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1. The traditional role of an IS auditor in a control self-assessment (CSA) should be that of a(n):

A. Implementor
B. Facilitator
C. Developer
D. Sponsor

Answer: B

The traditional role of an IS auditor in a control self-assessment (CSA) should be that of a facilitator.

2. What is the primary objective of a control self-assessment (CSA) program?

A. Enhancement of the audit responsibility
B. Elimination of the audit responsibility
C. Replacement of the audit responsibility
D. Integrity of the audit responsibility

Answer: A

Audit responsibility enhancement is an objective of a control self-assessment (CSA) program.

3. IS auditors are MOST likely to perform compliance tests of internal controls if, after their initial evaluation of the controls, they conclude that control risks are within the acceptable limits. True or false?

A. True
B. False

Answer: A

IS auditors are most likely to perform compliance tests of internal controls if, after their initial evaluation of the controls, they conclude that control risks are within the acceptable limits. Think of it this way: If any reliance is placed on internal controls, that reliance must be validated through compliance testing. High control risk results in little reliance on internal controls, which results in additional substantive testing.

4. As compared to understanding an organization's IT process from evidence directly collected, how valuable are prior audit reports as evidence?

A. The same value.
B. Greater value.
C. Lesser value.
D. Prior audit reports are not relevant.

Answer: C

Prior audit reports are considered of lesser value to an IS auditor attempting to gain an understanding of an organization's IT process than evidence directly collected.

5. What is the PRIMARY purpose of audit trails?

A. To document auditing efforts
B. To correct data integrity errors
C. To establish accountability and responsibility for processed transactions
D. To prevent unauthorized access to data

Answer: C

The primary purpose of audit trails is to establish accountability and responsibility for processed transactions.

6. How does the process of systems auditing benefit from using a risk-based approach to audit planning?

A. Controls testing starts earlier.
B. Auditing resources are allocated to the areas of highest concern.
C. Auditing risk is reduced.
D. Controls testing is more thorough.

Answer: B

Allocation of auditing resources to the areas of highest concern is a benefit of a risk-based approach to audit planning.

7. After an IS auditor has identified threats and potential impacts, the auditor should:

A. Identify and evaluate the existing controls
B. Conduct a business impact analysis (BIA)
C. Report on existing controls
D. Propose new controls

Answer: A

After an IS auditor has identified threats and potential impacts, the auditor should then identify and evaluate the existing controls.

8. The use of statistical sampling procedures helps minimize:

A. Detection risk
B. Business risk
C. Controls risk
D. Compliance risk

Answer: A

The use of statistical sampling procedures helps minimize detection risk.

9. What type of risk results when an IS auditor uses an inadequate test procedure and concludes that material errors do not exist when errors actually exist?

A. Business risk
B. Detection risk
C. Residual risk
D. Inherent risk

Answer: B

Detection risk results when an IS auditor uses an inadequate test procedure and concludes that material errors do not exist when errors actually exist.

10. A primary benefit derived from an organization employing control self-assessment (CSA) techniques is that it can:

A. Identify high-risk areas that might need a detailed review later
B. Reduce audit costs
C. Reduce audit time
D. Increase audit accuracy

Answer: C

A primary benefit derived from an organization employing control self-assessment (CSA) techniques is that it can identify high-risk areas that might need a detailed review later.

11. What type of approach to the development of organizational policies is often driven by risk assessment?

A. Bottom-up
B. Top-down
C. Comprehensive
D. Integrated

Answer: B

A bottom-up approach to the development of organizational policies is often driven by risk assessment.

12. Who is accountable for maintaining appropriate security measures over information assets?

A. Data and systems owners
B. Data and systems users
C. Data and systems custodians
D. Data and systems auditors

Answer: A

Data and systems owners are accountable for maintaining appropriate security measures over information assets.

13. Proper segregation of duties prohibits a system analyst from performing quality-assurance functions. True or false?

A. True
B. False

Answer: A

Proper segregation of duties prohibits a system analyst from performing quality-assurance functions.

14. What should an IS auditor do if he or she observes that project-approval procedures do not exist?

A. Advise senior management to invest in project-management training for the staff
B. Create project-approval procedures for future project implementations
C. Assign project leaders
D. Recommend to management that formal approval procedures be adopted and documented

Answer: D

If an IS auditor observes that project-approval procedures do not exist, the IS auditor should recommend to management that formal approval procedures be adopted and documented.

