AI1.1:
AI 1.1 Definition and Maintenance of Business Functional and Technical Requirements
Control Objective:
Identify, prioritize, specify and agree business functional and technical requirements covering the full scope of all initiatives required to achieve the expected outcomes of the IT-enabled investment program. Define the criteria for acceptance of the requirements. These initiatives should include any changes required to the nature of the enterprise’s business, business processes, people skills and competencies, organization structure, and the enabling technology.
Requirements take into account the business functional needs, the enterprise’s technological direction, performance, cost, reliability, compatibility, Auditability, security, availability and continuity, ergonomics, usability, safety and legislation. Establish processes to ensure and manage the integrity, accuracy and currency of business requirements as a basis for control of ongoing system acquisition and development. These requirements should be owned by the business sponsor.
Applicability:
- Sarbanes-Oxley
- HIPAA
- GLBA
- PCI
- FISMA
- NIST SP 800-66
- Ditscap
- Control Exception
- User Defined
Risk Association Control Activities:
- 1. Risk: Security and business continuity risks are introduced by technical designs incompatible with enterprise standards.
- a. SOX.1.15 The organizations SDLC policies and procedures consider the development and acquisition of new systems and major changes to existing systems.
- a. SOX.1.15 The organizations SDLC policies and procedures consider the development and acquisition of new systems and major changes to existing systems.
- 1. Risk: Security and business continuity risks are introduced by technical designs incompatible with enterprise standards.
- 2. Risk: Controls provide reasonable assurance that the systems are appropriately tested and validated prior to being placed into production processes, and associated controls operate as intended and support financial reporting requirements.
- a. SOX.5.4 A testing strategy is developed and followed for all significant changes in applications and infrastructure technology, which addresses unit, system, integration and user-acceptance-level testing so that deployed systems operate as intended.
- a. SOX.5.4 A testing strategy is developed and followed for all significant changes in applications and infrastructure technology, which addresses unit, system, integration and user-acceptance-level testing so that deployed systems operate as intended.
- 2. Risk: Controls provide reasonable assurance that the systems are appropriately tested and validated prior to being placed into production processes, and associated controls operate as intended and support financial reporting requirements.
Implementation Guide:
Review the organizations SDLC methodology to determine if it considers both the development and acquisition of new systems and major changes to existing systems.
Process Narrative
Insert a description of the process narration that is applicable to the existing control statement this narrative refers to.
Process Illustration
Insert a process diagram, flowchart or other visual representation here to illustrate the process narrative.
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Control Commentary
Insert a description of the control that is applicable to the existing control statement this commentary refers to.
Control Exception Commentary
Insert a description of the control exception that is applicable to the existing control statement this commentary refers to.
Evidence Archive Location
Insert Evidence Description Here.
Control Status and Auditors Commentary
Describe the condition of the applicable control and its effectiveness. Set the color icon to a redlock.jpg, yellowlock.jpg or greenlock.jpg.
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Remediation Plan
Insert remediation plan, applicability, or any information that indicates what needs to be done.
Supplemental Information:
ITIL Application Management, The Application Management Life Cycle, 5.2 Requirements ICT Infrastructure Management, Appendix F3, Requirements Analysis.
Implementation guidance
Insert guidance in this section if it helps to elaborate upon the subject matter. Examples of evidence that would help guide the end user is desirable.
--Mdpeters 09:16, 23 June 2006 (EDT)