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How to Control Your PC Use

1. If you're adding new PCs, assess how they will be used -- and design an appropriate control framework before the system is installed.

2. Separate responsibilities. Dividing responsibilities among different people (e.g., software custodians, users, those who prepare documents for processing, and those who review output for completeness and accuracy) usually improves processing accuracy and provides a line of defense against misuse of the system.

3. Make sure the information is processed correctly. To be sure your programs will do what they are supposed to do, have them tested before they are implemented. Also, since it is usually necessary to test the output, it should be printed in a form that can be readily reviewed.

4. Develop operating procedures for users to follow. To make sure users understand how to operate the system correctly, provide written instructions for the PC's use; policies concerning the use, retention, and storage of software and any special procedures relating to scheduling use of the system. Then offer training programs to teach users the operating procedures and give them hands-on experience with the system.

5. Plan for contingencies. An interruption or temporary breakdown in processing can create major problems. It is possible to guard against this by having a backup system on-site. Cross-train users as needed to avoid problems when critical users are absent or leave the company.

6. Provide for the physical protection of the hardware. Place the PC in a secure location when feasible where access to it can be controlled. Also, provide for reasonably stable environmental conditions -- free of excessive dust, smoke or temperature extremes.

7. Protect your software investment. Files and programs stored on the hard drive should be duplicated on backup diskettes. If possible, store backups in a different location. Make sure users follow proper procedures to protect against viruses.

8. Protect sensitive or confidential data. Password protect or encrypt critical or sensitive data files.

9. Make sure users in your department are aware of current copyright laws.. Unless otherwise specified, only an archive copy of software is allowed. Ensure that each software package is installed on only one workstation in your department and the appropriate number of users have access to software packages stored on the server.

10. Seek professional review. After you've setup a system of controls for your PCs, consider asking Audit Services to review the system for adequacy.