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CISA: Certified Information Systems Auditor
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certifications
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cisa
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it-skills
Instructions:
Answer 50 questions in 15 minutes.
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Match each statement with the correct term.
Don't refresh. All questions and answers are randomly picked and ordered every time you load a test.
This is a study tool. The 3 wrong answers for each question are randomly chosen from answers to other questions. So, you might find at times the answers obvious, but you will see it re-enforces your understanding as you take the test each time.
1. The memory locations in the CPU where arithmetic values are stored.
Capability Maturity Model
Buffers
Registers
Information security policy
2. To ensure that input values are within established ranges - of the correct character types - and free of harmful contents.
Gantt Chart
(1.) Man-made (2.) Natural
Expected Error Rate
Input validation checking
3. The purpose of an auditor doing interviews - To observe personnel to better understand their discipline - as well as ______________.
Information systems access
ITIL definition of PROBLEM
Overall audit risk
Organizational culture and maturity
4. An audit to determine the level and degree of compliance to a law - regulation - standard - contract provision - or internal control.
A Compliance audit
Security Awareness program
OSI: Physical Layer
Substantive Testing (test of transaction integrity)
5. To review and approve proposed changes to systems and infrastructure. This helps to reduce the risk of unintended events and unplanned downtime.
Change management
OSI: Transport Layer
Audit Methodologies
Reduced sign-on
6. An auditor has detected potential fraud while testing a control objective - He should ___________________. Because Audit committee members are generally not involved in business operations - they will be sufficiently remove from the matter - and they
General Controls
The 4-item focus of a Balanced Scorecard
Power system controls
Notify the Audit Committee
7. (1.) Link (2.) Internet (3.) Transport (4.) Application
Sampling
TCP/IP Network Model
Annualized Loss Expectance (ALE)
OSI: Physical Layer
8. An auditor has reviewed access privileges of some employees and has discovered that employees with longer terms of service have excessive privileges. This means User privileges are not being removed from their old position when they transfer to a new
ITIL definition of PROBLEM
(1.) Polices (2.) Procedures (3.) Standards
Employees with excessive privileges
Business Continuity
9. An organization wants to reduce the number of user IDs and passwords that its employees need to remember. The best available solution to this - _______________. This provides a single authentication service (such as LDAP or AD) that many applications
Server cluster
Elements of the COBIT Framework
Reduced sign-on
Control Risk
10. A software developer has informed the project manager that a portion of the application development is going to take five additional days to complete. The project manager make a __________________ to document the reason for the change.
Disaster Recovery
IT executives and the Board of Directors
TCP/IP Network Model
Project change request
11. Used to measure the relative maturity of an organization and its processes.
Concentrate on samples known to represent high risk
A Service Provider audit
Capability Maturity Model
ITIL definition of PROBLEM
12. An audit report usually includes the following 10 elements: (1.) Cover letter (2.) Introduction (3.) Summary (4.) Audit description (5.) _______________ (6.) Interviewees (7.) Evidence (8.) Explanation of sampling techniques (9.) Findings (10.) Recom
List of systems examined
Inherent Risk
Entire password for an encryption key
An Operational Audit
13. Concerns the reliability of data transfer between systems. (1.) Connection Oriented (2.) Guaranteed Delivery (3.) Order of Delivery
Deming Cycle
OSI: Transport Layer
The Requirements
Controls
14. (1.) Developers (2.) Architects (3.) Analysts (4.) Users
Personnel involved in the requirements phase of a software development project
Volumes of COSO framework
Transport Layer Protocols
Antivirus software on the email servers
15. (1.) Operational (2.) Financial (3.) Integrated (4.) IS (5.) Administrative (6.) Compliance (7.) Forensic (8.) Service Provider
The Eight Types of Audits
An Administrative
Wet pipe fire sprinkler system
Inherent Risk
16. Use of a set of monitoring and review activities that confirm whether IS operations is providing service to its customers.
Categories of risk treatment
Concentrate on samples known to represent high risk
Entire password for an encryption key
Service Level Management
17. (1.) Automatic (2.) Manual
The two Categories of Controls
Antivirus software on the email servers
Notify the Audit Committee
Options for Risk Treatment
18. The probability that a sample selected actually represents the entire population. This is usually expressed as a percentage.
Confidence coefficient
Information systems access
TCP/IP Internet Layer
The Internet Layer in the TCP/IP model
19. Collections of Controls that work together to achieve an entire range of an organization's objectives.
Frameworks
Vulnerability in the organization's PBX
Foreign Key
Judgmental sampling
20. Guide program execution through organization of resources and development of clear project objectives.
Separate administrative accounts
The Steering Committee
Statement of Impact
Project Management Strategies
21. (1.) Observations (2.) Written Notes (3.) Correspondence (4.) Process and Procedure documentation (5.) Business records
Emergency Changes
ITIL definition of CHANGE MANAGEMENT
An Operational Audit
The 5 types of Evidence that the auditor will collect during an audit.
22. (1.) Physical (2.) Technical (4.) Administrative
Buffers
Reduced sign-on
Three Types of Controls
Incident Management
23. An organization is building a data center in an area frequented by power outages. The organization cannot tolerate power outages. The best _________________solution is an electric generator and an uninterruptible power supply. The UPS responds to the
Critical Path Methodology
Power system controls
Risk Management
Data Link Layer Standards
24. One of a database table's fields - whose value is unique.
The 5 types of Evidence that the auditor will collect during an audit.
