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BEC + > IT Processes & Controls > Flashcards

IT Processes & Controls Flashcards

1
Q

What is COBIT, and what is included in the basic framework?

A

COBIT is a widely used international standard that aims to align IT and business goals/strategies to help mgmt ID how much to invest in IT security and auditing. The basic framework includes objectives surrounding business processes, planning & organization, acquisition and implementation, delivery & support, and monitoring.

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2
Q

What is SaaS?

A

Software-as-a-Service: The use of the cloud to access software.

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3
Q

What is PaaS?

A

Platform-as-a-Service: The use of the cloud to create software.

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4
Q

What is IaaS?

A

Infrastructure-as-a-Service: The use of the cloud to access virtual hardware.

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5
Q

What are the risks of cloud-based computing?

A
  1. Increased risk of data loss
  2. Increased risk of system penetration by hackers, etc.
  3. Diligence in vendor screening and selection is essential to security and success
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6
Q

What are the OLAP and OLTP?

A

Online Analytical Processing System - incorporates data warehouse and mining capabilities within the ERP and is primarily concerned with providing an integrated view of transactions for analysis.
Online Transaction Processing - records day to day operational transactions and enhances visibility throughout the system and is primarily concerned with data collection.

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7
Q

What is the cold site approach to disaster recovery?

A

Hardware and records are delivered to a new site after a disaster occurs. Less expensive but more risky than a hot site approach, where data and information processing equipment is in place beforehand.

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8
Q

What individual role is in charge of overall program logic and functionality?

A

The Lead Systems Analyst is generally responsible for direct contact with the end user and development of program logic/functionality.

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9
Q

In an IT environment, what is the role of the end user?

A

Identifying problems and proposing initial solutions

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10
Q

What implementation approach divides users into small groups and trains one group at a time on the new system?

A

Pilot

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11
Q

What is the ‘Cold Turkey’ implementation approach?

A

AKA ‘sink or swim’ - the old system is dropped and the new system is put in place all at once.

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12
Q

At which stage is the requirements definition document signed?

A

System analysts work with end users to understand and document biz processes and system requirements during the ANALYSIS stage.

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13
Q

What is the principal duty of the IT Steering Committee?

A

Approving and prioritizing system development proposals.

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14
Q

What is the Systems Documentation?

A

Provides an overview of program and data files, processing logic, and interactions with each of the other programs and systems and is appropriate for the auditor to gain familiarity with the system.

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15
Q

What is a reasonableness check?

A

This type of verification looks at the values in 2 related fields to ensure that they make sense as a unit.

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16
Q

What is a source code comparison?

A

Used to compare an archived version of a program to the program actually in use; may be used to verify that no unauthorized changes have been made.

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17
Q

What are the common forms of application input/origination control?

A

Edit check, closed loop verification, reasonableness check, batch controls. . .

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18
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.

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19
Q

What is viral marketing?

A

The use of e-commerce to increase brand awareness or sales.

20
Q

What is a value-added network (VAN), and what is the common motivation for use?

A

A private network provider that leases communication lines to subscribers - it provides increased security for data transmissions (EDI).

21
Q

Is a cash card involved in an EFT process?

A

No. Cash cards do not involve bank clearing processes and are not considered EFT.

22
Q

What are some common benefits of using an EDI?

A

Reduction in ordering costs, faster transaction processing, reduction in lead time b/t placing an order and receiving goods. . .

23
Q

What is an ESS (Executive Support System)?

A

A subset of decision support systems that are especially designed for forecasting and making long-range, strategic decisions that places greater emphasis on external vs internal data.

24
Q

What is middleware?

A

A term used to describe separate products that act as glue between 2 applications. IE, a database server to a web application.

25
Q

Are programming languages a category of computer software?

A

Yes.

26
Q

What is the purpose of data manipulation language?

A

Allows users to add new records, delete old records, and update existing records.

27
Q

How does an accounting system that uses a batch method and detailed posting type work?

A

Individual transactions are assigned to groups before posting, and each transaction has its own line entry in the appropriate ledger.

28
Q

What transaction processing mode provides the most accurate and complete information for decision-making?

A

Online processing provides the most up-to-date and complete information for decision-making.

29
Q

What is online real time processing?

A

Characterized by one transaction processing at a time, random processing technology, and processing of transactions immediately.

30
Q

What is one of the risks associated with a decentralized/distributed system?

A

These systems are more risky because data processing in a decentralized system is carried out at multiple locations instead of a single, centralized location.

31
Q

When is a distributed processing environment most beneficial?

A

When large volumes of data are generated at many locations and fast access is required.

32
Q

What is an example of a low-cost, low quality transmission medium?

A

Twisted pair

33
Q

What is a data warehouse?

A

Database archive of historical data over a period of years, including some external factors: economic indicators, stock prices.

34
Q

What is a flat file system?

A

Early IT systems used this technology. For the purpose of the exam, they are uniformly ‘bad’ - data is redundant, independence causing difficulty in cross functional reporting and reformatting.

35
Q

If complete segregation of duties is impossible in a small business, what two functions could be combined?

A

Authorization and review/auditing. Though not desirable, these two functions are the least risky combo.

36
Q

What is the TCP/IP?

A

Transmission Control Protocol/Internet Protocol - standard for transmitting data over networks and basis for standard internet protocols.

37
Q

What type of control would help a company recover from a corrupted database?

A

Checkpoint/restart controls would be an appropriate way to reprocess only transactions that took place after the last valid run. (Mostly used in batch systems.)

38
Q

What kind of backup is common in an online real-time system?

A

Rollback and recovery - procedure in which periodic snapshots are taken of a master file and if a problem is detected, the system reprocesses all transactions since the snapshot.

39
Q

What kind of control is an audit trail in an IT system?

A

Example of a processing control

40
Q

What is a parity check?

A

Detects errors in data transmission

41
Q

What is a firewall?

A

An electronic device that isolates a network segment from the main network while maintaining the connection between networks.

42
Q

What is the difference between an application firewall and a network firewall?

A

Network - low level filtering

Application - much more sophisticated verification and provide better control vs network

43
Q

What is halon?

A

A chemical that is an environmental hazard and should not be used in fire suppression systems in a computer facility.

44
Q

What is a major disadvantage to the use of a private key to encrypt data?

A

In order to decrypt a message decrypted by private key, both sender and receiver must have access to the key, and transmission of the key is inherently insecure.

45
Q

What is a denial of service attack?

A

Takes advantage of network communications protocol to tie up the server’s communication ports so that legitimate users cannot gain access to the server. Servers are overwhelmed with incomplete access requests causing them to hang in a useless state.

BEC + (5 decks)

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