Gleim Quizes for Units 1, 2, 4-5, 7-8 & class quizzes 1-3 (Gleim reviews pt. 1)

What is the primary objective of the data retention phase in data lifecycle management (DLM)? Sharing or distributing data to different stakeholders. Retaining data for historical or compliance purposes. Deleting or securely disposing of data when no longer needed. Continuous monitoring and auditing of data usage.

Retaining data for historical or compliance purposes. The data retention phase involves retaining data for historical or compliance purposes. The duration of data retention may be governed by legal, regulatory, or organizational policies.

What is the purpose of the Structured Query Language (SQL) command LIMIT in a query? Adds new records into a table. Retrieves a smaller subset of the data instead of running the query on the entire dataset. Retrieves data from one or more tables. Sorts the result set based on one or more columns.

Retrieves a smaller subset of the data instead of running the query on the entire dataset. The LIMIT command retrieves a smaller subset of the data instead of running the query on the entire dataset. It is useful for displaying a limited number of results.

identifies and analyzes external or internal risks to achievement of objectives at the activity and entity levels.

Risk assessment

Which of the following engagements allow the distribution of a SOC report for general use? SOC 3 engagement only. SOC 1 engagement only. SOC 1 or SOC 2 engagement. SOC 2 engagement only.

SOC 3 engagement only. SOC 3 reports are general-use opinion reports intended for broad distribution and use. For example, a SOC 3 report may be posted on the product description page of a service organization's website to build confidence in its services.

What does the establishment of a Cloud Computing Steering Committee aim to achieve in an organization? To provide technical support for cloud services. To oversee the migration and implementation of cloud computing. To manage the day-to-day operations of cloud computing. To develop in-house cloud computing software.

To oversee the migration and implementation of cloud computing.

Most governance and control frameworks use a Bottom-up approach. Top-down approach. Lateral approach. Centralized approach.

Top-down approach. Most frameworks use a top-down approach to define appropriate actions and activities, emphasizing that proper corporate governance is essential for effective control. This concept is related to the "tone at the top."

Which framework requires appropriate actions by law? Occupational Safety and Health Act of 1970 (OSHA). ISO 26000 - Social Responsibility. Health Insurance Portability and Accountability Act (HIPAA). COSO Enterprise Risk Management - Integrating with Strategy and Performance.

Health Insurance Portability and Accountability Act (HIPAA). Some frameworks focus more on enterprise cyber risks, while others relate more generally to safeguarding information, mitigating fraud, or promoting effective reporting. Two frameworks, HIPAA and General Data Protection Regulation (GDPR), are regulations that require appropriate actions by law.

What is the purpose of a swimlane in a business process model and notation (BPMN) diagram? It represents data storage. It organizes and categorizes activities within specific roles or departments. It controls the branching and merging of sequences. It visualizes the flow of messages between entities.

It organizes and categorizes activities within specific roles or departments. Swimlanes in a BPMN diagram are used for organizing and categorizing activities within specific roles or departments.

What is the main advantage of using Infrastructure as a Service (IaaS)? It provides a complete software solution over the Internet. It combines both public and private cloud environments. It reduces an organization's requirements for on-premises equipment management. It offers dedicated cloud infrastructure for a single organization.

It reduces an organization's requirements for on-premises equipment management. With IaaS, organizations can avoid the costs and complexities associated with purchasing and maintaining physical hardware. Instead, they can rent virtualized computing resources as needed, which provides flexibility, scalability, and ease of management.

What is the purpose of a diamond-shaped symbol in a business process flowchart? It denotes the start or end of a process. It represents a process step or action. It represents decision points based on conditions. It indicates the flow of the process.

It represents decision points based on conditions. In a business process flowchart, diamond-shaped symbols represent decision points where yes/no or true/false questions are asked, directing the flow of the process based on conditions.

A hybrid cloud enables an organization to do which of the following? Leverage the benefits of both public and private cloud environments by integrating them. Share resources among multiple users through an Internet connection. Focus solely on application development without worrying about infrastructure. Build and manage IT applications without infrastructure management complexity.

Leverage the benefits of both public and private cloud environments by integrating them. By using a hybrid cloud, organizations can combine the scalability and cost-effectiveness of public clouds with the security and control of private clouds. This allows them to optimize their resources, manage workloads more efficiently, and address specific business needs.

What is the primary purpose of using flowcharts in business process analysis? Visualization of process steps. Standardization of processes. Business process automation. Database representation.

Visualization of process steps. Flowcharts are primarily used to visually represent the steps of a process, making it easier to understand and analyze the flow of activities.

___evaluates whether the internal control components are present and functioning.

Monitoring

Procedures that a practitioner should perform related to controls over information security include all the following except Planning a threat. Identifying threat agents. Assessing cybersecurity risks. Understanding threat mitigation.

Planning a threat. Planning a threat is not a procedure required to be performed in addressing controls over information security. Threats are planned by threat agents.

For a SOC 2 engagement, when there is a misstatement and the effects are material but not pervasive, what type of opinion should the service auditor issue? Qualified Unqualified Adverse Disclaimer

Qualified When the effects of a misstatement are material but not pervasive, the service auditor should issue a qualified opinion.

Cybersecurity is essential to the success of any 21st century company. To that end, any IT specialist must by familiar with which framework that deals with cybersecurity? GDPR. PCI DSS. NIST CSF. COBIT.

