- 1. Risk: Insufficient configuration controls can lead to security and availability exposures that may permit unauthorized access to systems and data and impact financial reporting. .
- a. SOX.2.0.30 System infrastructure, including firewalls, routers, switches, network operating systems, servers and other related devices, is properly configured to prevent unauthorized access.
1. Determine if the organization’s policies require the documentation of the current configuration, as well as the security configuration settings to be implemented.
2. Review a sample of servers, firewalls, routers, etc., to consider if they have been configured in accordance with the organization’s policy.
Evidence Archive Location
Insert hyperlink or location of evidence archive.
Control Stewards Process Narrative
Provide control steward commentary indicating the formal methodology in place.
Control Steward – Jane Manager
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.
Control Exception Commentary
Status is acceptable.
Remediation is not required at this time.