SOX.2.0.15:: Difference between revisions

From HORSE - Holistic Operational Readiness Security Evaluation.
Jump to navigation Jump to search
No edit summary
No edit summary
Line 1: Line 1:
<blockquote style="background: #C8CDC7; padding: 1em; margin-left: 0.5em;">
<blockquote style="background: #C8CDC7; padding: 1em; margin-left: 0.5em;">
<br>
<br>
::'''1. Risk: Business requirements are not met or third parties have inappropriate access to business data stores and business processes.'''<br>
::'''1. Risk: Insufficient controls over processing accuracy by a third-party service provider may result in inaccurate financial results.'''<br>
:::a. [[SOX.2.0.6:|'''SOX.2.0.6''']] Roles and responsibilities of third parties are clearly defined in the contractual relationship.<br>
:::a. [[SOX.2.0.15:|'''SOX.2.0.15''']] A designated individual is responsible for regular monitoring and reporting on the achievement of the third-party service-level performance criteria.<br>
<br>
<br>
</blockquote>
</blockquote>
 
<br>
'''Testing Procedures'''
'''Testing Procedures'''
<blockquote style="background: white; border: 1px solid black; padding: 1em;">
<blockquote style="background: white; border: 1px solid black; padding: 1em;">
Obtain a copy.<br>
Determine if the management of third-party services has been assigned to appropriate individuals. Review the assignments listing and agree the listing to an active employees roster. <br>
 
<br>
An example <br>
</blockquote>
</blockquote>
 
<br>
'''Testing Frequency'''
'''Testing Frequency'''
<blockquote style="background: white; border: 1px solid black; padding: 1em;">
<blockquote style="background: white; border: 1px solid black; padding: 1em;">
Line 42: Line 41:
'''Control Status and Auditors Commentary'''
'''Control Status and Auditors Commentary'''
<blockquote style="background: white; border: 1px solid black; padding: 1em;">
<blockquote style="background: white; border: 1px solid black; padding: 1em;">
<p><font color=#008000>The control is effective. It is technically impossible to establish identical user accounts on a UNIX operating system.</font></p>
<p><font color=#008000>The control is effective. </font></p>
<br>
<br>
[[Image:greenlock.jpg]]<br>
[[Image:greenlock.jpg]]<br>

Revision as of 17:53, 14 June 2006


1. Risk: Insufficient controls over processing accuracy by a third-party service provider may result in inaccurate financial results.
a. SOX.2.0.15 A designated individual is responsible for regular monitoring and reporting on the achievement of the third-party service-level performance criteria.



Testing Procedures

Determine if the management of third-party services has been assigned to appropriate individuals. Review the assignments listing and agree the listing to an active employees roster.


Testing Frequency

Quarterly validation of all systems within scope.

Evidence Archive Location

Insert hyperlink or location of evidence archive.

Control Stewards Process Narrative

The AIX operating system prevents the addition of duplicate Ids. Furthermore, the regular review of administrator IDs listed above serves as a backstop for this control.


Control Steward – Steve Somebody

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.