NIST CSF. One of the many frameworks an IT specialist should be knowledgeable about is the National Institute of Standards and Technology (NIST) Framework for Improving Critical Infrastructure Cybersecurity (also called the Cybersecurity Framework or CSF). It provides a structured approach for managing cybersecurity risks to prevent damage to, protect, and restore computers, electronic communications systems, electronic communications services, wire communication, and electronic communication, including information contained therein, to ensure its availability, integrity, authentication, confidentiality, and nonrepudiation.

What are the key components of patch management? Financial analysis of the cost of patches. Notification of available updates, effective deployment, and verification of deployment. Managing the integration, delivery, and deployment of changes to IT systems. Designing new features for software applications.

Notification of available updates, effective deployment, and verification of deployment. Patch management involves several key steps: first, the system of notification that a patch is available and should be deployed; second, the effective deployment of the patch by system administrators; and third, the verification of the deployment into the operating system or software application. This process ensures that patches (updates) are applied correctly and effectively.

Which of the following data collection methods involves watching behavior or events as they occur, either in a natural or controlled setting? Surveys. Experiments. Written documents, media records, and the organization's records review. Observations.

Observations. Observation is the data collection method that involves collecting data by watching behavior or events as they occur. This can be done in a natural setting, such as observing customer behavior in a store, or in a more controlled setting, such as during a usability test.

The requirement that purchases be made from suppliers on an approved vendor list is an example of a Monitoring control. Corrective control. Detective control. Preventive control.

Preventive control. Preventive controls are actions taken prior to the occurrence of transactions with the intent of stopping errors from occurring. Use of an approved vendor list is a control to prevent the use of unacceptable suppliers.

What is the key difference between public clouds and private clouds? Public clouds are managed by third-party providers, while private clouds are managed in-house. Private clouds do not share resources and offer greater control, while public clouds share resources among multiple users. Public clouds are exclusively used for software development. Private clouds offer more scalability than public clouds.

Private clouds do not share resources and offer greater control, while public clouds share resources among multiple users. Public clouds are managed by third-party providers and offer services over the internet to multiple customers, sharing resources such as servers and storage. Private clouds, on the other hand, are dedicated to a single organization, providing greater control, security, and customization, often managed in-house or by a third party.

In a business process flowchart (BPF), what do rectangles typically represent? Decision points. Start or end of a process. Process step or action. Connector points.

Process step or action.

HIPAA is an act with a purpose of Promoting security over healthcare records. Ensuring that credit card companies follow appropriate standards for paying medical charges. Requiring hospitals to provide the most effective care as possible. Requiring only licensed physicians to offer medical care.

Promoting security over healthcare records. The Health Insurance Portability and Accountability Act (HIPAA) of 1996 is a U.S. law with an objective to improve the efficiency and effectiveness of the U.S. healthcare system.

HIPAA is an act with a purpose of Requiring hospitals to provide the most effective care as possible. Promoting security over healthcare records. Requiring only licensed physicians to offer medical care. Ensuring that credit card companies follow appropriate standards for paying medical charges.

Promoting security over healthcare records. The Health Insurance Portability and Accountability Act (HIPAA) of 1996 is a U.S. law with an objective to improve the efficiency and effectiveness of the U.S. healthcare system.

The primary reason to establish internal control is to Provide reasonable assurance that the objectives of the organization are achieved. Ensure the accuracy, reliability, and timeliness of information. Safeguard the resources of the organization. Encourage compliance with organizational objectives.

Provide reasonable assurance that the objectives of the organization are achieved. Internal control is a process, effected by those charged with governance, management, and other personnel, designed to provide reasonable assurance about the achievement of the entity's objectives. They include (1) reliability of financial reporting, (2) effectiveness and efficiency of operations, and (3) compliance with applicable laws and regulations.

What is the primary characteristic of Infrastructure as a Service (IaaS) in cloud computing? Building and managing IT applications without infrastructure management complexity. Offering a fully managed software solution over the Internet. Providing virtualized computing resources such as virtual machines, storage, and networking. Delivering software applications over the Internet.

Providing virtualized computing resources such as virtual machines, storage, and networking. IaaS allows organizations to rent these virtualized resources on-demand, offering scalability and flexibility without the need to invest in physical hardware. This enables businesses to quickly deploy and manage their IT infrastructure.

Which of the following is not a type of control? Reactive Preventive. Directive. Detective.

Reactive Controls may be preventive (to deter undesirable events from occurring), detective (to detect and correct undesirable events which have occurred), or directive (to cause or encourage a desirable event to occur). "Reactive" is not a specified type of control. However, controls may be reactive in the sense that they detect an undesirable event and react to it or correct it.

Which principle under the COSO enterprise risk management (ERM) framework's Strategy and Objective Setting component involves evaluating alternative cloud strategies and their potential impact on business objectives? Establishes Operating Structures. Defines Risk Appetite. Analyzes Business Context. Formulates Business Objectives.

Analyzes Business Context. This principle focuses on understanding the internal and external factors that influence the organization's strategy, including evaluating various cloud strategies and how they may affect the organization's ability to achieve its business objectives.

What is a primary advantage of using full backups in an organization's data backup strategy? Full backups Eliminate the need for any other type of backup. Are the fastest backup method. Are the simplest and most straightforward to restore from. Require minimal storage space.

