports, Compliance Certificates)

--- EMPLOYEE TRAINING & AWARENESS ---
[ ] Last Data Security Training Completion Date (Within Last 3 Months, 3-6 Months Ago, 6-12 Months Ago, Over 12 Months Ago)
[ ] Topics Covered in Data Security Training (Phishing Awareness, Password Security, Data Handling Procedures, Incident Reporting, Secure Remote Access)
[ ] Employee Name
[ ] Next Scheduled Data Security Refresher Date
[ ] Summary of Data Security Best Practices (Employee Confirmation)

--- VULNERABILITY MANAGEMENT & PATCHING ---
[ ] Last Vulnerability Scan Frequency (Days)
[ ] Vulnerability Scanning Tool Used (Nessus, Qualys, Rapid7, Other)
[ ] Scanning Scope (Check all that apply) (Production Servers, Development Servers, Databases, Network Devices)
[ ] Last Remediation Effort Completion Date
[ ] Percentage of Critical Vulnerabilities Remediated within SLA
[ ] Patch Deployment Methodology (Manual, Automated, Hybrid)

--- DATA MINIMIZATION & RETENTION ---
[ ] Maximum Data Retention Period (Years)
[ ] Data Destruction Method (Secure Erasure, Physical Destruction (e.g., Shredding), Decommissioning with Data Wipe)
[ ] Last Data Retention Policy Review Date
[ ] Data Types Subject to Retention Limits (Customer PII, Claims Data, Policy Documents, Financial Records, Marketing Data)
[ ] Justification for Data Retention Periods (if exceeding regulatory limits)

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