diff --git a/Processes/Quality Management/COSO/ITGC.md b/Processes/Quality Management/COSO/ITGC.md index 9b6f1c0..4291993 100644 --- a/Processes/Quality Management/COSO/ITGC.md +++ b/Processes/Quality Management/COSO/ITGC.md @@ -22,9 +22,9 @@ | Overview | Component | Situation | Evidences | | -------------------- | --------- | ------------------------------------------------------------ | ---------------------------------- | -| Frequency of changes | A | Often changes are required for various reasons (e.g. functionality enhancement changes in business processes, etc.) | CHANGELOG
Software validation | -| Frequency of changes | OS, DB | Changes are made for each release of security patches/upgrades | Software validation | -| Frequency of changes | N, O | Changes are made for each release of patches/upgrades | Software validation | +| Frequency of changes | A | Often changes are required for various reasons (e.g. functionality enhancement changes in business processes, etc.) | CHANGELOG
[Third Party Software Validation - New](https://github.com/Karaka-Management/Organization-Guide/blob/master/Processes/IT/Third%20Party%20Software%20Validation%20-%20New.md)
[Third Party Software Validation - Update](https://github.com/Karaka-Management/Organization-Guide/blob/master/Processes/IT/Third%20Party%20Software%20Validation%20-%20Update.md) | +| Frequency of changes | OS, DB | Changes are made for each release of security patches/upgrades | [Third Party Software Validation - New](https://github.com/Karaka-Management/Organization-Guide/blob/master/Processes/IT/Third%20Party%20Software%20Validation%20-%20New.md)
[Third Party Software Validation - Update](https://github.com/Karaka-Management/Organization-Guide/blob/master/Processes/IT/Third%20Party%20Software%20Validation%20-%20Update.md) | +| Frequency of changes | N, O | Changes are made for each release of patches/upgrades | [Third Party Software Validation - New](https://github.com/Karaka-Management/Organization-Guide/blob/master/Processes/IT/Third%20Party%20Software%20Validation%20-%20New.md)
[Third Party Software Validation - Update](https://github.com/Karaka-Management/Organization-Guide/blob/master/Processes/IT/Third%20Party%20Software%20Validation%20-%20Update.md) | ### Assessment of Design Effectiveness @@ -32,7 +32,7 @@ | ---- | ------------------------------------------------------------ | --------------- | ------------------------------------------------------------ | ------------------------------------------------------------ | | 1 | How are policies and procedures for development and maintenance prepared? | A, OS, DB, N, O | Policies and procedures for development and maintenance are described in a formal way. Documentations are prepared by the IT team and authorized by the head of IT | Process: [Development](https://github.com/Karaka-Management/Organization-Guide/blob/master/Processes/01_Development.md)
Process: [Support & Service](https://github.com/Karaka-Management/Organization-Guide/blob/master/Processes/04_Support%20%26%20Service.md)
Policies: [IT](https://github.com/Karaka-Management/Organization-Guide/tree/master/Policies%20%26%20Guidelines/IT) | | 2 | How are roles and responsibilities concerning development and maintenance defined? | A, OS, DB, N, O | Roles and responsibilities concerning development and maintenance are clearly defined in the IT process and policies. IT personnel incl. service vendors perform changes | Process: [Development](https://github.com/Karaka-Management/Organization-Guide/blob/master/Processes/01_Development.md)
Process: [Support & Service](https://github.com/Karaka-Management/Organization-Guide/blob/master/Processes/04_Support%20%26%20Service.md)
[Organigram](https://github.com/Karaka-Management/Organization-Guide/blob/master/Processes/01_Development.md) | -| 3 | How are changes tested and their results approved? | A, OS, DB, N, O | Before updates for third party software are performed on the servers they are tested in a testing environment. Self-developed software changes are tested according the development process. | [Third party: Software validation](https://github.com/Karaka-Management/Organization-Guide/blob/master/Processes/IT/Third%20Party%20Software%20Validation%20-%20New.md)
Process: [Development](https://github.com/Karaka-Management/Organization-Guide/blob/master/Processes/01_Development.md)
Internal: Test protocols | +| 3 | How are changes tested and their results approved? | A, OS, DB, N, O | Before new third party software is installed or updates for third party software are performed on the servers they are tested in a testing environment. Self-developed software changes are tested according the development process. | [Third Party Software Validation - New](https://github.com/Karaka-Management/Organization-Guide/blob/master/Processes/IT/Third%20Party%20Software%20Validation%20-%20New.md)
[Third Party Software Validation - Update](https://github.com/Karaka-Management/Organization-Guide/blob/master/Processes/IT/Third%20Party%20Software%20Validation%20-%20Update.md)
Process: [Development](https://github.com/Karaka-Management/Organization-Guide/blob/master/Processes/01_Development.md)
Internal: Test protocols | | 4 | How are changes approved for their migration to the production environment? | A, OS, DB, N, O | The change in the production environment is approved by the head of IT for third party software and for self-developed changes according the development process. | [Third party: Software validation](https://github.com/Karaka-Management/Organization-Guide/blob/master/Processes/IT/Third%20Party%20Software%20Validation%20-%20New.md)
Process: [Development](https://github.com/Karaka-Management/Organization-Guide/blob/master/Processes/01_Development.md)
Internal: Merge protocol | | 5 | What procedures are in place for preventing/detecting unauthorized changes to the production environment? | A, OS, DB, N, O | Only the head of IT can install updates on the servers. Only the head of IT has the necessary IT authentication and IT permission. For self-developed changes all changes, merges can only be performed from authorized personnel and all merges are logged in merging protocols. | [Permission List](https://github.com/Karaka-Management/Organization-Guide/blob/master/Processes/IT/Permission%20List.md) |