15 Chapter 15 Design System Interfaces, Controls, and Security Systems Analysis and Design in a Changing World, 5th Edition

15 2 Learning Objectives  Discuss examples of system interfaces found in information systems  Define system inputs and outputs based on the requirements of the application program  Design printed and on-screen reports appropriate for recipients  Explain the importance of integrity controls  Identify required integrity controls for inputs, outputs, data, and processing  Discuss issues related to security that affect the design and operation of information systems

15 3 Overview  This chapter focuses on system interfaces, system outputs, and system controls that do not require much human interaction  Many system interfaces are electronic transmissions or paper outputs to external agents  System developers need to design and implement integrity and security controls to protect system and its data  Outside threats from Internet and e-commerce are growing concern

15 4 Identifying System Interfaces  System interfaces are broadly defined as inputs or outputs with minimal or no human intervention Inputs from other systems (messages, EDI)‏ Highly automated input devices such as scanners Inputs that are from data in external databases Outputs to external databases Outputs with minimal HCI Outputs to other systems Real-time connections (both input and output)‏

15 5 Full Range of Inputs and Outputs Figure 15-1

15 6 eXtensible Markup Language (XML)‏  Extension of HTML that embeds self-defined data structures in textual messages  Transaction that contains data fields can be sent with XML codes to define meaning of data fields  XML provides common system-to-system interface  XML is simple and readable by people  Web services is based on XML to send business transactions over Internet

15 7 System-to-System Interface Based on XML Figure 15-2

15 8 Design of System Inputs  Identify devices and mechanisms used to enter input High-level review of most up-to-date methods to enter data  Identify all system inputs and develop list of data content for each Provide link between design of application software and design of user and system interfaces  Determine controls and security necessary for each system input

15 9 Input Devices and Mechanisms  Capture data as close to original source as possible  Use electronic devices and automatic entry whenever possible  Avoid human involvement as much as possible  Seek information in electronic form to avoid data re- entry  Validate and correct information at entry point

15 10 Prevalent Input Devices to Avoid Human Data Entry  Magnetic card strip readers  Bar code readers  Optical character recognition readers and scanners  Radio-frequency identification tags  Touch screens and devices  Electronic pens and writing surfaces  Digitizers, such as digital cameras and digital audio devices

15 11 Defining the Details of System Inputs  Ensure all data inputs are identified and specified correctly  Can use traditional structured models Identify automation boundary  Use DFD fragments  Segment by program boundaries Examine structure charts  Analyze each module and data couple  List individual data fields

15 12 Automation Boundary on a System-Level DFD Figure 15-3

15 13 Create New Order DFD with an Automation Boundary Figure 15-4

15 14 List of Inputs for Customer Support System Figure 15-5

15 Structure Chart for Create New Order Figure 15-6

15 16 Data Flows, Data Couples, and Data Elements Making Up Inputs Figure 15-7

15 17 Using Object-Oriented Models  Identifying user and system inputs with OO approach has same tasks as traditional approach  OO diagrams are used instead of DFDs and structure charts  System sequence diagrams identify each incoming message  Design class diagrams and sequence diagrams identify and describe input parameters and verify characteristics of inputs

15 18 Partial System Sequence Diagram for Payroll System Use Cases Figure 15-8

15 19 System Sequence Diagram for Create New Order Figure 15-9

15 20 Input Messages and Data Parameters from RMO System Sequence Diagram Figure 15-10

15 21 Designing System Outputs  Determine each type of output  Make list of specific system outputs required based on application design  Specify any necessary controls to protect information provided in output  Design and prototype output layout  Ad hoc reports – designed as needed by user

15 22 Defining the Details of System Outputs  Type of reports Printed reports Electronic displays Turnaround documents  Can use traditional structured models to identify outputs Data flows crossing automation boundary Data couples and report data requirements on structure chart

15 23 Table of System Outputs Based on Traditional Structured Approach Figure 15-11

15 24 Using Object-Oriented Models  Outputs indicated by messages in sequence diagrams Originate from internal system objects Sent to external actors or another external system  Output messages based on an individual object are usually part of methods of that class object  To report on all objects within a class, class-level method is used that works on entire class

15 25 Table of System Outputs Based on OO Messages Figure 15-12

15 26 Designing Reports, Statements, and Turnaround Documents  Printed versus electronic  Types of output reports Detailed Summary Exception Executive  Internal versus external  Graphical and multimedia presentation

