3.2.1.4: Managed Switches
1. Risk: Unauthorized access attempts go unnoticed.
- a. SOX.2.1.4.1 SWITCH 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.2.1.4.2 SWITCH administrator level access is password restricted and is limited to the designated SWITCH administrators only.
3. Risk: Unscheduled access by support vendors may result in business process interruptions or loss of production data.
- a. SOX.2.1.4.3 SWITCH 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.2.1.4.4 New SWITCH user accounts are pre-expired.
5. Risk: Unauthorized users might exploit unauthorized access to critical business processes and data.
- a. SOX.2.1.4.5 The SWITCH operating application has a session "Time-Out" function enabled.
6. Risk: Unnecessary disruptions to business processes or data corruption may occur.
- a. SOX.2.1.4.6 SWITCH rule changes are scheduled during maintenance windows.
7. Risk: Unidentifiable users may compromise critical business processes and data.
- a. SOX.2.1.4.7 The SWITCH 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.2.1.4.8 SWITCH passwords are required for each administrator ID. Password configuration is based on Corporate IT standards.
9. Risk: Inappropriate administrative actions are executed without accountability measures.
- a. SOX.2.1.4.9 The SWITCH operating application has the functionality to monitor administrator access related events.
10. Risk: Reactive security monitoring results in data compromise and financial loss or liability.
- a. SOX.2.1.4.10 SWITCH 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.2.1.4.11 The SWITCH administration team reviews security logs looking for security violations.
12. Risk: Unauthorized access is granted to business systems or data stores.
- a. SOX.2.1.4.12 SWITCH access is granted through a service request.
13. Risk: Unauthorized access may occur resulting in business data compromise or destruction.
- a. SOX.2.1.4.13 Terminations are sent through the HR process. An Email is sent from HR with all terminations to the SWITCH system administrators.
14. Risk: Insufficient security standards may allow unauthorized access to production systems and business data stores.
- a. SOX.2.1.4.14 SWITCH 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.2.1.4.15 SWITCH rules and logging is applied to everyone equally including system administrators.
16. Risk: Unauthorized access (i.e. terminated employees) may occur.
- a. SOX.2.1.4.16 A semi-annual revalidation of SWITCH 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.2.1.4.17 Privileged level access is password restricted. This password is known only by the system administrators.
18. Risk: Unauthorized routing parameters or virtual LAN connections established may disrupt business capabilities or bypass security controls causing business data loss and confidentiality loss.
- a. SOX.2.1.4.18 Routing protocols are approved by management.
19. Risk: Confidentiality and or privacy may be compromised.
- a. SOX.2.1.5.19 Unauthorized network tapping does not occur without the approval of management.