Term
| Processing Integrity - Def |
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Definition
| Data are processes accurately, completely, in a timely manner, and only with proper authorization |
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Term
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Definition
| System and its info are available to meet operational and contractual obligations |
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Term
6 Main Controls over
Input - 3
Processing - 1
Output - 2 |
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Definition
Input
1. Source Data Preparation & Authorization
2. Source Data Collection & Entry
3. Accuracy, Completeness, Authenticity Checks
Processing
4. Processing Integrity & Validity
Output
5. Output Review, Reconciliation and Error Handling
6. Transaction Authenticity & Integrity |
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Term
Input Controls - 11 Data Entry Checks
FSL, RSC, VRC, PC |
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Definition
1. Field Check - are chars proper type? text, int, date
2. Sign Check - proper arithmetic sign? Q should not be -
3. Limit Check - input checked against fixed value? <= 40 hour work week
4. Range Check - Input within low and high range value?
5. Size Check - input fit within field? ex) 8 digit field
6. Completeness Check - have all required data been entered?
7. Validity Check - Input compared w master data to confirm existence
8. Reasonableness Check - logical comparisons (ex. overtime hours should be 0 for someone who has NOT worked the max # of regular hours in a pay period)
9. Check Digit Verification - computed from input value to catch typo errors
10. Prompting - input requested by system
11. Close-loop verification - uses input data to retrieve and display related data |
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Term
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Definition
1. Data Matching
2. File Labels
3. Batch Total Recalculation
4. Cross-Footing and Zero Balance Tests
5. Write Protection
6. Concurrent Update |
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Term
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Definition
1. User Review
2. Reconciliation
3. Data Transmission Control - Check sums
4. Data Transmission Control - Parity Checking |
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Term
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Definition
Multiple data values must match before processing occurs
Ex) Match invoice w PO & Receiving Report |
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Term
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Definition
| Ensure correct and most current file is being updated |
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Term
| Batch Total Recalculation |
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Definition
Compare calculated batch total after processing to input totals
Discrepancies --> Processing Error |
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Term
| Cross-Footing & Zero Balance Tests |
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Definition
Compute totals using multiple methods to ensure the same results
Nonzero balance --> Processing Error |
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Term
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Definition
Eliminate possibility of overwriting or erasing existing data
RFID tags must be write-protected |
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Term
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Definition
| Locking records or fields when they are being updated so multiple users are not updating at the same time |
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Term
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Definition
| Verify reasonableness, completeness, and routed to intended individ |
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Term
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Definition
| Check that balance of inventory control account = sum of item balances in inventory DB |
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Term
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Definition
Hash of file transmitted, comparison mode of hash before and after transmission
If 2 hashes agree --> transmission is accurate
If 2 hashes do not agree --> file is resent |
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Term
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Definition
| Bit added to each character transmitted, the chars can then be verified for accuracy |
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Term
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Definition
1. Data Matching
2. File Labels
3. Batch Total Recalculation
4. Cross-Footing and Zero Balance Tests
5. Write Protection
6. Concurrent Update |
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Term
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Definition
1. User Review
2. Reconciliation
3. Data Transmission Control - Check sums
4. Data Transmission Control - Parity Checking |
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Term
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Definition
Multiple data values must match before processing occurs
Ex) Match invoice w PO & Receiving Report |
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Term
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Definition
| Ensure correct and most current file is being updated |
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Term
| Batch Total Recalculation |
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Definition
Compare calculated batch total after processing to input totals
Discrepancies --> Processing Error |
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Term
| Cross-Footing & Zero Balance Tests |
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Definition
Compute totals using multiple methods to ensure the same results
Nonzero balance --> Processing Error |
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Term
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Definition
Eliminate possibility of overwriting or erasing existing data
