Question 1

An IS auditor previously worked in an organization’s IT department and was involved with the design of the business continuity plan (BCP). The IS auditor has now been asked to review this same BCP. What should the auditor do FIRST?

Options :

A : Document the conflict in the audit report.

B : Report the conflict of interest to the chief compliance officer

C : Communicate the conflict of interest to the audit manager.

D : Decline the audit assignment.

Answer: D

Question 2

During a new system implementation, an IS auditor has been assigned to review risk management at each milestone. The auditor finds that several risks to project benefits have not been addressed. Who should be accountable for managing these risks?

Options :

A : Project manager

B : Information security officer

C : Project sponsor

D : Enterprise risk manager

Answer: C

Question 3

When assessing the quality of personnel data, an IS auditor finds that the data values reconcile to values outside of the database and logical access is appropriately restricted. Which of the following should also be reviewed to provide a comprehensive assessment of the data quality?

Options :

A : Whether the data can be used in the correct context

B : Whether the data is classified appropriately

C : Whether procedures for using the database are followed

D : Whether users are appropriately trained

Answer: A

Question 4

Code changes are compiled and placed in a change folder by the developer. An implementation team migrates changes to production from the change folder. Which of the following BEST indicates separation of duties is in place during the migration process?

Options :

A : A second individual performs code review before the change is released to production.

B : The implementation team does not have access to change the source code.

C : The implementation team does not have experience writing code.

D : The developer approves changes prior to moving them to the change folder.

Answer: B

Question 5

An online retailer is receiving customer complaints about receiving different items from what they ordered on the organization's website. The root cause has been traced to poor data quality. Despite efforts to clean erroneous data from the system, multiple data quality issues continue to occur. Which of the following recommendations would be the BEST way to reduce the likelihood of future occurrences?

Options :

A : Outsource data cleansing activities to reliable third parties.

B : Assign responsibility for improving data quality.

C : Implement business rules to validate employee data entry.

D : Invest in additional employee training for data entry.

Answer: B

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