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Isaca CISA Sample Questions
Question # 1
The PRIMARY reason for an IS auditor to use data analytics techniques is to reduce which
type of audit risk?
A. Technology risk B. Detection risk C. Control risk D. Inherent risk
Answer: B Explanation:
The primary reason for an IS auditor to use data analytics techniques is to reduce detection
risk. Detection risk is the risk that an IS auditor will fail to detect material errors or
irregularities in the information systems environment. By using data analytics techniques,
such as data extraction, analysis, visualization, and reporting, an IS auditor can enhance
the audit scope, coverage, efficiency, and effectiveness. Data analytics techniques can
help an IS auditor to identify anomalies, patterns, trends, correlations, and outliers in large
volumes of data that may indicate potential issues or risks. Technology risk, control risk,
and inherent risk are types of audit risk that are not directly affected by the use of data
analytics techniques by an IS auditor. References: [ISACA Journal Article: Data Analytics
for Auditors]
Question # 2
A month after a company purchased and implemented system and performance monitoring
software, reports were too large and therefore were not reviewed or acted upon The MOST
effective plan of action would be to:
A. evaluate replacement systems and performance monitoring software. B. restrict functionality of system monitoring software to security-related events. C. re-install the system and performance monitoring software. D. use analytical tools to produce exception reports from the system and performance monitoring software
Answer: D Explanation:
Using analytical tools to produce exception reports from the system and performance
monitoring software is the most effective plan of action for a company that purchased and
implemented system and performance monitoring software. Exception reports are reports
that highlight deviations or anomalies from predefined thresholds or standards. Using
analytical tools to produce exception reports can help to reduce the size and complexity of
the system and performance monitoring reports, as well as to focus on the most relevant
and critical information for review and action. The other options are less effective plans of
action, as they may involve unnecessary costs, risks, or efforts. References:
CISA Review Questions, Answers & Explanations Database, Question ID 219
Question # 3
When planning an audit to assess application controls of a cloud-based system, it is MOST
important tor the IS auditor to understand the.
A. architecture and cloud environment of the system. B. business process supported by the system. C. policies and procedures of the business area being audited. D. availability reports associated with the cloud-based system.
Answer: B Explanation:
The business process supported by the system is the most important factor for an IS
auditor to understand when planning an audit to assess application controls of a cloud
based system. An IS auditor should have a clear understanding of the business objectives,
requirements, and risks of the process, as well as the expected outputs and outcomes of
the system. This will help the IS auditor to determine the scope, objectives, and criteria of
the audit, as well as to identify and evaluate the key application controls that ensure the
effectiveness, efficiency, and reliability of the process. The other options are less important
factors that may provide additional information or context for the audit, but not its primary
focus. References:
CISA Review Questions, Answers & Explanations Database, Question ID 212
Question # 4
Which of the following findings should be of GREATEST concern for an IS auditor when
auditing the effectiveness of a phishing simu-lation test administered for staff members?
A. Staff members who failed the test did not receive follow-up education B. Test results were not communicated to staff members. C. Staff members were not notified about the test beforehand. D. Security awareness training was not provided prior to the test.
Answer: A Explanation:
The IS auditor should be most concerned about the lack of follow-up education for staff
members who failed the phishing simulation test. Phishing simulation tests are designed to
assess the level of awareness and susceptibility of staff members to phishing attacks, and
to provide feedback and training to improve their security behavior. If staff members who
failed the test do not receive follow-up education, they will not learn from their mistakes and
may continue to fall victim to real phishing attacks, which could compromise the security of
the organization. The other options are less concerning for the IS auditor: Test results were not communicated to staff members. This is not ideal, as staff
members should receive feedback on their performance and learn from the test
results. However, this does not necessarily mean that they did not receive any
training or education on how to avoid phishing attacks. Staff members were not notified about the test beforehand. This is a common
practice for phishing simulation tests, as it mimics the real-world scenario where
staff members do not know when they will receive a phishing email. The purpose
of the test is to measure their spontaneous reaction and awareness, not their
preparedness or compliance. Security awareness training was not provided prior to the test. This is not a major
concern, as the test can serve as a baseline measurement of the current level of
awareness and susceptibility of staff members, and as a starting point for providing
tailored training and education based on the test results.
Question # 5
During a follow-up audit, it was found that a complex security vulnerability of low risk was
not resolved within the agreed-upon timeframe. IT has stated that the system with the
identified vulnerability is being replaced and is expected to be fully functional in two months
Which of the following is the BEST course of action?
