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.