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Managers’ Internal Control Program Training: Sailor Scenario Option Answers

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QuestionsAnswers
Case 1: Many hazardous materials are assigned an “in-use” quantity, which represents a reasonable amount required to have on hand for normal operations. Dispensing hazardous materials to the shops in accordance with these limits would be considered what type of control?C. Preventative
Case Question 2:
Storage of hazardous materials aboard ships is governed by OPNAV Instruction 5100.19E, Naval Safety and Occupational Health Program for Forces Afloat. This represents which type of control?
D. Directive
Case Question 3
One objective of Shipboard Damage Control is “detection and localization” of damage.
During a risk assessment, it was noted that a major risk to this objective is missing or inoperative equipment used by damage control personnel.
An appropriate control to mitigate this specific risk would be:
B. Frequent inventories and operational checks of damage
control equipment
Case Question 4
The case study highlights many internal controls, to include directives, shipboard inspections, inventory systems and hazardous materials procedures, among others.
Which of the following statements is true of the shipboard environment in which the fire occurred?
B. Internal controls existed but were not always effective in
their design and operation.
Case Question 5
When interviewed during the subsequent investigation, one crew member admitted that he and his shipmates sometimes stored refrigerant oil and other materials in work spaces in order to have them “on hand” because it was “hard to get things from HAZMAT.”
This view led to the accumulation of flammable substances in an unauthorized area. It also reflects which of the following limitations of internal controls?
D. Collusion (willful circumvention of controls)
Case Question:
Subsequent to this incident, the Naval Sea Systems Command (NAVSEA) convened a separate investigation into the effect that deactivation and removal of the auxiliary boiler (SHIPALT CVN68-8053K) might have had on the fire.
Determining how the findings of this investigation might indicate hazards on other ships would be an example of:
B. Risk analysis
Case Question
The failure of the HAZMAT division to enter into HICS the Direct Turnover (DTO) of refrigerant compressor oil to work center EA-03 allowed the oil to remain unaccounted for. What feature of HICS would be considered a control activity that might have prevented the accumulation of oil, had it been entered into the system?
C. System-generated “delinquent turn-in” notice alerting
HAZMAT division to contact work center EA-03
Case Question
Which of the following would be considered examples of Information and Communication? (Select all that apply.)
B. The Hazardous Inventory Control System, a real-time
database of hazardous materials, to include quantities and
current locations
C. Ship’s “plates” or drawings that depict spaces and
structures within a ship
D. After finding refrigerant oil being stored improperly (prior
to the fire), the CHENG telling his department heads to
inspect their spaces for similar violations
F. Making the ship’s smoking policy is available on the ship’s
intranet
Case Question:
The Naval Safety Center conducted a safety survey of the USS George Washington several months prior to the incident and found 171 total discrepancies, which they noted as average for a ship of this class.
Tracking the results of inspections over time and developing statistics with which to compare performance are examples of:
D. Monitoring
Case Question:
The ship’s MIC Coordinator asked the MIC Coordinator from the Auxiliary Division for assistance in updating the ship’s MIC Plan. The updated version should include which of the following? (Select all that apply.)
A. Description and documentation of monitoring efforts

B. Existing control deficiencies and their corrective actions

C. Internal controls testing being performed

E. Risk assessments and a description of how risk is
assessed
Case Question:
As a way to test the effectiveness of operation of the Hazardous Waste Inventory System (HICS), a Chief is assigned to watch as a member of the HAZMAT division generates exception reports and prepares notifications to shops that have excessive quantities of HAZMAT outstanding.
This is an example of which type of internal control testing?
B. Observation
Case Question:
One of the internal controls in the Damage Control process was noted to be periodic inspections of fire extinguishers throughout the ship. Test results indicated that inspections were being conducted frequently enough to mitigate the risk of failure. However, while interviewing some of the crew, investigators found that some crew members were not adequately trained to perform the inspections and were not checking critical items, which might have led to a false sense that extinguishers were in proper working order.
The test results show that this internal control:
A. Is designed effectively but not operating effectively
Case Question:
In the year that followed, the HAZMAT Division was able to report reasonable assurance that its controls were in place and working effectively.
Which of the following is the weakest support for this assurance?
C. No additional fires in the same area of the ship
Case Question:
When initially asked for milestones for the “hazardous material storage and handling” material weakness, the shop’s MIC Coordinator wrote:
“Pass next Material and Maintenance Management (3M) Assessment scheduled in 18 months.”
What can be done to improve the milestones for this material weakness? (Select all that apply.)
B. Add quarterly milestones leading up to the goal of passing
the upcoming 3M Assessment.

