3.2.2.4: OS/400

1 Risk: Unauthorized access attempts go unnoticed.

a. SOX.4.2.4.1 OS/400 authentication attempts are limited to attempts specified by the Corporate IT standard.

2. Risk: Unauthorized execution of privileged system commands may disrupt business processes, and corrupt critical business data stores.

a. SOX.4.2.4.2 OS/400 administrator level access is password restricted and is limited to the designated OS/400 administrators only.

3. Risk: Unscheduled access by support vendors may result in business process interruptions or loss of production data.

a. SOX.4.2.4.3 OS/400 access by support vendors is granted through a service request.

4. Risk: Unauthorized users might exploit privileged access to critical business processes and data.

a. SOX.4.2.4.4 New OS/400 user accounts are pre-expired.

5. Risk: Unauthorized users might exploit unauthorized access to critical business processes and data.

a. SOX.4.2.4.5 The OS/400 operating application has a session "Time-Out" function enabled.

6. Risk: Unnecessary disruptions to business processes or data corruption may occur.

a. SOX.4.2.4.6 OS/400 system changes are scheduled during maintenance windows.

7. Risk: Unidentifiable users may compromise critical business processes and data.

a. SOX.4.2.4.7 The OS/400 system will not allow identical administrator IDs.

8. Risk: Insufficient security standards may allow unauthorized access to production systems and business data stores.

a. SOX.4.2.4.8 OS/400 passwords are required for each system ID. Password configuration is based on Corporate IT standards.

9. Risk: Inappropriate administrative actions are executed without accountability measures.

a. SOX.4.2.4.9 The OS/400 operating system application has forensic auditing enabled to enable the monitoring of administrative access related events.

10. Risk: Reactive security monitoring results in data compromise and financial loss or liability.

a. SOX.4.2.4.10 OS/400 administration team is notified when security violations occur.

11. Risk: Forensic evidence is not available to resolve malfunctions, compromises or other security compromising incidents.

a. SOX.4.2.4.11 The OS/400 administration team reviews security logs looking for security violations.

12. Risk: Unauthorized access is granted to business systems or data stores.

a. SOX.4.2.4.12 OS/400 access is granted through a service request.

13. Risk: Unauthorized access may occur resulting in business data compromise or destruction.

a. SOX.4.2.4.13 Terminations are sent through the HR process. An Email is sent from HR with all terminations to the OS/400 system administrators.

14. Risk: Insufficient security standards may allow unauthorized access to production systems and business data stores.

a. SOX.4.2.4.14 OS/400 password expiration is set to Corporate IT standards.

15. Risk: Security violations or data corruption may occur with no forensic evidence available to resolve the situation.

a. SOX.4.2.4.15 OS/400 rules and logging is applied to everyone equally including system administrators.

16. Risk: Unauthorized access (i.e. terminated employees) may occur.

a. SOX.4.2.4.16 A semi-annual revalidation of OS/400 administrator accounts are performed by security administration.

17. Risk: Unauthorized execution of privileged system commands may disrupt business processes, and corrupt critical business data stores.

a. SOX.4.2.4.17 QSECOFR level access is password restricted. This password is know only by system the administrators.

18. 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.

--Mdpeters 14:10, 28 August 2006 (EDT)