AI4.2:: Difference between revisions
Jump to navigation
Jump to search
No edit summary |
No edit summary |
||
| Line 1: | Line 1: | ||
==AI 4.2 Knowledge Transfer to Business Management== | |||
==Control Objective:== | |||
Transfer knowledge to business management to allow them to take ownership of the system and data and exercise responsibility for service delivery and quality, internal control, and application administration processes. The knowledge transfer should include access approval, privilege management, segregation of duties, automated business controls, backup/recovery, physical security and source document archival.<br> | Transfer knowledge to business management to allow them to take ownership of the system and data and exercise responsibility for service delivery and quality, internal control, and application administration processes. The knowledge transfer should include access approval, privilege management, segregation of duties, automated business controls, backup/recovery, physical security and source document archival.<br> | ||
<br> | <br> | ||
==Applicability:== | |||
:: '''Sarbanes-Oxley''' | :: '''Sarbanes-Oxley''' | ||
:: HIPAA | :: HIPAA | ||
| Line 17: | Line 14: | ||
:: User Defined | :: User Defined | ||
<br> | <br> | ||
==Risk Association Control Activities:== | |||
::'''1. Risk: Conflicting access credential may violate confidentiality, [[Privacy | privacy]], or possible data loss.'''<br> | |||
::'''1. Risk: Conflicting access credential may violate confidentiality, privacy, or possible data loss.'''<br> | |||
:::a. SOX.2.0.4: Segregation of duties for staff, both within the IT Department and between IT and user functions is adequate to prevent the same individual from performing incompatible functions.<br> | :::a. SOX.2.0.4: Segregation of duties for staff, both within the IT Department and between IT and user functions is adequate to prevent the same individual from performing incompatible functions.<br> | ||
<br> | <br> | ||
| Line 25: | Line 21: | ||
:::a. SOX.7.1.1: Access to particular functions within applications (e.g., approving payment of vendors) should be appropriately restricted to ensure segregation of duties and prevent unauthorized activity.<br> | :::a. SOX.7.1.1: Access to particular functions within applications (e.g., approving payment of vendors) should be appropriately restricted to ensure segregation of duties and prevent unauthorized activity.<br> | ||
<br> | <br> | ||
==Implementation Guide:== | |||
==Process Narrative== | |||
Insert a description of the process narration that is applicable to the existing control statement this narrative refers to.<br> | Insert a description of the process narration that is applicable to the existing control statement this narrative refers to.<br> | ||
<br> | <br> | ||
==Process Illustration== | |||
Insert a process diagram, flowchart or other visual representation here to illustrate the process narrative.<br> | Insert a process diagram, flowchart or other visual representation here to illustrate the process narrative.<br> | ||
<br> | <br> | ||
[[Image:Someimage.jpg]]<br> | [[Image:Someimage.jpg]]<br> | ||
<br> | <br> | ||
==Control Commentary== | |||
Insert a description of the control that is applicable to the existing control statement this commentary refers to.<br> | Insert a description of the control that is applicable to the existing control statement this commentary refers to.<br> | ||
<br> | <br> | ||
==Control Exception Commentary== | |||
Insert a description of the control exception that is applicable to the existing control statement this commentary refers to.<br> | Insert a description of the control exception that is applicable to the existing control statement this commentary refers to.<br> | ||
<br> | <br> | ||
==Evidence Archive Location== | |||
Insert Evidence Description Here.<br> | Insert Evidence Description Here.<br> | ||
<br> | <br> | ||
==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.<br> | Describe the condition of the applicable control and its effectiveness. Set the color icon to a redlock.jpg, yellowlock.jpg or greenlock.jpg.<br> | ||
<br> | <br> | ||
[[Image:redlock.jpg]]<br> | [[Image:redlock.jpg]]<br> | ||
<br> | <br> | ||
==Remediation Plan== | |||
Insert remediation plan, applicability, or any information that indicates what needs to be done.<br> | Insert remediation plan, applicability, or any information that indicates what needs to be done.<br> | ||
<br> | <br> | ||
==Supplemental Information:== | |||
<br> | <br> | ||
==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.<br> | 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.<br> | ||
Latest revision as of 23:55, 14 June 2007
AI 4.2 Knowledge Transfer to Business Management
Control Objective:
Transfer knowledge to business management to allow them to take ownership of the system and data and exercise responsibility for service delivery and quality, internal control, and application administration processes. The knowledge transfer should include access approval, privilege management, segregation of duties, automated business controls, backup/recovery, physical security and source document archival.
Applicability:
- Sarbanes-Oxley
- HIPAA
- GLBA
- PCI
- FISMA
- NIST SP 800-66
- Ditscap
- Control Exception
- User Defined
Risk Association Control Activities:
- 1. Risk: Conflicting access credential may violate confidentiality, privacy, or possible data loss.
- a. SOX.2.0.4: Segregation of duties for staff, both within the IT Department and between IT and user functions is adequate to prevent the same individual from performing incompatible functions.
- a. SOX.2.0.4: Segregation of duties for staff, both within the IT Department and between IT and user functions is adequate to prevent the same individual from performing incompatible functions.
- 1. Risk: Conflicting access credential may violate confidentiality, privacy, or possible data loss.
- 2. Risk: Segregation of duties may be compromised and unauthorized activity may occur.
- a. SOX.7.1.1: Access to particular functions within applications (e.g., approving payment of vendors) should be appropriately restricted to ensure segregation of duties and prevent unauthorized activity.
- a. SOX.7.1.1: Access to particular functions within applications (e.g., approving payment of vendors) should be appropriately restricted to ensure segregation of duties and prevent unauthorized activity.
- 2. Risk: Segregation of duties may be compromised and unauthorized activity may occur.
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.
File:Someimage.jpg
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.
File:Redlock.jpg
Remediation Plan
Insert remediation plan, applicability, or any information that indicates what needs to be done.
Supplemental Information:
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.