Map Index

Individual Matrix  |  Excel Version

Process Risk Control Objective Control Name PCAOB Assertions
C
 EO
 V
 RO
 PD
Financial Statement COBiT Assertions
C
 A
 V
 R
Key Control? Frequency Preventative / Detective Manual / Automated / Spreadsheet Ownership Linked Resources Test Plan
Map Index
Visual index of Operations' processes, grouped by function.
This process does not have any associated risks.

  

Admin: Expense Report Approval

Individual Matrix  |  Excel Version

Process Risk Control Objective Control Name PCAOB Assertions
C
 EO
 V
 RO
 PD
Financial Statement COBiT Assertions
C
 A
 V
 R
Key Control? Frequency Preventative / Detective Manual / Automated / Spreadsheet Ownership Linked Resources Test Plan
Admin: Expense Report Approval
Expense report are approved for payment.
This process does not have any associated risks.

  

Admin: Pre-Travel Approval

Individual Matrix  |  Excel Version

Process Risk Control Objective Control Name PCAOB Assertions
C
 EO
 V
 RO
 PD
Financial Statement COBiT Assertions
C
 A
 V
 R
Key Control? Frequency Preventative / Detective Manual / Automated / Spreadsheet Ownership Linked Resources Test Plan
Admin: Pre-Travel Approval
Estimated trip expenses are approved prior to travel.
This process does not have any associated risks.

  

Deployment: Conference Server License Creation

Individual Matrix  |  Excel Version

Process Risk Control Objective Control Name PCAOB Assertions
C
 EO
 V
 RO
 PD
Financial Statement COBiT Assertions
C
 A
 V
 R
Key Control? Frequency Preventative / Detective Manual / Automated / Spreadsheet Ownership Linked Resources Test Plan
Deployment: Conference Server License Creation
Conference Server (CS) licenses are created by the 3rd party supplier of the CS, not by BroadSoft. This is unique amongst BroadWorks server types.
This process does not have any associated risks.

  

Deployment: Customer Upgrade

Individual Matrix  |  Excel Version

Process Risk Control Objective Control Name PCAOB Assertions
C
 EO
 V
 RO
 PD
Financial Statement COBiT Assertions
C
 A
 V
 R
Key Control? Frequency Preventative / Detective Manual / Automated / Spreadsheet Ownership Linked Resources Test Plan
Deployment: Customer Upgrade
The replacement on a customer's hardware of BroadWorks software with a more current patch or release.
This process does not have any associated risks.

  

Deployment: Installation

Individual Matrix  |  Excel Version

Process Risk Control Objective Control Name PCAOB Assertions
C
 EO
 V
 RO
 PD
Financial Statement COBiT Assertions
C
 A
 V
 R
Key Control? Frequency Preventative / Detective Manual / Automated / Spreadsheet Ownership Linked Resources Test Plan
Deployment: Installation
The process of turning up a set of BroadWorks servers in an account's environment.
This process does not have any associated risks.

  

Deployment: License Creation

Individual Matrix  |  Excel Version

Process Risk Control Objective Control Name PCAOB Assertions
C
 EO
 V
 RO
 PD
Financial Statement COBiT Assertions
C
 A
 V
 R
Key Control? Frequency Preventative / Detective Manual / Automated / Spreadsheet Ownership Linked Resources Test Plan
Deployment: License Creation
How server specific licenses are created for all servers (except for the conference server).
This process does not have any associated risks.

  

Deployment: Scheduling

Individual Matrix  |  Excel Version

Process Risk Control Objective Control Name PCAOB Assertions
C
 EO
 V
 RO
 PD
Financial Statement COBiT Assertions
C
 A
 V
 R
Key Control? Frequency Preventative / Detective Manual / Automated / Spreadsheet Ownership Linked Resources Test Plan
Deployment: Scheduling
Deployment Engineers are scheduled to perform activities such as staging, installs, and upgrades.
This process does not have any associated risks.

  

Deployment: Staging

Individual Matrix  |  Excel Version

Process Risk Control Objective Control Name PCAOB Assertions
C
 EO
 V
 RO
 PD
Financial Statement COBiT Assertions
C
 A
 V
 R
Key Control? Frequency Preventative / Detective Manual / Automated / Spreadsheet Ownership Linked Resources Test Plan
Deployment: Staging
The loading and configuration of the operating system on an account's hardware.
This process does not have any associated risks.

  

Deployment: Validate New Base and SP Software

Individual Matrix  |  Excel Version

Process Risk Control Objective Control Name PCAOB Assertions
C
 EO
 V
 RO
 PD
Financial Statement COBiT Assertions
C
 A
 V
 R
Key Control? Frequency Preventative / Detective Manual / Automated / Spreadsheet Ownership Linked Resources Test Plan
Deployment: Validate New Base and SP Software
BroadSoft installs new releases on its phone system before releasing it to customers.
This process does not have any associated risks.

  

Exec Proj Mgmt: Project Tracking

Individual Matrix  |  Excel Version

Process Risk Control Objective Control Name PCAOB Assertions
C
 EO
 V
 RO
 PD
Financial Statement COBiT Assertions
C
 A
 V
 R
Key Control? Frequency Preventative / Detective Manual / Automated / Spreadsheet Ownership Linked Resources Test Plan
Exec Proj Mgmt: Project Tracking
Covers internal BroadSoft projects.
This process does not have any associated risks.

