Kim sot h thng thng tin k ton

3.1 3.2 c im mi trng nh hng ti KSNB Cc cch phn loi kim sot

3.3

Cc hot ng kim sot

M u
Khi nim KSNB Kim sot ni b l mt qu trnh do ban gim c, nh qun l v cc nhn vin ca n v chi phi, c thit lp cung cp mt s m bo hp l nhm thc hin ba mc tiu
Thng tin ng tin cy Cc lut l v qui nh c tun th Hot ng hu hiu v hiu qu
2

M u (tt)
Hot ng kim sot:
L nhng chnh sch, th tc, bin php gip cho vic thc hin cc ch o ca ngi qun l, m bo cc hnh ng cn thit qun l cc ri ro c th pht sinh trong qu trnh thc hin cc mc tiu. Bao gm: * Phn chia trch nhim y * y quyn cho nhn vin thc hin cc nghip v * Kim sot HT v qu trnh x l TT * Kim tra c lp v xem xt vic thc hin * Thit k v s dng cc chng t, s ph hp * m bo an ton cho ti sn vt cht v thng tin

Mc tiu Kim sot h thng thng tin k ton

C th Hot ng ng theo nghip v Tnh y . S nh gi. S phn loi. ng hn.. Chuyn s v tng hp chnh xc.

H thng thng tin hot ng hiu qu Thng tin chnh xc , kp thi, tin cy c

3.1. c im mi trng nh hng ti KSNB Thit b: Nhy cm, d b ph hu

D liu: Ri ro? Thun li ?
D liu lu di hnh thc my c c T chc d liu theo h qun tr d liu Khng li du vt khi sa cha d liu

Hot ng x l:
HT c th truy cp t nhiu ni X l t ng theo chng trnh lp sn v b ph thuc hot ng ca thit b

T chc, pht trin h thng

Nhiu nhim v tp trung EDP (b phn x l d liu in t)- Khng m bo mt s nguyn tc bt kim nhim K nng nhn vin b phn EDP (Electronic Data Proceessing) 5 Thay i HT phc tp hn

Ri ro KS trong mi trng trn nn my tnh

Rui ro trong DN

Rui ro kinh doanh Nguon lc S kie n Thanh phan tham gia a iem

Rui ro x ly TT Nhap lieu X ly Ket qua x ly

Rui ro he thong TT Phat trien HT To chc HTTT Thiet b Truy cap D lieu

Ri ro chin lc, hnh ng KD, ti chnh

Ri ro thng tin
6

Nguy c e da
Cc loi gian ln, ph hoi Nguyn nhn Gian ln trong hot ng Ngun ni b kinh doanh Ngun bn ngoi: Gian ln trong x l thng Mi quan h kinh tin: n cp, sa i, gin doanh ip vi DL nhp; Chng Ti phm trnh x l; Tp tin DL Gian ln lin quan ti HT Thng ng thng tin: Truy cp HT, Ni b thit b. Bn ngoi Cc loi thin tai

3.2 Cc cch phn loi hot ng KS

Phn loi theo mc tiu:
Kim sot pht hin Kim sot ngn chn Kim sot khc phc

Phn loi theo phm vi:

Kim sot chung: l cc hat ng kim sat c thit k v thc hin nhm m bo mi trng kim sot ca t chc c n nh, vng mnh nhm gia tng hiu qu ca kim sot ng dng. N nh hng ti tt c cc chng trnh ng dng Kim sot ng dng: l cc hat ng kim sat c thit k v thc hin ngn nga, pht hin v sa cha sai st, gian ln trong qu trnh x l nghip v ca mt chng trnh x l

3.3. Cc hat ng kim sot A. Kim sot chung

1. K hoch an ninh h thng 2. T chc HT x l thng tin 3. Kim sot chng trnh pht trin HT mi 4. Kim sot thit b 5. Kim sot phn mm x l 6. Kim sot lu tr d liu 7. Kim sot truy cp 8. Kim sot truyn pht d liu 9. Lp k hoch d phng ri ro xy ra.
9

Cc hot ng kim sot

KS chung 1 : K hoch an ninh HTTT
Cn thit lp mt k hoch an ninh hu hiu m bo tnh an ton v trung thc cho HTTT k ton. Xc nh xem ai cn thng tin g? Khi no cn thng tin ? V thng tin do HT no cung cp? Gip chng ta xc nh c cc ri ro, sai phm, gian ln i vi thng tin; ng thi tm ra c phng thc m bo an ninh HT tt nht. K hoch phi c lnh o xc lp, gim st, trin khai n ton b nhn vin v phi c cp nht thng xuyn.

