3.2.2.2: Windows

1. Risk: Unauthorized access attempts go unnoticed.

a. SOX.4.2.2.1 WINDOWS 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.4.2.2.2 WINDOWS administrator level access is password restricted and is limited to the designated WINDOWS administrators only.

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

a. SOX.4.2.2.3 WINDOWS access by support vendors is granted through a service request.

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

a. SOX.4.2.2.5 The WINDOWS operating application has a session "Time-Out" function enabled.

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

a. SOX.4.2.2.6 WINDOWS rule changes are scheduled during maintenance windows.

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

a. SOX.4.2.2.7 The WINDOWS system will not allow identical administrator IDs.

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

a. SOX.4.2.2.8 WINDOWS passwords are required for each administrator ID. Password configuration is based on Corporate IT standards.

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

a. SOX.4.2.2.9 The WINDOWS operating application has the functionality to monitor administrator access related events.

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

a. SOX.4.2.2.10 WINDOWS administration team is notified when security violations occur.

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

a. SOX.4.2.2.11 The WINDOWS administration team reviews security logs looking for security violations.

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

a. SOX.4.2.2.12 WINDOWS access is granted through a service request.

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

a. SOX.4.2.2.13 Terminations are sent through the HR process. An Email is sent from HR with all terminations to the WINDOWS system administrators.

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

a. SOX.4.2.2.14 WINDOWS password expiration is set to Corporate IT standards.

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

a. SOX.4.2.2.15 WINDOWS rules and logging is applied to everyone equally including system administrators.

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

a. SOX.4.2.2.16 A semi-annual revalidation of WINDOWS administrator accounts are performed by security administration.

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

a. SOX.4.2.2.17 Root level access is password restricted. This password is know only by system the administrators.

17. 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 09:45, 23 June 2006 (EDT)