SOX.2.0.29:

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.2.0.29 Only authorized software is permitted for use by employees using company IT assets.

Testing Procedures

1. Determine if procedures are in place to detect and prevent the use of unauthorized software. Obtain and review the company policy as it relates to software use to see that this is clearly articulated.

2. Consider reviewing a sample of applications and computers to determine if they are in conformance with organization policy.

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.