Chapter 13 Flashcards: Processing Integrity & Availability Controls

What are input controls

Controls that make sure data is accurate and complete before it enters the system

Examples of input controls

Forms design, sequentially prenumbered documents, sequence tests, turnaround documents

What is forms design

Designing forms so users enter complete and accurate information

What are sequentially prenumbered documents used for

To make sure documents are not missing or duplicated

What is a turnaround document

A document sent to an outside party and returned as input, oftern with preprinted information

What is a field check

Checks that characters entered are the correct type, like numbers in a quantity field

What is sign check

Checks that the data has the correct sign, positive or negative

What is a limit check

Tests a number against one fixed value

What is a range check

Tests whether a number falls between a lower or upper limit

Limit check vs. range check

• Limit check uses one cutoff

• Range check uses both a minimum and maximum

What is a size check

Checks that input data fits within the field length

What is a completeness check

Verifies all required data has been entered

What is a validity check

Compares entered data to master file data to verify it exists

What is a reasonableness test

Checks whether two data items make logical sense together

What is check digit verification

A digit is calculated from other digits in an ID number to detect input errors

What is a sequence check

Checks that documents or records are processed in numerical order

What is an error log

A log of errors found during processing that need correction

What are batch totals

Totals calculated before processing and compared after processing to detect errors

What is prompting

The system asks the user to enter required information

What is closed loop verification

They system uses entered data to display related information so the user can verify accuracy

What is a transaction log

A record of all transactions, including who entered them and when

What is data matching

Two or more items must match before an action occurs

What is key verification

Data is entered twice and compared for accuracy

What is a header record

A file label at the beginning of a file with identifying information

What is a trailer record

A record at the end of a file that includes batch totals

What is recalculation of batch totals

Recomputing totals during processing and comparing them to trailer record totals

What is a transposition error

An error where two adjacent digits are switched

What is cross footing

Comparing two different ways of calculating the same total

What is a zero balance test

A control where clearing accounts should equal zero; any balance means an error

What do write protection mechanisms do

Prevent data from being overwritten or erased

What do concurrent update controls prevent

Two or more users updating the same record at the same time

What is reconcilliation

Comparing records or reports to make sure they agree

What is external data reconciliation

Comparing database totals with data maintained outside the system

What is a checksum

A hash total used to verify that transmitted data was not changed

What is fault tolerance

The system can continue operating even if part of it fails

What is preventive maintenance

Regular maintenance to reduce system failures

What is RPO

Recovery Point Objective; how much data the company is willing to lose or reenter

What is RTO

Recovery Time Objective; how long the system can be down after a disaster

RPO vs. RTO

• RPO is about data loss

• RTO is about downtime

What is a disaster recovery plan

A plan to restore IT systems after a disaster

What is a business continuity plan

A plan for continuing all business operations, not just IT

Disaster recovery plan vs. business continuity plan

• DRP focuses on IT

• BDP focuses on the whole business