Are the simplest and most straightforward to restore from. The primary advantage of full backups is their simplicity in restoration. Because a full backup involves copying the entire dataset, it contains all the data in one place, making it straightforward to restore without dependency on other methods.

In database design, what is the primary purpose of normalization? Maximizing data redundancy. Increasing data complexity. Avoiding data anomalies. Introducing duplicate data.

Avoiding data anomalies. Normalization aims to avoid data anomalies such as insert, update, and delete anomalies by organizing data in a structured manner.

In maintaining consistency between pairs of tables, which integrity constraint ensures that the database does not allow deletion of a record from the primary table if matching records still exist in the foreign table? Domain integrity. Referential integrity. Entity integrity. Data dictionary integrity.

Referential integrity. Referential integrity is the constraint that ensures consistency between pairs of tables. It mandates that when foreign keys are used to link two tables, the database should prevent the deletion of a record from the primary table if matching records still exist in the foreign table. This prevents the creation of orphan records and maintains data relationships.

The attestation standards applied to SOC engagements are similar to financial statement audits for all of the following except Both require the auditor to gain an understanding of the controls. Both require the auditor to perform substantive procedures to test transactions and balances. Both require management to provide an assertion. Both require the CPA to be independent.

Both require the auditor to perform substantive procedures to test transactions and balances. This answer is correct. SOC engagements are directed toward a system of controls; thus, the service auditor performs tests of controls. No transactions or balances are tested with substantive procedures as performed in an audit of financial statements.

Which of the following is a measure of performance that is typically cited within a service level agreement with outsourced IT providers? Data privacy requirements. Controls necessary to protect exchanged information. Response time. User responsibilities.

Response time. A service level agreement (SLA) is a contract between a system service provider and a client that specifies the level of service and the availability of service that the provider must furnish to the client. SLAs often include very specific language about maximum downtime, recovery times, response times, and other measures of availability.

A data hosting company seeks a service auditor's opinion on its system's design and effectiveness regarding security and privacy controls but wants the report to be easily distributable to potential clients as part of its marketing materials. Which type of SOC reporting engagement would most appropriately meet the company's needs? SOC 3 engagement that provides a general-use report offering a broad overview of how the company approaches security. SOC 2 Type 2 engagement that conveys an opinion on both the design and operational effectiveness of the controls over a defined period. SOC 1 Type 1 engagement, that focuses on internal controls and their operation, allowing for detailed reporting on specific controls over financial reporting. SOC 2 Type 1 engagement that gives a detailed and restricted-use report on the design of the company's security and privacy controls.

SOC 3 engagement that provides a general-use report offering a broad overview of how the company approaches security. A SOC 3 engagement provides a report that addresses similar control-related information as a SOC 2 audit but in a more generalized manner, making it suitable for broad distribution and use in marketing materials to potential clients.

The service auditor's SOC 2 report provides an opinion on management's description and suitability of the controls or additionally on the effectiveness of the controls. Service auditors test controls for one or more of the following categories: (1) confidentiality, (2) availability, (3) privacy, (4) processing integrity, or Fairness. Independence. Equity. Security.

Security The service auditor's SOC 2 report provides an opinion on management's description and suitability of the controls or additionally on the effectiveness of the controls. Service auditors test controls for one or more of the following categories: (1) confidentiality, (2) availability, (3) privacy, (4) processing integrity, or (5) security (use the acronym accountants wear many "CAPPS").

Which of the following describes software in the context of IT systems? The physical part of the system that can be touched and seen. Serving as an intermediary between users or application programs and the physical database. An interconnected set of computing devices exchanging data and sometimes sharing resources. The programs and operating procedures used on hardware to perform specific tasks or functionality.

The programs and operating procedures used on hardware to perform specific tasks or functionality. Software includes everything from operating systems and application programs to utilities and middleware, and it enables the hardware to perform useful tasks and functions according to the user's needs.

What does Platform as a Service (PaaS) enable organizations to do in the context of cloud computing? Offer a dedicated cloud infrastructure for a single organization. Build and manage IT applications without infrastructure management complexity. Provide virtualized computing resources over the Internet. Deliver software applications over the Internet.

Build and manage IT applications without infrastructure management complexity. PaaS provides a complete development and deployment environment in the cloud, with resources that enable organizations to develop, test, and manage applications without the need to handle underlying infrastructure. This allows developers to focus on writing code and creating applications while the PaaS provider manages servers, storage, networking, and other infrastructure components.

How does replication contribute to data protection in a firm's IT strategy? By using the replicated data for intensive data processing tasks. By ensuring a copy of the data is available if the primary database fails. By centralizing all data in a single database for easier management. By allowing unrestricted access to the primary database for all users.

By ensuring a copy of the data is available if the primary database fails. Replication creates distributed redundant data to improve availability. If the primary database fails or becomes unavailable, replication ensures that a copy of the data is still accessible, contributing to the firm's overall data protection strategy.

How does a data flow diagram (DFD) contribute to system analysis and design? By executing the data flows in the system. By providing a detailed breakdown of each subprocess. By providing a clear view of how data moves through the system. By replacing the need for system analysis.

By providing a clear view of how data moves through the system. DFDs play a crucial role in system analysis and design by providing a clear visualization of how data flows within a system. They serve as documentation for future reference, helping both current team members and new members understand the system.

What method involves in-depth research of a specific individual, group, or event over a specified time period using multiple data collection methods? Experiments. Case studies. Focus groups. Observations.

