Q: 4
A legacy financial system requires the user to manually enter the time and date of transactions to
meet regulatory requirements. A recent internal audit has shown that these fields are often blank.
Which are TWO effective controls that could improve compliance?
Modify the application to automatically add the current date and time when a transaction is entered
Establish a communication plan to remind users of the importance of including the date and time on
transactions
Develop a goals cascade so that all staff know their role in achieving company goals
Create a report showing non-compliant records and take appropriate action to correct them
Options
Discussion
D . Automating the date/time field takes away user error, and reports on non-compliance help catch anything missed. If they’d asked for just prevention or just awareness, I’d think twice, but ITIL likes both. Disagree?
Option D fits best. Automating the date/time is a direct preventive control, and reporting on non-compliance closes the loop. Pretty sure that's the combo ITIL likes for actual enforcement, but open to a different take.
Its A, because modifying the app and a comms plan both help reduce blanks from users.
Maybe A, since it mentions modifying the app and reminding users which feels like decent controls for compliance.
I don’t think B is right, D is. The question asks for effective controls, so automating the timestamp (1) stops blanks and a report (4) lets you detect and fix any misses. Pretty sure most official ITIL practice exams push this combo.
Yeah, D gets it right. Automating the field (1) actually prevents blanks and running a report (4) lets you spot and fix any misses. Both controls together hit ITIL's preventive and detective angles, I think.
I don’t think A covers it, D is more in line with ITIL controls. Option 2 is just awareness, but option 4 actually lets you catch and fix compliance gaps.
A is wrong, D for sure. Automation (1) prevents future blanks and reporting (4) helps catch issues that slip through. Saw similar on an exam report so pretty confident here.
Both controls in D hit the main ITIL points, so D. Automate and audit, that’s compliance best practice.
D makes sense. Preventive control by automating plus detective action with reporting. Pretty sure that's what ITIL expects here.
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