INAC Chapter 4 Flashcards
What are three elements that can cause issues?
-Physical (Fire/flood etc)
-People Deliberate or accedental
-Threat info/data may be lost
What is the General Controls Numonic?
TAPBASHER
What does TAPBASHER Stand for?
-Training
-Authorisation
-Physical security
-Back up procedures
-Access controls
-Segregation of duties
-Hacking prevention measures
-Efficiency Measures
-Recruitment Policies
What are some Physical Security Controls?
-Fire systems
-Location of hardware
-Regular building maintenance
-Security/CCTV/Coded locks
What are some Individual staff controls?
-Logical access System - Authenticator
-Personal identification -Fingerprint scanner
-Secure Storage
What is Data Intergrity?
It is the completeness and accuracy of data
What are some input controls?
Verification, duplication checks, batch totals
What is an example of validation?
Comparison of totals, range checks, digit checks
What is an example of processing controls?
Standardisation, batch control, double processing
What is an example of output controls?
Batch control totals, nil return reports, exception reports
What is an example of application controls?
Passwords, authorisation levels, training and supervision, audit trails
What is system integrity?
It is the controlling and monitoring of a financial system to make sure it does what is was designed to do
What is a contingency plan?
It is a plan that states what must happen if a disaster takes place
What should a contingency plan include?
-Standby procedures - So essential operations can be performed
-Recovery procedures - How to return to normal once the breakdown is fixed
-Management policies - To ensure that the plan is implemented
