ME4.1:

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ME 4.1 Establishment of an IT Governance Framework

Control Objective:

Work with the board to define and establish an IT governance framework including leadership, processes, roles and responsibilities, information requirements, and organizational structures to ensure that the enterprise’s IT-enabled investment programs are aligned with and deliver on the enterprise’s strategies and objectives. The framework should provide clear linkage among the enterprise strategy, the portfolio of IT-enabled investment programs that execute the strategy, the individual investment programs, and the business and IT projects that make up the programs. The framework should provide for unambiguous accountabilities and practices to avoid breakdown in internal control and oversight. The framework should be consistent with the overall enterprise control environment and generally accepted control principles, and be based on the IT process and control framework.


Applicability:

Sarbanes-Oxley
HIPAA
GLBA
PCI
FISMA
NIST SP 800-66
Ditscap
Control Exception
User Defined


Risk Association Control Activities:

1. Risk: IT function does not meet the organizational needs.
a. SOX.2.0.1: Organizational policies and management procedures are in place to ensure the IT function is controlled properly.


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.

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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
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.

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Remediation Plan
Insert remediation plan, applicability, or any information that indicates what needs to be done.

Supplemental Information:


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.