Database primary key
Critical Path Methodology
Business Realization
25. Used for several types of system changes: (1.) Incidents and problem resolution (bug fixes.) (2.) Enhancements (new functionality.) (3.) Subsystem patches and changes (require testing similar to when changes are made to the application itself.)
Rating Scale for Process Maturity
The Software Program Library
The Release process
Antivirus software on the email servers
26. A collection of two or more servers that is designed to appear as a single server.
Server cluster
Cloud computing
Deming Cycle
An Administrative
27. The delivery of messages from one station to another via one or more networks.. Routes packets between networks.
A Problem
The first step in a business impact analysis
OSI: Network Layer
The appropriate role of an IS auditor in a control self-assessment
28. To determine effectiveness of a disaster recovery program - an IT auditor should examine _____________.
The first step in a business impact analysis
Service Level Management
Business Continuity
Documentation and interview personnel
29. What type of testing is performed to determine if control procedures have proper design and are operating properly?
General Controls
Compliance Testing
Elements of the COSO pyramid
Stratified Sampling
30. Consists of 11 distinct activities: (1.) Service Desk (2.) Incident Management (3.) Problem Management (4.) Change Management (5.) Configuration Management (6.) Release Management (7.) Service-level Management (8.) Financial Management (9.) Capacity
Cloud computing
IT Service Management
Service Level Management
Detection Risk
31. Critical Path Methodology helps a project manager determine which activities are on a project's critical list - ________________________.
To identify the tasks that are responsible for project delays
A Sample Mean
The best approach for identifying high risk areas for an audit
More difficult to perform
32. Focuses on: maintaining service availability with the least disruption to standard operating parameters during an event
A Sample Mean
Lacks specific expertise or resources to conduct an internal audit
Buffers
Business Continuity
33. The annual expected loss to an asset. It is calculated as the single loss expectancy (SLE) X the annualized rate of occurrence (ARO.)
Database primary key
Annualized Loss Expectance (ALE)
Input validation checking
ISO 20000 Standard:
34. Should include 4 steps: (1.) Emergency Approval (2.) Implementation (3.) Verification (4.) Review
Emergency Changes
TCP/IP Link Layer
Disaster Recovery
IT executives and the Board of Directors
35. An external IS auditor has discovered a _______________________ - The external auditor can only document the finding in the audit report. An external auditor is not in a position to implement controls.
Segregation of duties issue in a high value process
Volumes of COSO framework
Confidence coefficient
Risk Management
36. IT Governance is most concerned with ________.
IT Strategy
Grid Computing
Audit logging
A Server Cluster
37. Handle application processing
Statistical Sampling
COSO (Committee of Sponsoring Organizations of the Treadway Commission)
Application Controls
Employees with excessive privileges
38. A technique that is used to select a portion of a population when it is not feasible to test an entire population.
Sampling
A gate process
Sampling Risk
objective and unbiased
39. Risk Mitigation Risk Avoidance Risk Transfer Risk Acceptance
Foreign Key
Options for Risk Treatment
Judgmental sampling
Incident Management
40. Framework for auditing and measuring IT Service Management Processes.
Sampling Risk
The 7 phases and their order in the SDLC
ISO 20000 Standard:
Deming Cycle
41. The process of recording the configuration of IT systems. Each configuration setting is known in ITSM parlance as a Configuration Item.
less than 24 hours
Configuration Management
IT Strategy
The two Categories of Controls
42. An audit of a third-party organization that provides services to other organizations.
Compliance Testing
Application Controls
A Service Provider audit
Notify the Audit Committee
43. (1.) Reliable delivery (2.) Connection oriented (persistent connection) (3.) Order of Delivery (4.) Flow Control (transfer rate is throttled) (5.) Port Number
Cloud computing
Examples of IT General Controls
Information security policy
TCP/IP Transport Layer packet delivery
44. An audit of an accounting system - accounting department processes - and procedures to determine if business controls are sufficient to ensure the integrity of financial statements.
(1.) Polices (2.) Procedures (3.) Standards
A Financial Audit
Transport Layer Protocols
OSI Layer 7: Application
45. A critical application is backed up once per day. The recovery point objective (RPO) for an application that is backed up once per day cannot be ________.
less than 24 hours
The best approach for identifying high risk areas for an audit
Audit Methodologies
Primary security features of relational databases
46. An organization has chosen to open a business office in another country where labor costs are lower and has hired workers to perform business functions there. - The organization is ___________ - while they may have opened the office in a foreign coun
Antivirus software on the email servers
A Financial Audit
General Controls
Insourcing
47. The set of activities that is concerned with the ability of the organization to continue to provide services - primarily in the event that a natural or man made disaster has occurred.
objective and unbiased
Assess the maturity of its business processes
Service Continuity Management
Business impact analysis
48. The probability that a sample selected does not represent the entire population. This is usually expressed as a percentage - as the numeric inverse of the confidence coefficient.
(1.) Man-made (2.) Natural
TCP/IP Transport Layer
Expected Error Rate
Sampling Risk
49. A facility that is used to store and manage access to an organization's application source and object code. It consists of 5 parts: (1.) Access and authorization controls (2.) Program checkout (3.) Program Check-in (4.) Version Control (5.) Code Ana
Stay current with technology
TCP/IP Network Model
The Software Program Library
Business Continuity
50. A sampling technique where items are chosen based upon the auditor's judgment - usually based on risk or materiality.
Balanced Scorecard
Judgmental sampling
Dimensions of the COSO cube
The Steering Committee
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