Case studies. Case studies involve in-depth research of a specific individual, group, or event over a specified time period using multiple data collection methods.

What is the purpose of the Structured Query Language (SQL) command INNER JOIN? Modifies existing records in a table. Combines rows from two or more tables based on a related column between them. Deletes records from a table. Retrieves data from one or more tables.

Combines rows from two or more tables based on a related column between them.

Which of the following categories is not a part of the Trust Services Criteria considered for SOC 2 engagements? Security Processing integrity Consistency Availability

Consistency The Trust Services Criteria for SOC 2 engagements include security, availability, processing integrity, confidentiality, and privacy. Consistency is not one of the Trust Services Criteria.

In the context of data lifecycle management (DLM), what is the primary purpose of the data audit and monitoring phase? Ensuring data accessibility and integrity during storage. Sharing or distributing data to different stakeholders within an organization. Continuous monitoring and auditing of data usage, access, and changes. Retaining data for historical or compliance purposes.

Continuous monitoring and auditing of data usage, access, and changes. Continuous monitoring and auditing of data usage, access, and changes are key activities in the data audit and monitoring phase. This helps ensure data integrity and compliance and identifies potential security breaches or misuse.

The component of internal control that mitigates risks to achievement of objectives is Risk assessment Monitoring Control environment Control activities

Control activities Control activities are the policies and procedures that support the mitigation of risks to achievement of objectives. They may be (1) preventive or detective; (2) automated or manual; and (3) applied to authorizations and approvals, verifications, reconciliations, and performance reviews.

The actions taken to manage risk and increase the likelihood that established objectives and goals will be achieved are best described as Supervision. Control activities. Compliance. Quality assurance.

Control activities. Control activities manage risk and increase the likelihood that established objectives and goals will be achieved.

reflects the attitude and actions of the board and management regarding the significance of control within the organization.

Control environment.

What is the initial stage in data lifecycle management (DLM) when data is generated or collected? Data creation. Data storage. Data audit and monitoring. Data processing and analysis.

Data creation. The initial stage in DLM is the data creation phase, when data is generated or collected by individuals, organizations, or devices.

What action is crucial for compliance with data privacy regulations in data lifecycle management (DLM)? Data audit and monitoring. Data distribution. Data deletion. Data creation.

Data deletion. Data deletion is crucial for compliance with data privacy regulations in DLM. When data are no longer needed or when the retention period expires, secure deletion ensures adherence to data privacy regulations, especially regarding the removal of personal or sensitive information.

Which data storage system is characterized by storing a very large amount of raw data, usually unprocessed and in its native format, until needed for a specific task? Data lake. Data mart. Star schema. Data warehouse.

Data lake. A data lake is a storage system that stores a vast amount of raw data, typically unprocessed and in its native format, until it is needed for a specific task. It serves as a repository for various types of data, both structured (e.g., tables) and unstructured (e.g., text or video).

Each of the following is one of the COSO internal control framework's five components that are accepted as the standard for the design and operation of internal control systems except Risk assessment. Monitoring. Control environment. Data management.

Data management. The COSO internal control framework specifically includes the five components of control activities, risk assessment, information and communication, monitoring, and control environment. Data management is not included as one of the internal control components.

What is the primary purpose of a data dictionary in a relational database? Describing the data elements of a database, providing names, definitions, and attributes. Enforcing valid entries for a given column through data type restrictions. Maintaining consistency between pairs of tables. Ensuring the uniqueness of each row in a table.

Describing the data elements of a database, providing names, definitions, and attributes. A data dictionary is a set or collection of names, definitions, and attributes that describe the data elements of a database. Data dictionaries provide descriptions that allow users to understand the meaning and purpose of the data element, an integral part of a relational database, as they contain metadata describing the structures and objects in the database.

What are servers in the context of IT systems? Programs that manage data storage and retrieval. The software used to operate and manage computer hardware. Devices or programs that provide services to other computers or programs. The physical spaces where IT systems are housed.

Devices or programs that provide services to other computers or programs. Servers can offer a variety of services, such as web hosting, email, file storage, and database management. They play a crucial role in supporting the infrastructure and functionality of IT systems by responding to requests from client devices or programs.

Who is responsible for planning and implementing internal control in an organization? All employees equally. Independent auditors. Directors and management. Regulators.

Directors and management. Management and the board of directors are responsible for planning and implementing internal control.

What is the primary purpose of normalization in database design, specifically addressed by the third normal form (3NF)? Maintaining consistency between pairs of tables using foreign key relationships. Enforcing valid entries for a given column through data type restrictions. Eliminating duplicate data and simplifying queries. Ensuring the uniqueness of each row in a table through primary key assignment.

Eliminating duplicate data and simplifying queries. Normalization, particularly the 3NF, aims to eliminate duplicate data and simplify queries. In 3NF, all non-key columns are independent of each other, ensuring that each column is directly related to the primary key and not to any other columns in the same table. This minimizes data redundancy and avoids anomalies in database operations.

Internal control cannot be designed to provide reasonable assurance regarding Availability of reliable data for decision-making purposes and protection of important documents and records. Elimination of all fraud. Mitigation of risk. Reducing the cost of an internal audit.