15. Who is ultimately accountable for the development of an IS security policy?

A. The board of directors
B. Middle management
C. Security administrators
D. Network administrators

Answer: A

The board of directors is ultimately accountable for the development of an IS security policy.

16. Proper segregation of duties normally does not prohibit a LAN administrator from also having programming responsibilities. True or false?

A. True
B. False

Answer: B

Proper segregation of duties normally prohibits a LAN administrator from also having programming responsibilities.

17. A core tenant of an IS strategy is that it must:

A. Be inexpensive
B. Be protected as sensitive confidential information
C. Protect information confidentiality, integrity, and availability
D. Support the business objectives of the organization

Answer: D

Above all else, an IS strategy must support the business objectives of the organization.

18. Batch control reconciliation is a _____________________ (fill in the blank) control for mitigating risk of inadequate segregation of duties.

A. Detective
B. Corrective
C. Preventative
D. Compensatory

Answer: D

Batch control reconciliations is a compensatory control for mitigating risk of inadequate segregation of duties.

19. Key verification is one of the best controls for ensuring that:

A. Data is entered correctly
B. Only authorized cryptographic keys are used
C. Input is authorized
D. Database indexing is performed properly

Answer: A

Key verification is one of the best controls for ensuring that data is entered correctly.

20. If senior management is not committed to strategic planning, how likely is it that a company's implementation of IT will be successful?

A. IT cannot be implemented if senior management is not committed to strategic planning.
B. More likely.
C. Less likely.
D. Strategic planning does not affect the success of a company's implementation of IT.

Answer: C

A company's implementation of IT will be less likely to succeed if senior management is not committed to strategic planning.

21. Which of the following could lead to an unintentional loss of confidentiality? Choose the BEST answer.

A. Lack of employee awareness of a company's information security policy
B. Failure to comply with a company's information security policy
C. A momentary lapse of reason
D. Lack of security policy enforcement procedures

Answer: A

Lack of employee awareness of a company's information security policy could lead to an unintentional loss of confidentiality.

22. What topology provides the greatest redundancy of routes and the greatest network fault tolerance?

A. A star network topology
B. A mesh network topology with packet forwarding enabled at each host
C. A bus network topology
D. A ring network topology

Answer: B

A mesh network topology provides a point-to-point link between every network host. If each host is configured to route and forward communication, this topology provides the greatest redundancy of routes and the greatest network fault tolerance.

23. An IS auditor usually places more reliance on evidence directly collected. What is an example of such evidence?

A. Evidence collected through personal observation
B. Evidence collected through systems logs provided by the organization's security administration
C. Evidence collected through surveys collected from internal staff
D. Evidence collected through transaction reports provided by the organization's IT administration

Answer: A

An IS auditor usually places more reliance on evidence directly collected, such as through personal observation.

24. What kind of protocols does the OSI Transport Layer of the TCP/IP protocol suite provide to ensure reliable communication?

A. Nonconnection-oriented protocols
B. Connection-oriented protocols
C. Session-oriented protocols
D. Nonsession-oriented protocols

Answer: B

The transport layer of the TCP/IP protocol suite provides for connection-oriented protocols to ensure reliable communication.

25. How is the time required for transaction processing review usually affected by properly implemented Electronic Data Interface (EDI)?

A. EDI usually decreases the time necessary for review.
B. EDI usually increases the time necessary for review.
C. Cannot be determined.
D. EDI does not affect the time necessary for review.

Answer: A

Electronic data interface (EDI) supports intervendor communication while decreasing the time necessary for review because it is usually configured to readily identify errors requiring follow-up.

26. What would an IS auditor expect to find in the console log? Choose the BEST answer.

A. Evidence of password spoofing
B. System errors
C. Evidence of data copy activities
D. Evidence of password sharing

Answer: B

An IS auditor can expect to find system errors to be detailed in the console log.

27. Atomicity enforces data integrity by ensuring that a transaction is either completed in its entirely or not at all. Atomicity is part of the ACID test reference for transaction processing. True or false?

