NYDFS, utility IT & customer privacy
Build your NY utility audit set
Choose your New York utility profile and detailed audit tracks. Download selected detailed tasks and tests with the complete clause matrix, source register and unresolved questions. Profile answers are recorded for review, they do not decide exemptions.
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Customize your audit planning set
Prepare a New York utility audit with your team
Start with what is known and what is missing
The utility set now records missing entity, filing, data and audit information alongside the unresolved authority questions.
Start by confirming the utility’s legal entity, its facilities and the purpose and period of the audit. Find the records the utility already holds and give each one an owner and a project target date. Work through the missing facts, current criteria and proposed exclusions with those owners, settle the scope, evidence access, safe methods and deliverables with GDF, and put an authorized evidence exchange in place before any controlled record is shared.
Download with open items when needed. A located record still needs examination. Creating a package does not book an engagement or authorize testing.
- Record gathering checklist (CSV)Records to locate, audit purpose, likely custodian and follow up fields. The complete ZIP includes the same checklist with the workbook and manuals.
- Open questions register (CSV)Missing facts and unresolved authority, the required next evidence and the effect on audit planning.
The November 3, 2026 New York workbook has 21 worksheets whatever you choose: the 16 core sheets, the Preparation and Uncertainty sheets, and the Requirements, Field record and Assessment prep sheets. Your track choices change the rows inside the task and test sheets, not the number of sheets.
The technical PDFs and complete HTML reference manuals are included in every set as complete reference documents.
Use the preparation walkthrough alongside those references.
Prefer the complete reference files
Email me the complete set or read the planning library overview.
- Utility audit manualPDF, 33 pages. Applicability, project gates, field procedures, control tests and the DOH and DEC water rules.
- Editable audit workbookExcel, 21 worksheets. Decisions, tasks, data flows, tests, evidence, findings, notices and handover.
- Source registerCSV, 23 primary and official technical sources, with status, locators and limitations.
Verify the applicable authority
The generated set retains all source and open question records. Read the planning overview and official authorities before assigning legal duties.
Dates and exclusions require current entity specific evidence. Selecting a profile does not establish DFS coverage, a PSC exemption or regulatory approval.
Consult a Senior Examiner on The Audit Boundary
Bring the entity profile and unresolved questions to a scoped planning discussion. Keep completed worksheets and evidence in controlled records.
Current edition and HTML manuals
November 3, 2026 edition
Forty one proposed procedures are mapped to a 469-record PSC/DFS clause and context matrix. Definitions, administrative text and forms are labelled separately. Ten authority questions remain open; utility specific criteria and the operative DFS version still require confirmation.
Blank, invalid and unsupported applicability decisions remain in the open count. Sources show retrieval limits and native links. Tagged PDFs retain fillable records; the complete HTML manuals below provide reading and navigation alternatives. Formal assistive technology and native Excel review remain pending.
Actual project findings, scope approvals and technical reviews require evidence and responsible people. No template establishes compliance or permission to test production.
Document the work and its limits
NY custom exports now preserve sample selection rationale, observations and actual review fields. Missing execution or closure records remain visible beside declared results. The field print view draws from the selected detailed tests.
Omitting a detailed PSC or DFS track keeps its requirement records and an explicit deferred work action. The tool does not establish an exemption, resolve Q01-Q10 or approve an audit conclusion.
Read the field and documentation guide (HTML) or download the guide (PDF, 4 pages).
Prepare for an audit, security assessment or penetration test
Gather scope, records, owners and permissions before an assessment. Preparation does not authorize testing.
Assessment preparation walkthrough and checklist.
State profiles are research leads. Read coverage limits, Indiana/Maryland corrections and the depth register.
Current file use guidance
Your selected NY workbook retains protected instructions and formulas while allowing row sizing for longer evidence notes. Its current table definitions opened normally in the tested Excel 16 configuration. Keep project collection status separate from legal applicability, actual approvals and the assessment result.
Read the formatting, printing and accessibility limits. The package notice includes the detailed row sizing steps and tested scope.
Gather records before an engagement
Related Audit and Assessment Preparation Packages
Choose a guide to identify records, assign owners and prepare questions for your auditor, consultant, counsel or export control specialist.
These are preparation aids. They do not replace an audit, assessment, legal opinion or specialist decision, and they do not authorize testing.
Read the overviews without a form. Downloads require your name and email; we email a seven day access link. Organization and phone are optional.
New York Utility Audit Preparation Package
Keep utility oversight, DFS applicability and private information questions separate while gathering supporting records.
File: ZIP: PDF, XLSX workbook and CSV records.
NYDFS 23 NYCRR Part 500 Audit Preparation
Gather entity details, policy records, system evidence and questions for a Part 500 specialist.
File: ZIP: guide and editable CSV checklists.
New York SHIELD Act Private Information Preparation
Map private information, safeguards, service providers and incident records for privacy and breach review.
File: ZIP: guide and editable CSV checklists.
Browse all preparation packages by subject.
Check each overview for source dates, scope limits and unresolved questions before using a download.
Reviewed by Joseph Caruso, Founder, CEO and CTO, CISSP. Last reviewed .