Certified Information Systems Auditor

Question: 38
Company.com has contracted with an external consulting firm to implement a commercial financial system to replace its existing in-house developed system. In reviewing the proposed development approach, which of the following would be of GREATEST concern?

A. Acceptance testing is to be managed by users.
B. A quality plan is not part of the contracted deliverables.
C. Not all business functions will be available on initial implementation.
D. Prototyping is being used to confirm that the system meets business requirements.

Answer: B

Question: 39
In a public key infrastructure (PKI), the authority responsible for the identification and authentication of an applicant for a digital certificate (i.e., certificate subjects) is the:

A. registration authority (RA).
B. issuing certification authority (CA).
C. subject CA.
D. policy management authority.
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Answer: A

Question: 40
Which of the following is a data validation edit and control?

A. Hash totals
B. Reasonableness checks
C. Online access controls
D. Before and after image reporting

Answer: B

Question: 41
A control that detects transmission errors by appending calculated bits onto the end of each segment of data is known as a:

A. reasonableness check.
B. parity check.
C. redundancy check.
D. check digits.

Answer: C

Question: 42
What is the primary objective of a control self-assessment (CSA) program?

A. Enhancement of the audit responsibility
B. Elimination of the audit responsibility
C. Replacement of the audit responsibility
D. Integrity of the audit responsibility

Answer: A

Question: 43
IS auditors are MOST likely to perform compliance tests of internal controls if, after their initial evaluation of the controls, they conclude that control risks are within the acceptable limits. True or false?

A. True
B. False

Answer: A

Question: 44
As compared to understanding an organization’s IT process from evidence directly collected, how valuable are prior audit reports as evidence?

A. The same value.
B. Greater value.
C. Lesser value.
D. Prior audit reports are not relevant.

Answer: C

Question: 45
What is the PRIMARY purpose of audit trails?

A. To document auditing efforts
B. To correct data integrity errors
C. To establish accountability and responsibility for processed transactions
D. To prevent unauthorized access to data

Answer: C

Question: 46
How does the process of systems auditing benefit from using a risk-based approach to audit planning?

A. Controls testing starts earlier.
B. Auditing resources are allocated to the areas of highest concern.
C. Auditing risk is reduced.
D. Controls testing is more thorough.

Answer: B

Question: 47
After an IS auditor has identified threats and potential impacts, the auditor should:

A. Identify and evaluate the existing controls
B. Conduct a business impact analysis (BIA)
C. Report on existing controls
D. Propose new controls

Answer: A

Question: 48
The use of statistical sampling procedures helps minimize:

A. Detection risk
B. Business risk
C. Controls risk
D. Compliance risk

Answer: A

Question: 49
What type of risk results when an IS auditor uses an inadequate test procedure and concludes that material errors do not exist when errors actually exist?

A. Business risk
B. Detection risk
C. Residual risk
D. Inherent risk

Answer: B

Question: 50
A primary benefit derived from an organization employing control self-assessment (CSA) techniques is that it can:

A. Identify high-risk areas that might need a detailed review later
B. Reduce audit costs
C. Reduce audit time
D. Increase audit accuracy

Answer: C

Question: 51
What type of approach to the development of organizational policies is often driven by risk assessment?

A. Bottom-up
B. Top-down
C. Comprehensive
D. Integrated

Answer: B

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