A. True
B. False

Answer: A

Atomicity enforces data integrity by ensuring that a transaction is either completed in its entirely or not at all. Atomicity is part of the ACID test reference for transaction processing.

28. Why does the IS auditor often review the system logs?

A. To get evidence of password spoofing
B. To get evidence of data copy activities
C. To determine the existence of unauthorized access to data by a user or program
D. To get evidence of password sharing

Answer: C

When trying to determine the existence of unauthorized access to data by a user or program, the IS auditor will often review the system logs.

29. What is essential for the IS auditor to obtain a clear understanding of network management?

A. Security administrator access to systems
B. Systems logs of all hosts providing application services
C. A graphical map of the network topology
D. Administrator access to systems

Answer: C

A graphical interface to the map of the network topology is essential for the IS auditor to obtain a clear understanding of network management.

30. How is risk affected if users have direct access to a database at the system level?

A. Risk of unauthorized access increases, but risk of untraceable changes to the database decreases.
B. Risk of unauthorized and untraceable changes to the database increases.
C. Risk of unauthorized access decreases, but risk of untraceable changes to the database increases.
D. Risk of unauthorized and untraceable changes to the database decreases.

Answer: B

If users have direct access to a database at the system level, risk of unauthorized and untraceable changes to the database increases.

31. What is the most common purpose of a virtual private network implementation?

A. A virtual private network (VPN) helps to secure access between an enterprise and its partners when communicating over an otherwise unsecured channel such as the Internet.
B. A virtual private network (VPN) helps to secure access between an enterprise and its partners when communicating over a dedicated T1 connection.
C. A virtual private network (VPN) helps to secure access within an enterprise when communicating over a dedicated T1 connection between network segments within the same facility.
D. A virtual private network (VPN) helps to secure access between an enterprise and its partners when communicating over a wireless connection.

Answer: A

A virtual private network (VPN) helps to secure access between an enterprise and its partners when communicating over an otherwise unsecured channel such as the Internet.

32. What benefit does using capacity-monitoring software to monitor usage patterns and trends provide to management? Choose the BEST answer.

A. The software can dynamically readjust network traffic capabilities based upon current usage.
B. The software produces nice reports that really impress management.
C. It allows users to properly allocate resources and ensure continuous efficiency of operations.
D. It allows management to properly allocate resources and ensure continuous efficiency of operations.

Answer: D

Using capacity-monitoring software to monitor usage patterns and trends enables management to properly allocate resources and ensure continuous efficiency of operations.

33. What can be very helpful to an IS auditor when determining the efficacy of a systems maintenance program? Choose the BEST answer.

A. Network-monitoring software
B. A system downtime log
C. Administration activity reports
D. Help-desk utilization trend reports

Answer: B

A system downtime log can be very helpful to an IS auditor when determining the efficacy of a systems maintenance program.

34. What are used as a countermeasure for potential database corruption when two processes attempt to simultaneously edit or update the same information? Choose the BEST answer.

A. Referential integrity controls
B. Normalization controls
C. Concurrency controls
D. Run-to-run totals

Answer: A

Concurrency controls are used as a countermeasure for potential database corruption when two processes attempt to simultaneously edit or update the same information.

35. What increases encryption overhead and cost the most?

A. A long symmetric encryption key
B. A long asymmetric encryption key
C. A long Advance Encryption Standard (AES) key
D. A long Data Encryption Standard (DES) key

Answer: B

A long asymmetric encryption key (public key encryption) increases encryption overhead and cost. All other answers are single shared symmetric keys.

36. Which of the following best characterizes "worms"?

A. Malicious programs that can run independently and can propagate without the aid of a carrier program such as email
B. Programming code errors that cause a program to repeatedly dump data
C. Malicious programs that require the aid of a carrier program such as email
D. Malicious programs that masquerade as common applications such as screensavers or macro-enabled Word documents

Answer: A

Worms are malicious programs that can run independently and can propagate without the aid of a carrier program such as email.

37. What is an initial step in creating a proper firewall policy?

A. Assigning access to users according to the principle of least privilege
B. Determining appropriate firewall hardware and software
C. Identifying network applications such as mail, web, or FTP servers
D. Configuring firewall access rules

Answer: C

Identifying network applications such as mail, web, or FTP servers to be externally accessed is an initial step in creating a proper firewall policy.