10

KS chung 2: T chc HT x l thng tin

Mc tiu: Kim sot nhn vin ca b phn x l thng tin Phn chia m bo nguyn tc Bt kim nhim:
Chc nng s dng Chc nng b phn x l thng tin

11

T chc b phn x l thng tin

Chc nng b phn x l thng tin
Pht trin HTTT H tr ngi dng cui:
Bo dng, sa cha h thng Thao tc s dng HT

Chc nng s dng

S dng HT to thng tin S dng thng tin phc v hot ng ca tng i tng
12

KS chung-2. T chc b phn x l thng tin

Tong giam oc PGD san xuat PGD kinh doanh

1. Qui m ln 2. Qui m nh

..

Ke 1toan trng Bo phan EDP (1) Bo phan EDP (2)

13

KS chung 2. T chc b phn x l thng tin

Phu trach bo phan EDP Chief Information Officer Phat trien HT Phan tch HT lap trnh Hoat ong HT Bao dng HT Nhap lieu KS d lieu Kiem soat d lieu Th vien DL Quan tr CSDL

14

T chc b phn x l thng tin

Ph trch x l thng tin Chief Information officer

Pht trin h thng thng tin

Hot ng HT/ h tr k thut

Kim sot HT

Phn tch

Thit k

Ci t

Mng truyn thng

KS cht lng HT

KS DL

Th vin/Ql DL

15

KS chung- 3. Kim sot pht trin HT

Mc tiu
Pht trin HT t yu cu ca ngi s dng Tun th qui trnh pht trin d n: ph chun, thc hin Pht trin trong thi gian v chi ph ph hp Vic pht trin c u quyn, cho php Pht trin da k hach ch o di hn

Th tc
Lp k hach pht trin tng d n c th Lp i d n: b phn s dng, kim ton ni b v chuyn vin pht trin HT Tun th qui trnh pht trin d n: ph chun, thc hin
Ph chun nh gi nh k vic xy dng HT Th nghim trc khi s dng Xy dng ti liu HT
16

KS chung- 4. Kim sot thit b

Mc tiu. m bo an ton v mt k thut v hin vt Th tc:
Hn ch tip cn cc thit b: Thng qua cc quy nh, thit b kim sot An ton k thut: Thng c thit k sn trong thit b An ton s dng:
Mi trng t thit b: Nhit , m, in nng Ti liu hng dn s dng v x l khi thit b h hng Cc thit b lu tr ngoi phi c kim tra an ton trc khi s dng Ci t cc phn mm kim sot an ton HT v D liu

Thng xuyn kim tra pht hin kp thi h hng, sai st thay th sa cha thit b ph hp
17

KS chung- 5. Kim sot HT

Mc tiu: KS c hot ng x l ca HT m bo an ton cho HT Th tc:
An ton i vi thit b cng nh ni lu tr HT An ton HT mc logic:
Kim sot (nhn thy) cc truy cp Thng xuyn i chiu HT gc vi HT ang s dng

Kim sot cc x l ca HT
HT phi KS c cc truy cp v lu li du vt. Khng cho php sa trc tip DL sau khi lu tr chnh thc, chuyn s, kha s Mun sa phi dng chc nng khc. T ng ghi li vic truy cp HT: Thi gian, DL b sa cha
18

KS chung- 6. Kim sot truy cp

Mc tiu. Kim sot vic truy cp h thng m bo an ton d liu, chng trnh x l Th tc:
Phn chia trch nhim, quyn s hu d liu theo tng cp hoat ng, theo chc nng Phn chia trch nhim theo mc truy cp
iu hnh HT, s dng HT, thc hin nghip v, nhp liu

Nhn dng ngi s dng: account user S dng mt m truy cp S dng tp tin phn quyn truy cp v ghi nhn thng tin truy cp
19

V d: Kim sot truy cp

20

KS chung- 7. Kim sot lu tr d liu

Mc tiu. m bo an ton lu tr d liu Phng thc:
Phn loi DL theo mc yu cu bo v Lp th tc ghi d phng d liu: nh k thi gian; phng php ghi d phng tng lai d liu theo mc yu cu bo v. To nhn tp tin: nhn bn ngoi v nhn do my to Thng xuyn kim tra d liu lu tr
21

KS chung- 7. Kim sot lu tr d liu

Th tc ghi d phng d liu

Ghi d phng y tt c cc d liu Ghi d phng y tt c cc chng trnh ng dng Kim tra ni dung ghi d phng: chnh xc v y Ghi d phng nh k: kiu d phng t ng hoc ng- cha- con
Lu tr bn ghi d phng ni khc
22

KS chung 8. Kim sot truyn thng

Mc tiu. m bo an ton truyn thng thng tin.

