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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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KS ng dng- 1. KS nhp liu
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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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 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