SOX.2.0.16:: Difference between revisions

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::'''1. Risk: Business requirements are not met or third parties have inappropriate access to business data stores and business processes.'''<br>
::'''1. Risk: Business requirements are not met or third parties have inappropriate access to business data stores and business processes.'''<br>
:::a. [[SOX.2.0.12:|'''SOX.2.0.12''']] Selection of vendors for outsourced services is performed in accordance with the organization’s vendor management policy.<br>
:::a. [[SOX.2.0.16:|'''SOX.2.0.16''']] A regular review of security, availability and processing integrity is performed by third-party service providers (e.g., SAS 70, Canadian 5970). br>
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'''Testing Procedures'''
'''Testing Procedures'''
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Obtain the organization’s vendor management policy and discuss with those responsible for third-party service management if they follow such standards. Obtain and test evidence that the selection of vendors for outsourced services is performed in accordance with the organization’s vendor management policy. .<br>
Inquire whether third-party service providers perform independent reviews of security, availability and processing integrity, e.g., service auditor report. Obtain a sample of the most recent review and determine if there are any control deficiencies that would impact financial reporting. <br>
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'''Control Stewards Process Narrative'''
'''Control Stewards Process Narrative'''
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<p><font color=#008000>The AIX operating system prevents the addition of duplicate Ids. Furthermore, the regular review of administrator IDs listed above serves as a backstop for this control.</font></p>
<p><font color=#008000>Insert Process Narrative here.</font></p>


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Revision as of 18:09, 14 June 2006


1. Risk: Business requirements are not met or third parties have inappropriate access to business data stores and business processes.
a. SOX.2.0.16 A regular review of security, availability and processing integrity is performed by third-party service providers (e.g., SAS 70, Canadian 5970). br>



Testing Procedures

Inquire whether third-party service providers perform independent reviews of security, availability and processing integrity, e.g., service auditor report. Obtain a sample of the most recent review and determine if there are any control deficiencies that would impact financial reporting.


Testing Frequency

Quarterly validation of all systems within scope.

Evidence Archive Location

Insert hyperlink or location of evidence archive.

Control Stewards Process Narrative

Insert Process Narrative here.


Control Steward – Steve Somebody

Process Illustration

Replace this test by inserting a process diagram, flowchart or other visual representation to illustrate the process narrative as necessary. Include a brief description of the process illustration.

Control Status and Auditors Commentary

The control is effective. It is technically impossible to establish identical user accounts on a UNIX operating system.


File:Greenlock.jpg

Status is acceptable.

Control Exception Commentary

Status is acceptable.

Remediation Plan

Remediation is not required at this time.

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