Deck 10: Processing Integrity and Availability Controls

Question 1

A user review an example of

A) a data entry control.
B) a data transmission control.
C) an output control.
D) a processing control.

Answer 1

C

Question 2

Sequentially prenumbered forms are an example of a(n)

A) data entry control.
B) data transmission control.
C) processing control.
D) input control.

Answer 2

D

Question 3

The data entry control that would best prevent entering an invoice received from a vendor who is not on an authorized supplier list is

A) a validity check.
B) an authorization check.
C) a check digit.
D) closed-loop verification.

Answer 3

A

Question 4

Form design is one example of a(n)

A) output control.
B) processing control.
C) input control.
D) data entry control.

Question 5

A validity check is an example of

A) a data entry control.
B) an output control.
C) a data transmission control.
D) an input control.

Question 6

Parity checks are an example of a(n)

A) data entry control.
B) data transmission control.
C) output control.
D) processing control.

Question 7

A payroll clerk accidently entered an employee's hours worked for the week as 380 instead of 38.The data entry control that would best prevent this error would be

A) a limit check.
B) a check digit.
C) batch total reconciliation.
D) a field check.

Question 8

Which of the following data entry controls would not be useful if you are recording the checkout of library books by members?

A) sequence check
B) prompting
C) validity check
D) concurrent update control

Question 9

If invoices are processed in groups of fifty,which fields from the document shown below would not be used to create a hash control total?

A) Amount
B) Item Number
C) Quantity Ordered
D) Sales Order number

Question 10

Following is the result of batch control totals on employee Social Security numbers in a payroll processing transaction: The difference in the control totals is 720,000.Which data entry control would best prevent similar data entry errors in the future?

A) Modules 11
B) validity check
C) check digit
D) sequence check

Question 11

The inventory tracking system shows that 12 iPods were on hand before a customer brings three iPods to the register for purchase.The cashier accidentally enters the quantity sold as 30 instead of 3.Which data entry control would most effectively prevent this error?

A) limit check
B) sign check
C) field check
D) validity check

Question 12

The best example of an effective payroll transaction file hash total would most likely be

A) sum of net pay.
B) total number of employees.
C) sum of hours worked.
D) total of employees' social security numbers.

Question 13

A batch total is an example of which control below?

A) data entry control
B) data transmission control
C) processing control
D) output control

Question 14

Data matching is an example of a(n)

A) data entry control.
B) data transmission control.
C) processing control.
D) input control.

Question 15

Turnaround documents are an example of a(n)

A) data entry control.
B) output control.
C) processing control.
D) input control.

Question 16

All of the following controls for online entry of a sales order would be useful except

A) check digit verification on the dollar amount of the order.
B) validity check on the inventory item numbers.
C) field check on the customer ID and dollar amount of the order.
D) concurrent update control.

Question 17

Error logs and review are an example of

A) data entry controls.
B) data transmission controls.
C) output controls.
D) processing controls.

Question 18

A customer failed to include her account number on her check,and the accounts receivable clerk credited her payment to a different customer with the same last name.Which control could have been used to most effectively to prevent this error?

A) closed-loop verification
B) duplicate values check
C) validity check
D) reconciliation of a batch control total

Question 19

________ is a data entry input control that involves summing the first four digits of a customer number to calculate the value of the fifth digit,then comparing the calculated number to the number entered during data entry.

A) Validity check
B) Duplicate data check
C) Closed-loop verification
D) Check digit verification

Question 20

Cancellation and storage of documents means

A) documents are defaced and stored.
B) documents are defaced before being shredded.
C) cancellation data are copied from documents before they are stored.
D) data are copied from a document and stored, after which the document is shredded.

Question 21

This determines if characters are of the proper type.

A) field check
B) alpha-numeric check
C) range check
D) reasonableness test

Question 22

This tests a numerical amount to ensure that it does not exceed a predetermined value.