38. What type of cryptosystem is characterized by data being encrypted by the sender using the recipient's public key, and the data then being decrypted using the recipient's private key?

A. With public-key encryption, or symmetric encryption
B. With public-key encryption, or asymmetric encryption
C. With shared-key encryption, or symmetric encryption
D. With shared-key encryption, or asymmetric encryption

Answer: B

With public key encryption or asymmetric encryption, data is encrypted by the sender using the recipient's public key; the data is then decrypted using the recipient's private key.

39. How does the SSL network protocol provide confidentiality?

A. Through symmetric encryption such as RSA
B. Through asymmetric encryption such as Data Encryption Standard, or DES
C. Through asymmetric encryption such as Advanced Encryption Standard, or AES
D. Through symmetric encryption such as Data Encryption Standard, or DES

Answer: D

The SSL protocol provides confidentiality through symmetric encryption such as Data Encryption Standard, or DES.

40. What are used as the framework for developing logical access controls?

A. Information systems security policies
B. Organizational security policies
C. Access Control Lists (ACL)
D. Organizational charts for identifying roles and responsibilities

Answer: A

Information systems security policies are used as the framework for developing logical access controls.

41. Which of the following are effective controls for detecting duplicate transactions such as payments made or received?

A. Concurrency controls
B. Reasonableness checks
C. Time stamps
D. Referential integrity controls

Answer: C

Time stamps are an effective control for detecting duplicate transactions such as payments made or received.

42. Which of the following is a good control for protecting confidential data residing on a PC?

A. Personal firewall
B. File encapsulation
C. File encryption
D. Host-based intrusion detection

Answer: C

File encryption is a good control for protecting confidential data residing on a PC.

43. Which of the following is a guiding best practice for implementing logical access controls?

A. Implementing the Biba Integrity Model
B. Access is granted on a least-privilege basis, per the organization's data owners
C. Implementing the Take-Grant access control model
D. Classifying data according to the subject's requirements

Answer: B

Logical access controls should be reviewed to ensure that access is granted on a least-privilege basis, per the organization's data owners.

44. What does PKI use to provide some of the strongest overall control over data confidentiality, reliability, and integrity for Internet transactions?

A. A combination of public-key cryptography and digital certificates and two-factor authentication
B. A combination of public-key cryptography and two-factor authentication
C. A combination of public-key cryptography and digital certificates
D. A combination of digital certificates and two-factor authentication

Answer: C

PKI uses a combination of public-key cryptography and digital certificates to provide some of the strongest overall control over data confidentiality, reliability, and integrity for Internet transactions.

45. Which of the following do digital signatures provide?

A. Authentication and integrity of data
B. Authentication and confidentiality of data
C. Confidentiality and integrity of data
D. Authentication and availability of data

Answer: A

The primary purpose of digital signatures is to provide authentication and integrity of data.

46. Regarding digital signature implementation, which of the following answers is correct?

A. A digital signature is created by the sender to prove message integrity by encrypting the message with the sender's private key. Upon receiving the data, the recipient can decrypt the data using the sender's public key.
B. A digital signature is created by the sender to prove message integrity by encrypting the message with the recipient's public key. Upon receiving the data, the recipient can decrypt the data using the recipient's public key.
C. A digital signature is created by the sender to prove message integrity by initially using a hashing algorithm to produce a hash value or message digest from the entire message contents. Upon receiving the data, the recipient can independently create it.
D. A digital signature is created by the sender to prove message integrity by encrypting the message with the sender's public key. Upon receiving the data, the recipient can decrypt the data using the recipient's private key.

Answer: C

A digital signature is created by the sender to prove message integrity by initially using a hashing algorithm to produce a hash value, or message digest, from the entire message contents. Upon receiving the data, the recipient can independently create its own message digest from the data for comparison and data integrity validation. Public and private keys are used to enforce confidentiality. Hashing algorithms are used to enforce integrity.

47. Which of the following would provide the highest degree of server access control?

A. A mantrap-monitored entryway to the server room
B. Host-based intrusion detection combined with CCTV
C. Network-based intrusion detection
D. A fingerprint scanner facilitating biometric access control

Answer: D

A fingerprint scanner facilitating biometric access control can provide a very high degree of server access control.

