Click here to monitor SSC
SQLServerCentral is supported by Redgate
 
Log in  ::  Register  ::  Not logged in
 
 
 


Blowing off the SAS70 auditors


Blowing off the SAS70 auditors

Author
Message
Indianrock
Indianrock
SSC Eights!
SSC Eights! (852 reputation)SSC Eights! (852 reputation)SSC Eights! (852 reputation)SSC Eights! (852 reputation)SSC Eights! (852 reputation)SSC Eights! (852 reputation)SSC Eights! (852 reputation)SSC Eights! (852 reputation)

Group: General Forum Members
Points: 852 Visits: 2258
I sat in a SAS70 audit meeting yesterday on database administration. The auditor was very young. One of the first answers I gave him was that nobody in our company has the title "Database Administrator" ( yet ). I let our IT manager answer the questions about backups, but as that progressed I could see he was essentially brow-beating the young auditor and acting as if "we know what we're doing and don't have to prove it to you, whippersnapper."

Obviously I'm beginning to think this manager is more liability than asset. The auditor's questions ended shortly thereafter about 10 minutes into the meeting. I'd be really surprised if he didn't give a negative report to his superiors. Something tells me you can't just blow these people off w00t



GilaMonster
GilaMonster
SSC-Forever
SSC-Forever (47K reputation)SSC-Forever (47K reputation)SSC-Forever (47K reputation)SSC-Forever (47K reputation)SSC-Forever (47K reputation)SSC-Forever (47K reputation)SSC-Forever (47K reputation)SSC-Forever (47K reputation)

Group: General Forum Members
Points: 47239 Visits: 44377
If he's anything like the SOX auditors I used to work with, he'll be asking for proof of everything you said - backup histories, security permissions, sign-offs, etc.


Gail Shaw
Microsoft Certified Master: SQL Server, MVP, M.Sc (Comp Sci)
SQL In The Wild: Discussions on DB performance with occasional diversions into recoverability

We walk in the dark places no others will enter
We stand on the bridge and no one may pass


Indianrock
Indianrock
SSC Eights!
SSC Eights! (852 reputation)SSC Eights! (852 reputation)SSC Eights! (852 reputation)SSC Eights! (852 reputation)SSC Eights! (852 reputation)SSC Eights! (852 reputation)SSC Eights! (852 reputation)SSC Eights! (852 reputation)

Group: General Forum Members
Points: 852 Visits: 2258
Yes, I'm sure we haven't heard the end of this.



Michael Valentine Jones
Michael Valentine Jones
Hall of Fame
Hall of Fame (3.3K reputation)Hall of Fame (3.3K reputation)Hall of Fame (3.3K reputation)Hall of Fame (3.3K reputation)Hall of Fame (3.3K reputation)Hall of Fame (3.3K reputation)Hall of Fame (3.3K reputation)Hall of Fame (3.3K reputation)

Group: General Forum Members
Points: 3254 Visits: 11771
There is no law that says that you have to answer their questions, but it can cause problems.

SAS 70 is an auditing standard designed to enable an independent auditor to evaluate and issue an opinion on a service organization's controls, and is meant for customers, investors, etc. to assure them that your organization can process and safeguard their data. If the auditors report that there is no assurance that proper care is being taken to safeguard data, a customer may decide to take their business elsewhere.

When I deal with auditors, I insist that all questions coming to me have to be cleared by our data security team and sent to me by them. This gives me a buffer against direct confrontations of the type you described, gives me time to prepare responses, and shows the auditors that I am protective of all aspects of data security. If there are questions that I have objections to, I discuss them with our data security team before providing an answer.


Youi may want to look at this:
http://sas70.com/
Indianrock
Indianrock
SSC Eights!
SSC Eights! (852 reputation)SSC Eights! (852 reputation)SSC Eights! (852 reputation)SSC Eights! (852 reputation)SSC Eights! (852 reputation)SSC Eights! (852 reputation)SSC Eights! (852 reputation)SSC Eights! (852 reputation)

Group: General Forum Members
Points: 852 Visits: 2258
In our case the auditor was asking basic questions about restoring backups from tape occasionally to verify their integrity and the manager was giving him the evil eye as if he had no right to ask such a question. If the auditors don't push back big-time I will lose all respect for their organization.



Michael Valentine Jones
Michael Valentine Jones
Hall of Fame
Hall of Fame (3.3K reputation)Hall of Fame (3.3K reputation)Hall of Fame (3.3K reputation)Hall of Fame (3.3K reputation)Hall of Fame (3.3K reputation)Hall of Fame (3.3K reputation)Hall of Fame (3.3K reputation)Hall of Fame (3.3K reputation)

Group: General Forum Members
Points: 3254 Visits: 11771
Indianrock (8/5/2010)
In our case the auditor was asking basic questions about restoring backups from tape occasionally to verify their integrity and the manager was giving him the evil eye as if he had no right to ask such a question. If the auditors don't push back big-time I will lose all respect for their organization.


It would probably be better to just say you do, since that would be hard to verify. Whistling
Indianrock
Indianrock
SSC Eights!
SSC Eights! (852 reputation)SSC Eights! (852 reputation)SSC Eights! (852 reputation)SSC Eights! (852 reputation)SSC Eights! (852 reputation)SSC Eights! (852 reputation)SSC Eights! (852 reputation)SSC Eights! (852 reputation)

Group: General Forum Members
Points: 852 Visits: 2258
This is more about " do the auditors have the right to ask us questions," than "how do we verify that what we're saying to them is factual.



Michael Valentine Jones
Michael Valentine Jones
Hall of Fame
Hall of Fame (3.3K reputation)Hall of Fame (3.3K reputation)Hall of Fame (3.3K reputation)Hall of Fame (3.3K reputation)Hall of Fame (3.3K reputation)Hall of Fame (3.3K reputation)Hall of Fame (3.3K reputation)Hall of Fame (3.3K reputation)

Group: General Forum Members
Points: 3254 Visits: 11771
Indianrock (8/5/2010)
This is more about " do the auditors have the right to ask us questions," than "how do we verify that what we're saying to them is factual.


Of course they have the right to ask questions.

I think the real question is what they can do about it if they don't get answers. The short answer is they can't really do anything about it, except complain to the company management and/or write it up in the audit report. What happens after that is a decision for the company management.
alen teplitsky
alen teplitsky
SSCommitted
SSCommitted (1.6K reputation)SSCommitted (1.6K reputation)SSCommitted (1.6K reputation)SSCommitted (1.6K reputation)SSCommitted (1.6K reputation)SSCommitted (1.6K reputation)SSCommitted (1.6K reputation)SSCommitted (1.6K reputation)

Group: General Forum Members
Points: 1595 Visits: 4621
we do SOX once a year

we get a document and have to provide screen shots and other proof. the auditors have a checklist they go by. then they ask for more proof and "clarification". it's kind of like getting a mortgage
Go


Permissions

You can't post new topics.
You can't post topic replies.
You can't post new polls.
You can't post replies to polls.
You can't edit your own topics.
You can't delete your own topics.
You can't edit other topics.
You can't delete other topics.
You can't edit your own posts.
You can't edit other posts.
You can't delete your own posts.
You can't delete other posts.
You can't post events.
You can't edit your own events.
You can't edit other events.
You can't delete your own events.
You can't delete other events.
You can't send private messages.
You can't send emails.
You can read topics.
You can't vote in polls.
You can't upload attachments.
You can download attachments.
You can't post HTML code.
You can't edit HTML code.
You can't post IFCode.
You can't post JavaScript.
You can post emoticons.
You can't post or upload images.

Select a forum

































































































































































SQLServerCentral


Search