IS auditors are MOST likely to perform compliance tests of internal controls if, after their initial evaluation of the controls, they conclude that: A. a substantive test would be too costly. B. the control environment is poor. C. inherent risk is low. D. control risks are within the acceptable limits.

The IS department of an organization wants to ensure that the computer files, used in the information processing facility, are backed up adequately to allow for proper recovery. This is a/an: A. control procedure. B. control objective. C. corrective control. D. operational control.

Which of the following reports should an IS auditor use to check compliance with a service level agreement (SLA) requirement for uptime? A. Utilization reports B. Hardware error reports C. System logs D. Availability reports

Various standards have emerged to assist IS organizations in achieving an operational environment that is predictable, measurable and repeatable. The standard that provides the definition of the characteristics and the associated quality evaluation process to be used when specifying the requirements for and evaluating the quality of software products throughout their life cycle is: A. ISO 9001. B. ISO 9002. C. ISO 9126. D. ISO 9003.

To help mitigate the effects of a denial of service attack, which mechanism can an Internet service provider (ISP) use to identify Internet protocol (IP) packets from unauthorized sources? A. Inbound traffic filtering B. Rate limiting C. Reverse address lookup D. Network performance monitoring

An organization is moving its application maintenance in-house from an outside source. Which of the following should be the main concern of an IS auditor? A. Regression testing B. Job scheduling C. User manuals D. Change control procedures

The phases and deliverables of a systems development life cycle (SDLC) project should be determined: A. during the initial planning stages of the project. B. after early planning has been completed, but before work has begun. C. through out the work stages based on risks and exposures. D. only after all risks and exposures have been identified and the IS auditor has recommended appropriate controls.

An IS auditor performing a review of the IS department discovers that formal project approval procedures do not exist. In the absence of these procedures the IS manager has been arbitrarily approving projects that can be completed in a short duration and referring other more complicated projects to higher levels of management for approval. The IS auditor should recommend as a FIRST course of action that: A. users participate in the review and approval process. B. formal approval procedures be adopted and documented. C. projects be referred to appropriate levels of management for approval. D. the IS manager's job description be changed to include approval authority.

In the course of performing a risk analysis, an IS auditor has identified threats and potential impacts. Next, an IS auditor should: A. identify and assess the risk assessment process used by management. B. identify information assets and the underlying systems. C. disclose the threats and impacts to management. D. identify and evaluate the existing controls.

Disaster recovery planning for a company's computer system usually focuses on: A. operations turnover procedures. B. strategic long-range planning. C. the probability that a disaster will occur. D. alternative procedures to process transactions.

During which phase of a system development process should an IS auditor first raise the issue of application controls? A. Construction B. System design C. Acceptance testing D. Functional specification

When reviewing a system development project at the project initiation stage, an IS auditor finds that the project team is following the organization's quality manual. To meet critical deadlines the project team proposes to fast track the validation and verification processes, commencing some elements before the previous deliverable is signed off. Under these circumstances, the IS auditor would MOST likely: A. report this as a critical finding to senior management. B. accept that different quality processes can be adopted for each project. C. report to IS management the team's failure to follow quality procedures. D. report the risks associated with fast tracking to the project steering committee.

Which of the following is the MOST important criterion for the selection of a location for an offsite storage facility for IS backup files? The offsite facility must be: A. physically separated from the data center and not subject to the same risks. B. given the same level of protection as that of the computer data center. C. outsourced to a reliable third party. D. equipped with surveillance capabilities.

The editing/validation of data entered at a remote site would be performed MOST effectively at the: A. central processing site after running the application system. B. central processing site during the running of the application system. C. remote processing site after transmission to the central processing site. D. remote processing site prior to transmission of the data to the central processing site.

An IS steering committee should: A. include a mix of members from different departments and staff levels. B. ensure that IS security policies and procedures have been executed properly. C. have formal terms of reference and maintain minutes of its meetings. D. be briefed about new trends and products at each meeting by a vendor.