EDI Security, Control, and Audit

By: Albert J. Marcella Jr, John Merriam (Foreword by), Sally Chan

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Hardcover | 30 April 1993

At a Glance

Hardcover
236 Pages

Dimensions(cm)
23.5 x 15.88 x 1.27

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Provides answers to key questions affecting the future of electronic data interchange (EDI) and its impact on the business community as a whole. This evolving technology is cheaper than fax, easier to use than electronic bulletin boards and faster than the postal services. It contains practical information and alerts the reader to the level and types of controls necessary to protect data handled through the EDI system interface.

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Non-Fiction Computing & I.T.Computer Networking & Communications EDI Electronic Data Interchange Business & Management Business Mathematics & Systems Industry & Industrial Studies Media, Entertainment, Information & Communication Industries Computer Security Data Encryption

Foreword	p. xiii
Preface	p. xv
Acknowledgments	p. xvii
The Frontier: An EDI Overview	p. 1
Exactly What Is EDI?	p. 1
Growth of EDI	p. 1
EDI Market Acceptance	p. 2
The Costs and Benefits of Imppementing EDI	p. 5
Who Should Use EDI?	p. 6
EDI Operating Issues	p. 7
EDI Risks	p. 8
Management Control Concerns	p. 9
General Controls in EDI Standards	p. 10
ANSI	p. 11
UN/EDIFACT	p. 12
Acknowledgments	p. 12
EDI Audit Implications	p. 12
Summary	p. 13
EDI Infrastructure and Standards	p. 15
The Essential Components of EDI	p. 15
Standards	p. 15
Telecommunications Hardware and Software	p. 16
Translation Software	p. 16
Standards: Evolution of a Business Tool	p. 18
The Development of North American Standards	p. 18
The Development of International Standards	p. 21
The Standards Controversy	p. 23
ANSI ASC X12 Transaction Set Table, Segment Dictionary Format, and Data Element Definition	p. 25
Networks and Telecommunications	p. 29
Third-Party Networks	p. 29
Benefits of Value-Added Networks	p. 30
Interconnectability: VAN Versus Point-to-Point	p. 31
Selecting a Third-Party Network	p. 33
Internal Controls in Third-Party Networks	p. 34
Access Control	p. 34
Data Integrity	p. 35
Transmission Security	p. 37
Liability of Third-Party Network Vendors	p. 40
Cross-Vulnerabilities in EDI Partnerships	p. 43
What is Cross-Vulnerability in EDI?	p. 43
Cross-Vulnerabilities Involving Security	p. 43
Point-of-Sale and EDI Security	p. 44
Limitations of Current Security Structures	p. 45
Security Solutions	p. 47
Cross-Vulnerabilities in Other Business Areas	p. 48
Difficulties with Shared Standards	p. 49
The Uncertain Legal Status of EDI Contracts	p. 50
Conflicts in Partners' Competitive Profiles	p. 52
More EDI-Related Exposures	p. 53
Summary and Recommendations	p. 54
Control Self-Assessment Worksheet and Summary	p. 57
Managing Interenterprise Partnerships	p. 61
Characteristics of Interenterprise Partnerships	p. 61
Selecting Trading Partners	p. 61
The Trading Partner Agreement	p. 62
Other EDI Agreements	p. 64
Third-Party Network Agreements	p. 65
Application Software Agreements	p. 65
Legal Issues, Lawyers, and Auditors	p. 66
Fundamental Questions	p. 67
Creating an Enforceable Contract	p. 69
A Matter of Evidence	p. 69
Managing Liability and Risk	p. 71
Conventions, Guidelines, and Agreements	p. 72
Summary	p. 72
EDI Application Control Issues	p. 75
Internal Controls in Information Systems	p. 75
Application Controls	p. 75
Security Controls	p. 78
Environmental Controls	p. 78
Project Controls	p. 78
EDI Standard-Driven Controls	p. 78
Other EDI-Specific Controls	p. 79
Controls for Transaction Accuracy and Completeness	p. 80
Inbound Transaction Control Considerations	p. 81
Outbound Transaction Control Considerations	p. 81
Transmission Control Considerations	p. 82
Control Agreements Between Partners	p. 83
EDI Management and Environmental Control	p. 85
Environmental Controls: An Overview	p. 85
Operations and Management	p. 85
Computer Operations	p. 86
Data and Program Security	p. 86
Contingency Planning and Disaster Recovery	p. 87
Project Management	p. 88
Learn About EDI	p. 89
Gain Executive Commitment and Management Buy-In	p. 89
