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Test your basic knowledge |
CISA: Certified Information Systems Auditor
Start Test
Study First
Subjects
:
certifications
,
cisa
,
it-skills
Instructions:
Answer 50 questions in 15 minutes.
If you are not ready to take this test, you can
study here
.
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. (1.) Observations (2.) Written Notes (3.) Correspondence (4.) Process and Procedure documentation (5.) Business records
The 5 types of Evidence that the auditor will collect during an audit.
less than 24 hours
Categories of risk treatment
Documentation and interview personnel
2. n audit strategy and plans that include: (1.) Scope (2.) Objectives (3.) Resources (4.) Procedures used to evaluation controls and processes
Formal waterfall
The audit program
Types of sampling an auditor can perform.
Database primary key
3. (1.) Access Control (2.) Change Management (3.) Security Controls (4.) Incident Management (5.) SDLC (6.) Source code and versioning controls (7.) Monitoring and logging (8.) Event Management
Sampling Risk
Examples of IT General Controls
Primary security features of relational databases
Lacks specific expertise or resources to conduct an internal audit
4. Guide program execution through organization of resources and development of clear project objectives.
Audit logging
OSI: Physical Layer
Project Management Strategies
Transport Layer Protocols
5. (1.) Avoidance (2.) Transfer (3.) Mitigation (4.) Acceptance
To identify the tasks that are responsible for project delays
Configuration Management
Application Controls
Categories of risk treatment
6. (1.) Access controls (2.) Encryption (3.) Audit logging
Primary security features of relational databases
Expected Error Rate
Main types of Controls
Control Unit
7. (1.) Executive Summary (2.) Governance and control framework (3.) Control Objectives (4.) Management Guidelines (5.) Implementation Guide (6.) IT Assurance Guide
Elements of the COBIT Framework
Substantive Testing (test of transaction integrity)
IT Strategy
TCP/IP Internet Layer
8. Framework for auditing and measuring IT Service Management Processes.
ISO 20000 Standard:
Project change request
A Service Provider audit
WAN Protocols
9. Used to schedule and sequence activities in a waterfall-type representation. Planned activities are shown flowing downward to completion. More simplistic than a PERT Diagram.
TCP/IP Link Layer
Gantt Chart
Segregation of duties issue in a high value process
Sampling Risk
10. An audit to determine the level and degree of compliance to a law - regulation - standard - contract provision - or internal control.
Volumes of COSO framework
Substantive Testing (test of transaction integrity)
A Compliance audit
Configuration Management
11. The risk that there are material weaknesses in existing business processes and no compensating controls to detect or prevent them
A Forensic Audit
Categories of risk treatment
ISO 20000 Standard:
Inherent Risk
12. 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
Frameworks
Detection Risk
Cloud computing
13. Define 10 elements of an Audit - (1.) Subject of audit (2.) Audit Objective (3.) Type of audit (4.) Audit scope (5.) Pre-audit planning (6.) Audit procedures (7.) Communication plan (8.) Report Preparation (9.) Wrap-up (10.) Post-audit follow-up
Cloud computing
Audit Methodologies
Segregation of duties issue in a high value process
Server cluster
14. Outsourcing is an opportunity for the organization to focus on core competencies. When an organization oursources a business function - it no longer needs to be concerned about training employees in that function. Outsources does not always reduce co
Inform the auditee
Registers
Annualized Loss Expectance (ALE)
Advantages of outsourcing
15. (1.) General (2.) Application
Risk Management
Power system controls
Main types of Controls
Inform the auditee
16. Used to control connections that are established between systems (1.) TCP (2.) IPC (3.) SIP (Session Initiation Protocol) (4.) RPC (Remote Procedure Call) (5.) NetBIOS
OSI Layer 5: Session
Blade Computer Architecture
Deming Cycle
A Service Provider audit
17. A dynamically scalable and usually virtualized computing environment that is provided as a service. Clout computing services may be rented or leased so that an organization can have a scalable application without the need for supporting hardware.
(1.) Man-made (2.) Natural
Cloud computing
Elements of the COBIT Framework
Structural fires and transportation accidents
18. One of a database table's fields - whose value is unique.
Cloud computing
Six steps of the Release Management process
Database primary key
Network Layer Protocols
19. The probability that a sample selected does not represent the entire population. This is usually expressed as a percentage - the numeric inverse of the confidence coefficient
The Release process
Sampling Risk
COSO (Committee of Sponsoring Organizations of the Treadway Commission)
IT standards are not being reviewed often enough
20. Subjective sampling is used when the auditor wants to _________________________.
Configuration Management
Control Unit
Antivirus software on the email servers
Concentrate on samples known to represent high risk
21. To determine effectiveness of a disaster recovery program - an IT auditor should examine _____________.
Six steps of the Release Management process
Notify the Audit Committee
Documentation and interview personnel
Stay current with technology
22. An active - instance of a server operating system running on a machine that is designed to house two or more such virtual servers.
Geographic location
Dimensions of the COSO cube
Concentrate on samples known to represent high risk
A Virtual Server
23. 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 CHANGE MANAGEMENT
TCP/IP Network Model
Employees with excessive privileges
Control Unit
24. A programmer is updating an application that saves passwords in plaintext. In this case - Passwords should be stored in a _____. This makes it impossible for any person to retrieve a password - which could lead to account compromise.
Hash
ITIL - IT Infrastructure Library
Incident Management
PERT Diagram?
25. Focuses on: maintaining service availability with the least disruption to standard operating parameters during an event
Rating Scale for Process Maturity
Business Continuity
Audit logging
PERT Diagram?
