The primary purpose of an audit charter is to:
A. document the audit process used by the enterprise.
B. formally document the audit department's plan of action.
C. document a code of professional conduct for the auditor.
D. describe the authority and responsibilities of the audit
department.
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Answer: D
The audit charter typically sets out the role and
responsibility of the internal audit department. It should
state management's objectives for and delegation of
authority to the audit department. It is rarely changed and
does not contain the audit plan or audit process which is
usually part of annual audit planning, nor does it describe
a code of professional conduct since such conduct is set by
the profession and not by management.
| Is This Answer Correct ? | 11 Yes | 3 No |
Which of the following should be in place to protect the purchaser of an application package in the event that the vendor ceases to trade? A. Source code held in escrow. B. Object code held by a trusted third party. C. Contractual obligation for software maintenance. D. Adequate training for internal programming staff.
When performing an audit of access rights, an IS auditor should be suspicious of which of the following if allocated to a computer operator? A. READ access to data B. DELETE access to transaction data files C. Logged READ/EXECUTE access to programs D. UPDATE access to job control language/script files
Which of the following is the MOST likely reason why e-mail systems have become a useful source of evidence for litigation? A. Multiple cycles of backup files remain available. B. Access controls establish accountability for e-mail activity. C. Data classification regulates what information should be communicated via e-mail. D. Within the enterprise, a clear policy for using e-mail ensures that evidence is available.
Which of the following would be of MOST concern to an IS auditor reviewing a VPN implementation? Computers on the network that are located: A. on the enterprise's facilities. B. at the backup site. C. in employees' homes. D. at the enterprise's remote offices.
The responsibility for designing, implementing and maintaining a system of internal control lies with: A. the IS auditor. B. management. C. the external auditor. D. the programming staff.
Which of the following controls would BEST detect intrusion? A. User ids and user privileges are granted through authorized procedures. B. Automatic logoff is used when a workstation is inactive for a particular period of time. C. Automatic logoff of the system after a specified number of unsuccessful attempts. D. Unsuccessful logon attempts are monitored by the security administrator.
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During a review of a business continuity plan, an IS auditor noticed that the point at which a situation is declared to be a crisis has not been defined. The MAJOR risk associated with this is that: A. assessment of the situation may be delayed. B. execution of the disaster recovery plan could be impacted. C. notification of the teams might not occur. D. potential crisis recognition might be delayed.
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The development of an IS security policy is ultimately the responsibility of the: A. IS department. B. security committee. C. security administrator. D. board of directors.
In a business continuity plan, there are several methods of providing telecommunication continuity. One method is diverse routing which involves: A. providing extra capacity with the intent of using the surplus capacity should the normal primary transmission capability not be available. B. routing information via other alternate media such as copper cable or fiber optics. C. providing diverse long-distance network availability utilizing T-1 circuits among the major long-distance carriers. D. routing traffic through split-cable facilities or duplicate-cable facilities.
Before reporting results of an audit to senior management, an IS auditor should: A. Confirm the findings with auditees. B. Prepare an executive summary and send it to auditee management. C. Define recommendations and present the findings to the audit committee. D. Obtain agreement from the auditee on findings and actions to be taken.
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