When auditing a mainframe operating system, what would the
IS auditor do to establish which control features are in
operation?
A. Examine the parameters used when the system was generated
B. Discuss system parameter options with the vendor
C. Evaluate the systems documentation and installation guide
D. Consult the systems programmers
Answer / guest
Answer: A
The only way to establish which controls are functioning in
a current operating system is to determine what the
parameter settings were at the time the system was generated
or created (often referred to as the initial program load or
IPL). Although the findings of this exercise may well be
further evaluated by discussion with the vendor, evaluating
the documentation and consulting the systems programmers,
these actions would not, by themselves, establish specific
control features.
Is This Answer Correct ? | 6 Yes | 1 No |
Connection-oriented protocols in the TCP/IP suite are implemented in the: A. transport layer. B. application layer. C. physical layer. D. network layer.
An IS auditor auditing hardware monitoring procedures should review A. system availability reports. B. cost-benefit reports. C. response time reports. D. database utilization reports.
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Which of the following controls would be MOST effective in ensuring that production source code and object code are synchronized? A. Release-to-release source and object comparison reports B. Library control software restricting changes to source code C. Restricted access to source code and object code D. Date and time-stamp reviews of source and object code
An IS auditor attempting to determine whether access to program documentation is restricted to authorized persons would MOST likely: A. evaluate the record retention plans for off-premises storage. B. interview programmers about the procedures currently being followed. C. compare utilization records to operations schedules. D. review data file access records to test the librarian function.
An IS auditor is reviewing the risk management process. Which of the following is the MOST important consideration during this review? A. Controls are implemented based on cost-benefit analysis. B. The risk management framework is based on global standards. C. The approval process for risk response is in place. D. IT risk is presented in business terms.
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To determine which users can gain access to the privileged supervisory state, which of the following should an IS auditor review? A. System access log files B. Enabled access control software parameters C. Logs of access control violations D. System configuration files for control options used
Which of the following can be used to verify output results and control totals by matching them against the input data and control totals? A. Batch header forms B. Batch balancing C. Data conversion error corrections D. Access controls over print spools
The PRIMARY purpose of compliance tests is to verify whether: A. controls are implemented as prescribed. B. documentation is accurate and current. C. access to users is provided as specified. D. data validation procedures are provided.