SOX.2.0.31:
- 2. Risk: Insufficient configuration controls can lead to security and availability exposures that may permit unauthorized access to systems and data and impact financial reporting. .
- a. SOX.2.0.31 Application software and data storage systems are properly configured to provision access based on the individual’s demonstrated need to view, add, change or delete data.
Testing Procedures
1. Conduct an evaluation of the frequency and timeliness of management’s review of configuration records.
2. Assess whether management has documented the configuration management procedures.
3. Review a sample of configuration changes, additions or deletions, to consider if they have been properly approved based on a demonstrated need.
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.