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BEC > IT > Flashcards

IT Flashcards

1
Q

A parity check is..

A

Not an input control. It is a hardware control that makes certain each piece of data has the appropriate odd or even number of data components, or data bits.

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2
Q

Distributed Processing Environment

A

Various processes are performed separately by the individuals responsible in their locations and are integrated into a central system

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3
Q

Define “Integrated Test Facility (ITF).”

A

Dummy division and fictitious transactions ran along with client data (Use auditor and client data in the client’s computer system)
* Another use of ITF is embedded audit modules

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4
Q

What is the purpose of test data procedures?

A

To process known errors to see if the client’s system catches them. The auditor only needs to include those errors that are important to the auditor (that is, the auditor need not include every possible type of error). There may be a danger of contaminating the client’s database with the test data.

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5
Q

Who should have responsibility of modifying and adapting operating system software?

A

System Analysts

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6
Q

Describe a hot site..

A

Location has redundant hardware and software that’s already configured and ready to preserve the continuity in disaster

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7
Q

What are VANs?

A

Links files of different companies together (connects trading partners)

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8
Q

Systems Development Life Cycle

A
  1. Planning- feasibility study to determine objectives, is existing system meeting requirements, etc
  2. Analysis- define problem and qualitative solutions (custom or vendor supplied)
  3. Design- baseline for system and specs needed, or select purchased system (proposal)
  4. Development- use specs to program formalized process, unit testing (watch for scope creep); if purchased configure new system to org needs
  5. Testing- establish actual operation, final testing and user sign off (meet needs? intended objectives?)
  6. Implementation- implement formal process, assess adequacy, cost/benefit, ROI, end user management
  7. Maintenance- monitoring and support, training
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9
Q

COBIT 5 core principles

A
  1. Meeting stakeholders needs
  2. End to end application (seamless governance a sa whole and mngmt of IT apply to all components)
  3. Development of single integrated framework
  4. Enabling a holistic approach
  5. Separating governance from management
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10
Q

Application controls include:

A

Preventative
Detective
Corrective
** They are NOT company wide controls

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11
Q

Test Data

A

Data- Auditor

Program- Client

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12
Q

Controlled Reprocessing

A

Data - Client

Program- Client, but auditor computer

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13
Q

ITF

A

Data - Auditor and client

Program- Client

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14
Q

Parallel Simulation

A

Data- Client

Program- Auditor (going around their system)

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15
Q

Primary purpose of disaster recovery plan

A

To specify the steps required to resume operations

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16
Q

Systems Programmers

A
  • Writes, updates, maintains software and systems and compilers
  • For controls, can’t also have application programming duties and can’t be a Systems Operator
17
Q

List the Management Reporting Systems

A 
Mngmt Info (MIS)
Decision Support (DSS)
Enterprise Resource Planning (ERP)- automate/integrate business process, share data, access real time
Executive Support Info (MA, etc)
Analytical Processing (query, retrieval)
Expert System
18
Q

End to End Application

A

COBIT 5 approaches:

  1. System for IT should seamlessly integrate into system of governance for enterprise as a whole
  2. Systems for governance of IT should apply to all components both internally and externally
19
Q

Limit Test

A

Confirms information against established limits (minimum age, etc)

20
Q

Segregated IT roles

A

Operators (Administrators)
Programmers (Engineers)
Librarians (Custodians)

21
Q

The least risky strategy for conversion from a manual to computerized payroll system would be a

A

Parallel conversion

22
Q

Which of the following best describes a time-sharing center?

A

A computer remotely accessed by a number of different users, who are unaware of each other

23
Q

IT Functions Segregation

A

{COPAL}
Control group- responsible for IT, passwords, etc
Operators- convert data into machine read-able
Programmer- develops and writes computer programs, debugging programs, writes manual
Analyst- designs overall system, prepares flowchart
Librarian- keeps track of program/files; maintains storage data and backups; controls access

24
Q

IT input controls

A

Provide reasonable assurance that data rec’v by IT have been authorized, converted to machine sensible form (transaction entry; file maintenance; inquiry transactions; error correction)

25
Q

Which of the following input controls would prevent an incorrect state abbreviation from being accepted as legitimate data?

A

Validity check- only authorized codes will be accepted

26
Q

Systems Operator

A
  • Schedules and monitors jobs (Administrators)
  • Runs IT help desk
  • Control, can’t be a Systems Programmer
27
Q

What is the primary objective of data security controls?

A

To ensure that storage media are subject to authorization prior to access, change, or destruction

28
Q

Executive Information System

A
  • Specialized for company executive needs
  • Assists with strategy only
  • No decision-making capabilities
29
Q

Which controls are typically included in an organization’s disaster recovery plan?

A

Backup and downtime controls (data transmission, data input, and data processing controls are not disaster recovery plan but part of normal operations)

30
Q

Cloud computing/Data storage

A
  • More convenient
  • Cost effective
  • Risk of unauthorized access (not the best way to store sensitive company info)
  • 3rd parties manage data and risk
31
Q

What is the Network Administrator responsible for

A

Design and implementation of security policies

BEC (7 decks)

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