C. Identify specific internal controls that can be improved
or added to correct the deficiency.

D. Ensure that milestones produce results that are
measurable so that progress can be reported.
Case Question:
As part of the ship’s certification statement, the MIC coordinator made sure to include many accomplishments to show improvements in specific controls and the overall control environment. Which of the following would be considered a control-related accomplishment? (Select all that apply.)
A. Ship’s smoking policy is added to the ship’s indoctrination,
as well as being made available on the ship’s intranet.

B. Results from random inspections of damage control
equipment show sharp improvement over time.

C. System modification to the Hazardous Inventory Control
System allows greater visibility into the amounts, dates, and
shops to which HAZMAT has been issued.

D. Process improvements are made reduce the amount of time
between the completion of a ship alteration and the
corresponding updates to the ship’s drawings.
Case Question:
The MIC Coordinator on the ship collected input on control deficiencies and accomplishments from various departments. Once the certification was complete and signed, to whom would she submit it?
D. The MIC Coordinator of the next higher level in the MIC
reporting chain.
Core Question 1
A contingency operation plan calls for an organization to periodically back up its information systems in the event of system outage and/or server errors. The backup files restore the system to its expected state.
This is an example of which type of control?
D. Corrective
Core Question 2
Which of the following controls would be the most useful in detecting an employee who is stealing cash?
B. The manager performs periodic surprise cash counts.
Core Question 3
A repair center’s objective is to maintain accurate inventory of government furnished equipment. One risk to this objective is failure to confirm shipments are received by contractors.
Which of the following is a detective control that would best mitigate this risk?
C. Establish an automated reporting system that generates
alerts for overdue confirmations
Core Question 4
When designing an effective internal control, which of the following should not be taken into account?
B. Owner of the process
Core Question 5
An employee uses his government purchase card to buy two laptops, keeping one for personal use and giving the other to his coworker. The coworker is responsible for approving all purchase card transactions for their organization.
By working together and circumventing controls, the employees demonstrated what kind of control limitation?
A. Collusion
Core Question:
An inspector reviews an organization and determines that the control environment is excellent. Which of the following statements would she have likely heard in her candid interviews with staff?
1. “Everyone in the office is quite clear as to their job responsibilities.”
2. “The procedure for handling classified documents is not really written down anywhere; we just all know what to do, more or less.”
3. “There are so many hoops to jump through to do anything, most of the time we do not bother, or we look for a way around it.”
4. “Whenever I make a transaction above a certain amount, the written procedure is to have my boss sign off on it.”
5. “Once per quarter, we have an independent auditor come in to do random checks of our transaction records.”
6. “We are required to lock up the office at the end of each day, but none of us are really sure what is at risk if we do not lock up. “

C. 1, 4, 5
Core Question:
Which of the following statements related to risk assessment is false?
C. A single risk analysis methodology is used throughout
the federal government, in every agency.
Core Question:
Which of the following would be considered control activities? (Select all that apply.)
A. Restricted access to medical records

B. Monthly review of purchase card transactions by
organization

C. Policies on approval of overtime and compensatory time

D. Review of contract documents to ensure compliance
with Federal Acquisition Regulations
Core Question:
Effective information and communication practices should occur: (Select all that apply.)
B. With external groups that can affect the organization’s
mission and goals

C. Throughout the organization – flowing down, up, and
across all levels
Core Question:
Which of the following items would not be an example of monitoring?
B. After implementing a new system with additional
controls, a headquarters organization maintains metrics
for improper payments made by its subordinate units.
Core Question:
Which of the following represent goals of the MIC program? (Select all that apply.)
B. To comply with the requirements of FMFIA and OMB
Circular A-123

D. To ensure that the Department of the Navy has a
sound internal controls program in place
Core Question:
MIC Program implementation is the responsibility of a MIC Coordinator, although the fundamentals and importance of internal controls should be understood by:
D. All Department of the Navy employees
Core Question:
Which of the following best represents the order of activities associated with the annual MIC process?
B. Process documentation, risk assessment,
controls identification, testing, and SOA reporting
Core Question:
Certain operations are susceptible to certain hazards, such as fire or explosion. Even though controls are put in place to reduce the likelihood of occurrence, the original susceptibility to these hazards is always there.
This is called:
B. Inherent risk
Core Question:
Which type of test would involve an individual sitting next to a worker to see firsthand the activities that make up a particular task?
A. Observation

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