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1. During an IS audit of the disaster recovery plan (DRP) of a global enterprise, the auditor
observes that some remote offices have very limited local IT resources. Which of the
following observations would be the MOST critical for the IS auditor?
A. A test has not been made to ensure that local resources could maintain security and
service standards when recovering from a disaster or incident.
B. The corporate business continuity plan (BCP) does not accurately document the
systems that exist at remote offices.
C. Corporate security measures have not been incorporated into the test plan.
D. A test has not been made to ensure that tape backups from the remote offices are
usable.
2. Which of the following ways is the BEST for an IS auditor to verify that critical production
servers are running the latest security updates released by the vendor?
A.
B.
C.
D.
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6. An internal IS audit function is planning a general IS audit. Which of the following activities
takes place during the FIRST step of the planning phase?
A.
B.
C.
D.
7. What would be the MOST effective control for enforcing accountability among database
users accessing sensitive information?
A.
B.
C.
D.
8. When auditing the IT governance framework and IT risk management practices that exist
within an organization, the IS auditor identified some undefined responsibilities regarding IT
management and governance roles. Which of the following recommendations is the MOST
appropriate?
A.
B.
C.
D.
9. The internal IS audit team is auditing controls over sales returns and is concerned about
fraud. Which of the following sampling methods would BEST assist the IS auditors?
A.
B.
C.
D.
Stop-or-go
Classical variable
Discovery
Probability-proportional-to-size
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10. An IS auditor is evaluating a virtual machinebased (VM-based) architecture used for all
programming and testing environments. The production architecture is a three-tier physical
architecture. What is the MOST important IT control to test to ensure availability and
confidentiality of the web application in production?
A.
B.
C.
D.
11. Which of the following is the MOST important skill an IS auditor should develop to
understand the constraints of conducting an audit?
A.
B.
C.
D.
Contingency planning
IS management resource allocation
Project management
Knowledge of internal controls
12. With the help of a security officer, granting access to data is the responsibility of:
A.
B.
C.
D.
data owners.
programmers.
system analysts.
librarians.
13. During a human resources (HR) audit, an IS auditor is informed that there is a verbal
agreement between the IT and HR departments as to the level of IT services expected. In
this situation, what should the IS auditor do FIRST?
A.
B.
C.
D.
14. Which of the following is the BEST indicator of the effectiveness of backup and restore
procedures while restoring data after a disaster?
A.
B.
C.
D.
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15. Which of the following should an IS auditor use to detect duplicate invoice records within an
invoice master file?
A.
B.
C.
D.
Attribute sampling
Computer-assisted audit techniques (CAATs)
Compliance testing
Integrated test facility (ITF)
16. An IS auditor is reviewing security controls for a critical web-based system prior to
implementation. The results of the penetration test are inconclusive, and the results will not
be finalized prior to implementation. Which of the following is the BEST option for the IS
auditor?
A. Publish a report based on the available information, highlighting the potential security
weaknesses and the requirement for follow-up audit testing.
B. Publish a report omitting the areas where the evidence obtained from testing was
inconclusive.
C. Request a delay of the implementation date until additional security testing can be
completed and evidence of appropriate controls can be obtained.
D. Inform management that audit work cannot be completed prior to implementation and
recommend that the audit be postponed.
17. During an audit of a small enterprise, the IS auditor noted that the IS director has superuserprivilege access that allows the director to process requests for changes to the application
access roles (access types). Which of the following should the IS auditor recommend?
A. Implement a properly documented process for application role change requests.
B. Hire additional staff to provide a segregation of duties (SoD) for application role
changes.
C. Implement an automated process for changing application roles.
D. Document the current procedure in detail, and make it available on the enterprise
intranet.
18. Which of the following situations is addressed by a software escrow agreement?
A.
B.
C.
D.
19. Neural networks are effective in detecting fraud because they can:
A.
B.
C.
D.
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20. An information security policy stating that the display of passwords must be masked or
suppressed addresses which of the following attack methods?
A.
B.
C.
D.
Piggybacking
Dumpster diving
Shoulder surfing
Impersonation
21. An IS auditor is determining the appropriate sample size for testing the existence of program
change approvals. Previous audits did not indicate any exceptions, and management has
confirmed that no exceptions have been reported for the review period. In this context, the
IS auditor can adopt a:
A.
B.
C.
D.
22. Which of the following environmental controls is appropriate to protect computer equipment
against short-term reductions in electrical power?
A.
B.
C.
D.
23. Which of the following is the MOST important IS audit consideration when an organization
outsources a customer credit review system to a third-party service provider? The provider:
A.
B.
C.
D.
24. What is the BEST approach to mitigate the risk of a phishing attack?
A.
B.
C.
D.
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25. Although management has stated otherwise, an IS auditor has reasons to believe that the
organization is using software that is not licensed. In this situation, the IS auditor should
FIRST:
A.
B.
C.
D.
26. During a review of a business continuity plan, an IS auditor noticed that the point at which a
situation is declared to be a crisis has not been defined. The MAJOR risk associated with
this is that:
A.