Phng thc:
Gi kim tra ngc: Call back modem M ho thng tin c gi hoc truyn S dng Network Control Log
23

Gian ln:
Chn ng truyn thng ng gi ngi nhn tin

KS chung 9: K hoch d phng

Mc tiu: m bo HT hi phc nhanh khi thin tai, ho
hon, ph hoi xy ra

Phng thc:
Lp k hoch d phng:
To v tr x l d phng; V tr lu tr DL d phng Lu tr d phng thng xuyn Xc nh cc h thng ng dng quan trng-u tin kim sot v khi phc trc Phn chia trch nhim thc hin k hoch d phng v khi phc trung tm d liu: Nhn s, qui trnh

Hun luyn nhn vin cch x l khi gp trng hp khn cp Thng xuyn cp nht k hoch d phng
24

B. Kim sot ng dng

L hot ng kim sot nh hng ti tng ng
dng hay chng trnh x l c th vi mc tiu m bo tnh y , hp l, chnh xc ca x l nghip v

Bao gm
Kim sot nhp liu Kim sot x l d liu Kim sot kt qu x l

25

KS ng dng- 1. KS nhp liu

B.1.1 KS ngun nhp liu B.1.2 KS qu trnh nhp liu * Hp l * Chnh xc (Tnh tng) * Gia tng hiu qu nhp: S dng m t ng, gi tr mc nh

26

KS ng dng- 1. KS nhp liu

B.1.1 KS ngun nhp liu KS chng t: Th t; y quyn, xt duyt; hp l ca d liu; nh du s dng; Nhp liu nhiu ln d liu quan trng (tn km) D liu a vo h thng trc tip t ngun ca n: VD Chng t lun chuyn S dng thit b qut hay nhn din d liu t ng: nhp liu trc tip : My tnh tin, POS Camera
27

KS ng dng- 1. KS nhp liu

B.1.2 KS qu trnh nhp liu Tnh hp l:

Trnh t Kiu di Gii hn Trng lp d liu

Kim sot theo s tng

Tng s kim sot l tng s ca mt vng d liu no . Tng s kim sot ca mt l chng t (l nghip v) gi l tng l (batch total) Cc loi tng s kim sot
o Tng vng gi tr hoc s lng o Tng hm bm (Hash Totals) o m mu tin
28

V d tng s kim sot

BA NG KE HOA N BA N HA NG NGA Y SO H 1 2 3 6 SO TIE N 1,000,000 300,000 2,000,000 3,300,000 KHA CH HA NG 01 05 02 8

3 mu tin

3 5 6 14

Tng Hash

Tng gi tr
29

KS nhp- Nhp liu trc tip

D liu a vo h thng trc tip t ngun ca n. S dng cc hnh thc
* My tnh tin, POS Camera

* S dng u ra ca ng dng trc l u vo ca ng dng sau

30

KS ng dng 2. Kim sot x l d liu

1. Kim sot sp xp theo trnh t
X l theo l yu cu cc mu tin c sp xp theo trnh t cp nht tp tin

2. Kim sot tng bc x l (Run-to-run Control)

Trong x l theo l, tng s kim sot c thc hin qua tng bc gi v gi n l kim sot tng bc x l

3. Nhn bit tp tin

Dn nhn a To nhn a bn trong my c th c c

4. Cc kim sot c lp trnh

To cc chng trnh kim sot t ng: Tng n, tng c khi Post d liu; Cng dc, ngang mt bng DL v.v
31

Kim sot x l
V d Kim sot theo tng bc x l
Nhp liu K.tra DL hp l
B.cokhc Bo co KS

Sp xp TT ngh.v
B.cokhc Bo co KS

Sp xp TT ngh.v
B.cokhc Bo co KS

Cp nht TT chnh
B.cokhc Bo co KS

Tng mu tin c x l: 87 Tng gi tr c x l: 15.000.000

32

KS ng dng 3. KS ket qua x ly

Mc tiu.
m bo kt qu x l chnh xc m bo nhn vin c u quyn mi nhn v c

bo co Th tc
Phn quyn truy cp kt xut thng tin Nhm kim sot DL kim tra bng mt: tnh logic, hp l ca DL Cn c du vt kim ton kim tra li ngun gc d liu (VD xem doanh thu c ghi nhn t nhng chng t no) Thit lp qui trnh (thi gian v nhn s) chuyn, nhn bo co
33