Kd reference whether 5

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Unformatted text preview: ocedures include: • correction and resubmission of errors must be approved • individual responsibility for suspense files is defined IT Audit Manual Volume III 50 IT Audit Manual No. 108 109 110 111 112 113 114 115 116 Item Yes Response No KD • suspense files generate reports for non-resolved errors suspense file prioritisation scheme is available based on age and type KD Reference: _______________________________ ___________________________________________ Whether logs of programmes executed and transactions processed/rejected for audit trail exist? KD Reference: _______________________________ ___________________________________________ Whether a control group for monitoring entry activity and investigating non-standard events, along with balancing of record counts and control totals for all data processed? KD Reference: _______________________________ ___________________________________________ Whether that all fields are edited appropriately, even if one field has an error? KD Reference: _______________________________ ___________________________________________ Whether tables used in validation are reviewed on a frequent basis? KD Reference: _______________________________ ___________________________________________ Whether written procedures exist for correcting and resubmitting data in error including a non-disruptive solution to reprocessing? KD Reference: _______________________________ ___________________________________________ Whether resubmitted transactions are processed exactly as originally processed? KD Reference: _______________________________ ___________________________________________ Whether responsibility for error correction resides with original submitting function? KD Reference: _______________________________ ___________________________________________ Whether Artificial Intelligence systems are placed in an interactive control framework with human operators to ensure that vital decisions are approved? KD Reference: _______________________________ ___________________________________________ For output, interfacing, and distribution: • Access to output is restricted physically and logically to authorised people • Ongoing review of need for outputs is occurring • Output is routinely balanced to relevant control totals • IT Audit Manual Volume III 51 IT Audit Manual No. 117 Item Yes Response No KD • Audit trails exist to facilitate the tracing of transaction processing and the reconciliation of disrupted data...
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This note was uploaded on 10/27/2013 for the course LAW 10-100 taught by Professor Parsons during the One '10 term at Bond College.

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