15 27 RMO Summary Report with Drill Down to the Detailed Report Figure 15-16

15 28 Sample Bar Chart and Pie Chart Reports Figure 15-17

15 29 Formatting Reports  What is objective of report?  Who is the intended audience?  What is media for presentation?  Avoid information overload  Format considerations include meaningful headings, date of information, date report produced, page numbers

15 30 Designing Integrity Controls  Mechanisms and procedures built into a system to safeguard it and information contained within  Integrity controls Built into application and database system to safeguard information  Security controls Built into operating system and network

15 31 Objectives of Integrity Controls  Ensure that only appropriate and correct business transactions occur  Ensure that transactions are recorded and processed correctly  Protect and safeguard assets of the organization Software Hardware Information

15 32 Points of Security and Integrity Controls Figure 15-18

15 33 Input Integrity Controls  Used with all input mechanisms  Additional level of verification to help reduce input errors  Common control techniques Field combination controls Value limit controls Completeness controls Data validation controls

15 34 Database Integrity Controls  Access controls  Data encryption  Transaction controls  Update controls  Backup and recovery protection

15 35 Output Integrity Controls  Ensure output arrives at proper destination and is correct, accurate, complete, and current  Destination controls - output is channeled to correct people  Completeness, accuracy, and correctness controls  Appropriate information present in output

15 36 Integrity Controls to Prevent Fraud  Three conditions are present in fraud cases Personal pressure, such as desire to maintain extravagant lifestyle Rationalizations, including “I will repay this money” or “I have this coming” Opportunity, such as unverified cash receipts  Control of fraud requires both manual procedures and computer integrity controls

15 37 Fraud Risks and Prevention Techniques Figure 15-19

15 38 Designing Security Controls  Security controls protect assets of organization from all threats External threats such as hackers, viruses, worms, and message overload attacks  Security control objectives Maintain stable, functioning operating environment for users and application systems (24 x 7)‏ Protect information and transactions during transmission outside organization (public carriers)‏

15 39 Security for Access to Systems  Used to control access to any resource managed by operating system or network  User categories Unauthorized user – no authorization to access Registered user – authorized to access system Privileged user – authorized to administrate system  Organized so that all resources can be accessed with same unique ID/password combination

15 40 Users and Access Roles to Computer Systems Figure 15-20

15 41 Managing User Access  Most common technique is user ID / password  Authorization – Is user permitted to access?  Access control list – users with rights to access  Authentication – Is user who they claim to be?  Smart card – computer-readable plastic card with embedded security information  Biometric devices – keystroke patterns, fingerprinting, retinal scans, voice characteristics

15 42 Data Security  Data and files themselves must be secure  Encryption – primary security method Altering data so unauthorized users cannot view  Decryption Altering encrypted data back to its original state  Symmetric key – same key encrypts and decrypts  Asymmetric key – different key decrypts  Public key – public encrypts; private decrypts

15 43 Symmetric Key Encryption Figure 15-22

15 44 Asymmetric Key Encryption Figure 15-23

15 45 Digital Signatures and Certificates  Encryption of messages enables secure exchange of information between two entities with appropriate keys  Digital signature encrypts document with private key to verify document author  Digital certificate is institution’s name and public key that is encrypted and certified by third party  Certifying authority VeriSign or Equifax

15 46 Using a Digital Certificate Figure 15-24

15 47 Secure Transactions  Standard set of methods and protocols for authentication, authorization, privacy, integrity  Secure Sockets Layer (SSL) renamed as Transport Layer Security (TLS) – protocol for secure channel to send messages over Internet  IP Security (IPSec) – newer standard for transmitting Internet messages securely  Secure Hypertext Transport Protocol (HTTPS or HTTP-S) – standard for transmitting Web pages securely (encryption, digital signing, certificates)‏

15 48 Summary  System interfaces include all inputs and outputs except those that are part of GUI  Designing inputs to system is three-step process Identify devices/mechanisms used to enter input Identify system inputs; develop list of data content Determine controls and security necessary for each system input  Traditional approach to design inputs and outputs DFDs, data flow definitions, structure charts

15 49 Summary (cont’d)‏  OO approach to design inputs and outputs Sequence diagrams, class diagrams  Integrity controls and security designed into system Ensure only appropriate and correct business transactions occur Ensure transactions are recorded and processed correctly Protect and safeguard assets of the organization Control access to resources