RFID tags must be write-protected |
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Term
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Definition
| Locking records or fields when they are being updated so multiple users are not updating at the same time |
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Term
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Definition
| Verify reasonableness, completeness, and routed to intended individ |
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Term
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Definition
| Check that balance of inventory control account = sum of item balances in inventory DB |
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Term
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Definition
Hash of file transmitted, comparison mode of hash before and after transmission
If 2 hashes agree --> transmission is accurate
If 2 hashes do not agree --> file is resent |
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Term
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Definition
| Bit added to each character transmitted, the chars can then be verified for accuracy |
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Term
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Definition
1. Data Matching
2. File Labels
3. Batch Total Recalculation
4. Cross-Footing and Zero Balance Tests
5. Write Protection
6. Concurrent Update |
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Term
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Definition
1. User Review
2. Reconciliation
3. Data Transmission Control - Check sums
4. Data Transmission Control - Parity Checking |
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Term
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Definition
Multiple data values must match before processing occurs
Ex) Match invoice w PO & Receiving Report |
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Term
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Definition
| Ensure correct and most current file is being updated |
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Term
| Batch Total Recalculation |
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Definition
Compare calculated batch total after processing to input totals
Discrepancies --> Processing Error |
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Term
| Cross-Footing & Zero Balance Tests |
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Definition
Compute totals using multiple methods to ensure the same results
Nonzero balance --> Processing Error |
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Term
|
Definition
Eliminate possibility of overwriting or erasing existing data
RFID tags must be write-protected |
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Term
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Definition
| Locking records or fields when they are being updated so multiple users are not updating at the same time |
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Term
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Definition
| Verify reasonableness, completeness, and routed to intended individ |
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Term
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Definition
| Check that balance of inventory control account = sum of item balances in inventory DB |
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Term
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Definition
Hash of file transmitted, comparison mode of hash before and after transmission
If 2 hashes agree --> transmission is accurate
If 2 hashes do not agree --> file is resent |
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Term
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Definition
| Bit added to each character transmitted, the chars can then be verified for accuracy |
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Term
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Definition
1. Data Matching
2. File Labels
3. Batch Total Recalculation
4. Cross-Footing and Zero Balance Tests
5. Write Protection
6. Concurrent Update |
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Term
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Definition
1. User Review
2. Reconciliation
3. Data Transmission Control - Check sums
4. Data Transmission Control - Parity Checking |
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Term
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Definition
Multiple data values must match before processing occurs
Ex) Match invoice w PO & Receiving Report |
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Term
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Definition
| Ensure correct and most current file is being updated |
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Term
| Batch Total Recalculation |
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Definition
Compare calculated batch total after processing to input totals
Discrepancies --> Processing Error |
|
|
Term
| Cross-Footing & Zero Balance Tests |
|
Definition
Compute totals using multiple methods to ensure the same results
Nonzero balance --> Processing Error |
|
|
Term
|
Definition
Eliminate possibility of overwriting or erasing existing data
RFID tags must be write-protected |
|
|
Term
|
Definition
| Locking records or fields when they are being updated so multiple users are not updating at the same time |
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Term
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Definition
| Verify reasonableness, completeness, and routed to intended individ |
|
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Term
|
Definition
| Check that balance of inventory control account = sum of item balances in inventory DB |
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Term
|
Definition
Hash of file transmitted, comparison mode of hash before and after transmission
If 2 hashes agree --> transmission is accurate
If 2 hashes do not agree --> file is resent |
|
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Term
|
Definition
| Bit added to each character transmitted, the chars can then be verified for accuracy |