A. Require documentation that the finding will be addressed within the new system B. Schedule a meeting to discuss the issue with senior management C. Perform an ad hoc audit to determine if the vulnerability has been exploited D. Recommend the finding be resolved prior to implementing the new system
Answer: A Explanation:
Requiring documentation that the finding will be addressed within the new system is the
best course of action for a follow-up audit. An IS auditor should obtain evidence that the
complex security vulnerability of low risk will be resolved in the new system and that there
is a reasonable timeline for its implementation. The other options are not appropriate
courses of action, as they may be too costly, time-consuming, or impractical for a low-risk
finding. References:
CISA Review Questions, Answers& Explanations Database, Question ID 209
Question # 6
The BEST way to determine whether programmers have permission to alter data in the
production environment is by reviewing:
A. the access control system's log settings. B. how the latest system changes were implemented. C. the access control system's configuration. D. the access rights that have been granted.
Answer: D Explanation:
The best way to determine whether programmers have permission to alter data in the
production environment is by reviewing the access rights that have been granted. Access
rights are permissions or privileges that define what actions or operations a user can
perform on an information system or resource. By reviewing the access rights that have
been granted to programmers, an IS auditor can verify whether they have been authorized
to modify data in the production environment, which is where live data and applications are
stored and executed. The access control system’s log settings are parameters that define
what events or activities are recorded by the access control system, which is a system that
enforces the access rights and policies of an information system or resource. The access
control system’s log settings are not the best way to determine whether programmers have
permission to alter data in the production environment, as they do not indicate what
permissions or privileges have been granted to programmers. How the latest system
changes were implemented is a process that describes how software updates or
modifications are deployed to the production environment. How the latest system changes
were implemented is not the best way to determine whether programmers have permission
to alter data in the production environment, as it does not indicate what permissions or
privileges have been granted to programmers. The access control system’s configuration is
a set of rules or parameters that define how the access control system operates and
functions. The access control system’s configuration is not the best way to determine
whether programmers have permission to alter data in the production environment, as it
does not indicate what permissions or privileges have been granted to programmers.
Question # 7
An IS auditor should ensure that an application's audit trail:
A. has adequate security. B. logs ail database records. C. Is accessible online D. does not impact operational efficiency
Answer: A Explanation:
An application’s audit trail is a record of all actions or events that occur within or affect an
application, such as user activities, system operations, data changes, errors, exceptions,
etc. An audit trail can provide evidence and accountability for an application’s functionality
and performance, and support auditing, monitoring, troubleshooting, and investigation
purposes. An IS auditor should ensure that an application’s audit trail has adequate
security, which means that it is protected from unauthorized access, modification, deletion,
or disclosure. Adequate security can help ensure that an audit trail maintains its integrity,
reliability, and availability, and prevents tampering or manipulation by attackers or insiders
who want to hide their tracks or evidence of their actions. Logs all database records is a
possible feature of an application’s audit trail, but it is not the most important thing for an IS
auditor to ensure, as logging all database records may not be necessary or feasible for
some applications, and may generate excessive or irrelevant data that can affect the
storage or analysis of the audit trail. Is accessible online is a possible feature of an
application’s audit trail, but it is not the most important thing for an IS auditor to ensure, as
online accessibility may not be required or desirable for some applications, and may
introduce security or privacy risks for the audit trail. Does not impact operational efficiency
is a desirable outcome of an application’s audit trail, but it is not the most important thing
for an IS auditor to ensure, as operational efficiency may not be the primary objective or
concern of an application’s audit trail, and may depend on other factors or trade-offs such
as storage capacity, performance speed, or data quality.
Question # 8
An IS auditor finds a high-risk vulnerability in a public-facing web server used to process
online customer payments. The IS auditor should FIRST
A. document the exception in an audit report. B. review security incident reports. C. identify compensating controls. D. notify the audit committee.
Answer: C Explanation:
The first action that an IS auditor should take when finding a high-risk vulnerability in a
public-facing web server used to process online customer payments is to identify
compensating controls. Compensating controls are alternative or additional controls that
provide reasonable assurance of mitigating the risk of exploiting the vulnerability. The IS
auditor should assess the effectiveness of the compensating controls and determine
whether they reduce the risk to an acceptable level. If not, the IS auditor should
recommend remediation actions to address the vulnerability. Documenting the exception in
an audit report is an important action, but it should not be the first action, as it does not
address the urgency of the situation. Reviewing security incident reports is a useful action,
but it should not be the first action, as it does not provide assurance of preventing future
incidents. Notifying the audit committee is a necessary action, but it should not be the first
action, as it does not involve taking any corrective measures. References:
Which of the following is MOST helpful for measuring benefits realization for a new
system?
