SOX.2.0.15:

1. Risk: Insufficient controls over processing accuracy by a third-party service provider may result in inaccurate financial results.

a. SOX.2.0.15 A designated individual is responsible for regular monitoring and reporting on the achievement of the third-party service-level performance criteria.

Testing Procedures

Determine if the management of third-party services has been assigned to appropriate individuals. Review the assignments listing and agree the listing to an active employees roster.

Testing Frequency

Quarterly validation of all systems within scope.

Evidence Archive Location

Insert hyperlink or location of evidence archive.

Control Stewards Process Narrative

The AIX operating system prevents the addition of duplicate Ids. Furthermore, the regular review of administrator IDs listed above serves as a backstop for this control.

Control Steward – Steve Somebody

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.