Kiem soat noi bo_sv

7/31/2019 Kiem soat noi bo_sv

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Kim sot h thng thng tin k ton

3.1 c im mi trng nh hng ti KSNB

3.2 Cc cch phn loi kim sot

3.3 Cc hot ng kim sot


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M u

Khi nim KSNB

Kim sot ni b l mt qu trnh do bangim c, nh qun l v cc nhn vin can v chi phi, c thit lp cung cpmt s m bo hp lnhm thc hin bamc tiuThng tin ng tin cy

Cc lut l v qui nh c tun th

Hot ng hu hiu v hiu qu


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M u (tt)

Hot ng kim sot:L nhng chnh sch, th tc, bin php gip cho vic thc hin ccch 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 mctiu.

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


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Mc tiu Kim sot h thng thng tin kton

H thng thng

tin hot ng hiuqu Thng tin chnh

xc , kp thi, tincy c

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.


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

Ri ro? Thun li ?

D liu: 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

T chc, pht trin h thng

Nhiu nhim v tp trung EDP (b phn x l dliu in t)- Khng m bo mt s nguyn tc btkim nhim

K nng nhn vin b phn EDP (Electronic DataProceessing)

Thay i HT phc tp hn

Hot ng x l: HT c th truy cp t nhiu ni

X l t ng theo chng trnh lp sn v b phthuc hot ng ca thit b


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Ri ro KS trong mi trng trn nn my tnh

Nguon lc

S kien

Thanh phan tham gia

a iem

Rui ro kinh doanh

Nhap lieu

X ly

Ket qua x ly

Rui ro x ly TT

Phat trien HT

To chc HTTT

Thiet b

Truy cap

D lieu

Rui ro he thong TT

Rui ro trong DN

Ri ro chin lc, hnhng KD, ti chnh Ri ro thng tin


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Nguy c e da Cc loi gian ln, ph hoi

Gian ln trong hot ngkinh doanh

Gian ln trong x l thngtin: n cp, sa i, ginip vi DL nhp; Chngtrnh x l; Tp tin DL

Gian ln lin quan ti HTthng tin: Truy cp HT,thit b.

Cc loi thin tai

Nguyn nhn Ngun ni b

Ngun bn ngoi:

Mi quan h kinhdoanh

Ti phm

Thng ng

Ni b

Bn ngoi


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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 nhhng ti tt c cc chng trnh ng dng

Kim sot ng dng: l cc hat ng kim sat c thit k vthc hin ngn nga, pht hin v sa cha sai st, gian ln trongqu trnh x l nghip v ca mt chng trnh x l


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3.3. Cc hat ng kim sotA. Kim sot chung

1. K hoch an ninh h thng2. T chc HT x l thng tin3. Kim sot chng trnh pht trin HT mi

4. Kim sot thit b5. Kim sot phn mm x l6. Kim sot lu tr d liu

7. Kim sot truy cp8. Kim sot truyn pht d liu9. Lp k hoch d phng ri ro xy ra.


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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 xcnh c cc ri ro, sai phm, gian ln i vi thng tin; ngthi tm ra c phng thc m bo an ninh HT tt nht.

K hoch phi c lnh o xc lp, gim st, trin khai nton b nhn vin v phi c cp nht thng xuyn.


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KS chung 2: T chc HT x l thng tin

Mc tiu: Kim sot nhn vin ca b phn xl thng tin

Phn chia m bo nguyn tc Bt kimnhim:

Chc nng s dng

Chc nng b phn x l thng tin


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T chc b phn x l thng tin

Chc nng b phn x l thng tinPht 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 tinS dng thng tin phc v hot ng ca tng

i tng


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

PGD san xuat PGD kinh doanh ...

