General Confidentiality Practices Checklist printable pdf download

INVENTORY OF

Best Practices Assurance of Confidentiality and Security

Name of Organization:

Date:

Effectively protecting the confidentiality of individually identifiable data requires uniform and

comprehensive practices. Please indicate whether _____________________

meets the

(firm name or registry)

following best practices guidelines for security and data confidentiality.

General Confidentiality Practices

YES NO

Employees sign confidentiality agreements.

Confidentiality agreements with staff are signed on a routine basis at a ________ (month) interval.

The security practices of the organization have been audited with no material findings.

If material findings were noted, they have been corrected.

Written and explicit institutional policies and procedures are in place to deal with breaches of

confidentiality.

Methods are proactive and in place to monitor and detect the adherence to confidentiality

protection procedures.

Data submissions are fully protected against legal discovery, including subpoena and freedom of

information inquiries.

Organizational or institutional penalties for misuse of confidential data and breach of

confidentiality by staff exist, are available in writing, and are enforced.

Access to data files are restricted to specific project staff and access by non-project staff is not

permitted.

An individual is formally designated to assure compliance with established institutional standards.

Specific sanctions for confidentiality violation can be imposed that include employee disciplinary

action and any of the following: remedial training in confidentiality, loss of certification of

competency in confidentiality, prohibition from future work with confidential data at the

institution, discharge.

Education

______________

can assure ______________________

that it:

(Firm or registry)

(Registry)

YES NO

Has developed and implemented education programs regarding confidentiality that includes

electronic data

information about the lack of security inherent in faxing, e-mailing, and other

transfer; reminders about not using names or other personal identifiers in conversations in public

Inventory: Security and Confidentiality

1 of 3

As of 04/09/2002

General Confidentiality Practices Checklist