Page 23 - NovDefComp

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
Defined Benefit and Defined Contribution Recordkeeping

Investment Service Operations System

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Where SOC 1 or similar attestations are not available, or the SOC 1 provided does not cover the
operations pertinent to MassMutual, MassMutual conducts appropriate periodic quality and due diligence
procedures.
Enterprise Technology and Experience (ETX) organization provides the General Information Technology
Controls (GITC) system in support of the IDT systems used to support MassMutual business operations.
ETX should have controls over: documenting, authorizing, testing, approving and implementing application
changes; documenting, authorizing, testing, approving and implementing system software changes;
physical security and environmental protection of computer equipment and storage media; provisioning,
termination, and recertification of user access based upon job responsibilities; the scheduling of production
processing and system backups, and the identification and resolution of deviations from the schedule; and
the completion and security of data transmissions, and identification and resolution of failures. While these
GITCs are not addressed in this report, they may be found in the “Defined Benefit and Defined Contribution
Recordkeeping Operations General Information Technology Controls System SOC 1 Report” for the period
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October 1, 2019 through September 30, 2020 which is available from MassMutual. All control objectives in
this report rely on ETX as a subservice provider as the application controls within the business processes
rely upon an effective GITC environment.
Subservice Organization General IT Controls: The business process control objectives listed in the
subservice table are dependent on each subservice organization having appropriate controls over
application change management and logical access, and if applicable physical security and environmental
controls, job processing and data transmissions.

MassMutual Defined Benefit and Defined Description of the System Provided by
Contribution Investment Service Operations MassMutual
System
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