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auditing assurance services
Information Systems Control And Audit 1st Edition Ron Weber - Solutions
Why should QA personnel not undertake information systems development, implementation, operations, and maintenance work?
What is an information systems quality assurance project plan? Who should prepare the plan?
Briefly describe two problems that arise when preparing an information systems quality assurance project plan.
Why is it important to include quality metrics in an information systems quality assurance project plan?
Why would auditors be concerned about whether a charter has been established for the information systems QA function in an organization?
Why is it best to have QA personnel develop, promulgate, and maintain information systems standards rather than other stakeholders in the information systems function undertake these tasks?
Why is it best to strive for minimal specification of standards when preparing information systems standards?
Why do QA personnel need to monitor national and international information systems standards?
Why should QA personnel seek to avoid disputes over detail when monitoring compliance with the quality assurance plan prepared for a specific information systems project?
What actions should QA personnel take when they identify a compliance failure in terms of a project's quality assurance plan?
Relative to other stakeholders, why should QA personnel have primary responsibility for identifying where the information systems function can be improved?
Briefly explain the Japanese notion of Kaizen. Describe two principles on which Kaizen is based.
Why should QA personnel be notified routinely of errors or irregularities that occur in information systems?
Briefly describe two principles that should guide how QA personnel report to management.
Briefly distinguish between the general types of training and the specific types of training that QA personnel should provide to information systems personnel.
Why should QA training be based on personal development plans prepared for each information systems employee?
Why is QA training an important means of discernment for QA personnel in relation to QA standards and procedures?
Briefly describe where the QA function should be placed in the organizational hierarchy of the information systems function.
Outline the nature of the charter that should be prepared for the QA function.
Give two problems frequently encountered when seeking to staff the QA function.
Briefly describe two ways in which the existence of a QA function may change the work of both internal and external auditors.
Which of the following best describes the role of QA management with respect to the information systems function?a. Testing a system subsequent to its development to determine whether system effectiveness and system efficiency objectives have been achievedb. Advising information systems development
Which of the following is least likely to be a motivation to establish a QA role within the information systems function?a. A QA role will substantially decrease the costs of review work and testing work associated with the development and implementation of an information systemb. An organization
Which of the following is not a problem that undermines the establishment of quality goals for an information systems project?a. Quality can have different meanings for different stakeholders in the information systemb. There are no widely accepted quality goals for information systemsc. The
A major way in which modern quality systems used to support the information systems function differ from traditional quality systems is:a. Modern quality systems focus on the production of zero-defect software as the primary goalb. Traditional quality systems fail to recognize the inherent conflict
If possible, the quality goals for a specific information systems project should be formulated by:a. An internal audit teamb. QA personnelc. The project's quality control groupd. The project manager
The major reason why quality metrics need to be chosen for a specific information systems project is:a. To alleviate conflict between stakeholdersb. To clarify the basis on which QA personnel will evaluate whether quality goals have been metc. To provide a basis for the design of test data for the
Which of the following is most unlikely to be a reason for having QA personnel responsible for formulating, promulgating, and maintaining standards for the information systems function?a. QA personnel should have the most knowledge about the impact of national and international quality standards on
Which of the following statements about national and international information systems standards is true?a. Widespread acceptance of national and international information systems standards can undermine an organization's competitive positionb. The adoption of national and international information
Which of the following principles should guide the ways in which QA personnel monitor compliance with information systems standards?a. QA personnel should seek to understand the reasons for a compliance failure so they can advise managementb. QA personnel should focus on the detailed facts in any
When a compliance failure occurs, QA personnel should:a. Notify external auditors because it may affect the audit planb. Consider appropriate corrective actions so they can make recommendations to managementc. Determine who must shoulder responsibility for the compliance failured. Take action to
Which of the following principles underlies the Japanese notion of Kaizen?a. Regular, periodic monitoring and evaluation of processes is essential to quality improvementb. Improvement efforts are the primary responsibility of top managementc. Quality improvement decisions should be based only on
Which of the following is least likely to be a reason for making QA personnel responsible for identifying areas where quality improvements can be made?a. QA personnel are in the best position to decide whether quality improvements will result in better achievement of the organization's overall
Which of the following principles should not guide the way in which QA personnel report to management?a. The recommendations that QA personnel make should be backed up by concrete factsb. Stakeholders should be informed of the contents of reports before they are released to managementc. QA
Which of the following statements about personnel training in QA standards and procedures is false?a. A personal development plan with respect to QA training should exist for each employee in the information systems functionb. The quality of QA training is an important indicator of top management's
The manager of the information systems QA function should report to the:a. Manager in charge of the information systems functionb. Controller of the organizationc. Manager responsible for systems developmentd. Manager responsible for the internal-audit function
Staffing the QA function is often difficult because:a. High levels of interpersonal conflict often arise among QA personnelb. Information systems personnel tend to prefer a development role to a monitoring rolec. Incumbents have little opportunity to exercise high-level information systems skillsd.
