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The FIRST task an IS auditor should complete when performing
an audit in an unfamiliar area is to:
A. design the audit programs for each system or function
involved.
B. develop a set of compliance tests and substantive tests.
C. gather background information pertinent to the new audit.
D. assign human and economical resources.
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Answer: C
Proper planning is the necessary first step in performing
effective audits. The IS auditor's first task should be to
gather background information, such as business sector,
applied benchmarks, specific trends and regulatory and legal
requirements. This will allow the auditor to better
understand what to audit. After gathering initial
information, the auditor would then identify the audit
subject and audit objectives, define the scope, establish
the information systems and functions involved, and identify
the needed resources.
| Is This Answer Correct ? | 3 Yes | 0 No |
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
Software maintainability BEST relates to which of the following software attributes? A. Resources needed to make specified modifications. B. Effort needed to use the system application. C. Relationship between software performance and the resources needed. D. Fulfillment of user needs.
An organization wants to enforce data integrity principles and achieve faster performance/execution in a database application. Which of the following design principles should be applied? A. User (customized) triggers B. Data validation at the front end C. Data validation at the back end D. Referential integrity
Without causing a conflict of interest, a duty compatible with those of a security administrator would be: A. quality assurance. B. application programming. C. systems programming. D. data entry.
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.
The primary goal of a web site certificate is: A. authentication of the web site to be surfed through. B. authentication of the user who surfs through that site. C. preventing surfing of the web site by hackers. D. the same purpose as that of a digital certificate.
Which of the following would be of the LEAST value to an IS auditor attempting to gain an understanding of an organization's IT process? A. IT planning documents with deliverables and performance results B. Policies and procedures relating to planning, managing, monitoring and reporting on performance C. Prior audit reports D. Reports of IT functional activities
Which of the following is the MOST critical for the successful implementation and maintenance of a security policy? A. Assimilation of the framework and intent of a written security policy by all appropriate parties B. Management support and approval for the implementation and maintenance of a security policy C. Enforcement of security rules by providing punitive actions for any violation of security rules D. Stringent implementation, monitoring and enforcing of rules by the security officer through access control software
Which of the following systems or tools can recognize that a credit card transaction is more likely to have resulted from a stolen credit card than from the holder of the credit card? A. Intrusion detection systems B. Data mining techniques C. Firewalls D. Packet filtering routers
To determine which users can gain access to the privileged supervisory state, which of the following should an IS auditor review? A. System access log files B. Enabled access control software parameters C. Logs of access control violations D. System configuration files for control options used
After implementation of a disaster recovery plan (DRP), pre-disaster and post-disaster operational cost for an organization will: A. decrease. B. not change (remain the same). C. increase. D. increase or decrease depending upon nature of the business.
Which of the following duties would be a concern if performed along with systems administration? A. Maintenance of access rules B. Review of system audit trail C. Data librarian D. Performance monitoring
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