Validation Controls – intended to detect errors in transaction data before the data are

processed. Most effective when they are performed as close to the source of the transaction as
possible. Some validation procedures require making references against the current master file.
There are three levels of input validation controls:

1. Field Interrogation – involves programmed procedures that examine the characteristics

of the data in the field.
·         Missing Data Checks – used to examine the contents of a field for the presence of blank
spaces.
·         Numeric-Alphabetic Data Checks – determine whether the correct form of data is in a
field.
·         Zero-Value Checks – used to verify that certain fields are filled with zeros.
·         Limit Checks – determine if the value in the field exceeds an authorized limit.
·         Range Checks – assign upper and lower limits to acceptable data values.
·         Validity Checks – compare actual values in a field against known acceptable values.
·         Check Digit – identify keystroke errors in key fields by testing the internal validity of the
code.
 
2. Record Interrogation – procedures validate the entire record by examining the
interrelationship of its field values.

· Reasonable Checks – determine if a value in one field, which has already passed a
limit check and a range check, is reasonable when considered along with other data
fields in the record.

· Sign Checks – tests to se if the sign of a field is correct for the type of record being
processed.

· Sequence Checks – determine if a record is out of order.

 
3. File Interrogation – purpose is to ensure that the correct file is being processed by the
system.

 Internal Label Checks – verify that the file processed is the one the program is actually
calling for. The system matches the file name and serial number in the header label with
the program’s file requirements.

 Version Checks – verify that the version of the file processed is correct. The version
check compares the version number of the files being processed with the program’s
requirements.

 Expiration Date Check – prevents a file from being deleted before it expires. Record
Interrogation

Input Error Correction – when errors are detected in a batch, they must be corrected and the
records resubmitted for reprocessing. This must be a controlled process to ensure that errors
are dealt with completely and correctly. Three common error handling techniques are:
1.       Immediate Correction – when a keystroke error is detected or an illogical relationship, the
system should halt the data entry procedure until the user corrects the error.

2.       Create an Error File – individual errors should be flagged to prevent them from being
processed. At the end of the validation procedure, the records flagged as errors are removed
from the batch and placed in a temporary error holding file until the errors can be investigated.
At each validation point, the system automatically adjusts the batch control totals to reflect the
removal of the error records from the batch. Errors detected during processing require careful
handling. These records may already be partially processed. There are two methods for
dealing with this complexity. The first is to reverse the effects of the partially processed
transactions and resubmit the corrected records to the data input stage. The second is to
reinsert corrected records to the processing stage in which the error was detected.

3.      Reject the Entire Batch – some forms of errors are associated with the entire batch and
are not clearly attributable to individual records. The most effective solution in this case is to
cease processing and return the entire batch to data control to evaluate, correct, and resubmit.
Batch errors are one reason for keeping the size of the batch to a manageable number.