A) completeness check
B) limit check
C) range check
D) sign check

Question 23

A ________ ensures input data will fit into the assigned field.

A) limit check
B) size check
C) range check
D) validity check

Question 24

This batch processing data entry control sums a field that contains dollar values.

A) record count
B) financial total
C) hash total
D) sequence check

Question 25

Sonja Greer called the IT Help Desk in a bad mood."I'm trying to open an Excel file,but I get a message that says that the file is locked for editing.Why is this happening to me?" The answer is likely that

A) the file is corrupted due to a computer virus.
B) Sonja probably opened the file as read-only.
C) concurrent update controls have locked the file.
D) there is no problem. Sonja is editing the file, so it is locked.

Question 26

This control protects records from errors that occur when two or more users attempt to update the same record simultaneously.

A) concurrent update controls
B) cross-footing balance test
C) data conversion controls
D) recalculation of batch totals

Question 27

This data entry control compares the ID number in transaction data to a master file to verify that the ID number exists.

A) reasonableness test
B) user review
C) data matching
D) validity check

Question 28

This control ensures that the correct and most current files are being updated.

A) cross-footing balance test
B) data matching
C) file labels
D) write-protect mechanism

Question 29

This batch processing data entry control sums the number of items in a batch.

A) financial total
B) hash total
C) record count
D) sequence check

Question 30

This determines the correctness of the logical relationship between two data items.

A) range check
B) reasonableness test
C) sign check
D) size check

Question 31

This batch processing data entry control sums a non-financial numeric field.

A) record count
B) financial total
C) hash total
D) sequence check

Question 32

What control are file labels an example of?

A) data entry controls
B) output controls
C) processing controls
D) source data controls

Question 33

When I enter a correct customer number,the data entry screen displays the customer name and address.This is an example of

A) prompting.
B) preformatting.
C) closed-loop verification.
D) error checking.

Question 34

This tests a numerical amount to ensure that it does not exceed a predetermined value nor fall below another predetermined value.

A) completeness check
B) field check
C) limit check
D) range check

Question 35

A computer operator accidentally used the wrong master file when updating a transaction file.As a result,the master file data is now unreadable.Which control could best have prevented this from happening?

A) Internal header label
B) validity check
C) check digit
D) parity check

Question 36

This determines if all required data items have been entered.

A) completeness check
B) field check
C) limit check
D) range check

Question 37

Modest Expectations Investment Services (MEIS)allows customers to manage their investments over the Internet.If customers attempt to spend more money than they have in their account,an error message is displayed.This is an example of a

A) reasonableness test.
B) field check.
C) validity check.
D) limit check.

Question 38

The Spontaneous Combustion Rocket Shoppe in downtown Fargo,North Dakota,generates three quarters of its revenue from orders taken over the Internet.The revenue clearing account is debited by the total of cash and credit receipts and credited by the total of storefront and Internet sales.This is an example of a

A) data integrity test.
B) zero-balance test.
C) trial balance audit.
D) cross-footing balance test.

Question 39

Check digit verification is an example of a(n)

A) data transmission control.
B) output control.
C) processing control.
D) input control.

Question 40

Modest Expectations Investment Services (MEIS)allows customers to manage their investments over the Internet.If customers attempt to sell more shares of a stock than they have in their account,an error message is displayed.This is an example of a

A) reasonableness test.
B) field check.
C) validity check.
D) limit check.

Question 41

A facility that is pre-wired for necessary telecommunications and computer equipment,but doesn't have equipment installed,is known as a

A) cold site.
B) hot site.
C) remote site.
D) subsidiary location.

Question 42

The maximum amount of time between backups is determined by a company's

A) recovery time objective.
B) recovery point objective.
C) recovery objective.
D) maximum time recovery objective.

Question 43

When a computer system's files are automatically duplicated on a second data storage system as they are changed,the process is referred to as

A) real-time mirroring.
B) batch updating.
C) consistency control.
D) double-secure storage.

