SOX.2.0.30:

1. 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.2.0.30 System infrastructure, including firewalls, routers, switches, network operating systems, servers and other related devices, is properly configured to prevent unauthorized access.

Testing Procedures

1. Determine if the organization’s policies require the documentation of the current configuration, as well as the security configuration settings to be implemented.

2. Review a sample of servers, firewalls, routers, etc., to consider if they have been configured in accordance with the organization’s 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.