Bo phan EDP (2)

Ke 1toa n trng Bo phan EDP (1)

Tong giam oc

1. Qui m ln

2. Qui m nh


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

Phan tch HT lap trnh

Phat trien HT

Bao dng HT Nhap lieu

Hoat ong HT

KS d lieu Th vien DL Quan tr CSDL

Kiem soat d lieu

Phu trach bo phan EDPChief Information Officer


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T chc b phn x l thng tin

Ph trch x l thng tin

Chief Information officer

Pht trin h thngthng tin

Hot ng HT/ htr k thut

Kim sot HT

Phn

tchCi t

Thitk

Thvin/Ql

DLKS DL

Mngtruynthng

KS chtlng HT


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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


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KS chung- 4. Kim sot thit b

Mc tiu. m bo an ton v mt k thut v hinvt Th tc:Hn ch tip cn cc thit b: Thng qua cc quy nh,

thit b kim sotAn ton k thut: Thng c thit k sn trong thit bAn 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 sdng 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


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KS chung- 5. Kim sot HT

Mc tiu: KS c hot ng x l ca HT m boan ton cho HT

Th tc:

An ton i vi thit b cng nh ni lu tr HTAn 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


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KS chung- 6. Kim sot truy cp

Mc tiu. Kim sot vic truy cp h thng mbo an ton d liu, chng trnh x l Th tc:

Phn chia trch nhim, quyn s hu d liu theo tng cphoat ng, theo chc nngPhn 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 userS dng mt m truy cpS dng tp tin phn quyn truy cp v ghi nhn thng tin

truy cp


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V d: Kim sot truy cp


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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 thigian; phng php ghi d phng tng lai d liutheo mc yu cu bo v.

To nhn tp tin: nhn bn ngoi v nhn do myto

Thng xuyn kim tra d liu lu tr


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KS chung- 7. Kim sot lu tr d liu

Th tc ghi d phng d liuGhi d phng y tt c cc d liu

Ghi d phng y tt c cc chng trnh ng

dngKim tra ni dung ghi d phng: chnh xc v

y

Ghi d phng nh k: kiu d phng t nghoc ng- cha- con

Lu tr bn ghi d phng ni khc


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KS chung 8. Kim sot truyn thng

Mc tiu. m bo anton truyn thng thngtin.

Phng thc: Gi kim tra

ngc: Call backmodem

M ho thng tinc gi hoc

truyn S dng Network

Control Log

Gian ln: Chn ng truyn

thng ng gi ngi nhn

tin


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KS chung 9: K hoch d phng

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

Phng thc:Lp k hoch d phng:

To v tr x l d phng; V tr lu tr DL d phngLu tr d phng thng xuynXc nh cc h thng ng dng quan trng-u tin kim sot v

khi phc trcPhn 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 khncp

Thng xuyn cp nht k hoch d phng


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B. Kim sot ng dng

L hot ng kim sot nh hng ti tng ngdng hay chng trnh x l c th vi mc tium bo tnh y , hp l, chnh xc ca x lnghip v

Bao gmKim sot nhp liu

Kim sot x l d liu

Kim sot kt qu x l


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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


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B.1.1 KS ngun nhp liu

KS chng t: Th t; y quyn, xt duyt; hp lca 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


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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 soto Tng vng gi tr hoc s lngo Tng hm bm (Hash Totals)o m mu tin


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V d tng s kim sot

NGAY SO H SO TIEN KHACH HANG

3 1 1,000,000 015 2 300,000 056 3 2,000,000 02

14 6 3,300,000 8

BANG KE HOA N BAN HANG

Tng Hash Tng gi tr

3 mutin


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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, POSCamera

* S dng u ra ca ngdng trc l u vo cang dng sau


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KS ng dng 2. Kim sot x l d liu1. Kim sot sp xp theo trnh t

X l theo l yu cu cc mu tin c sp xp theo trnht cp nht tp tin

2. Kim sot tng bc x l (Run-to-runControl)Trong x l theo l, tng s kim sot c thc hin quatng 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 trnhTo cc chng trnh kim sot t ng: Tng n, tng ckhi Post d liu; Cng dc, ngang mt bng DL v.v


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Kim sot x lV d Kim sot theo tng bc x l

Nhp liuK.tra DL

hp lSp xp

TT ngh.vSp xp

TT ngh.vCp nhtTT chnh

B.cokhc

Bo co

KS

B.cokhc

Bo co

KS

B.cokhc

Bo co

KS

B.cokhc

Bo co

KS

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


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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 lca 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 boco

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