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Audit in A CIS Environment 2 3

The document discusses hardware features and controls for equipment malfunctions. It describes how computer equipment can malfunction in electronic or mechanical components. It then discusses various controls like redundant character checks, duplicate processing, and validity checks that help detect errors at the equipment level.

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Lance
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10 views3 pages

Audit in A CIS Environment 2 3

The document discusses hardware features and controls for equipment malfunctions. It describes how computer equipment can malfunction in electronic or mechanical components. It then discusses various controls like redundant character checks, duplicate processing, and validity checks that help detect errors at the equipment level.

Uploaded by

Lance
Copyright
© © All Rights Reserved
We take content rights seriously. If you suspect this is your content, claim it here.
Available Formats
Download as PDF, TXT or read online on Scribd
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HARDWARE FEATURES FOR CONTROL OVER EQUIPMENT MALFUNCTIONS

Significance:
Modern computer equipment has a high degree of reliability and the auditor can usually assume that the
equipment will perform reliably and will detect machine-based errors if they occur.
The auditor should have a general understanding of built-in hardware control features to understand its
reliability and evaluate the effectiveness of machine checks.

HOW THE EQUIPMENT CAN MALFUNCTION?


A computer system consists of both Electronic Components and Mechanical Parts.

PARTS OF A COMPUTER SYSTEM


1) Electronic Components
- are the parts used in devices that construct electronic circuits. They change the electric current
so it can carry information and help in the functions of that circuit.
- Two Classifications:
a. Active Electronic Components -They rely on an external power source to control and
modify electrical signals.
b. Passive Electronic Components - It can only receive energy.
2) Mechanical Parts
- They consist of various components that work together to enable a machine to perform a specific
task, and almost required in all input/output and file storage equipment.

EQUIPMENT MALFUNCTIONS
1) Failure in Electronic Components
- Failure in electronic elements such as transmission, resistor, diode, etc., may cause a change in
timing, shape, strength or frequency of the pulses and lead to an error.
- Caused by extreme heat or humidity, power disturbances, mishandling and normal wear.

2) Failure in Mechanical Components


- Failure in the timing, speed or movement of a transport mechanism or by a malfunction of the
read/write units.
- Caused by defects, mishandling of operators, devices getting out for adjustment, normal wear

EQUIPMENT CONTROLS
a) Redundant Character Check
- a character attached to a data item for the purpose of providing for error detection.
- After an operation such as moving of a data item in the system, the computation used to obtain
the redundant character is repeated to derive a second character.
- The two redundant characters are compared, and, if they are the same, it is assumed that there
has been no malfunction affecting the date during the transfer or some other operation.
b) Duplicate Process Check
- having the same process performed twice and the results of the operations compared.
- Any difference between the first operation and the second signals an error.
c) Echo Check
- The central processor sends a command to an input or output device to perform an operation.
- The device returns a signal that verifies that the proper mechanism for performing the actions
have been activated.

d) Validity Check
- Compare a result obtained against all valid results.
- Any result not fitting into this set of valid results is considered incorrect.

5) Equipment Check
- The computer checks the equipment to see if it is functioning properly instead of checking the
results from the operations.
CENTRAL PROCESSING UNIT (CPU)
- is the primary component of a computer that acts as its “control center.”
- referred to as the “main” processor that runs the machine’s operating system and applications.

CPU FAILURE
1) Computer Freezes
- random freezing of computer after logging into the operating system.
- mouse freezes on the screen
- restarting the system may not solve the issue
2) Computer Automatically Turns Off
- while working for a long time, then suddenly turned off can be due to CPU issues caused by
extreme heat

CENTRAL PROCESSOR HARDWARE CONTROLS


1) Parity Bit
- The parity bit is the method to append binary bits to ensure that the total count of 1's in the
original data is either even or odd.
- Used for error detection in the original data at the receiver side and correcting the data
2) Validity Check
- Before attempting to execute an operation code or access a memory location, the computer
usually performs a validity check to determine that it is a valid operation code or a valid address.
3) Interlocks
- The computer system has automatic controls to prevent the equipment from attempting certain
operations at the wrong time.
- It prevents the computer from using a block of memory locations that are not assigned to the
particular program.

ATTENDANCE MANAGEMENT SYSTEM


- recording the time of entry and exit of employees at their workplace to keep track of all
employee working hours.
Biometric Attendance System
- recording employees’ physical characteristics, such as their faces, fingerprints, or iris images,
into an attendance management database to track their attendance and generate accurate attendance
records for payroll planning purposes. -

BIOMETRIC ATTENDANCE SYSTEM FAILURES


1) Authentication Failure
- Biometric systems may experience false acceptance (authenticating an imposter) or false
rejection (rejecting a legitimate user), impacting the overall accuracy and reliability. -
2) Spoofing and Mimicry attacks
- Artificial finger used on fingerprint biometric device.
3) Hard disk/ Hardware Failure
- failure due to extreme heat and moisture

BIOMETRIC ATTENDANCE SYSTEM CONTROLS


1) Multi-modal biometric system
-reducing occurrence of errors by activating iris, face, and
fingerprints recognition.
2) Interactive Authentication
-requiring other means of authentication
3) Data back up and restoration
4) Placing into a secured area
5) Repair & Maintenance
SERVER HARDWARE
Server – a computing device, equipped with specific programs and/or hardware, that enables it to offer
services to other computers (clients) on its network. The other computers which are using the server are
called “clients” and this model of sharing is called “client-server” model

SERVER HARDWARE FAILURES & CONTROLS


MALFUNCTION RISKS CONTROLS

Hard Drive Failure – due to high Deploying solid-state drives (SSDs)


temperatures, sudden power spikes. Redundant storage like RAID to reduce the risk of hard drive failure
Using Command Line Tools like “chkdsk” in Windows to fix hard drive
errors.
Motherboard Failures – due to Regular monitoring of air cooling systems
overheating, electrical faults, and Deploy surge protectors
physical damage Back-up of new motherboard

Power Supply Failure – due to natural Power backup solutions like UPS
calamities and poor electrical
infrastructure

Air Quality and Temperature Failures – Deploy proper HVAC system to create optimal environmental conditions
due to overheating, dust, and humidity. for smooth server operations

Software Failure – due to outdated Regular review of software updates


server firmware (irregular updates and Regular maintenance
end-of-life Hardware)

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