Types of Controls in Information Systems Security
Controls are a fundamental component of information systems security. They are designed to prevent, detect, and correct errors, misuse, and unauthorized access to organizational resources. In today’s digitally connected environment, effective controls protect not only computer hardware and software but also data, communication networks, and business processes. A well-designed control framework ensures confidentiality, integrity, and availability of information across the entire system.
Broadly, information system controls can be classified into the following categories:
- Access Controls – Regulate who can access the system and what resources they can use.
- Input Controls – Ensure that data entered into the system is accurate, complete, and authorized.
- Communication Controls – Protect data during transmission across networks such as LANs, WANs, and the internet.
- Processing Controls – Safeguard the accuracy and integrity of data processing activities.
- Database Controls – Secure organizational databases, which are among the most valuable assets.
- Output Controls – Ensure that system outputs are distributed only to authorized users and in the correct format.
34.1 Access Controls
Access controls establish the interface between a user and the information system. They govern the initial interaction—often referred to as the “handshaking process”—between a user and the operating system or application. The primary purpose of access controls is to prevent unauthorized or illegitimate use of system resources.
A common real-world example is an Automated Teller Machine (ATM). When a customer inserts a card and enters a Personal Identification Number (PIN), the system verifies the identity of the user before granting access to banking services. If the credentials are invalid, access is denied and the attempt may be logged for security monitoring.
Effective access control systems perform the following functions:
- Establish the identity of the user through identification and authentication mechanisms
- Grant access only to those resources that the user is authorized to use
- Prevent and record attempts to exceed authorized access privileges
Why Access Controls Are Critical
Access controls have gained significant importance in modern computing environments for several reasons:
- Distributed systems: The widespread use of web-based applications, local area networks (LANs), and wide area networks (WANs) has dispersed users across multiple physical locations.
- Growth of e-commerce: Online transactions require robust mechanisms to identify and authenticate customers, vendors, and business partners.
34.2 Cryptography
Cryptography, literally meaning the science of coded writing, is a critical security mechanism used to protect information from unauthorized disclosure. It ensures that even if data is intercepted during transmission, it remains unintelligible to unauthorized parties.
Cryptography can be defined as the process of converting data into a secret code to enable secure transmission over public or private networks. It plays a vital role in securing emails, online transactions, passwords, and sensitive organizational data.
Encryption and Decryption
Cryptographic systems rely on two fundamental processes:
- Encryption: The process of converting readable data into coded form, known as a cryptogram.
- Decryption: The process of converting the coded data back into its original, readable form.
These processes give rise to two key forms of data:
- Plaintext (Clear Text): The original data that needs to be protected.
- Ciphertext: The encrypted data produced after applying the encryption algorithm.
In practical applications, cryptographic techniques are widely used in password storage, secure communications (HTTPS), digital signatures, and data integrity checks. Tools such as a URL Encoder and Decoder are commonly used in web security to safely transmit data by encoding special characters within URLs, reducing the risk of data corruption or misinterpretation during transmission.
Identification and Authentication
Access controls depend heavily on accurate identification and authentication of users. These mechanisms typically rely on one or more of the following factors:
- Something the user knows: Passwords, PINs, answers to security questions
- Something the user has: Smart cards, security tokens, badges
- Something the user is: Biometric characteristics
34.3 Biometrics
Biometrics refers to the automated identification of individuals based on unique physical or behavioral characteristics. Because biometric traits are difficult to replicate or steal, biometric authentication is considered highly secure and reliable for access control.
Biometrics is defined as the study and application of automated methods for uniquely recognizing individuals based on intrinsic traits. These systems are increasingly used in high-security environments, mobile devices, and access-controlled facilities.
Scope of Biometrics
Common biometric characteristics used for identification include:
- Fingerprint recognition
- Hand geometry and handprints
- Voice recognition (voice prints)
- Facial recognition and facial profiling
- Iris and retinal pattern recognition
Other Key Types of Controls
In addition to access controls and cryptographic safeguards, organizations must implement a comprehensive set of controls across all stages of data handling:
- Input Controls: Ensure that only valid, authorized, and accurate data is entered into the system.
- Communication Controls: Protect data as it travels across LANs, WANs, and the internet.
- Processing Controls: Ensure that data is processed exactly as intended by the operating system and application software.
- Database Controls: Maintain data integrity, consistency, and protection against unauthorized modification.
- Output Controls: Ensure that reports and system outputs reach only authorized users and preserve data privacy.
Effective processing controls are particularly important. If inadequately implemented, they may allow unauthorized instructions to execute alongside legitimate processes. For example, malicious code could silently transmit sensitive data while a user accesses a website, or an application could manipulate financial calculations by diverting small amounts to unauthorized accounts.
Therefore, organizations must ensure that:
- All calculations are accurate and properly validated
- Rounding rules are clearly defined and consistently applied
- Processing errors are logged, investigated, and corrected promptly
- A complete audit trail exists from data input to final output and vice versa
In conclusion, a robust information systems security framework requires the coordinated design and implementation of access, input, communication, processing, database, and output controls. Together, these controls form the foundation for protecting organizational information assets and ensuring reliable, secure system operations.