DS1.1:

DS 1.1 Service Level Management Framework

Control Objective:

Define a framework that provides a formalized service level management process between the customer and service provider. The framework maintains continuous alignment with business requirements and priorities and facilitates common understanding between the customer and provider(s). The framework includes processes for creating service requirements, service definitions, service level agreements (SLA), operating level agreements (OLA) and funding sources. These attributes are organized in a service catalogue. The framework defines the organizational structure for service level management, covering the roles, tasks and responsibilities of internal and external service providers and customers.

Applicability:

Sarbanes-Oxley

HIPAA

GLBA

PCI

FISMA

NIST SP 800-66

Ditscap

Control Exception

User Defined

Risk Association Control Activities:

1. Risk: Development and maintenance of system with potential impact to financial reporting bypass processes for identifying business requirements, risks, and for designing needed controls.

a. SOX.1.14: Controls provide reasonable assurance that systems with potential impact to financial reporting are developed and maintained in a controlled manner through the use of a development methodology.

2. Risk: IT function does not meet the organizational needs.

a. SOX.2.0.1: Organizational policies and management procedures are in place to ensure the IT function is controlled properly.

3. Risk: System security may be undermined by inappropriate external system connections.

a. SOX.3.1.3: External system connections should be used for valid business purposes only and controls should be in place to prevent these connections from undermining system security.

4. Risk: Poorly managed systems or system functionality does not delivered as required and financial information is not processed as intended.

a. SOX.1.22 Service levels are defined and managed to support financial reporting system requirements.

Implementation Guide:

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 Service Delivery, Service Level Management.

ITIL 4.3.1 Initial planning activities.

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.