48. What are often the primary safeguards for systems software and data?

A. Administrative access controls
B. Logical access controls
C. Physical access controls
D. Detective access controls

Answer: B

Logical access controls are often the primary safeguards for systems software and data.

49. Which of the following is often used as a detection and deterrent control against Internet attacks?

A. Honeypots
B. CCTV
C. VPN
D. VLAN

Answer: A

Honeypots are often used as a detection and deterrent control against Internet attacks.

50. Which of the following BEST characterizes a mantrap or deadman door, which is used as a deterrent control for the vulnerability of piggybacking?

A. A monitored double-doorway entry system
B. A monitored turnstile entry system
C. A monitored doorway entry system
D. A one-way door that does not allow exit after entry

Answer: A

A monitored double-doorway entry system, also referred to as a mantrap or deadman door, is used as a deterrent control for the vulnerability of piggybacking.

51. Which of the following is an effective method for controlling downloading of files via FTP? Choose the BEST answer.

A. An application-layer gateway, or proxy firewall, but not stateful inspection firewalls
B. An application-layer gateway, or proxy firewall
C. A circuit-level gateway
D. A first-generation packet-filtering firewall

Answer: B

Application-layer gateways, or proxy firewalls, are an effective method for controlling downloading of files via FTP. Because FTP is an OSI application-layer protocol, the most effective firewall needs to be capable of inspecting through the application layer.

52. Which of the following provides the strongest authentication for physical access control?

A. Sign-in logs
B. Dynamic passwords
C. Key verification
D. Biometrics

Answer: D

Biometrics can be used to provide excellent physical access control.

53. What is an effective countermeasure for the vulnerability of data entry operators potentially leaving their computers without logging off? Choose the BEST answer.

A. Employee security awareness training
B. Administrator alerts
C. Screensaver passwords
D. Close supervision

Answer: C

Screensaver passwords are an effective control to implement as a countermeasure for the vulnerability of data entry operators potentially leaving their computers without logging off.

54. What can ISPs use to implement inbound traffic filtering as a control to identify IP packets transmitted from unauthorized sources? Choose the BEST answer.

A. OSI Layer 2 switches with packet filtering enabled
B. Virtual Private Networks
C. Access Control Lists (ACL)
D. Point-to-Point Tunneling Protocol

Answer: C

ISPs can use access control lists to implement inbound traffic filtering as a control to identify IP packets transmitted from unauthorized sources.

55. What is the key distinction between encryption and hashing algorithms?

A. Hashing algorithms ensure data confidentiality.
B. Hashing algorithms are irreversible.
C. Encryption algorithms ensure data integrity.
D. Encryption algorithms are not irreversible.

Answer: B

A key distinction between encryption and hashing algorithms is that hashing algorithms are irreversible.

56. Which of the following is BEST characterized by unauthorized modification of data before or during systems data entry?

A. Data diddling
B. Skimming
C. Data corruption
D. Salami attack

Answer: A

Data diddling involves modifying data before or during systems data entry.

57. Which of the following is used to evaluate biometric access controls?

A. FAR
B. EER
C. ERR
D. FRR

Answer: B

When evaluating biometric access controls, a low equal error rate (EER) is preferred. EER is also called the crossover error rate (CER).

58. Who is ultimately responsible and accountable for reviewing user access to systems?

A. Systems security administrators
B. Data custodians
C. Data owners
D. Information systems auditors

Answer: C

Data owners are ultimately responsible and accountable for reviewing user access to systems.

59. Establishing data ownership is an important first step for which of the following processes? Choose the BEST answer.

A. Assigning user access privileges
B. Developing organizational security policies
C. Creating roles and responsibilities
D. Classifying data

Answer: D

To properly implement data classification, establishing data ownership is an important first step.

60. Which of the following is MOST is critical during the business impact assessment phase of business continuity planning?

A. End-user involvement
B. Senior management involvement
C. Security administration involvement
D. IS auditing involvement

Answer: A

End-user involvement is critical during the business impact assessment phase of business continuity planning.

61. What type of BCP test uses actual resources to simulate a system crash and validate the plan's effectiveness?

A. Paper
B. Preparedness
C. Walk-through
D. Parallel

Answer: B

Of the three major types of BCP tests (paper, walk-through, and preparedness), only the preparedness test uses actual resources to simulate a system crash and validate the plan's effectiveness.

