AI5.1:
AI 5.1 Procurement Control
Control Objective:
Develop and follow a set of procedures and standards that is consistent with the business organization’s overall procurement process and acquisition strategy to ensure that the acquisition of IT-related infrastructure, facilities, hardware, software and services satisfies business requirements.
Applicability:
- Sarbanes-Oxley
- HIPAA
- GLBA
- PCI
- FISMA
- NIST SP 800-66
- Ditscap
- Control Exception
- User Defined
Risk Association Control Activities:
- 1. Risk: Security and business continuity risks are introduced by technical designs incompatible with enterprise standards.
- a. SOX.1.15 The organizations SDLC policies and procedures consider the development and acquisition of new systems and major changes to existing systems.
- a. SOX.1.15 The organizations SDLC policies and procedures consider the development and acquisition of new systems and major changes to existing systems.
- 1. Risk: Security and business continuity risks are introduced by technical designs incompatible with enterprise standards.
- 2. Risk: Controls provide reasonable assurance that the systems are appropriately tested and validated prior to being placed into production processes, and associated controls operate as intended and support financial reporting requirements.
- a. SOX.5.4 A testing strategy is developed and followed for all significant changes in applications and infrastructure technology, which addresses unit, system, integration and user-acceptance-level testing so that deployed systems operate as intended.
- a. SOX.5.4 A testing strategy is developed and followed for all significant changes in applications and infrastructure technology, which addresses unit, system, integration and user-acceptance-level testing so that deployed systems operate as intended.
- 2. Risk: Controls provide reasonable assurance that the systems are appropriately tested and validated prior to being placed into production processes, and associated controls operate as intended and support financial reporting requirements.
- 3. Risk: New program developments and/or changes may be made that are unnecessary or inappropriate.
- a. SOX.6.1.3 Request for new applications or changes to existing applications should be appropriately considered and processed.
- a. SOX.6.1.3 Request for new applications or changes to existing applications should be appropriately considered and processed.
- 3. Risk: New program developments and/or changes may be made that are unnecessary or inappropriate.
Implementation Guide:
Process Narrative
Insert a description of the process narration that is applicable to the existing control statement this narrative refers to.
Process Illustration
Insert a process diagram, flowchart or other visual representation here to illustrate the process narrative.
File:Someimage.jpg
Control Commentary
Insert a description of the control that is applicable to the existing control statement this commentary refers to.
Control Exception Commentary
Insert a description of the control exception that is applicable to the existing control statement this commentary refers to.
Evidence Archive Location
Insert Evidence Description Here.
Control Status and Auditors Commentary
Describe the condition of the applicable control and its effectiveness. Set the color icon to a redlock.jpg, yellowlock.jpg or greenlock.jpg.
File:Redlock.jpg
Remediation Plan
Insert remediation plan, applicability, or any information that indicates what needs to be done.
Supplemental Information:
Implementation guidance
Insert guidance in this section if it helps to elaborate upon the subject matter. Examples of evidence that would help guide the end user is desirable.
--Mdpeters 09:59, 23 June 2006 (EDT)