A. Function point analysis B. Balanced scorecard review C. Post-implementation review D. Business impact analysis (BIA)
Answer: C Explanation:
This is the most helpful method for measuring benefits realization for a new system,
because it involves evaluating the actual outcomes and impacts of the system after it has
been implemented and used for a certain period of time. A post-implementation review can
compare the actual benefits with the expected benefits that were defined in the business
case or the benefits realization plan, and identify any gaps, issues, or opportunities for
improvement. A post-implementation review can also assess the effectiveness, efficiency,
and satisfaction of the system’s users, stakeholders, and customers, and provide feedback
and recommendations for future enhancements or changes. The other options are not as helpful as post-implementation review for measuring benefits
realization for a new system: Function point analysis. This is a technique that measures the size and complexity
of a software system based on the number and types of functions it provides.
Function point analysiscan help estimate the cost, effort, and time required to
develop, maintain, or enhance a software system, but it does not measure the
actual benefits or value that the system delivers to the organization or its users.
Balanced scorecard review. This is a strategic management tool that measures the
performance of an organization or a business unit based on four perspectives:
financial, customer, internal process, and learning and growth. A balanced
scorecard review can help align the organization’s vision, mission, and goals with
its activities and outcomes, but it does not measure the specific benefits or impacts
of a new system. Business impact analysis (BIA). This is a process that identifies and evaluates the
potential effects of a disruption or disaster on the organization’s critical business
functions and processes. A BIA can help determine the recovery priorities,
objectives, and strategies for the organization in case of an emergency, but it does
not measure the benefits or value of a new system.
Question # 10
Which of the following should an IS auditor consider FIRST when evaluating firewall rules?
A. The organization's security policy B. The number of remote nodes C. The firewalls' default settings D. The physical location of the firewalls
Answer: A Explanation:
This should be the first thing that an IS auditor considers when evaluating firewall rules,
because it defines the objectives, standards, and guidelines for securing the organization’s
network and information assets. The firewall rules should be aligned with the organization’s
security policy, and reflect the level of risk and protection required for each type of network
traffic, system, or data. The IS auditor should compare the firewall rules with the security
policy, and identify any discrepancies, gaps, or conflicts that could compromise the security
or performance of the network. The other options are not as important as the organization’s security policy when
evaluating firewall rules: The number of remote nodes. This is a factor that may affect the complexity and
scalability of the firewall rules, but it is not a primary consideration for the IS
auditor. Remote nodes are devices or systems that connect to the network from
outside locations, such as teleworkers, mobile users, or branch offices. The IS
auditor should ensure that the firewall rules provide adequate security and access
control for remote nodes, but this depends on the organization’s security policy
and business needs. The firewalls’ default settings. These are the predefined configurations that come
with the firewall devices or software, and that determine how they handle network
traffic by default. The IS auditor should review the firewalls’ default settings, and
verify that they are appropriate and secure for the organization’s network
environment. However, the firewalls’ default settings may not match the
organization’s security policy or specific requirements, and may need to be
customized or overridden by firewall rules.
The physical location of the firewalls. This is a factor that may affect the placement
and design of the firewall rules, but it is not a critical consideration for the IS
auditor. The physical location of the firewalls refers to where they are installed or
deployed in relation to the network topology, such as at the network perimeter,
between network segments, or on individual hosts. The IS auditor should ensure
that the firewall rules are consistent and coordinated across different locations, but
this depends on the organization’s security policy and network architecture.
Question # 11
The PRIMARY focus of a post-implementation review is to verify that:
A. enterprise architecture (EA) has been complied with. B. user requirements have been met. C. acceptance testing has been properly executed. D. user access controls have been adequately designed.
Answer: B Explanation:
The primary focus of a post-implementation review is to verify that user requirements have
been met. User requirements are specifications that define what users need or expect from
a system or service, such as functionality, usability, reliability, etc. User requirements are
usually gathered and documented at the beginning of a project, and used as a basis for
designing, developing, testing, and implementing a system or service. A post-implementation review is an evaluation that assesses whether a system or service meets
its objectives and delivers its expected benefits after it has been implemented. The primary
focus of a post-implementation review is to verify that user requirements have been met, as
this can indicate whether the system or service satisfies the user needs and expectations,
provides value and quality to the users, and supports the user goals and tasks. Enterprise
architecture (EA) has been complied with is a possible focus of a post-implementation
review, but it is not the primary one. EA is a framework that defines how an organization’s
business processes, information systems, and technology infrastructure are aligned and
integrated to support its vision and strategy. EA has been complied with, as this can
indicate whether the system or service fits with the organization’s current and future state,
and follows the organization’s standards and principles. Acceptance testing has been
properly executed is a possible focus of a post-implementation review, but it is not the
primary one. Acceptance testing is a process that verifies whether a system or service
meets the user requirements and expectations before it is accepted by the users or
stakeholders. Acceptance testing has been properly executed, as this can indicate whether
the system or service has been tested and validated by the users or stakeholders, and
whether any issues or defects have been identified and resolved. User access controls
have been adequately designed is a possible focus of a post-implementation review, but it
is not the primary one. User access controls are mechanisms that ensure that only
authorized users can access or use a system or service, and prevent unauthorized access
or use. User access controls have been adequately designed, as this can indicate whether
the system or service has appropriate security and privacy measures in place, and whether
any risks or threats have been mitigated.