62. Which of the following typically focuses on making alternative processes and resources available for transaction processing?

A. Cold-site facilities
B. Disaster recovery for networks
C. Diverse processing
D. Disaster recovery for systems

Answer: D

Disaster recovery for systems typically focuses on making alternative processes and resources available for transaction processing.

63. Which type of major BCP test only requires representatives from each operational area to meet to review the plan?

A. Parallel
B. Preparedness
C. Walk-thorough
D. Paper

Answer: C

Of the three major types of BCP tests (paper, walk-through, and preparedness), a walk-through test requires only that representatives from each operational area meet to review the plan.

64. What influences decisions regarding criticality of assets?

A. The business criticality of the data to be protected
B. Internal corporate politics
C. The business criticality of the data to be protected, and the scope of the impact upon the organization as a whole
D. The business impact analysis

Answer: C

Criticality of assets is often influenced by the business criticality of the data to be protected and by the scope of the impact upon the organization as a whole. For example, the loss of a network backbone creates a much greater impact on the organization as a whole than the loss of data on a typical user's workstation.

65. Of the three major types of off-site processing facilities, what type is characterized by at least providing for electricity and HVAC?

A. Cold site
B. Alternate site
C. Hot site
D. Warm site

Answer: A

Of the three major types of off-site processing facilities (hot, warm, and cold), a cold site is characterized by at least providing for electricity and HVAC. A warm site improves upon this by providing for redundant equipment and software that can be made operational within a short time.

66. With the objective of mitigating the risk and impact of a major business interruption, a disaster-recovery plan should endeavor to reduce the length of recovery time necessary, as well as costs associated with recovery. Although DRP results in an increase of pre- and post-incident operational costs, the extra costs are more than offset by reduced recovery and business impact costs. True or false?

A. True
B. False

Answer: A

With the objective of mitigating the risk and impact of a major business interruption, a disaster-recovery plan should endeavor to reduce the length of recovery time necessary and the costs associated with recovery. Although DRP results in an increase of pre- and post-incident operational costs, the extra costs are more than offset by reduced recovery and business impact costs.

67. Of the three major types of off-site processing facilities, what type is often an acceptable solution for preparing for recovery of noncritical systems and data?

A. Cold site
B. Hot site
C. Alternate site
D. Warm site

Answer: A

A cold site is often an acceptable solution for preparing for recovery of noncritical systems and data.

68. Any changes in systems assets, such as replacement of hardware, should be immediately recorded within the assets inventory of which of the following? Choose the BEST answer.

A. IT strategic plan
B. Business continuity plan
C. Business impact analysis
D. Incident response plan

Answer: B

Any changes in systems assets, such as replacement of hardware, should be immediately recorded within the assets inventory of a business continuity plan.

69. Although BCP and DRP are often implemented and tested by middle management and end users, the ultimate responsibility and accountability for the plans remain with executive management, such as the _______________. (fill-in-the-blank)

A. Security administrator
B. Systems auditor
C. Board of directors
D. Financial auditor

Answer: C

Although BCP and DRP are often implemented and tested by middle management and end users, the ultimate responsibility and accountability for the plans remain with executive management, such as the board of directors.

70. Obtaining user approval of program changes is very effective for controlling application changes and maintenance. True or false?

A. True
B. False

Answer: A

Obtaining user approval of program changes is very effective for controlling application changes and maintenance.

71. Library control software restricts source code to:

A. Read-only access
B. Write-only access
C. Full access
D. Read-write access

Answer: A

Library control software restricts source code to read-only access.

72. When is regression testing used to determine whether new application changes have introduced any errors in the remaining unchanged code?

A. In program development and change management
B. In program feasibility studies
C. In program development
D. In change management

Answer: A

Regression testing is used in program development and change management to determine whether new changes have introduced any errors in the remaining unchanged code.

73. What is often the most difficult part of initial efforts in application development? Choose the BEST answer.

A. Configuring software
B. Planning security
C. Determining time and resource requirements
D. Configuring hardware

Answer: C

Determining time and resource requirements for an application-development project is often the most difficult part of initial efforts in application development.

