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Establish, implement, and maintain source document error handling tracking.


CONTROL ID
01263
CONTROL TYPE
Records Management
CLASSIFICATION
Detective

SUPPORTING AND SUPPORTED CONTROLS



This Control directly supports the implied Control(s):
  • Establish, implement, and maintain records management procedures., CC ID: 11619

There are no implementation support Controls.


SELECTED AUTHORITY DOCUMENTS COMPLIED WITH



  • Ensure that source documents are prepared by authorised and qualified personnel following established procedures, taking into account adequate segregation of duties regarding the origination and approval of these documents. Errors and omissions can be minimised through good input form design. Detect… (AC1 Source Data Preparation and Authorisation, CobiT, Version 4.1)
  • The system should be able to recover from transmission errors with or without the help of the other system. (§ 11.13, § F.13, ISO 15408-2 Common Criteria for Information Technology Security Evaluation Part 2, 2008)
  • The organization must design the source document well to help the preparer and to facilitate data entry and preprint the date field and transaction type codes on the source document. (CSR 9.4.1, Pub 100-17 Medicare Business Partners Systems Security, Transmittal 7, Appendix A: CMS Core Security Requirements CSR, March 17, 2006)
  • Record errors encountered and allow a user through at least one of the following ways to: (§ 170.315 (b) (1) (ii) (A) (5), 45 CFR Part 170 Health Information Technology Standards, Implementation Specifications, and Certification Criteria and Certification Programs for Health Information Technology, current as of January 2024)
  • Record errors encountered and allow a user through at least one of the following ways to: (§ 170.315 (b) (1) (ii) (A) (5), 45 CFR Part 170, Health Information Technology: Initial Set of Standards, Implementation Specifications, and Certification Criteria for Electronic Health Record Technology, current as of July 14, 2020)