DS9.1:

DS 9.1 Configuration Repository and Baseline

Control Objective: Controls provide reasonable assurance that IT components, as they relate to security, processing and availability, are well protected, would prevent any unauthorized changes, and assist in the verification and recording of the current configuration.

Establish a central repository to contain all relevant information on configuration items. This repository includes hardware, application software, middleware, parameters, documentation, procedures and tools for operating, accessing and using the systems and services. Relevant information to consider is naming, version numbers and licensing details. A baseline of configuration items should be kept for every system and service as a checkpoint to which to return after changes.

Rationale — Configuration management includes procedures such that security, availability and processing integrity controls are set up in the system and maintained through its life cycle. Insufficient configuration controls can lead to security and availability exposures that may permit unauthorized access to systems and data and impact financial reporting.


Applicability:

Sarbanes-Oxley

HIPAA

GLBA

PCI

FISMA

NIST SP 800-66

Ditscap

Control Exception

User Defined

Risk Association Control Activities:

1. Risk: Insufficient configuration controls can lead to security and availability exposures that may permit unauthorized access to systems and data and impact financial reporting. .

a. SOX.2.0.30 System infrastructure, including firewalls, routers, switches, network operating systems, servers and other related devices, is properly configured to prevent unauthorized access.

2. Risk: Insufficient configuration controls can lead to security and availability exposures that may permit unauthorized access to systems and data and impact financial reporting. .

a. SOX.2.0.31 Application software and data storage systems are properly configured to provision access based on the individual’s demonstrated need to view, add, change or delete data.

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
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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
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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 Support
ITIL Configuration Management
ITIL 7.6.2 Configuration identification
ITIL 7.3.6 Configuration baseline

ISO 5.1 Accountability for assets
ISO 8.1 Operational procedures and responsibilities