Which of the following is a benefit of a risk-based approach
to audit planning? Audit:
A. scheduling may be performed months in advance.
B. budgets are more likely to be met by the IS audit staff.
C. staff will be exposed to a variety of technologies.
D. resources are allocated to the areas of highest concern.
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Answer: D
The risk-based approach is designed to ensure audit time is
spent on the areas of highest risk. The development of an
audit schedule is not addressed by a risk-based approach.
Audit schedules may be prepared months in advance using
various scheduling methods. A risk approach does not have a
direct correlation to the audit staff meeting time budgets
on a particular audit, nor does it necessarily mean a wider
variety of audits will be performed in a given year.
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Which of the following exposures associated with the spooling of sensitive reports for offline printing would an IS auditor consider to be the MOST serious? A. Sensitive data can be read by operators. B. Data can be amended without authorization. C. Unauthorized report copies can be printed. D. Output can be lost in the event of system failure.
A TCP/IP-based environment is exposed to the Internet. Which of the following BEST ensures that complete encryption and authentication protocols exist for protecting information while transmitted? A. Work is completed in tunnel mode with IP security using the nested services of authentication header (AH) and encapsulating security payload (ESP). B. A digital signature with RSA has been implemented. C. Digital certificates with RSA are being used. D. Work is being completed in.TCP services.
Which of the following provides the GREATEST assurance of message authenticity? A. The pre-hash code is derived mathematically from the message being sent. B. The pre-hash code is encrypted using the sender's private key. C. Encryption of the pre-hash code and the message using the secret key. D. Sender attains the recipient's public key and verifies the authenticity of its digital certificate with a certificate authority.
Which of the following disaster recovery/continuity plan components provides the GREATEST assurance of recovery after a disaster? A. The alternate facility will be available until the original information processing facility is restored. B. User management was involved in the identification of critical systems and their associated critical recovery times. C. Copies of the plan are kept at the homes of key decision making personnel. D. Feedback to management assuring them that the business continuity plans are indeed workable and that the procedures are current.
1. which of the following is used to achieve accountability. a.identification b. authentication c. authorization d. iniation
Sales orders are automatically numbered sequentially at each of a retailer's multiple outlets. Small orders are processed directly at the outlets, with large orders sent to a central production facility. The MOST appropriate control to ensure that all orders transmitted to production are received and processed would be to: A. send and reconcile transaction counts and totals. B. have data transmitted back to the local site for comparison. C. compare data communications protocols with parity checking. D. track and account for the numerical sequence of sales orders at the production facility.
Which of the following tests is an IS auditor performing when a sample of programs is selected to determine if the source and object versions are the same? A. A substantive test of program library controls B. A compliance test of program library controls C. A compliance test of the program compiler controls D. A substantive test of the program compiler controls
When implementing and application software package, which of the following presents the GREATEST risk? A. Uncontrolled multiple software versions B. Source programs that are not synchronized with object code C. Incorrectly set parameters D. Programming errors
Which of the following functions, if combined, would be the GREATEST risk to an organization? A. Systems analyst and database administrator B. Quality assurance and computer operator C. Tape librarian and data entry clerk D. Application programmer and tape librarian
A LAN administrator normally would be restricted from: A. having end-user responsibilities. B. reporting to the end-user manager. C. having programming responsibilities. D. being responsible for LAN security administration.
An IS auditor needs to link his/her microcomputer to a mainframe system that uses binary synchronous data communications with block data transmission. However, the IS auditor's microcomputer, as presently configured, is capable of only asynchronous ASCII character data communications. Which of the following must be added to the IS auditor's computer to enable it to communicate with the mainframe system? A. Buffer capacity and parallel port B. Network controller and buffer capacity C. Parallel port and protocol conversion D. Protocol conversion and buffer capability
A consulting firm has created a File Transfer Protocol (FTP) site for the purpose of receiving financial data and has communicated the site's address, user ID and password to the financial services company in separate email messages. The company is to transmit its data to the FTP site after manually encrypting the data. The IS auditor's GREATEST concern with this process is that: A. the users may not remember to manually encrypt the data before transmission. B. the site credentials were sent to the financial services company via email. C. personnel at the consulting firm may obtain access to sensitive data. D. the use of a shared user ID to the FTP site does not allow for user accountability.
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