Question # 12
The GREATEST benefit of using a polo typing approach in software development is that it
helps to:
A. minimize scope changes to the system. B. decrease the time allocated for user testing and review. C. conceptualize and clarify requirements. D. Improve efficiency of quality assurance (QA) testing
Answer: C Explanation:
The greatest benefit of using a prototyping approach in software development is that it
helps to conceptualize and clarify requirements. A prototyping approach is a method of
creating a simplified or partial version of a software product to demonstrate its features and
functionality. A prototyping approach can help to elicit, validate, and refine the requirements
of the software product, as well as to obtain feedback from the users and stakeholders. The
other options are not the greatest benefits of using a prototyping approach, but rather
possible outcomes or advantages of doing so. References:
CISA Review Questions, Answers & Explanations Database, Question ID 227
Question # 13
Which of the following MUST be completed as part of the annual audit planning process?
A. Business impact analysis (BIA) B. Fieldwork C. Risk assessment D. Risk control matrix
Answer: C Explanation:
Risk assessment is a mandatory part of the annual audit planning process, as it helps to
identify and prioritize the areas that pose the highest risk to the organization’s objectives
and operations. Risk assessment involves analyzing the internal and external factors that
affect the organization’s risk profile, evaluating the likelihood and impact of potential events
or scenarios, assessing the existing controls and mitigation strategies, and determining the
residual risk level. Based on the risk assessment results, the IS auditor can allocate
resources and schedule audits accordingly. A business impact analysis (BIA) is a process
that identifies and evaluates the critical business functions and processes that could be
disrupted by a disaster or incident, and estimates the potential impact on the organization’s
operations, reputation and finances. A BIA is not a mandatory part of the annual audit
planning process, but it can be used as an input for risk assessment or as a subject for
audit. Fieldwork is the phase of an audit where the IS auditor collects evidence to support
the audit objectives and conclusions. Fieldwork is not part of the annual audit planning
process, but it is part of each individual audit engagement. A risk control matrix is a tool
that maps the risks identified in a risk assessment to the controls that mitigate them. A risk
control matrix is not a mandatory part of the annual audit planning process, but it can be
used as an output of risk assessment or as a tool for audit testing. References: CISA
Review Manual (Digital Version) 1, Chapter 1: Information Systems Auditing Process,
Section 1.2: Audit Planning.
Question # 14
Which of the following is the BEST way for an organization to mitigate the risk associated
with third-party application performance?
A. Ensure the third party allocates adequate resources to meet requirements. B. Use analytics within the internal audit function C. Conduct a capacity planning exercise D. Utilize performance monitoring tools to verify service level agreements (SLAs)
Answer: D Explanation:
The best way for an organization to mitigate the risk associated with third-party application
performance is to utilize performance monitoring tools to verify service level agreements
(SLAs). Performance monitoring tools are software or hardware devices that measure and
report the performance of an application or system, such as speed, availability, reliability,
etc. Performance monitoring tools can help mitigate the risk associated with third-party
application performance, by allowing the organization to verify whether the third-party
provider is meeting the SLAs, which are contracts or agreements that define the expected
level and quality of service for an application or system. Performance monitoring tools can
also help identify and resolve any performance issues or problems that may arise from the
third-party application. Ensuring the third party allocates adequate resources to meet
requirements is a possible way to mitigate the risk associated with third-party application
performance, but it is not the best one, as it may not be feasible or effective depending on
the availability, cost, and suitability of the resources. Using analytics within the internal
audit function is a possible way to mitigate the risk associated with third-party application
performance, but it is not the best one, as it may not be timely or relevant depending on the
frequency, scope, and quality of the analytics. Conducting a capacity planning exercise is a
possible way to mitigate the risk associated with third-party application performance, but it
is not the best one, as it may not be accurate or reliable depending on the assumptions,
methods, and data used for the capacity planning.
Question # 15
An IS auditor learns the organization has experienced several server failures in its
distributed environment. Which of the following is the BEST recommendation to limit the
potential impact of server failures in the future?
A. Redundant pathways B. Clustering C. Failover power D. Parallel testing
Answer: B Explanation:
Clustering is a technique that allows multiple servers to work together as a single system,
providing high availability, load balancing, and fault tolerance. Clustering can limit the
potential impact of server failures in a distributed environment, as it can automatically
switch the workload to another server in the cluster if one server fails, without interrupting
the service. Redundant pathways, failoverpower, and parallel testing are also useful for
improving the reliability and availability of servers, but they do not directly address the issue
of server failures.