  

IT: Helpdesk

Individual Matrix  |  Excel Version

Process Risk Control Objective Control Name PCAOB Assertions
C
 EO
 V
 RO
 PD
Financial Statement COBiT Assertions
C
 A
 V
 R
Key Control? Frequency Preventative / Detective Manual / Automated / Spreadsheet Ownership Linked Resources Test Plan
IT: Helpdesk
IT maintains a help desk to address employee issues with PCs, servers, and the inhouse phone system.
This process does not have any associated risks.

  

IT: New PC

Individual Matrix  |  Excel Version

Process Risk Control Objective Control Name PCAOB Assertions
C
 EO
 V
 RO
 PD
Financial Statement COBiT Assertions
C
 A
 V
 R
Key Control? Frequency Preventative / Detective Manual / Automated / Spreadsheet Ownership Linked Resources Test Plan
IT: New PC
Every new employee (and some contractors) are issued PCs. The method for staging and configuration varies based on the country where the employee will work.
This process does not have any associated risks.

  

IT: Recovery

Individual Matrix  |  Excel Version

Process Risk Control Objective Control Name PCAOB Assertions
C
 EO
 V
 RO
 PD
Financial Statement COBiT Assertions
C
 A
 V
 R
Key Control? Frequency Preventative / Detective Manual / Automated / Spreadsheet Ownership Linked Resources Test Plan
IT: Recovery
It is sometimes necessary to recover a file or a larger subset of a server's data.
This process does not have any associated risks.

  

IT: Server Backup

Individual Matrix  |  Excel Version

Process Risk Control Objective Control Name PCAOB Assertions
C
 EO
 V
 RO
 PD
Financial Statement COBiT Assertions
C
 A
 V
 R
Key Control? Frequency Preventative / Detective Manual / Automated / Spreadsheet Ownership Linked Resources Test Plan
IT: Server Backup
When a new server is added to BroadSoft's infrastructure, it is configured for daily backup.
This process does not have any associated risks.

  

IT: Software Request

Individual Matrix  |  Excel Version

Process Risk Control Objective Control Name PCAOB Assertions
C
 EO
 V
 RO
 PD
Financial Statement COBiT Assertions
C
 A
 V
 R
Key Control? Frequency Preventative / Detective Manual / Automated / Spreadsheet Ownership Linked Resources Test Plan
IT: Software Request
Employees may require software which must be purchased.
This process does not have any associated risks.

  

IT: System Termination

Individual Matrix  |  Excel Version

Process Risk Control Objective Control Name PCAOB Assertions
C
 EO
 V
 RO
 PD
Financial Statement COBiT Assertions
C
 A
 V
 R
Key Control? Frequency Preventative / Detective Manual / Automated / Spreadsheet Ownership Linked Resources Test Plan
IT: System Termination
Separating employees must have their system access removed. This is required to maintain security and data integrity.
This process does not have any associated risks.

  

IT: User Provisioning

Individual Matrix  |  Excel Version

Process Risk Control Objective Control Name PCAOB Assertions
C
 EO
 V
 RO
 PD
Financial Statement COBiT Assertions
C
 A
 V
 R
Key Control? Frequency Preventative / Detective Manual / Automated / Spreadsheet Ownership Linked Resources Test Plan
IT: User Provisioning
The authorization of systems and access to BroadSoft employees.
This process does not have any associated risks.

  

IT: Validate AP Software

Individual Matrix  |  Excel Version

Process Risk Control Objective Control Name PCAOB Assertions
C
 EO
 V
 RO
 PD
Financial Statement COBiT Assertions
C
 A
 V
 R
Key Control? Frequency Preventative / Detective Manual / Automated / Spreadsheet Ownership Linked Resources Test Plan
IT: Validate AP Software
Application Patches (APs) are typically validated by installing and running on the In House System (IHS). APs are smaller in scope than an SP.
This process does not have any associated risks.

  

Prof Svcs: Configuration Audit

Individual Matrix  |  Excel Version

Process Risk Control Objective Control Name PCAOB Assertions
C
 EO
 V
 RO
 PD
Financial Statement COBiT Assertions
C
 A
 V
 R
Key Control? Frequency Preventative / Detective Manual / Automated / Spreadsheet Ownership Linked Resources Test Plan
Prof Svcs: Configuration Audit
A Configuration Audit is a standard offering from BroadSoft Professional Services. This process defines the major steps and deliverables involved in the Configuration Audit.
This process does not have any associated risks.

  

Prof Svcs: Engagement Creation

Individual Matrix  |  Excel Version

Process Risk Control Objective Control Name PCAOB Assertions
C
 EO
 V
 RO
 PD
Financial Statement COBiT Assertions
C
 A
 V
 R
Key Control? Frequency Preventative / Detective Manual / Automated / Spreadsheet Ownership Linked Resources Test Plan
Prof Svcs: Engagement Creation
Steps required for BroadSoft Account Teams to create a professional services engagement
This process does not have any associated risks.

  

Prof Svcs: 3rd Party DE Certification

Individual Matrix  |  Excel Version

Process Risk Control Objective Control Name PCAOB Assertions
C
 EO
 V
 RO
 PD
Financial Statement COBiT Assertions
C