Elimination of all fraud. Internal control is a process designed to provide reasonable assurance regarding the achievement of the entity's objectives. It cannot provide absolute assurance because of the following inherent limitations: (1) human judgment is faulty and controls may fail as a result of simple errors or mistakes, (2) management may override controls, (3) collusion may circumvent controls, and (4) the cost of controls must not exceed its benefits. Thus, no system can be designed to eliminate all fraud.

Internal control cannot be designed to provide reasonable assurance regarding Elimination of all fraud. Reducing the cost of an internal audit. Mitigation of risk. Availability of reliable data for decision-making purposes and protection of important documents and records.

Elimination of all fraud. Internal control is a process designed to provide reasonable assurance regarding the achievement of the entity's objectives. It cannot provide absolute assurance because of the following inherent limitations: (1) human judgment is faulty and controls may fail as a result of simple errors or mistakes, (2) management may override controls, (3) collusion may circumvent controls, and (4) the cost of controls must not exceed its benefits. Thus, no system can be designed to eliminate all fraud.

The objectives of internal control involve safeguarding assets, promoting reliable financial reporting, ensuring efficient operations, and Requiring management to justify decisions. Encouraging employees to follow entity policy. Ensuring maximum profits. Supporting the internal audit function.

Encouraging employees to follow entity policy.

To be effective, controls must not only be designed properly but also need to be Enforced. Legally justified. Fully documented. Approved by the board of directors.

Enforced. It is not sufficient for control to be properly designed. They must also be enforced by management.

Each of the following is a function of the data governance process in IT systems except Ensuring the integrity of data. Ensuring the accessibility of data. Ensuring the usability of data. Ensuring the oversight of data.

Ensuring the oversight of data. Data governance processes are designed to ensure the integrity, accessibility, and usability of data, so that data is accurate, consistent, and available when needed. Oversight, while important, is more related to the management and monitoring processes rather than the core functions of data governance.

A SOC 3 engagement is different from a SOC 2 engagement because a SOC 3 report Must contain a disclaimer about any assurances. Expresses an opinion on management's assertion rather than on the description and system directly. Expresses no opinion but assures the users that management's assertion is valid. Must be limited to users inside the entity.

Expresses an opinion on management's assertion rather than on the description and system directly. A SOC 3 opinion on operating effectiveness of controls is similar to a SOC 2 Type 2 report. However, the opinion is on management's assertion that the controls were effective, not directly on the controls.

Which of the following frameworks is a regulation? PCI DSS. GDPR. COBIT. COSO.

GDPR. General Data Protection Regulation (GDPR) is a comprehensive data privacy law enacted by the European Union (EU) in 2018. It aims to safeguard the personal data of EU citizens and residents, regardless of where the data are processed. GDPR grants individuals more control over their data, requires organizations to obtain explicit consent for data collection, mandates clear privacy policies, and imposes strict security measures. GDPR enhances data protection, transparency, and accountability.

Which framework requires appropriate actions by law? COSO Enterprise Risk Management - Integrating with Strategy and Performance. ISO 26000 - Social Responsibility. Occupational Safety and Health Act of 1970 (OSHA). Health Insurance Portability and Accountability Act (HIPAA).

Health Insurance Portability and Accountability Act (HIPAA). Some frameworks focus more on enterprise cyber risks, while others relate more generally to safeguarding information, mitigating fraud, or promoting effective reporting. Two frameworks, HIPAA and General Data Protection Regulation (GDPR), are regulations that require appropriate actions by law.

What is the key consequence of lacking appropriate oversight and leadership at the top in an organization? Decreased employee satisfaction. Enhanced corporate culture. Hindered achievement of objectives. Increased focus on long-term outcomes.

Hindered achievement of objectives. Without appropriate oversight and leadership at the top, an organization cannot expect to achieve its objectives.

What is a data center primarily used for? Housing and operating computer systems, including servers and networking equipment. Providing a platform for database management. Interconnecting various computing devices in an organization. Managing the physical hardware of a computer system.

Housing and operating computer systems, including servers and networking equipment. Data centers are specialized facilities designed to store and manage large amounts of data, providing a controlled environment to ensure the optimal performance and security of IT infrastructure.

How does a service level agreement (SLA) relate to system availability? It documents the system's hardware and software specifications. It tracks the personal usage of the system by individual employees. It is a contract specifying the level of service and availability that must be provided by a service provider. It is a legal requirement for all IT systems, regardless of their use.

It is a contract specifying the level of service and availability that must be provided by a service provider. An SLA is a contract between a system service provider and a client that specifies the level of service and availability required from the provider. SLAs often include specific language about maximum allowable downtime, recovery times, and other measures of availability, ensuring that the provider meets the agreed-upon standards.

Which of the following statements about a data warehouse is correct? It is contained within an operational database. It must be continuously updated to remain relevant. It is created from a data mart for a special purpose. It provides data to operational databases.

It must be continuously updated to remain relevant. A data warehouse is a large, centralized data management system designed primarily to support an organization's reporting and data analytics activities. They are common in most organizations and store a potentially vast number of current and historical records optimized for reading and writing operations (updating the database and reporting from the database). A data warehouse must be continuously updated to remain relevant.

Which principle under the COSO enterprise risk management (ERM) framework's Information, Communication, and Reporting component involves using available platforms to leverage and consolidate cloud computing information and technology data? Leverages Information Technology. Reports on Risk, Culture, and Performance. Defines Risk Appetite. Communicates Risk Information.

Leverages Information Technology. This principle focuses on utilizing technology to collect, process, and analyze information, enabling better decision-making and more efficient risk management processes.

