SOX.4.2.1.7:

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7. Risk: Unidentifiable users may compromise critical business processes and data.

a. SOX.4.2.1.7: The UNIX system will not allow identical administrator IDs.

Testing Procedures

Obtain a copy of the user control file from the system and verify that there are no duplicate system accounts.

An example of this might be one of the following:

  • Solaris Unix: etc/passwd
  • AIX Unix: etc/passwd
  • Linux Unix: etc/passwd


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. It is technically impossible to establish identical user accounts on a UNIX operating system.

When a system identification number is automatically generated, every identifying aspect of the users record may be altered or removed by an authorized system administrator.


File:Greenlock.jpg

Status is acceptable.

Control Exception Commentary

Status is acceptable.

Remediation Plan

Remediation is not required at this time.


--Mdpeters 13:48, 28 June 2006 (EDT)