Which of the following statements about the relationship between quality assurance and auditing is most likely to be false?a. Auditors can most likely reduce the extent of their substantive testing when the QA function is working reliablyb. The inherent risk associated with an organization
Makumoney Ltd. is a financial services firm offering a wide range of products and services to its customers. It relies heavily on its information systems to provide up-to-date advice to its customers and to keep abreast of changes in the financial services marketplace, especially new products that
Zelta Ltd. is a medium-size company involved in providing a range of specialized products and services for the aerospace industry. Just over a year ago, external consultants undertook a major review of Zelta's information systems function. Consistent with industry trends, the consultants
You are the manager of internal audit for Do-It-All, Ltd., a large, diversified, decentralized manufacturing company. Over the past two years, the information systems function in Do-It-All has undergone some dramatic changes. In particular, in light of a new strategic plan formulated by top
Daintree Ltd. is a large retailer that operates department stores in all major cities throughout Australia. Recently it has expanded its operations into Southeast Asia. Although each store operates some of its own information systems, all significant information systems are developed and
Slip-up Corporation is a large, decentralized manufacturer of sliding doors and windows. It is based in Auckland, but it services the Southeast Asian market as well as Australia and New Zealand. The company uses information systems technology aggressively, both for its internal data processing
You are the manager of internal audit of Coverit Corporation, a large insurance company. One day you receive an urgent letter from the controller expressing his concerns about some organizational changes that are about to occur in the information systems department. He has received a memorandum
Supernet Ltd. offers public communications network services. For example, it provides electronic data interchange and electronic funds transfer services to its customers. For over ten years, it has had an excellent reputation for offering high-quality, secure, innovative network services primarily
Wowem Corporation manufactures a wide range of clothing apparel. It is a decentralized organization in which different divisions have responsibility for the manufacture and distribution of major product lines-sporting apparel, leisure wear, country-and-western gear, maternity wear, industrial
What are the objectives of database management? Why are data administrators and database administrators needed to help accomplish these objectives?
Data-administration and database-administration roles are usually established when:a. Management recognizes data is a critical organizational resourceb. A database management system is purchasedc. Management decides to integrate application system filesd. Application project managers begin to make
Savers Surety is a large investment house that provides a wide range of investment services for its clients. For some years, Savers has been a pioneering and innovative user of a high-level programming language that has allowed its staff to interact directly with the company's centralized database.
Is it necessary for an organization to be using a database management system before it institutes data-administration and database-administration roles? Support your answer.
Which of the following is not a reason why the data-administration role emerged subsequent to the database-administration role?a. It is difficult to find people who have both managerial and policy skills as well as technical skillsb. The amount of work the DBA had to perform was often too great for
To improve access times to its database and increase its storage capacity, an organization purchases higher-density disks. The database administrator is given the responsibility of preparing a plan to convert the database from the old disks to the new disks.Required. As the internal auditor for the
Sharing of data among multiple users inevitably produces conflict among the users. What roles do the DA and the DBA play when conflict arises?
Which of the following is not a way in which the DA and the DBA affect the auditor?a. They provide administrative and technical information that the auditor needs to knowb. They provide database tools that the auditor needs to usec. They act as a mediator when conflict arises between management and
Cassowary Castings Limited (CCL) is an Adelaide-based major manufacturer of motor-vehicle components-for example, engine blocks, chassis, axles, and differential gears. It relies extensively on its existing computer systems for such functions as production control, materials requirements planning,
Why have both data-administration and database-administration roles emerged in some organizations that seek to manage their data resources instead of just one role? Do you think both roles will continue, or will they be combined or disappear?
The schema that defines the entire contents of the database from a user's perspective is the:a. Internal schemab. Logical schemac. External schemad. Conceptual schema
Maple Leaf Distributors Limited (MLDL) is a large, diversified, Torontobased distributor of perishable and durable goods to small- to medium-sized retail outlets. It has 12 divisions organized along product lines, each of which operates relatively independently. MLDL is an extensive user of
What implications does the existence of either a data-administration role or a database-administration role have for the conduct of an audit? Is either role more important than the other from the viewpoint of auditors?
The DBA has primary responsibility for defining the:a. Internal schemab. Logical schemac. External schemad. Conceptual schema
You are the external auditor for Dumpadollar National Bank, a large bank within the Dallas metropolitan area. Dumpadollar has an extensive online real-time update database system. One of the controls exercised by the information systems management of Dumpadollar is to print out each day a listing
Briefly describe the differences among the conceptual schema, the internal schema, and the external schema. For each type of schema, identify whether it will be the data administrator or the database administrator who takes primary responsibility for its definition.
When the DA performs the data-definition function, the first step is to:a. Determine whether some database users have already established in the database at least some of the data items neededb. Design a logical structure that attempts to mirror the user's real-world view of the datac. Use the data
Why are auditors concerned to see that the data administrator uses a formal methodology to undertake view integration when defining or redefining an organization's conceptual schema?
Which of the following functions is most likely to be performed by the DA?a. Determining the effects of database redefinition on the internal schemab. Formulating data retention and retirement policiesc. Preparing the data validation programs needed to populate the databased. Implementing backup
What is meant by populating the database? What steps should the data administrator and the database administrator take to preserve data integrity when the database is being populated?
