SOX.1.3:

Risk: Unapproved application changes negatively impact business processing or may corrupt production data stores.

a. SOX.3.1: Controls are in place to restrict migration of programs to production by authorized individuals only.

Testing Procedures

1. Determine that a risk assessment of the potential impact of changes to system software is performed.

2. Review procedures to test changes to system software in a development environment before they are applied to production.

3. Verify that backout procedures exist.

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.