Establish Quality Project Plan	p. 89
Review Business Processes and Internal Systems	p. 90
Conduct Surveys	p. 90
Review Standards and Documents to be Exchanged	p. 91
Choose Translation Software	p. 91
Choose a Network Provider	p. 91
Design, Develop, and Test the System	p. 92
Cut Over to and Implement the EDI System	p. 92
Perform Postimplementation Review	p. 92
Vendor-Supplied Translation Software	p. 92
EDI and Records Retention	p. 95
The Risks of Poor Records Retention	p. 95
The Objectives of Good Records Retention	p. 96
The Basic Principles of Records Retention	p. 96
Paper Versus Electronic Copies	p. 97
The Admissibility of Electronic Records	p. 98
Key Considerations for an EDI Records Management Program	p. 99
Storage Media	p. 100
Auditability of Records	p. 101
Records to Consider Keeping	p. 102
Retention Requirements for EDI	p. 103
The Control Dimensions of Financial EDI	p. 105
What is Financial EDI?	p. 105
ANSI ASC X12 Versus UN/EDIFACT Payment Formats	p. 106
Financial EDI in Insurance	p. 109
The Financial EDI Information Component	p. 109
The Canadian Financial EDI Audit Trail	p. 112
Uniform Commerical Code Article 4A: Funds Transfer	p. 114
The Model Electronic Payments Agreement and Commentary	p. 115
Canadian Inter-Financial Institution EDI Control and Audit Standards	p. 115
Uniform Conduct for the Interchange of Trade Data by Teletransmission	p. 115
Financial EDI Controls	p. 116
The Payor's Perspective	p. 116
The Payee's Perspective	p. 117
The Financial Institution's Perspective	p. 119
Evaluated Receipt Settlement and Financial EDI: An Application at the Macro Level	p. 119
Summary	p. 121
EDI Audit Considerations	p. 123
The Auditor as Control Consultant	p. 123
General Audit Implications for EDI	p. 123
The External Auditor's Role	p. 125
Knowledge of the Business	p. 125
Assessment of Risk	p. 126
Evaluation of General Controls	p. 127
Evaluation of Processing Controls	p. 128
Testing	p. 130
Use of Computer-Assisted Audit Techniques	p. 130
The Internal Auditor's Role	p. 131
Final Thoughts on the Auditor's Changing Role	p. 135
Epilogue	p. 139
General Considerations for an EDI Audit	p. 143
Management Control Concerns	p. 143
Loss of the Paper Audit Trail	p. 143
Business Continuity	p. 143
Exposure of Data to Third Parties	p. 143
Potential Legal Liability	p. 144
Records Retention and Retrievability	p. 144
Segregation of Duties	p. 144
Managing Interenterprise Relationships	p. 144
Implications for Information Systems Auditors	p. 144
An EDI Implementation Audit Program	p. 147
Audit Objective	p. 147
Implementation Audit Program	p. 147
A Financial EDI Audit Program	p. 151
Overview	p. 151
Audit Procedures for Generic Funds Transfer	p. 151
Management and Administrative Controls	p. 152
System Controls	p. 152
User (Operational) Controls	p. 153
Financial EDI-Specific Audit Procedures	p. 154
Management Controls	p. 154
Application Controls	p. 154
Environmental Controls	p. 155
Audit Considerations for Trading Partner Agreements	p. 157
Review Model Trading Partner Agreements	p. 157
Evaluate Controls to be Included in the Trading Partner Agreement	p. 158
Evaluate Interorganizational Control Assurances	p. 158
Audit Considerations for Third-Party Network Agreements	p. 159
Complete Statement of Terms	p. 159
Data Ownership	p. 160
Confidentiality	p. 160
Investigations and Audits	p. 161
Liability for Errors	p. 161
Amendments	p. 161
Termination	p. 162
Environmental Audit Considerations: Contingency Planning and Disaster Recovery	p. 163
Telecommunications Services and Support	p. 163
Additional Audit Considerations	p. 165
Recommended Readings	p. 167
General Readings	p. 167
Management Topics	p. 170
Standards	p. 172
Audit and Control Issues	p. 173
Security Issues	p. 175
Legal Issues	p. 175
Network and Telecommunications Issues	p. 177
Software and Third-Party Network Vendors	p. 178
Productivity Enhancements	p. 179
Contingency Planning and Disaster Recovery	p. 179
Association Addresses	p. 182
Glossary	p. 183
About the Authors	p. 205
Index	p. 207
Table of Contents provided by Syndetics. All Rights Reserved.

EDI Security, Control, and Audit

At a Glance

Hardcover

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