SCHEDULE 4Communication requirement

Functionality, quality and maintenance of IT systems

I13

Whether the IT systems used for the purposes of carrying out relevant functions—

a

have the necessary capacity and capability to enable relevant functions to be carried out by or on behalf of the scheme in accordance with—

i

any legal requirement in relation to scheme communications, and

ii

the scheme’s systems and processes concerning scheme communications;

b

are monitored to ensure that they continue to have the necessary capacity and capability;

c

are capable of being upgraded or updated to reflect changes in legal requirements relating to scheme communications;

d

have a back-up system which allows data concerning scheme communications to be recovered if the main system fails;

e

have restricted physical and electronic access, with firewalls and other appropriate protection against viruses and other threats;

f

are maintained at regular intervals, either automatically or by a person with the appropriate skills and experience;

g

are backed up and updated regularly, including the maintenance of firewalls and other preventative systems.