Which of the following methods is used to automatically collect data from connected Internet of Things (IoT) devices? Surveys. Machine data collection. Interviews. Observations.

Machine data collection. Machine data collection involves the automatic collection of data from sensors or machines performing specific tasks. This method has grown with the increasing use of IoT devices.

The primary responsibility for establishing and maintaining control activities rests with External auditors Mgmt. Controller or treasurer Internal auditors

Mgmt. Internal control is a process, effected by those charged with governance, management, and other personnel, designed to provide reasonable assurance about the achievement of the entity's objectives with regard to reliability of financial reporting, effectiveness and efficiency of operations, and compliance with applicable laws and regulations.

Cybersecurity is essential to the success of any 21st century company. To that end, any IT specialist must by familiar with which framework that deals with cybersecurity? COBIT. PCI DSS. GDPR. NIST CSF.

NIST CSF. One of the many frameworks an IT specialist should be knowledgeable about is the National Institute of Standards and Technology (NIST) Framework for Improving Critical Infrastructure Cybersecurity (also called the Cybersecurity Framework or CSF). It provides a structured approach for managing cybersecurity risks to prevent damage to, protect, and restore computers, electronic communications systems, electronic communications services, wire communication, and electronic communication, including information contained therein, to ensure its availability, integrity, authentication, confidentiality, and nonrepudiation.

SELECT employees.firstName, employees.lastName, departments.name AS departmentName, COUNT(*) OVER(PARTITION BY departments.name) AS departmentCount FROM employees INNER JOIN departments ON employees.departmentId = departments.id WHERE departments.name = 'Accounting' AND employees.startDate > '2022-01-01' ORDER BY employees.lastName; Which of the following statements accurately describes the purpose and functionality of the provided SQL query? The query retrieves the first and last names of employees in the Accounting Department who started before January 1, 2022, and includes a count of all employees in each department. The query returns the first and last names of all employees who started after January 1, 2022, and have been assigned to the Accounting Department, ordered by last name.

The query returns the first and last names of all employees who started after January 1, 2022, and have been assigned to the Accounting Department, ordered by last name.

Which of the following is a true statement about incremental backups? They are faster and consume less storage per backup session than a full backup. Restoration from incremental backups is simpler than from full backups. They do not require a full backup for complete restoration. They back up the entire dataset each time.

They are faster and consume less storage per backup session than a full backup. Incremental backups are beneficial because they are faster and consume the least amount of storage per session. They back up only the data that has changed since the last backup, making them efficient in terms of time and storage space required.

What is a characteristic of data marts? They handle a wide variety of data such as structured and unstructured data. They eliminate data redundancy in dimension tables. They are smaller, more focused, and quicker for data retrieval than a full data warehouse. They store raw, unprocessed data in its native format.

They are smaller, more focused, and quicker for data retrieval than a full data warehouse. Data marts are smaller, more focused subsets of a data warehouse that are quicker for data retrieval in specific areas.

What is the purpose of conducting security tests in software change management? To evaluate the software's impact on the company's sales. To check for vulnerabilities and security flaws in the system. To ensure the software is user-friendly. To assess the effectiveness of customer service provided by the software.

To check for vulnerabilities and security flaws in the system. Security tests are performed to identify vulnerabilities and security flaws within the software system. These tests can be extensive and are crucial for ensuring the security and integrity of the system. They are typically conducted by specialized teams within the firm or by third-party experts.

What is the primary purpose of applying patches in IT systems? To gather user feedback on software performance. To close security vulnerabilities and optimize system performance. To change the core functionalities of software applications. To reduce the overall functionality of software for cost savings.

To close security vulnerabilities and optimize system performance. The primary purpose of applying patches in IT systems is to address security vulnerabilities and enhance the performance of software and devices. Patches are vendor-issued updates that play a critical role in maintaining the security and efficiency of IT systems.

Why are user acceptance tests (UATs) important in software development? To ensure the system meets technical performance benchmarks. To confirm the system does what the user expects it to do. To primarily focus on the aesthetic design of the software. To test the software's ability to handle financial transactions.

To confirm the system does what the user expects it to do.

In the COSO ERM framework, what is the purpose of defining a desired culture for cloud usage? To enforce regulatory compliance. To ensure technical proficiency in cloud computing. To delineate the behaviors that support the organization's use of cloud computing. To establish a uniform cloud computing platform across the organization.

To delineate the behaviors that support the organization's use of cloud computing. By establishing a desired culture, executive management sets the tone for how cloud computing should be integrated into the organization's operations, ensuring that behaviors and practices align with the organization's mission, vision, core values, strategy, and business objectives.

In the COSO ERM framework, why is it important for executive management to define the cloud usage culture? To establish how cloud computing supports the organization's mission, vision, core values, strategy, and business objectives. To provide a uniform cloud computing platform across the organization. To enforce regulatory compliance across the organization. To ensure technical proficiency in cloud computing.

To establish how cloud computing supports the organization's mission, vision, core values, strategy, and business objectives. By defining the cloud usage culture, executive management sets the tone for how cloud computing aligns with the organization's overall goals and values. This helps ensure that cloud initiatives are strategically integrated and that the organization's cloud usage supports its broader objectives.

What is the primary purpose of data lifecycle management (DLM)? To retain data for historical purposes. To distribute data to different stakeholders. To organize and secure data repositories. To generate and collect data.