74. What is a primary high-level goal for an auditor who is reviewing a system development project?

A. To ensure that programming and processing environments are segregated
B. To ensure that proper approval for the project has been obtained
C. To ensure that business objectives are achieved
D. To ensure that projects are monitored and administrated effectively

Answer: C

A primary high-level goal for an auditor who is reviewing a systems-development project is to ensure that business objectives are achieved. This objective guides all other systems development objectives.

75. Whenever an application is modified, what should be tested to determine the full impact of the change? Choose the BEST answer.

A. Interface systems with other applications or systems
B. The entire program, including any interface systems with other applications or systems
C. All programs, including interface systems with other applications or systems
D. Mission-critical functions and any interface systems with other applications or systems

Answer: B

Whenever an application is modified, the entire program, including any interface systems with other applications or systems, should be tested to determine the full impact of the change.

76. The quality of the metadata produced from a data warehouse is _______________ in the warehouse's design. Choose the BEST answer.

A. Often hard to determine because the data is derived from a heterogeneous data environment
B. The most important consideration
C. Independent of the quality of the warehoused databases
D. Of secondary importance to data warehouse content

Answer: B

The quality of the metadata produced from a data warehouse is the most important consideration in the warehouse's design.

77. Function Point Analysis (FPA) provides an estimate of the size of an information system based only on the number and complexity of a system's inputs and outputs. True or false?

A. True
B. False

Answer: B

Function point analysis (FPA) provides an estimate of the size of an information system based on the number and complexity of a system's inputs, outputs, and files.

78. Who assumes ownership of a systems-development project and the resulting system?

A. User management
B. Project steering committee
C. IT management
D. Systems developers

Answer: A

User management assumes ownership of a systems-development project and the resulting system.

79. If an IS auditor observes that individual modules of a system perform correctly in development project tests, the auditor should inform management of the positive results and recommend further:

A. Documentation development
B. Comprehensive integration testing
C. Full unit testing
D. Full regression testing

Answer: B

If an IS auditor observes that individual modules of a system perform correctly in development project tests, the auditor should inform management of the positive results and recommend further comprehensive integration testing.

80. When participating in a systems-development project, an IS auditor should focus on system controls rather than ensuring that adequate and complete documentation exists for all projects. True or false?

A. True
B. False

Answer: B

When participating in a systems-development project, an IS auditor should also strive to ensure that adequate and complete documentation exists for all projects.

81. What is a reliable technique for estimating the scope and cost of a software-development project?

A. Function point analysis (FPA)
B. Feature point analysis (FPA)
C. GANTT
D. PERT

Answer: A

A function point analysis (FPA) is a reliable technique for estimating the scope and cost of a software-development project.

82. Which of the following is a program evaluation review technique that considers different scenarios for planning and control projects?

A. Function Point Analysis (FPA)
B. GANTT
C. Rapid Application Development (RAD)
D. PERT

Answer: D

PERT is a program-evaluation review technique that considers different scenarios for planning and control projects.

83. If an IS auditor observes that an IS department fails to use formal documented methodologies, policies, and standards, what should the auditor do? Choose the BEST answer.

A. Lack of IT documentation is not usually material to the controls tested in an IT audit.
B. The auditor should at least document the informal standards and policies. Furthermore, the IS auditor should create formal documented policies to be implemented.
C. The auditor should at least document the informal standards and policies, and test for compliance. Furthermore, the IS auditor should recommend to management that formal documented policies be developed and implemented.
D. The auditor should at least document the informal standards and policies, and test for compliance. Furthermore, the IS auditor should create formal documented policies to be implemented.

Answer: C

If an IS auditor observes that an IS department fails to use formal documented methodologies, policies, and standards, the auditor should at least document the informal standards and policies, and test for compliance. Furthermore, the IS auditor should recommend to management that formal documented policies be developed and implemented.

84. What often results in project scope creep when functional requirements are not defined as well as they could be?

A. Inadequate software baselining
B. Insufficient strategic planning
C. Inaccurate resource allocation
D. Project delays

Answer: A

Inadequate software baselining often results in project scope creep because functional requirements are not defined as well as they could be.

85. Fourth-Generation Languages (4GLs) are most appropriate for designing the application's graphical user interface (GUI). They are inappropriate for designing any intensive data-calculation procedures. True or false?