Question 44

Which of the following is not an objective of a disaster recovery plan?

A) Minimize the extent of the disruption, damage or loss.
B) Permanently establish an alternative means of processing information.
C) Resume normal operations as soon as possible.
D) Train employees for emergency operations.

Question 45

The accounting department at Synergy Hydroelectric records an average of 12,500 transactions per hour.By cost-benefit analysis,managers have concluded that the maximum acceptable loss of data in the event of a system failure is 25,000 transactions.If the firm's recovery time objective is 120 minutes,then the worst case recovery time objective is

A) 1 hour.
B) 2 hours.
C) 3 hours.
D) 4 hours.

Question 46

What is the most effective way to ensure information system availability?

A) high bandwidth
B) maintain a hot site
C) maintain a cold site
D) frequent backups

Question 47

Which of the following statements is true with regards to system availability?

A) Human error does not threaten system availability.
B) Threats to system availability can be completely eliminated.
C) Proper controls can maximize the risk of threats causing significant system downtime.
D) Threats to system availability include hardware and software failures as well as natural and man-made disasters.

Question 48

The maximum acceptable down time after a computer system failure is determined by a company's

A) recovery time objective.
B) recovery point objective.
C) recovery objective.
D) maximum time recovery objective.

Question 49

________ involves copying only the data items that have changed since the last partial backup.

A) Archive
B) Cloud computing
C) Differential backup
D) Incremental backup

Question 50

________ copies all changes made since the last full backup.

A) Archive
B) Cloud computing
C) Differential backup
D) Incremental backup

Question 51

A facility that contains all the computing equipment the organization needs to perform its essential business activities is known as a

A) cold site.
B) hot site.
C) remote site.
D) subsidiary location.

Question 52

Which of the following is a control is an important way to prevent buffer overflow vulnerabilities?

A) limit check
B) size check
C) range check
D) field check

Question 53

While this type of backup process takes longer than the alternative,restoration is easier and faster.

A) archive
B) cloud computing
C) differential backup
D) incremental backup

Question 54

Prompting is a control that helps ensure

A) transaction data are not lost.
B) transactions data are accurate.
C) transactions data are complete.
D) transaction data are valid.

Question 55

Which of the following is an example of a turnaround document?

A) a receipt a customer must use to return the goods purchased
B) a telephone bill the customer must return with payment
C) a paycheck stub that must be used in the employee's tax return
D) a customer loyalty card used every time a customer purchases goods or services

Question 56

This control entails verifying that the proper number of bits are set to the value 1 in each character received.

A) echo check
B) field check
C) parity check
D) trailer record

Question 57

Which of the following is not a risk associated with the data input process?

A) Data is invalid.
B) Data is incomplete.
C) Data is inaccurate.
D) Data is corrupted.

Question 58

________ enables a system to continue functioning in the event that a particular component fails.

A) An incremental backup procedure
B) Fault tolerance
C) Preventive maintenance
D) A concurrent update control

Question 59

A disaster recovery plan typically does not include

A) scheduled electronic vaulting of files.
B) backup computer and telecommunication facilities.
C) a system upgrade due to operating system software changes.
D) uninterruptible power systems installed for key system components.

Question 60

A copy of a database,master file,or software that will be retained indefinitely as a historical record is known as a(n)

A) archive.
B) cloud computing.
C) differential backup.
D) incremental backup.

Question 61

With regards to systems availability,deploying and using multiple components provides an AIS with

A) fault tolerance.
B) cost savings.
C) enhanced processing speed.
D) maximum sales.

Question 62

The accounting department at Aglaya Telecom records an average of 2,500 transactions per hour.Managers state that the maximum acceptable loss of data in the event of a system failure is 2,500 transactions.The firm's recovery point objective is therefore

A) 2,500 transactions.
B) 5,000 transactions.
C) 1 hour.
D) 2 hours.

Question 63

Which of the following is not a common design feature of housing mission-critical servers and databases?

