Audit Overview / Documents Available

Baseline's facilities and procedures stand up to the rigors of Federal Financial Institutions Examination Council (FFIEC), Board of Governors of the Federal Reserve System (FRB), Federal Deposit Insurance Corporation (FDIC), Office of the Comptroller of the Currency (OCC), Office of Thrift Supervision (OTS) and Health Insurance Portability and Accountability Act of 1996 (HIPAA). In addition, our information security program strictly adheres to the Gramm-Leach-Bliley Act (GLBA) to safeguard sensitive client data.

Baseline must also undergo an annual infrastructure security assessment and an annual Statement of Auditing Standards (SAS) No. 70 Type II examination by independent auditors. The auditors exhaustively review the effectiveness of our operational policies and procedures, and the compliance report gives customers and prospects uninhibited access to critical details regarding our controls and safeguards.

Audit Documents Available

Audit documents may be required within your organization for a variety of reasons:

Vendor management
Risk management
Due dilligence
Compliance

Key documents available upon request include:

Year-end Financial Statements
Annual SAS70 Type II Audit Report
SAS70 Statement of Negative Assurance
Security Statement
Certificate of Insurance
Certificate of Existence
Disaster Recovery Plan
DRP Test Plan

To request specific documents for your vendor management program, please call our main office at 317-707-3941 or submit an online audit document form. We will follow up promptly.