A. True
B. False

Answer: A

Fourth-generation languages (4GLs) are most appropriate for designing the application's graphical user interface (GUI). They are inappropriate for designing any intensive data-calculation procedures.

86. Run-to-run totals can verify data through which stage(s) of application processing?

A. Initial
B. Various
C. Final
D. Output

Answer: B

Run-to-run totals can verify data through various stages of application processing.

87. ________________ (fill in the blank) is/are are ultimately accountable for the functionality, reliability, and security within IT governance. Choose the BEST answer.

A. Data custodians
B. The board of directors and executive officers
C. IT security administration
D. Business unit managers

Answer: B

The board of directors and executive officers are ultimately accountable for the functionality, reliability, and security within IT governance.

88. What can be used to help identify and investigate unauthorized transactions? Choose the BEST answer.

A. Postmortem review
B. Reasonableness checks
C. Data-mining techniques
D. Expert systems

Answer: C

Data-mining techniques can be used to help identify and investigate unauthorized transactions.

89. Network environments often add to the complexity of program-to-program communication, making the implementation and maintenance of application systems more difficult. True or false?

A. True
B. False

Answer: A

Network environments often add to the complexity of program-to-program communication, making application systems implementation and maintenance more difficult.

90. ______________ risk analysis is not always possible because the IS auditor is attempting to calculate risk using nonquantifiable threats and potential losses. In this event, a _______________ risk assessment is more appropriate. Fill in the blanks.

A. Quantitative; qualitative
B. Qualitative; quantitative
C. Residual; subjective
D. Quantitative; subjective

Answer: A

Quantitative risk analysis is not always possible because the IS auditor is attempting to calculate risk using nonquantifiable threats and potential losses. In this event, a qualitative risk assessment is more appropriate.

91. What must an IS auditor understand before performing an application audit? Choose the BEST answer.

A. The potential business impact of application risks.
B. Application risks must first be identified.
C. Relative business processes.
D. Relevant application risks.

Answer: C

An IS auditor must first understand relative business processes before performing an application audit.

92. What is the first step in a business process re-engineering project?

A. Identifying current business processes
B. Forming a BPR steering committee
C. Defining the scope of areas to be reviewed
D. Reviewing the organizational strategic plan

Answer: C

Defining the scope of areas to be reviewed is the first step in a business process re-engineering project.

93. When storing data archives off-site, what must be done with the data to ensure data completeness?

A. The data must be normalized.
B. The data must be validated.
C. The data must be parallel-tested.
D. The data must be synchronized.

Answer: D

When storing data archives off-site, data must be synchronized to ensure data completeness.

94. Which of the following can help detect transmission errors by appending specially calculated bits onto the end of each segment of data?

A. Redundancy check
B. Completeness check
C. Accuracy check
D. Parity check

Answer: A

A redundancy check can help detect transmission errors by appending especially calculated bits onto the end of each segment of data.

95. What is an edit check to determine whether a field contains valid data?

A. Completeness check
B. Accuracy check
C. Redundancy check
D. Reasonableness check

Answer: A

A completeness check is an edit check to determine whether a field contains valid data.

96. A transaction journal provides the information necessary for detecting unauthorized _____________ (fill in the blank) from a terminal.

A. Deletion
B. Input
C. Access
D. Duplication

Answer: B

A transaction journal provides the information necessary for detecting unauthorized input from a terminal.

97. An intentional or unintentional disclosure of a password is likely to be evident within control logs. True or false?

A. True
B. False

Answer: B

An intentional or unintentional disclosure of a password is not likely to be evident within control logs.

98. When are benchmarking partners identified within the benchmarking process?

A. In the design stage
B. In the testing stage
C. In the research stage
D. In the development stage

Answer: C

Benchmarking partners are identified in the research stage of the benchmarking process.

99. A check digit is an effective edit check to:

A. Detect data-transcription errors
B. Detect data-transposition and transcription errors
C. Detect data-transposition, transcription, and substitution errors
D. Detect data-transposition errors

Answer: B

A check digit is an effective edit check to detect data-transposition and transcription errors.

100. Parity bits are a control used to validate:

A. Data authentication
B. Data completeness
C. Data source
D. Data accuracy

Answer: B

Parity bits are a control used to validate data completeness.






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