DS13.1:
DS 13.1 Operations Procedures and Instructions
Control Objective:
Controls provide reasonable assurance that authorized programs are executed as planned and deviations from scheduled processing are identified and investigated, including controls over job scheduling, processing, error monitoring and system availability.
Define, implement and maintain standard procedures for IT operations and ensure the operations staff is familiar with all operations tasks relevant to them. Operational procedures should cover shift handover (formal handover of activity, status updates, operational problems, escalation procedures and reports on current responsibilities) to ensure continuous operations.
Rationale — Managing operations addresses how an organization maintains reliable application systems in support of the business to initiate, record, process and report financial information. Deficiencies in this area could significantly impact an entity’s financial reporting. For instance, lapses in the continuity of application systems may prevent an organization from recording financial transactions and thereby undermine its integrity.
Applicability:
- Sarbanes-Oxley
- HIPAA
- GLBA
- PCI
- FISMA
- NIST SP 800-66
- Ditscap
- Control Exception
- User Defined
Risk Association Control Activities:
- 1. Risk: Lapses in the continuity of application systems may prevent an organization from recording financial transactions and thereby undermine its integrity.
- a. SOX.2.7.15 Management has established, documented and followed standard procedures for IT operations, including job scheduling and monitoring and responding to security, availability and processing integrity events.
- 1. Risk: Lapses in the continuity of application systems may prevent an organization from recording financial transactions and thereby undermine its integrity.
- 2. Risk: Lapses in the continuity of application systems may prevent an organization from recording financial transactions and thereby undermine its integrity.
- a. SOX.2.7.16 System event data are sufficiently retained to provide chronological information and logs to enable the review, examination, and reconstruction of system and data processing.
- 2. Risk: Lapses in the continuity of application systems may prevent an organization from recording financial transactions and thereby undermine its integrity.
- 3. Risk: lapses in the continuity of application systems may prevent an organization from recording financial transactions and thereby undermine its integrity.
- a. SOX.2.7.17 System event data are designed to provide reasonable assurance as to the completeness and timeliness of system and data processing.
- 3. Risk: lapses in the continuity of application systems may prevent an organization from recording financial transactions and thereby undermine its integrity.
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.
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Control Commentary
Insert a description of the control that is applicable to the existing control statement this commentary refers to.
Control Exception Commentary
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Evidence Archive Location
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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.
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Remediation Plan
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Supplemental Information:
ITIL ICT Infrastructure Management
ITIL Technical Support
ITIL 5.4.1 The technical support processes
ISO 8.1 Operational procedures and responsibilities