A) adequate air-conditioning systems to reduce the likelihood of damage due to overheating
B) overhead sprinklers to provide protection from fire
C) cables with special plugs that cannot be easily removed
D) surge-protection devices to provide protection against temporary power fluctuations

Question 64

Best practice requires backups be retained indefinitely.

Question 65

Which COBIT5 management practice addresses system backup procedures?

A) DSS01.06
B) DSS04.07
C) DSS03.05
D) DSS04.04

Question 66

Discuss how cloud computing could both positively and negatively affect system availability.

Question 67

Which of the following is incorrect with regards to a data archive?

A) Archives can be a copy of a database.
B) Archives should be stored in different locations.
C) Archives are usually encrypted.
D) Physical and logical controls are the primary means of protecting archive files.

Question 68

Identify the most important component of a disaster recovery plan below.

A) documentation
B) operating instructions
C) periodic testing
D) on-site and off-site storage

Question 69

Whose responsibility is it to determine the amount of time an organization can afford to be without its information system?

A) the board of directors
B) senior management
C) external auditors
D) COBIT

Question 70

To protect against malware,it is important that antivirus software automatically examine ________ introduced into a system.

A) CDs
B) e-mail
C) flash drives
D) all of the above

Question 71

Which of the following is a key control regarding the minimization of system downtime?

A) fault tolerance
B) disaster recovery plans
C) backup procedures
D) all of the above

Question 72

The accounting department at Aglaya Telecom records an average of 5,000 transactions per hour.A cost-benefit analysis leads management to conclude that the maximum acceptable amount of data loss is 20,000 transactions.If the firm's recovery time objective is 60 minutes,then the worst case recovery time objective is

A) 1 hour.
B) 2 hours.
C) 3 hours.
D) 4 hours.

Question 73

It is impossible to eliminate the risk of downtime.

Question 74

Define and contrast a recovery point objective and a recovery time objective.

Question 75

Is it best practice for an organization to practice periodically restoring a system from its backup files?

A) No, doing so might introduce errors into the system's data.
B) No, doing so takes the system offline and prevents customers from being able to access the system.
C) Yes, doing so verifies the procedure and backup media are working correctly.
D) Yes, doing so improves the efficiency of the system.

Question 76

Identify the statement below which is true.

A) Cloud computing is a control technique for system availability.
B) Cloud computing eliminates the need for backup of applications and data.
C) Cloud computing eliminates the need for companies to own their own software and servers.
D) Cloud computing refers to the practice of storing application files and backup data on satellites "in the clouds."

Question 77

Probably the most important change management control is

A) monitoring user rights and privileges during the change process.
B) testing all changes thoroughly prior to implementation on a stand-alone computer.
C) updating all documentation to reflect changes made to the system.
D) management's careful monitoring and review.

Question 78

What is the primary objective of ensuring systems and information are available for use whenever needed?

A) to minimize system downtime
B) to minimize system expense
C) to maximize system processing speed
D) to maximize sales

Question 79

The accounting department at Aglaya Telecom records an average of 5,000 transactions per hour.By cost-benefit analysis,managers have concluded that the maximum acceptable loss of data in the event of a system failure is 50,000 transactions.The firm's recovery point objective is therefore

A) 50,000 transactions.
B) 5,000 transactions.
C) 10 hours.
D) 4 hours.

Question 80

Loreen Tina is the chief lawyer for Tamara Incorporated.The CEO of Tamara Incorporated asks Loreen whether the company should periodically delete all company e-mail.If Loreen is well-versed in AIS best practices,she would mostly likely respond,

A) Yes, if we are ever sued, the other attorney will not be able to comb through our e-mail for evidence.
B) Yes, since e-mail requires a lot of storage space, deleting it periodically will reduce the amount of information we need to store.
C) No, deleting an organization's e-mail is against the law.
D) No, if we are ever sued we will not be able to draw upon our e-mail records to defend ourselves.