SOX.5.1.13:

4. Risk: Poorly serviced systems do not deliver as required and financial information may not be processed as intended.

a. SOX.1.22: Service levels are defined and managed to support financial reporting system requirements.

Testing Procedures

4. Risk: Poorly serviced systems do not deliver as required and financial information may not

be processed as intended.

a. SOX.1.22: Service levels are defined and managed to support financial reporting system

requirements.

Testing Procedures

1. Obtain service-level performance reports and confirm that they include key performance indicators.

2. Review the performance results, identify performance issues and assess how service-level managers are addressing these issues.

Testing Frequency

Annually

Evidence Archive Location

Insert hyperlink or location of evidence archive.

Control Stewards Process Narrative

Provide control steward commentary indicating the formal methodology in place.

Control Steward – Jane Manager

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.

File:Greenlock.jpg

Status is acceptable.

Control Exception Commentary

Status is acceptable.

Remediation Plan

Remediation is not required at this time.