Which of the following functions is the DA and DBA most likely to perform with the aim of making the database available to users?a. Ensuring data retirement policies comply with any applicable legislationb. Implementing database access and update controlsc. Mediation in conflicts between end users
When data redefinition is undertaken, what are the respective responsibilities of the data administrator and the database administrator?
A memorandum system in a database environment should document:a. Semantic descriptions of database elementsb. Data-retention informationc. Potential short-term hazards that have arisen for users of the databased. Storage-structure designs that have been used
How might the database administrator "comprehensively test" a new availability tool acquired for database users?
In a database environment, traditional program validation of input data is an example of:a. A quality controlb. An existence controlc. A concurrency controld. An access control
Why should the DA and the DBA be responsible for informing and servicing users and not someone else be responsible for this function in a database environment?
Which of the following control functions is most likely to be performed by the DA rather than the DBA?a. Ensuring that neither a program nor a procedure could destroy the correspondence between the database and its definitionb. Determining backup and recovery requirementsc. Implementing access
Briefly explain the DA's and the DBA's responsibilities with respect to:a. Definition controlb. Existence controlc. Access controld. Update controle. Concurrency controlf. Quality control
Which of the following is least likely to be a reason for the DBA to monitor performance in a database environment?a. To identify changes that need to be made to the internal schemab. To prevent controls being compromised as users attempt to circumvent the overheads associated with controlsc. To
Give three performance statistics that the database administrator might collect to improve performance within a database environment.
Using the strategic-grid model, in which of the following types of organization is an auditor most likely to see only a DBA role in existence?a. Strategic organizationb. Support organizationc. Turnaround organizationd. Factory organization
In the context of the strategic-grid model, why might we expect to see only a database-administration role in some organizations rather than both data-administration and database-administration roles?
In a strategic organization, DAs are more likely to be successful in their role if they report to:a. Top management in a staff capacityb. The controller in a staff capacityc. The manager of the information systems function in a line capacityd. The manager of the systems development function in a
In a turnaround or strategic organization, why should the data administrator report to top management in a staff function capacity rather than report to the controller?
In a factory organization, the DBA should be responsible to:a. Top management in a staff capacityb. The manager of programming in a line capacityc. The manager of the information systems function in a staff capacityd. The controller in a line capacity
To maintain independence, the data administrator must hold a senior position within the organizational hierarchy of the information systems function. Briefly explain.
Which of the following guidelines should apply to the DA and DBA roles in a large, strategic, decentralized organization that performs a diverse range of activities?a. The DA and DBA in each division should be completely autonomousb. The DBA should assume a more important role than the DAc. The DA
What impact does decentralization of the information systems function have on the roles of the data administrator and the database administrator?
Which of the following best describes the concept of metadata?a. Data about datab. To Logical definitions of data that are not stored in the databasec. Definitional information that applies to shared databases but not to partitioned localized databasesd. Logical constraints that apply to the
What impact might the existence of end-user computing in an organization have on the roles of the data administrator and the database administrator?
A passive data repository system is one that is used:a. By the database management system to retrieve and manipulate data but not to define datab. Only by the centralized data-administration group and not by any decentralized data-administration groupsc. As an optional facility that is made
Briefly explain the nature and functions of a data repository system. What is the relationship between a data repository system and the database definition?
Which of the following is least likely to be an advantage of using a data repository systema. Facilitates programming by reducing the effort required to establish the data definition b. Helps to enforce common validation criteriac. Optimizes the storage structure to use for the conceptual d.
Briefly explain the nature of metadata. Why is it critical that a database management system have strong capabilities for defining metadata?
Which of the following should not be a control exercised over use of the data repository:a. Ensure that a numbering and naming convention is adopted for data items even in decentralized organizationsb. To increase security, use separate data repository packages for the different types of database
What is the difference between an active data repository system and a passive data repository system? Why should auditors be concerned with whether an organization is using an active or a passive data repository system?
The existence of the DA and DBA roles tends to violate the traditional internal-control principle of having:a. Clear lines of authority and responsibilityb. Proper procedures for authorizationc. Physical control over assets and recordsd. Adequate segregation of duties
Match each of the following functions relating to high-exposure database servicing tools with the role that should be assigned responsibility for the function: BI Control over documentation DII Machine log of tool use. A III Use of tool C IV Tool update and maintenanc a I-B, II-D, III-A, IV-C b
How can a centralized database definition and a data repository system enhance control over the systems development process?
Why is it important to exercise control over a data repository system? List three control procedures that might be used.
Which of the following activities carried out by the DA is unlikely to be recorded on a machine log maintained by an operating system or by a database management system?a. Access to the databaseb. Change of a passwordc. Disclosure of a password to an unauthorized userd. Deletion of a database record
Why is obtaining support from programmers and systems analysts for a data repository system sometimes difficult? Why is it important to obtain their support? How might their support be obtained?
How might auditors be users of a data repository system? How might auditors' use of the data repository system give insight into the problems of other users?
Explain how the roles of both the data administrator and the database administrator both strengthen and weaken control. Briefly explain the nature of the trade-offs involved.
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