26. A computation of the variance of sample values from the sample mean. This is a measurement of the spread of values in a sample
Annualized Loss Expectance (ALE)
The 4-item focus of a Balanced Scorecard
IT executives and the Board of Directors
Sample Standard Deviation
27. The 5 types of risks that are related to audits include: (1.) Control Risk (2.) Detection Risk (3.) Inherent risk (4.) _____________ (5.) Sampling risk
Overall audit risk
The two Categories of Controls
Examples of IT General Controls
IT Services Financial Management
28. Should include 4 steps: (1.) Emergency Approval (2.) Implementation (3.) Verification (4.) Review
General Controls
Expected Error Rate
Emergency Changes
Annualized Loss Expectance (ALE)
29. 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
A Cold Site
List of systems examined
TCP/IP Link Layer
Control Unit
30. Deliver messages from one station to another on the same network or on different networks. Messaging at this layer is not guaranteed.
Examples of IT General Controls
OSI Layer 6: Presentation
Input validation checking
TCP/IP Internet Layer
31. 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
Configuration Management
Notify the Audit Committee
Lacks specific expertise or resources to conduct an internal audit
The 7 phases and their order in the SDLC
32. A sampling technique used to permit sampling to stop at the earliest possible time. This technique is used when the auditor feels that there is a low risk or low rate of exceptions in the population.
Stop-or-go Sampling
Wet pipe fire sprinkler system
A Virtual Server
Dimensions of the COSO cube
33. 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 ________.
Data Link Layer Standards
Assess the maturity of its business processes
less than 24 hours
Risk Management
34. (1.) Authentication (2.) Authorization (3.) Change Management (4.) Completeness checks (5.) Validation checks (6.) Input controls (7.) Output controls (8.) Problem management (9.) Identification/access controls
Examples of Application Controls
SDLC Phases
Insourcing
The 4-item focus of a Balanced Scorecard
35. A sampling technique used to study the characteristics of a population to determine how many samples possess a specific characteristic.
Assess the maturity of its business processes
Attribute Sampling
Examples of Application Controls
OSI Layer 6: Presentation
36. A sampling technique where a population is divided into classes or strata - based upon the value of one of the attributes. Samples are then selected from each class.
TCP/IP Transport Layer packet delivery
The appropriate role of an IS auditor in a control self-assessment
Disaster Recovery
Stratified Sampling
37. What activity involves the identification of potential risk and the appropriate response for each threat based on impact assessment using qualitative and/or quantitative measures for an enterprise-wide risk management strategy?
ISO 20000 Standard:
Risk Management
(1.) Polices (2.) Procedures (3.) Standards
The 5 types of Evidence that the auditor will collect during an audit.
38. (1.) Utility (DNS - SNMP - DHCP (2.) Messaging protocols (SMTP) (3.) Data Transfer protocols (NFS - FTP) (4.) Interactive protocols (Telnet)
The Internet Layer in the TCP/IP model
A Cold Site
Application Layer protocols
TCP/IP Internet Layer
39. A condition that is the result of multiple incidents that exhibit common symptoms e.g. A web application is displaying information incorrectly and many users have contacted the IT service desk.
A Problem
Employees with excessive privileges
Disaster Recovery
Examples of Application Controls
40. A CMM helps an organization to _______________ - which is an important first step to any large-scale process improvement effort.
Assess the maturity of its business processes
IT executives and the Board of Directors
Registers
Precision means
41. (1.) Executive Summary (2.) Framework (3.) Reporting to External Parties (4.) Evaluation Tools
Assess the maturity of its business processes
Balanced Scorecard
Volumes of COSO framework
PERT Diagram?
42. What three elements allow validation of business practices against acceptable measures of regulatory compliance - performance - and standard operational guidelines.
(1.) Polices (2.) Procedures (3.) Standards
The appropriate role of an IS auditor in a control self-assessment
SDLC Phases
An IS audit
43. The highest number of errors that can exist without a result being materially misstated.
The appropriate role of an IS auditor in a control self-assessment
Entire password for an encryption key
Tolerable Error Rate
A Virtual Server
44. A field in a record in one table that can reference a primary key in another table that can reference a primary key in another table.
Foreign Key
Segregation of duties issue in a high value process
Organizational culture and maturity
Deming Cycle
45. Describes the effect on the business if a process is incapacitated for any appreciable time
Department Charters
Variable Sampling
TCP/IP Transport Layer packet delivery
Statement of Impact
46. The IS auditor should conduct a risk assessment first to determine which areas have highest risk. She should devote more testing resources to those high-risk areas.
More difficult to perform
(1.) Polices (2.) Procedures (3.) Standards
The best approach for identifying high risk areas for an audit
A gate process
47. The risk that a material error exists that will not be prevented or detected by the organization's control framework - The possibility that a process or procedure will be unable to prevent or deter serious errors and wrongdoing.
The Eight Types of Audits
COSO (Committee of Sponsoring Organizations of the Treadway Commission)
Control Risk
Reduced sign-on
48. The result of strategic planning - process development - and systems development - which all contribute towards a launch of business operations to reach a set of business objectives.
Release management
Incident Management
The Eight Types of Audits
Business Realization
49. (1.) Automatic (2.) Manual
The two Categories of Controls
Referential Integrity
Stratified Sampling
Variable Sampling
50. 1.) Executive Support (2.) Well-defined roles and responsibilities.
Prblem Management
Examples of Application Controls
The 4-item focus of a Balanced Scorecard
Information security policy