Which of the following types of controls is designed to
provide the ability to verify data and record values through
the stages of application processing?
A. Range checks
B. Run-to-run totals
C. Limit checks on calculated amounts
D. Exception reports
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Answer: B
Run-to-run totals provide the ability to verify data values
through the stages of application processing. Run-to-run
total verification ensures that data read into the computer
was accepted and then applied to the updating process.
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An IS auditor conducting a review of disaster recovery planning at a financial processing organization has discovered the following: * The existing disaster recovery plan was compiled two years ago by a systems analyst in the organization's IT department using transaction flow projections from the operations department. * The plan was presented to the deputy CEO for approval and formal issue, but it is still awaiting his attention. * The plan has never been updated, tested or circulated to key management and staff, though interviews show that each would know what action to take for their area in the event of a disruptive incident. The basis of an organization's disaster recovery plan is to reestablish live processing at an alternative site where a similar, but not identical hardware configuration is already established. The IS auditor should: A. take no action as the lack of a current plan is the only significant finding. B. recommend that the hardware configuration at each site should be identical. C. perform a review to verify that the second configuration can support live processing. D. report that the financial expenditure on the alternative site is wasted without an effective plan.
Without compensating controls, which of the following functions would represent a risk if combined with that of a system analyst? A. Application programming B. Data entry C. Quality assurance D. Database administrator
Which of the following duties would be a concern if performed along with systems administration? A. Maintenance of access rules B. Review of system audit trail C. Data librarian D. Performance monitoring
Which of the following would be of the LEAST value to an IS auditor attempting to gain an understanding of an organization's IT process? A. IT planning documents with deliverables and performance results B. Policies and procedures relating to planning, managing, monitoring and reporting on performance C. Prior audit reports D. Reports of IT functional activities
Which of the following would an IS auditor consider to be the MOST helpful when evaluating the effectiveness and adequacy of a computer preventive maintenance program? A. A system downtime log B. Vendors' reliability figures C. Regularly scheduled maintenance log D. A written preventive maintenance schedule
Peer reviews to detect software errors during a program development activity are called: A. emulation techniques. B. structured walk-throughs. C. modular program techniques. D. top-down program construction.
The responsibilities of a disaster recovery relocation team include: A. obtaining, packaging and shipping media and records to the recovery facilities, as well as establishing and overseeing an offsite storage schedule. B. locating a recovery site if one has not been predetermined and coordinating the transport of company employees to the recovery site. C. managing the relocation project and conducting a more detailed assessment of the damage to the facilities and equipment. D. coordinating the process of moving from the hot site to a new location or to the restored original location.
Which of the following audit procedures would MOST likely be used in an audit of a systems development project? A. Develop test transactions B. Use code comparison utilities C. Develop audit software programs D. Review functional requirements documentation
Which of the following is intended to detect the loss or duplication of input? A. Hash totals B. Check digits C. Echo checks D. Transaction codes
The success of control self-assessment (CSA) depends highly on: A. Having line managers assume a portion of the responsibility for control monitoring. B. Assigning staff managers the responsibility for building, but not monitoring, controls. C. The implementation of stringent control policy and rule- driven controls. D. The implementation of supervision and the monitoring of control assigned duties
Which of the following steps would an IS auditor normally perform FIRST in a data center security review? A. Evaluate physical access test results. B. Determine the risks/threats to the data center site. C. Review business continuity procedures. D. Test for evidence of physical access at suspect locations.
The IS department of an organization wants to ensure that the computer files, used in the information processing facility, are backed up adequately to allow for proper recovery. This is a/an: A. control procedure. B. control objective. C. corrective control. D. operational control.
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