ABSTRACT
This chapter addresses what is called “Integrity Processing Controls.” The process of controls design and implementation begins with an inventory of the risks that the systems faces, what practical events could cause the risk to become a reality, and the impact of the risk being realized. Run-to-run controls ensure the accuracy and completeness of the information that a program or site receives for processing. File balancing is a second type of sequential file processing controls. File balancing ensures that errors in the master file update processing are detected and that the files accurately reflect all data entered. Direct access processing involves real-time access to the database or master file. This requires an extension to the Integrity Processing Controls. Recovery/restart controls are another type of control used in direct access processing. The batch control log is used before and after validation to manually reconcile any differences between control totals on the batch header documents and the system-calculated totals after validation.