B.
C.
D.
Project sponsor
System development project team (SDPT)
Project steering committee
User project team (UPT)
28. An IS auditor discovers that uniform resource locators (URLs) for online control selfassessment questionnaires are sent using URL shortening services. The use of URL
shortening services would MOST likely increase the risk of which of the following attacks?
A.
B.
C.
D.
29. Which of the following is the GREATEST risk of an organization using reciprocal
agreements for disaster recovery between two business units?
A.
B.
C.
D.
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30. Which of the following is the PRIMARY requirement in reporting results of an IS audit? The
report is:
A.
B.
C.
D.
31. Which of the following is the MAIN reason an organization should have an incident response
plan? The plan helps to:
A.
B.
C.
D.
32. An IS auditor is reviewing the physical security measures of an organization. Regarding the
access card system, the IS auditor should be MOST concerned that:
A. nonpersonalized access cards are given to the cleaning staff, who use a sign-in sheet
but show no proof of identity.
B. access cards are not labeled with the organizations name and address to facilitate easy
return of a lost card.
C. card issuance and rights administration for the cards are done by different departments,
causing unnecessary lead time for new cards.
D. the computer system used for programming the cards can only be replaced after three
weeks in the event of a system failure.
33. An organization is replacing a payroll program that it developed in-house, with the relevant
subsystem of a commercial enterprise resource planning (ERP) system. Which of the
following would represent the HIGHEST potential risk?
A.
B.
C.
D.
34. Which of the following is the BEST factor for determining the required extent of data
collection during the planning phase of an IS compliance audit?
A.
B.
C.
D.
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35. An IS auditor is developing an audit plan for an environment that includes new systems. The
companys management wants the IS auditor to focus on recently implemented systems.
How should the IS auditor respond?
A.
B.
C.
D.
37. During a postimplementation review, which of the following activities should be performed?
A.
B.
C.
D.
38. Normally, it would be essential to involve which of the following stakeholders in the initiation
stage of a project?
A.
B.
C.
D.
System owners
System users
System designers
System builders
39. When reviewing an active project, an IS auditor observed that the business case was no
longer valid because of a reduction in anticipated benefits and increased costs. The IS
auditor should recommend that the:
A.
B.
C.
D.
project be discontinued.
business case be updated and possible corrective actions be identified.
project be returned to the project sponsor for reapproval.
project be completed and the business case be updated later.
40. When auditing the archiving of the companys email communications, the IS auditor should
pay the MOST attention to:
A.
B.
C.
D.
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41. While evaluating software development practices in an organization, an IS auditor notes that
the quality assurance (QA) function reports to project management. The MOST important
concern for an IS auditor is the:
A. effectiveness of the QA function because it should interact between project management
and user management.
B. efficiency of the QA function because it should interact with the project implementation
team.
C. effectiveness of the project manager because the project manager should interact with
the QA function.
D. efficiency of the project manager because the QA function will need to communicate with
the project implementation team.
42. Which of the following does a lack of adequate controls represent?
A.
B.
C.
D.
An impact
A vulnerability
An asset
A threat
43. Which of the following choices is the PRIMARY benefit of requiring a steering committee to
oversee IT investment?
A.
B.
C.
D.
44. Which of the following issues should be the GREATEST concern to the IS auditor when
reviewing an IT disaster recovery test?
A. Due to the limited test time window, only the most essential systems were tested. The
other systems were tested separately during the rest of the year.
B. During the test, some of the backup systems were defective or not working, causing the
test of these systems to fail.
C. The procedures to shut down and secure the original production site before starting the
backup site required far more time than planned.
D. Every year, the same employees perform the test. The recovery plan documents are not
used because every step is well known by all participants.
45. The information security policy that states each individual must have his/her badge read at
every controlled door addresses which of the following attack methods?
A.
B.
C.
D.
Piggybacking
Shoulder surfing
Dumpster diving
Impersonation
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46. When reviewing the procedures for the disposal of computers, which of the following should
be the GREATEST concern for the IS auditor?
A. Hard disks are overwritten several times at the sector level but are not reformatted
before leaving the organization.
B. All files and folders on hard disks are separately deleted, and the hard disks are
formatted before leaving the organization.
C. Hard disks are rendered unreadable by hole-punching through the platters at specific
positions before leaving the organization.
D. The transport of hard disks is escorted by internal security staff to a nearby metal
recycling company, where the hard disks are registered and then shredded.
47. Which of the following would be the BEST approach to ensure that sufficient test coverage
will be achieved for a project with a strict end date and a fixed time to perform testing?
A.
B.
C.
D.
48. An IS auditor is reviewing the software development process for an organization. Which of
the following functions would be appropriate for the end users to perform?
A.
B.
C.
D.
49. When protecting an organizations IT systems, which of the following is normally the next
line of defense after the network firewall has been compromised?
A.
B.
C.
D.
