Check List

Staff in charge of lottery printing must follow the ‘Clean Desk’ policy

Purpose

To assure that Staff in charge of lottery printing must prevent unnecessary exposure by ensuring strict management of the office environment and surrounding areas, and maintain tight information security with a proper lock

Audit resources

Procedure

Verification

Document

Clean desk management policy

Product

Detailed study list and method

-    The operation of clean desk (tidy desk, locked drawers, no negligence of important files, etc)

-    The management status of files and locks

-    The establishment and operation of a working procedures to prevent staff and other personnel from knowing the location of the winning ticket

-    Check if important documents are being left on photocopier, printer or fax

Check List

Fundamental security management (access control, vaccine, patch, etc.) must be performed for lottery production-related PC

Purpose

To check if the instant lottery personnel is setting and observing the minimum control requirements for his/her PC

Audit resources

Procedure

Verification

Document

PC settings, password status, virus version, illegal software installation, software version tool

Product

Detailed study list and method

-    Check if the screen saver is set

-    Check if various password management policies are established and operated for PC (minimum 6 characters, quarterly password change, English and number combination)

-    Check if management of PC security is carried out (system update, peripherals management, allowed use only, etc.)

-    Check if virus and malicious code management is in place

-    Check if illegal software management is in place