2.4.3 (Types of data validation control and edit checks (Existence check…
Types of data validation control and edit checks
control number follows sequentially
any sequence or duplicated control numbers are rejected or noted on an exception report for follow-up purposes
The day’s invoices begin with 12001 and end with 15045. If any invoice larger than 15045 is encountered during processing, that invoice would be rejected as an invalid invoice
Data should not exceed a predetermined amount.
example, payroll checks should not exceed US $4,000. If a check exceeds US $4,000, the data would be rejected for further verification/authorization.
Data should be within a predetermined range of values
type codes range from 100 to 250. Any code outside this
range should be rejected as an invalid product type
of the data
VALIDITY IN ACCORDANCE WITH PRE-DETERMINED CRITERIA
marital status and the acceptable status codes are M or S, other than that should be rejected
Input data are matched to
PREDETERMINED REASONABLE LIMITS OR OCCURRENCE RATES
predetermined order quantity to be received more than that entered order unreasonable
comply with predetermined criteria MAINTAINED IN A COMPUTERIZED TABLE OF POSSIBLE VALUES
on typing I list shows India, Ireland etc
DATA ENTERED CORRECTLY and agree with valid predetermined criteria
valid transaction code must be entered in the
transaction code field.
keying process is REPEATED BY A SEPARATE INDIVIDUAL
MACHINE that compares the original keystrokes to the repeated keyed input.
numeric value that has been calculated mathematically
is added to data to ensure that the
original data have not been altered or an incorrect, but valid, value substituted
is effective in detecting transposition and transcription errors.
a check digit is added to an account number so it can be
CHECKED FOR ACCURACY
when it is used.
FIELD SHOULD ALWAYS CONTAIN DATA rather than zeros or blanks
A check of each byte of that field should be performed to determine that
some form of data, not blanks or zeros, is present.
if data not entered in key field whole record would be rejected
those previously input
to ensure that they have not already been entered.
new purchase code is entered , checked with old one to compare and verify any duplication
Logical relationship check
particular condition is true, then one or more additional conditions or data input relationships may be required to be true and consider the input valid.
the hire date of an employee may be required to be more than 16 years past his/her date of birth.
Types of processing controls
• Manual recalculations—
Manually recalculation of a sample of transactions
to ensure that processing is accomplishing the anticipated task
A PROGRAM INSTRUCTION OR SUBROUTINE THAT TESTS
the accuracy, completeness and validity of data. It may be used to control input or later processing of data.
It may be used to
control input or later processing of data.
• Run-to-run totals—
Verification of data values
THROUGH THE STAGES OF APPLICATION PROCESSING
Run-to-run total verification
ensures that data read into the computer were accepted and then applied to the updating process
• Programmed controls—
DETECTS AND INITIATES CORRECTIVE ACTION for errors in data and processing.
For example, if the incorrect file or file version is provided for processing, the application program could display messages instructing that the proper file and version be used.
• Reasonableness verification of calculated amounts—
An application program that
verifies the reasonableness of calculated amounts
Reasonableness = calculated amount is appropriate
as per predetermined criteria
if not REJECTED
• Limit checks on amounts—
Assurance provided, through the use of predetermined limits,
that amounts have been keyed or calculated correctly.
transaction exceeding >> rejected or investigated
• Reconciliation of file totals—
Should be performed on a routine basis.
Reconciliations may be
performed through the use of a manually maintained account, a file control record or an independent control file.
• Exception reports—
Generated by a program that IDENTIFIES TRANSACTIONS OR DATA APPEARS TO BE INCORRECT.
These items may be outside a predetermined range or may not conform to specified criteria.
PROCESSING PROCEDURES AND CONTROLS
Data Validation and Editing Procedures
Procedures should be established to ensure that
input data are validated and edited as close to the time and point of origination as possible
PREPROGRAMMED INPUT FORMATS
ensure that data are
INPUT TO THE CORRECT FIELD AND IN THE CORRECT FORMAT
ANY OVERRIDE TO THIS :- AUTOMATED LOGGING MUST BE THERE AND SHOULD BE REVIEWED BY MANAGER
DATA VALIDATION : - to identify data errors, incomplete or missing data, and inconsistencies among related data items.
Edit controls are preventive controls that are used in a program before data are processed.
Processing controls are meant to
ensure the completeness and accuracy of ACCUMULATED DATA.
ensure that data in a
file/database remain complete and accurate
until changed as a result of authorized processing or modification routines.