Personal firewall
Antivirus programs
Intrusion detection system (IDS)
Virtual local area network (VLAN) configuration
50. Which of the following groups is the BEST source of information for determining the
criticality of application systems as part of a business impact analysis (BIA)?
A.
B.
C.
D.
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Malware on servers
Firewall misconfiguration
Increased spam received by the email server
Unauthorized network activities
52. The effect of which of the following should have priority in planning the scope and objectives
of an IS audit?
A.
B.
C.
D.
53. From a risk management point of view, the BEST approach when implementing a large and
complex IT infrastructure is:
A.
B.
C.
D.
55. After the merger of two organizations, multiple self-developed legacy applications from both
organizations are to be replaced by a new common platform. Which of the following would
be the GREATEST risk?
A. Project management and progress reporting is combined in a project management office
which is driven by external consultants.
B. The replacement effort consists of several independent projects without integrating the
resource allocation in a portfolio management approach.
C. The resources of each of the organizations are inefficiently allocated while they are
being familiarized with the other companys legacy systems.
D. The new platform will force the business areas of both organizations to change their
work processes, which will result in extensive training needs.
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56. The MOST appropriate action for an IS auditor to take when shared user accounts are
discovered is to:
A.
B.
C.
D.
57. Which of the following would MOST effectively enhance the security of a challengeresponse based authentication system?
A.
B.
C.
D.
58. The PRIMARY objective of the audit initiation meeting with an IS audit client is to:
A.
B.
C.
D.
is configured with an implicit deny rule as the last rule in the rule base.
is installed on an operating system with default settings.
has been configured with rules permitting or denying access to systems or networks.
is configured as a virtual private network (VPN) endpoint.
60. An IS auditor observed that users are occasionally granted the authority to change system
data. This elevated system access is not consistent with company policy yet is required for
smooth functioning of business operations. Which of the following controls would the IS
auditor MOST likely recommend for long-term resolution?
A.
B.
C.
D.
61. Which of the following can be used to help ensure confidentiality of transmitted data?
Encrypting the:
A.
B.
C.
D.
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62. An IS auditor is reviewing the most recent disaster recovery plan (DRP) of an organization.
Which approval is the MOST important when determining the availability of system
resources required for the plan?
A.
B.
C.
D.
Executive management
IT management
Board of directors
Steering committee
63. To ensure that audit resources deliver the best value to the organization, the FIRST step
would be to:
A.
B.
C.
D.
schedule the audits and monitor the time spent on each audit.
train the IS audit staff on current technology used in the company.
develop the audit plan on the basis of a detailed risk assessment.
monitor progress of audits and initiate cost control measures.
64. When conducting an IT security risk assessment, the IS auditor asked the IT security officer
to participate in a risk identification workshop with users and business unit representatives.
What is the MOST important recommendation that the IS auditor should make to obtain
successful results and avoid future conflicts?
A.
B.
C.
D.
Ensure that the IT security risk assessment has a clearly defined scope.
Require the IT security officer to approve each risk rating during the workshop.
Suggest that the IT security officer accept the business unit risk and rating.
Select only commonly accepted risk with the highest submitted rating.
65. The computer security incident response team (CSIRT) of an organization disseminates
detailed descriptions of recent threats. An IS auditors GREATEST concern should be that
the users may:
A.
B.
C.
D.
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67. Which of the following is the MOST efficient way to test the design effectiveness of a change
control process?
A.
B.
C.
D.
68. When an organizations disaster recovery plan (DRP) has a reciprocal agreement, which of
the following risk treatment approaches is being applied?
A.
B.
C.
D.
Transfer
Mitigation
Avoidance
Acceptance
69. Which of the following issues should be a MAJOR concern to an IS auditor who is reviewing
a service level agreement (SLA)?
A.
B.
C.
D.
70. An IS auditor should ensure that review of online electronic funds transfer (EFT)
reconciliation procedures should include:
A.
B.
C.
D.
vouching.
authorizations.
corrections.
tracing.
71. Which of the following would BEST help to prioritize project activities and determine the time
line for a project?
A.
B.
C.
D.
A Gantt chart
Earned value analysis (EVA)
Program evaluation review technique (PERT)
Function point analysis (FPA)
72. Who should review and approve system deliverables as they are defined and accomplished
to ensure the successful completion and implementation of a new business system
application?
A.
B.
C.
D.
User management
Project steering committee
Senior management
Quality assurance staff
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73. During fieldwork, an IS auditor experienced a system crash caused by a security patch
installation. To provide reasonable assurance that this event will not recur, the IS auditor
should ensure that:
A.
B.
C.
D.
74. Due to resource constraints of the IS audit team, the audit plan as originally approved
cannot be completed. Assuming that the situation is communicated in the audit report, which
course of action is MOST acceptable?
A.
B.
C.
D.
75. A legacy payroll application is migrated to a new application. Which of the following
stakeholders should be PRIMARILY responsible for reviewing and signing-off on the
accuracy and completeness of the data before going live?
A.
B.
C.
D.
IS auditor
Database administrator
Project manager
Data owner
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