1. User Guide
  2. Controls
  3. Control Assessment Logic

10.4 Control Assessment Logic

Data Quality checks are grouped under the following types:

  • Data Quality Errors: Percentage of records that have failed the data quality checks.
  • Data Quality Warning Flag: Percentage of records that have passed but have a warning flag.
  • Data Quality Information Flags: Percentage of records that are passed but have an information flag.
  • Defaults: Percentage of records that are defaulted.

Configure the following parameters in the DGS application to evaluate the Data Quality effectiveness:

  • Threshold Score
  • DQ Weight percentage
  • Parameter Weight Percentage

Threshold Score: The threshold score is the value configured to compare with the computed Total Control Score to evaluate the effectiveness or ineffectiveness of the Data Quality control.

Table 10-4 Threshold Score

Sl No. Threshold Configuration Weight
1 Threshold Score 50
DQ Weight Percentage: This value is configured based on the number of data quality checks mapped to a data quality control. For example, if there are four data quality checks mapped, then the data quality weight percentage is as displayed as follows:

Table 10-5 DQ Weight Percentage

Sl No. Control ID Data Quality ID Weight
1 865675 E1_STC_STLMT_DAT_01 25%
E1_STC_STLMT_DAT_02 25%
E1_STC_STLMT_DAT_03 25%
E1_STC_STLMT_DAT_04 25%
Parameter Weight Percentage: Data quality checks are tagged as Error/Warning/Information/Default and each of these is given a weightage. The values are configurable from the DGS application.

Table 10-6 Parameter Weight Percentage

Sl no. Data Quality Type Weight
1 Data Quality Errors 20
2 Data Quality Warning Flag 30
3 Data Quality Information Flags 25
4 Defaults 25

Step 1:

Compute the DQ Failure Percentage for every single Data Quality in each Data Quality Type

DQ Failure - DQ1 Error = (Failed Record Count/Total Scan Record)*100

DQ Failure - DQ1 Warning = (Failed Record Count/Total Scan Record)*100

DQ Failure - DQ1 Information = (Failed Record Count/Total Scan Record)*100

DQ Failure - DQ1 Default = (Failed Record Count/Total Scan Record)*100

Step 2:

Compute the Cumulative Control Score

Control Score is the sum of DQ Failure * Parameter Weight for a DQ for each of the DQ Type multiplied into DQ Weight Parameter. Similarly, compute for each DQ is mapped to a DQ control. For Cumulative Control, Score adds Control Score for each DQ in a DQ control and then divides by 100.

Cumulative Control Score =

[[DQ1 Error * Parameter Weight] + [DQ1 Warning * Parameter Weight] + [DQ1 Info * Parameter Weight] + [DQ1 Defaults * Parameter Weight] * DQ1 weight] + [[DQn Error * Parameter Weight] + [DQn Warning * Parameter Weight] + [DQn Info * Parameter Weight] + [DQn Defaults * Parameter Weight] * DQn weight]] / 100

Step 3:

For each Data Quality control, the Total Control Score is computed as:

Total Control Score = 100 minus (Cumulative Control Score)

If the Total Control Score is equal to or above the Threshold Score, then the control is effective, and if below the Threshold Score it is Ineffective.

Data Quality Control Evaluation with GL Recon Validation: In case GL Recon Application is installed and measure data quality checks have financial validation check set as ‘Y’ then effective or ineffective evaluation is as follows:

Table 10-7 Data Quality Control Evaluation with GL Recon Validation

Sl No. Data Quality Control Validation Status
1 IF GL Recon is installed, all reconciliations are passed, and the Total Control score is equal to or above the configured threshold Control Effective
2 IF GL Recon is installed, any reconciliations fail, and the Total Control score is above the configured threshold. Control Ineffective
3 IF GL Recon is installed, all reconciliations are passed, and the Total Control score is below the configured threshold. Control Ineffective
4 IF GL Recon is installed, any reconciliations fail, and the Total Control score is below the configured threshold. Control Ineffective