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[]
["金融聯合徵信中心109年度會員機構執行信用資訊查詢作業控管之查核與管理評核表"]
["會員機構代號名稱："]
["評核項目",null,null,"評  核  內  容","配分"]
["A                                                                                 查詢作業控管規章及  查核項目\n7分","A1\n控管規章","A11","有否依函文隨實際作業環境修訂，並依規約規定報送聯徵中心",1]
[null,null,"A12","內容涵蓋聯徵中心範本之要求，查詢作業程序有否達到內控功能，對使用之設備、作業卡、密碼及所查得資訊之管理...等是否有明確規範並適當控管",2]
[null,"A2\n查核項目","A21","內容涵蓋聯徵中心會員規約控管要項及該機構控管要點，並隨實際作業環境更新(包含授權管理、使用晶片卡查詢控管作業、使用FTP/STS查詢控管作業、虛擬專屬網路VPN信用資料申報作業...等)",3]
[null,null,"A22","查詢資格要件、資料合法使用與保密、浮水印機制",1]
["B                                                                                                                                                   查核作業及查核結果報告                              38分","B1\n內部稽核","B11","總機構執行查核作業(一般查核、專案查核)情形：全面性、部分單位",3]
[null,"B2\n自行查核","B21","各查詢單位執行自行查核作業情形:全面性、部分單位",3]
[null,"B3\n報告內容","B31","應檢附文件之完備性(彙總單、控管要點、查核報告工作底稿及其他本中心函文要求檢附之文件)",2]
[null,null,"B32","「彙總單」填寫完整確實性",8]
[null,null,"B33","依期限報送年度彙總查核報告(期限內送達本中心2分)",2]
[null,"B4\n查核結果","B41","查核結果彙總情形(包含查核報告工作底稿聯徵1~4查核項目內容)，有缺失僅簡單敘述查核結果，無處理意見（1~6）/明確列出缺失事項，並請改進（7~12）/明確列出缺失事項，且缺失事項已改善並經確認（7~14）/查核結果未發現缺失、本中心評核結果亦未發現缺失（7~14） ",14]
[null,"B5\n事後管理","B51","前一年度評核缺失改善情形(-6~+6)","-6~6"]
["C                                                                         查詢作業管理55分","C1\n會員端","C11","查詢作業程序執行情形及實地查核發現之內控缺失",12]
[null,null,"C12","是否落實查詢理由點選制度（資料密合度）",4]
[null,null,"C13","查詢紀錄勾核情形（Z50及STS會員機構內部查詢紀錄使用情形統計資訊）",6]
[null,null,"C14","年度內有信用資訊使用及保密等方面之加強措施(含已完成資訊安控教育訓練課程比例、相關信用資訊使用及保密內部員工教育訓練及回報查詢作業人員名冊之資訊等)",5]
[null,"C2\n聯徵中心端","C21","不定期性指定項目會員自行查核辦理情形",10]
[null,null,"C22","定期性指定項目會員自行查核辦理情形",14]
[null,null,"C23","晶片卡查詢設備管理:晶片卡遺失、毀損、停鎖卡",4]
["總   分",null,null,null,100]
["D                                                                       其他加減分\n                                          ",null,"D11","重要聯繫事項或函文之配合(-4~4分)","-4~4"]
[null,null,"D12","對於資料報送或產品內容提出建設性意見(加0~4分)",4]
[null,null,"D13","配合報送企業財務年報資料(加0~4分)",4]
[null,null,"D14","產品/資料報送講習會參與情形(加0~2分)",2]
[null,null,"D15","安控/資安講習會參與情形(加0~2分)",2]
[null,null,"D16","會員繳費(標準，特約查詢)情形(減0~2分)","0~-2"]
[null,null,"D17","其他(加減0~4分)\n","-4~4"]
[null,null,null,"(包含如：對於強化安控作業提出具體建設性意見並經採納者加0~2分)"]
[null,null,"D21","違反會員規約或相關法令規定~~停查處分者(依查處委員會議決議之停查天數扣分(停N天扣N分)，但停查案件最少扣5分，最高扣40分。)","0~-40"]
[null,null,"D22","查核發現之內部控制缺失情節嚴重者(減0~5分)  ","0~-5"]
["經額外加減分後最高總分",null,null,null,120]
["評核意見暨建議"]