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A distinction that can be made between compliance testing
and substantive testing is that compliance testing tests:

A. details, while substantive testing tests procedures.

B. controls, while substantive testing tests details.

C. plans, while substantive testing tests procedures.

D. for regulatory requirements, while substantive testing
tests validations.
 Question Submitted By :: CISA-Certification
I also faced this Question!!     Answer Posted By  
# 1
Answer: B

Compliance testing involves determining whether controls
exist as designed whereas substantive testing relates to
detailed testing of transactions/procedures. Compliance
testing does not involve testing of plans. Regulatory
requirements are not by themselves tested directly in
compliance testing, but controls in place to ensure
regulatory compliance are checked.
Is This Answer Correct ?    23 Yes 2 No
# 2
Compliance testing checks whether controls exist to satisfy
the control objectives.
While Substantive testing checks the effectivenesss of
these controls by testing integrity of individual
transactions and information
Is This Answer Correct ?    4 Yes 2 No
Harshil Shah
# 3
Compliance test is used to check the presence of a process
or control to address a specific risk ( authorization
required for allowing access to the building ) while
Substantive test will give an idea as to how far the
process has been adhered from a sample of transactions from
that process ( how many were provided access without the
required authorization )
Is This Answer Correct ?    2 Yes 1 No
Sivakumar Tv

Other CISA Certification Interview Questions
  Question Asked @ Answers
Which of the following line media would provide the BEST security for a telecommunication network? A. Broad band network digital transmission B. Baseband network C. Dial-up D. Dedicated lines   1
A retail company recently installed data warehousing client software at geographically diverse sites. Due to time zone differences between the sites, updates to the warehouse are not synchronized. Which of the following will be affected the MOST? A. Data availability B. Data completeness C. Data redundancy D. Data inaccuracy   1
When developing a risk management program, the FIRST activity to be performed is a/an: A. threats assessment. B. classification of data. C. inventory of assets. D. criticality analysis.   1
An IS auditor, in evaluating proposed biometric control devices reviews the false rejection rates (FRRs), false acceptance rates (FARs) and equal error rates (ERRs) of three different devices. The IS auditor should recommend acquiring the device having the: A. least ERR. B. most ERR. C. least FRR but most FAR. D. least FAR but most FRR.   1
When reviewing an organization's logical access security, which of the following would be of the MOST concern to an IS auditor? A. Passwords are not shared. B. Password files are encrypted. C. Redundant logon IDs are deleted. D. The allocation of logon IDs is controlled.   1
The knowledge base of an expert system that uses questionnaires to lead the user through a series of choices before a conclusion is reached is known as: A. rules. B. decision trees. C. semantic nets. D. data flow diagrams.   1
Which of the following normally would be the MOST reliable evidence for an auditor? A. A confirmation letter received from a third party verifying an account balance B. Assurance from line management that an application is working as designed C. Trend data obtained from World Wide Web (Internet) sources D. Ratio analysis developed by the IS auditor from reports supplied by line management   1
Which of the following programs would a sound information security policy MOST likely include to handle suspected intrusions? A. Response B. Correction C. Detection D. Monitoring   1
When reviewing the implementation of a LAN the IS auditor should FIRST review the: A. node list. B. acceptance test report. C. network diagram. D. user's list.   1
What is a risk associated with attempting to control physical access to sensitive areas, such as computer rooms, through card keys, locks, etc.? A. Unauthorized individuals wait for controlled doors to open and walk in behind those authorized. B. The contingency plan for the organization cannot effectively test controlled access practices. C. Access cards, keys, and pads can be easily duplicated allowing easy compromise of the control. D. Removing access for people no longer authorized is complex.   1
The PRIMARY reason for replacing checks (cheques) with EFT systems in the accounts payable area is to: A. make the payment process more efficient. B. comply with international EFT banking standards. C. decrease the number of paper-based payment forms. D. reduce the risk of unauthorized changes to payment transactions.   1
If a database is restored using before-image dumps, where should the process be restarted following an interruption? A. Before the last transaction B. After the last transaction C. The first transaction after the latest checkpoint D. The last transaction before the latest checkpoint Oracle 2
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