To organize and secure data repositories. DLM involves planning, implementing, and managing the entire data life cycle to optimize data assets, reduce costs, and minimize risks. The primary purpose is to organize and secure data repositories, such as databases, data warehouses, data marts, or data lakes, ensuring accessibility and integrity.

What is the primary purpose of a database management system (DBMS)? To manage the accessibility and security of the data in a system. To manage the physical hardware of a computer system. To connect multiple computing devices in a network. To provide an interface for the creation, retrieval, updating, and management of data in a database.

To provide an interface for the creation, retrieval, updating, and management of data in a database. A DBMS allows users to efficiently interact with the database by providing tools and functions to handle data operations, ensuring that the data is organized, accessible, and managed effectively.

What is the primary purpose of a database management system (DBMS)? To provide an interface for the creation, retrieval, updating, and management of data in a database. To manage the accessibility and security of the data in a system. To manage the physical hardware of a computer system. To connect multiple computing devices in a network.

To provide an interface for the creation, retrieval, updating, and management of data in a database. A DBMS is specifically designed to act as an intermediary between users or application programs and the physical database. Its primary function is to ensure a systematic and efficient way of managing and accessing the data.

What is the primary purpose of a data warehouse? To store raw, unprocessed data in its native format. To handle a wide variety of data such as structured and unstructured data. To support an organization's reporting and data analytics activities. To act as a subset or portion of a data warehouse focused on a specific area.

To support an organization's reporting and data analytics activities. The primary purpose of a data warehouse is to support an organization's reporting and data analytics activities by storing current and historical records optimized for reading and writing operations.

Most governance and control frameworks use a Top-down approach. Bottom-up approach. Centralized approach. Lateral approach.

Top-down approach Most frameworks use a top-down approach to define appropriate actions and activities, emphasizing that proper corporate governance is essential for effective control. This concept is related to the "tone at the top."

A senior executive of an international organization who wishes to demonstrate the importance of the security of company information to all team members should Refer to the organization's U.S. human resources policies on privacy in a company newsletter. Review and accept the information security risk assessments in a staff meeting. Allocate additional budget resources for external audit services. Visibly participate in a global information security campaign.

Visibly participate in a global information security campaign. Through words and actions, management communicates its attitude toward integrity and ethical values. In this way, management sets the tone at the top. By visibly participating in a global information security campaign, management's commitment to the security of company information is evident to all team members.

What is a foreign key in the context of a relational database? A set of attributes that refers to the primary key of another table, logically linking the tables. A unique value generated by the contact management system (CMS). A primary key that uniquely identifies each record in a table. A unique value generated by the sales register system.

A set of attributes that refers to the primary key of another table, logically linking the tables.

What does the circle symbol as shown below represent in a business process flowchart? The start or end of a process. An input or output point. A decision point. A connector, especially when a flowchart is split over multiple pages.

A connector, especially when a flowchart is split over multiple pages. Circles in a business process flowchart are sometimes used to denote connectors, especially when a flowchart is split over multiple pages.

What does the rectangle symbol as shown below represent in a business process flowchart? The start or end of a process. A process step or action. An input or output point. A decision point.

A process step or action.

In a business process flowchart, what does a rectangle symbol represent? A process step or action. Input or output points. Decision points based on conditions. The start or end of a process.

A process step or action. This symbol is used to indicate specific tasks, activities, or operations that are part of the overall process being documented. It helps illustrate the sequence of actions and how they flow within the process.

When a service organization uses a subservice organization and the carve-out method is used by the subservice auditor, the service organization should Be silent about the use of a subservice organization. Identify the nature of the services performed by the subservice organization. Disclaim any assurance based on the subservice organization. State that the controls at the subservice organization are not important to meeting the user's needs.

Identify the nature of the services performed by the subservice org. Using the carve-out method, the components of the subservice organization's system used to provide the services to the service organization are excluded from the description of the service organization's system and from the scope of the examination. However, management's system description does identify (1) the nature of the services performed by the subservice organization; (2) the types of controls expected to be performed at the subservice organization that are necessary, in combination with controls at the service organization, to provide reasonable assurance that the service organization's service commitments and system requirements were achieved; and (3) the controls at the service organization used to monitor the effectiveness of the subservice organization's controls.

What characterizes a direct conversion approach in system change management? Immediately stopping the old system and starting the new system. Running the new system in parallel with the old system. Gradually implementing a new system over an extended period. Testing the new system in a limited department before full implementation.

Immediately stopping the old system and starting the new system. A direct conversion approach in system change management involves a sudden switch from the old system to the new one. It is like flipping a switch where the older system is stopped, and the new system is started immediately. This approach is risky due to the potential for system failures, especially when the new system is part of a larger, interconnected system.

What principle under the Performance component of the COSO enterprise risk management (ERM) framework involves designing processes and controls to implement risk responses for cloud computing risk? Implements Risk Responses. Identifies Risk. Assesses Severity of Risk. Prioritizes Risks.

Implements Risk Responses. This principle focuses on designing and implementing actions to mitigate risks in line with the organization's risk appetite. By doing so, it helps ensure that identified risks are managed effectively through appropriate processes and controls.

Which cloud computing service virtualizes computing resources, such as storage and networking (but not software) over the Internet? Platform as a Service (PaaS). Software as a Service (SaaS). Infrastructure as a Service (IaaS). Hardware components as a service.

