Capt. Horatio T.P. Webb
Some Controls for Transaction Processing
General Controls
Segregation of Duties
system design process
programming
operations
transaction authorization
dba
data control
Management Controls
master IS plan
project development plan
processing schedule
assignment of responsibility
periodic performance evaluation
post implementation review
system performance measurement
Physical Access Control
Logical Access Control
passwords
id cards/badges
biometric
user/task compatability matrix
Data Storage Controls
Data Transmission Controls
encryption
routing headers
mutual authentication
dial-back
acknowledgement
Documentation Standards
administrative
system
operations
Downtime avoidance
preventive maintenance
ups
fault tolerant systems
Disaster Recovery
a plan
data and program source backups
duty assignments
documentation
backup facilities
periodic test and review of the plan
Workstation/Server
Application Controls
Batch Totals
Source Data Controls
control log
key verification
check digits
prenumbered forms
turnaround documents
Input Validation
field test
limit test
range tests
reasonableness tests
sequence numbers
validity checks
prompting
preformatting or selection
completeness tests
defaults
field verification
transaction log
File Maintenance
external data reconciliation
control account reconciliation
access security
error logs
error reporting
access logs
Output Controls
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