|
|
Term
|
Definition
1. Data Matching
2. File Labels
3. Batch Total Recalculation
4. Cross-Footing and Zero Balance Tests
5. Write Protection
6. Concurrent Update |
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|
Term
|
Definition
1. User Review
2. Reconciliation
3. Data Transmission Control - Check sums
4. Data Transmission Control - Parity Checking |
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Term
|
Definition
Multiple data values must match before processing occurs
Ex) Match invoice w PO & Receiving Report |
|
|
Term
|
Definition
| Ensure correct and most current file is being updated |
|
|
Term
| Batch Total Recalculation |
|
Definition
Compare calculated batch total after processing to input totals
Discrepancies --> Processing Error |
|
|
Term
| Cross-Footing & Zero Balance Tests |
|
Definition
Compute totals using multiple methods to ensure the same results
Nonzero balance --> Processing Error |
|
|
Term
|
Definition
Eliminate possibility of overwriting or erasing existing data
RFID tags must be write-protected |
|
|
Term
|
Definition
| Locking records or fields when they are being updated so multiple users are not updating at the same time |
|
|
Term
|
Definition
| Verify reasonableness, completeness, and routed to intended individ |
|
|
Term
|
Definition
| Check that balance of inventory control account = sum of item balances in inventory DB |
|
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Term
|
Definition
Hash of file transmitted, comparison mode of hash before and after transmission
If 2 hashes agree --> transmission is accurate
If 2 hashes do not agree --> file is resent |
|
|
Term
|
Definition
| Bit added to each character transmitted, the chars can then be verified for accuracy |
|
|
Term
|
Definition
1. Data Matching
2. File Labels
3. Batch Total Recalculation
4. Cross-Footing and Zero Balance Tests
5. Write Protection
6. Concurrent Update |
|
|
Term
|
Definition
1. User Review
2. Reconciliation
3. Data Transmission Control - Check sums
4. Data Transmission Control - Parity Checking |
|
|
Term
|
Definition
Multiple data values must match before processing occurs
Ex) Match invoice w PO & Receiving Report |
|
|
Term
|
Definition
| Ensure correct and most current file is being updated |
|
|
Term
| Batch Total Recalculation |
|
Definition
Compare calculated batch total after processing to input totals
Discrepancies --> Processing Error |
|
|
Term
| Cross-Footing & Zero Balance Tests |
|
Definition
Compute totals using multiple methods to ensure the same results
Nonzero balance --> Processing Error |
|
|
Term
|
Definition
Eliminate possibility of overwriting or erasing existing data
RFID tags must be write-protected |
|
|
Term
|
Definition
| Locking records or fields when they are being updated so multiple users are not updating at the same time |
|
|
Term
|
Definition
| Verify reasonableness, completeness, and routed to intended individ |
|
|
Term
|
Definition
| Check that balance of inventory control account = sum of item balances in inventory DB |
|
|
Term
|
Definition
Hash of file transmitted, comparison mode of hash before and after transmission
If 2 hashes agree --> transmission is accurate
If 2 hashes do not agree --> file is resent |
|
|
Term
|
Definition
| Bit added to each character transmitted, the chars can then be verified for accuracy |
|
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Term
Systems or info need to be available 24/7. It is not possible to ensure this so:
1.
2. |
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Definition
1. To minimize the risk of system downtime:
a. Preventive maintenance
b. Fault tolerance
c. Data center location and design
d. Training
e. Patch Mgmt and antivirus SW
2. QUick and complete recovery and resumption of normal operations
a. Backup procedures
b. DRP - Disaster Recovery Plan
c. BCP - Business Continuity Plan |
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Term
First Objective of Availability = Minimize Risks
5 ways! |
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Definition
1. Preventive Maintenance - cleaning, proper storage
2. Fault Tolerance - ability of a system to continue if a part fails
3. Data Center Location - minimize risk of natural and human created disaster
4. Training - less likely to make mistakes, will know how to recover, with minimal damage, from errors they do commit
5. Patch Mgmt - Install, run, and keep current anti-virus and anti-spyware programs |
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Term
2nd Objective of Availability = Quick Recovery
3 ways! |
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Definition
1. Back-up - incremental or decremental
2. DRP: Disaster Recovery Plan - cold site, hot site, outsourcing, reciprocal agreement
3. BCP - Business Continuity Plan - how to resume all IT operations AND ALL bus processes |
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Term
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Definition
1. Incremental - copy only data that changed from last partial backup
2. Differential - copy only data that changed from last FULL backup
3. Full |
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Term
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Definition
Bus Continuity Plan - How to resume all IT operations and ALL bus processes
- relocate to new offices
- hire temp replacements |
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Term
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Definition
Disaster Recovery Plan
Procedures to restore an org's IT function in the event that its data center is destroyed
1. Cold Site
2. Hot Site
3. Outsource
4. Reciprocal Agreement |
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Term
| Change Management - What are the 6 formal processes used to ensure that modifications to HW, SW, or processes do NOT reduce Systems Reliability? |
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Definition
Changes need to be:
1. Documented
2. Approved by appropriate manager
3. Tested before implementations
4. All docs need to be updated for changes
5. Must adopt back-out plans
6. User rights and privileges need to be monitored during change |
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