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Booklet:
Operations Section: Risk Mitigation and Control Implementation Subsection: Other Controls |
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SCHEDULING
Sound scheduling practices and controls prevent degraded processing performance
that can affect response time, cause delays in completing tasks, and skew
capacity planning. Management should implement policies and procedures
for creating and changing job schedules and should supplement them with
automated tools when cost effective. Automated tools improve management’s
ability to analyze and maximize scheduling efficiency. Automated scheduling
tools are necessary for large, complex systems to support effective job
processing. In addition to routine scheduling, these tools also assign
priorities and allocate computer resources to non-routine processing.
Job accounting systems are useful adjuncts to scheduling systems, helping
management determine who is using the resources and for what purpose.
Smaller and less complex technology systems generally have a standard
job stream with little need for change.
NEGOTIABLE INSTRUMENTS
Negotiable instruments require specific controls to prevent financial
loss. IT operations staff members should handle or originate negotiable
instruments following the institution’s security procedures. Management
should establish strong controls over the inventory of negotiable instruments,
both in blank (unprocessed) form and after processing. Management should
restrict and monitor physical and logical access to negotiable instruments
and maintain a precise audit trail of issued and unissued items. Typically,
negotiable instruments are numbered, and management can quickly identify
missing items or sequences of items.
Additional controls are necessary if the organization uses signature writers
(devices that automatically sign negotiable instruments as they are printed).
At a minimum, the organization should secure the signature plates under
dual control when not in use.