James,

        You're treading on new legal ground, and you may want to consult a lawyer (yes, I hate them, too) to truly get the in/outs of this new requirement.  As I understand it, the penalties can be fairly extensive for non-compliance, and they may view, to whatever degree, knowingly withholding information as illegal.

Regards,


Ray Shahan

> -----Original Message-----
> From: HP-3000 Systems Discussion [SMTP:[log in to unmask]] On Behalf Of James Hofmeister
> Sent: Tuesday, August 24, 2004 10:26 AM
> To:   [log in to unmask]
> Subject:           [HP3000-L] Sarbanes-Oxley & HP-e3000 & MPE/iX
> 
> Hello Folks,
> 
> RE: Sarbanes-Oxley & HP-e3000 & MPE/iX
> 
> We heard a bit of the news at HPWORLD about 'Sarbanes-Oxley' and I got a
> general impression that it could be described as new data accounting, data
> processing & data auditing - government standard by which there is standard
> data/report required for compliance and the possibility of an
> 'Sarbanes-Oxley' audit (please correct me if you have a better definition).
> 
> A couple of questions come to mind in the case of an audit: Would you expect
> the 'Sarbanes-Oxley' auditor to be technical on your computer platform?
> Would you expect that the auditor would know what a HP-e3000 and MPE/iX is?
> 
> In the case of an audit of an MPE/iX system, would you expect to be required
> to "core-dump" any/all of the known sins in your data processing environment
> under the 'Sarbanes-Oxley' standard?   Or would it be similar to a typical
> data processing audit where one would expect to only respond (truthfully of
> course) to specific questions asked by the auditor as they apply to MPE/iX
> and only admit to the short-comings when specifically identified by the
> auditor in the question/answer phase of the audit?
> 
> The bottom line question I am asking is:
> 
> If a auditor is not experienced with MPE/iX, is the oneness on the MPE/iX
> system IT staff's to be overly helpful or is it the auditor's responsibility
> to ask the correct questions to acquire the correct data for the
> 'Sarbanes-Oxley' audit irrelevant of computing platform and the MPE/iX
> system IT staff's responsibility to be cooperative only to that extent of
> the auditor's questioning and technical understanding of the MPE/iX system?
> 
> Regards,
> 
> James Hofmeister
> Email: <first>.<last>@hp.com
> Hewlett Packard - Global Solutions Engineering (WTEC)
> P.S. My Ideals are my own, not necessarily my employers.
> 
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