Infrastructure as a Service (IaaS). IaaS provides virtualized computing resources over the Internet, including servers, storage, and networking. It allows organizations to rent these resources as needed, providing flexibility and scalability without the need to invest in physical hardware.

Which of the following describes the snowflake schema in data warehousing? It is a large, centralized data management system. It eliminates data redundancy in dimension tables. It uses a fact table at the center, radiating dimension tables. It stores raw, unprocessed data in its native format.

It eliminates data redundancy in dimension tables. The snowflake schema eliminates data redundancy in dimension tables by normalizing them, extending the star shape into a more complex web resembling a snowflake.

What is the definition of patch management? A system for managing customer data exclusively. The method for increasing sales through software upgrades. The process of redesigning the user interface of software applications. The process of applying updates to close security vulnerabilities and optimize performance.

The process of applying updates to close security vulnerabilities and optimize performance. Patch management is the process of applying vendor-issued updates to software and devices. The primary objectives of patch management are to close security vulnerabilities and optimize the performance of these systems. This is a crucial aspect of maintaining the security and efficiency of IT systems.

Which of the following is a preventive and detective control to ensure that all inventory shipments are billed to customers? Shipping documents are prenumbered and are independently accounted for and matched with sales invoices. Customer billing complaints are investigated by the controller's office. Duties for recording sales transactions and maintaining customer account balances are separated. Sales invoices are prenumbered and are independently accounted for and traced to the sales journal.

Shipping documents are prenumbered and are independently accounted for and matched with sales invoices. Shipping documents are prepared at the time of shipment. They are prenumbered to facilitate detection of unrecorded shipments. A gap in the sequence of documents may indicate an irregularity. An employee outside the shipping department should account for these documents. Sales invoices are generated by the organization's computer system at the same time as the shipping documents and should have the same numbers. Thus, every shipping document should be matched with a sales invoice to ensure proper billing.

What is the objective of the first normal form (1NF) in the context of database design? Organizing data to avoid data anomalies. Ensuring all non-key columns are fully dependent on the primary key. Simplifying queries by allowing each record to be unique. Eliminating duplicate data.

Simplifying queries by allowing each record to be unique. The objective of the 1NF is to simplify queries by allowing each table cell to contain a single value, and each record needs to be unique.

A large retail corporation is implementing a customer information system managed by a third-party service provider. To ensure customer information data is private and secure, the corporation requires an audit of the service provider's systems. Which report should the corporation request to sufficiently evaluate the design and effectiveness of the relevant controls at the service organization? SOC 1 report Compliance attestation report SOC 2 report SOC 3 report

Soc 2 report A SOC 2 report is specifically used by customers and business partners interested in the controls of a service provider that impact the security, availability, processing integrity, confidentiality, and privacy of the systems.

In a SOC engagement, a service organization may be audited for the controls relevant to its services. Which of the following best describes what a service auditor is expected to report on in a SOC engagement? The fair presentation of historical financial statements of a service organization. Common controls and practices across similar service organizations, assessing the service organization's adherence to industry standards and benchmarks. The internal controls at the service organization over financial reporting because it may affect the financial statements of the user entities that outsource services to it. The financial condition and future viability of the service organization, thereby providing assurance to stakeholders on the long-term sustainability of its operations.

The internal controls at the service organization over financial reporting because it may affect the financial statements of the user entities that outsource services to it. A service auditor conducting a SOC 1 engagement is expected to report on the service organization's internal controls over financial reporting because it affects the financial statements of user entities, thereby providing assurance to the user entities' auditors.

What does a service level agreement (SLA) in cloud computing typically specify? The level of service and availability that the provider must furnish to the client. The process of data backup and disaster recovery. The physical location of the cloud infrastructure. The programming languages and tools available for application development.

The level of service and availability that the provider must furnish to the client. An SLA is a contract between the service provider and the client that outlines the expected service levels, including uptime, response times, and support. It sets the expectations for the quality of service and the responsibilities of both parties, ensuring that the provider meets agreed-upon performance standards.

Consider the following SQL query: SELECT name, age FROM employees WHERE department = 'Sales'; What does the SQL query retrieve from the Employees table? The names and ages of employees who work in the Sales Department. The departments and ages of all employees. All information available for employees in the Sales Department. The names and ages of all employees in the database.

The names and ages of employees who work in the Sales Department. This SQL query is designed to select and retrieve two specific columns, name and age, from the Employees table. The WHERE clause restricts the results to only those employees whose department is Sales; therefore, it fetches the names and ages of employees working in the Sales Department.

When CyberTrust Insurance undergoes its SOC 2 Type 2 examination, which objective will be primarily demonstrated by the content of the independent service auditor's report? The accuracy of CyberTrust's forecasting models for cyber threat anticipation based on the analysis of control data. The profitability and efficiency of CyberTrust's operations and the impact of controls on financial performance. The effectiveness of CyberTrust's outreach and marketing strategies as they relate to controls over data handling. The operating effectiveness of CyberTrust's controls related to the security, availability, processing integrity, confidentiality, and privacy of data.

The operating effectiveness of CyberTrust's controls related to the security, availability, processing integrity, confidentiality, and privacy of data. The objective of a SOC 2 Type 2 report is to provide opinions on the operating effectiveness of an organization's controls, particularly those related to security, availability, processing integrity, confidentiality, and privacy of data.