PO4.1:
PO 4.1 IT Process Framework
Control Objective:
Define an IT process framework to execute the IT strategic plan. This framework includes an IT process structure and relationships (e.g., to manage process gaps and overlaps), ownership, maturity, performance measurement, improvement, compliance, quality targets and plans to achieve them. It provides integration among the processes that are specific to IT, enterprise portfolio management, business processes and business change processes. The IT process framework should be integrated in a quality management system and the internal control framework.
Applicability:
- Sarbanes-Oxley
- HIPAA
- GLBA
- PCI
- FISMA
- NIST SP 800-66
- Ditscap
- Control Exception
- User Defined
Risk Association Control Activities:
- 1. Risk: Business needs may not be met or adequate data safeguards may not be implemented or considered.
- a. SOX.1.7 The SDLC methodology includes requirements that information systems be designed to include application controls that support complete, accurate, authorized and valid transaction processing.
- a. SOX.1.7 The SDLC methodology includes requirements that information systems be designed to include application controls that support complete, accurate, authorized and valid transaction processing.
- 1. Risk: Business needs may not be met or adequate data safeguards may not be implemented or considered.
- 2. Risk: Security and business continuity risks are introduced by technical designs incompatible with enterprise standards.
- a. SOX.1.10 Obtain a listing of key system development and maintenance projects and, for a sample, obtain evidence that each project is properly tested and approved.
- a. SOX.1.10 Obtain a listing of key system development and maintenance projects and, for a sample, obtain evidence that each project is properly tested and approved.
- 2. Risk: Security and business continuity risks are introduced by technical designs incompatible with enterprise standards.
- 3. Risk: Financial systems fail due to a lack of operational procedures being executed.
- a. SOX.2.0.2 Controls provide reasonable assurance that IT daily operation procedures are executed.
- a. SOX.2.0.2 Controls provide reasonable assurance that IT daily operation procedures are executed.
- 3. Risk: Financial systems fail due to a lack of operational procedures being executed.
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:
ITIL Business Perspective.
ITIL Business/ IS Alignment.
ITIL 4.3.5 The IS steering group.
ISO 17799 4.1 Information security infrastructure.
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.