Work Fun in Reston, VA
Oct. 31st, 2006 08:34 amMy work day Monday was entirely spent examining logs, records and performance evidence with a new point-of-contact from our performance & Sarbox compliance office. Sounds pretty boring, and it is: there's so many things I'd rather be doing. Still, these meetings are a vast improvement over the prior round.
In the past, the Risk Office simply asked for a massive amount of data, logs & records (1.6 GB uncompressed), then went on fishing expeditions to look for anything which they could use to justify a failing mark. This would be (kind of) appropriate for a financial audit, but fundamentally lacks common sense for a performance audit: show me a director prints off 1.6 GB of weekly activity logs, place his signature on each page of the report then rescans every page back into PDF files just to satisfy performance audits, I'll show you a director who needs his head examined.
In the current round, the auditor is simply looking to ensure that we are indeed logging information (a directory listing with timestamps is sufficient) with discrete samples pulled from randomly selected dates. In other tests, a few randomly selected standards & procedures docs are pulled and we're checked for compliance with our documentation. The only difficult part is proving humans read the online error reports: we've been able to show actions taken as a result of the error reports but I don't know how we prove a report was read when no action was initiated by it.
There are three more key controls to be examined today... I hope to be done with it by lunchtime.
In the past, the Risk Office simply asked for a massive amount of data, logs & records (1.6 GB uncompressed), then went on fishing expeditions to look for anything which they could use to justify a failing mark. This would be (kind of) appropriate for a financial audit, but fundamentally lacks common sense for a performance audit: show me a director prints off 1.6 GB of weekly activity logs, place his signature on each page of the report then rescans every page back into PDF files just to satisfy performance audits, I'll show you a director who needs his head examined.
In the current round, the auditor is simply looking to ensure that we are indeed logging information (a directory listing with timestamps is sufficient) with discrete samples pulled from randomly selected dates. In other tests, a few randomly selected standards & procedures docs are pulled and we're checked for compliance with our documentation. The only difficult part is proving humans read the online error reports: we've been able to show actions taken as a result of the error reports but I don't know how we prove a report was read when no action was initiated by it.
There are three more key controls to be examined today... I hope to be done with it by lunchtime.