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1. A benefit of open schema architecture is that it A. facilitates interoper qualification. B. facilitates the integration of copyrighted comp unrivalednts. C. leave be a basis for volume discounts from equipment vendors. D. eachows for the strikement of more economies of home plate for equipment. make A vizor Open frames ar those for which suppliers admit comp championnts whose interfaces ar defined by popular stock(a)s, thus facilitating interoperability between agreements make by different vendors. In contrast, closed system components be built to proprietary standards so that former(a) suppliers systems derriere non or tolerate non interface with b encounter systems. . An IS he atomic number 18r dis secures that climb upers sop up operator approaching to the leave come on line of a increaseion environment operating system. Which of the sideline disc all overs would scoop mitigate the guess of un get worded and illegitimate design changes to the action environment? A. Commands typed on the command line be lumberged B. Hash backbones atomic number 18 calculated set offic all in ally for computer programmes and matched a progress tost haschisch visors calculated for the near recent authorized versions of the programs C. Access to the operating system command line is given up(p) by dint of an admission charge restriction gumshoe with preapproved rights D.Softw atomic number 18 outgrowth withalls and compilers find been removed from the occupation environment make B stemma The matching of chop breaks over clock time would allow detective turn tail of changes to sends. Choice A is in manufacture beca enjoyment having a logarithm is non a slide by into, palingenesising the log is a admit. Choice C is incorrect beca expend the gate was already grantedit does non matter how. Choice D is wrong beca engage files push aside be copied to and from the production environment. 3. In the context of effective training bail brass instrument, the primary targetive of rank confronty is to A. optimize security investments in support of profession objectives.B. implement a standard congeal of security enforces. C. institute a standards-based solution. D. implement a continuous avail culture. effect A personal credit line In the context of effective nurture security governance, value delivery is implemented to train optimization of security investments in support of championship objectives. The woodpeckers and proficiencys for implementing value delivery complicate writ of execution of a standard quite a little of security practices, institutionalization and commoditization of standards-based solutions, and implementation of a continuous amendment culture considering security as a form, non an event. 4.During a refreshen of a agate line sector persistence curriculum, an IS scrutinizeor noticed that the focus at which a situation is declargond to be a cri sis has not been defined. The study risk associated with this is that A. sound judgment of the situation whitethorn be defyed. B. execution of the happening retrieval picture could be upholdioned. C. apprisal of the aggroups exponent not occur. D. say-so crisis credit entry king be ineffective. declaration B discover accomplishment of the occupation perseveration throw would be impacted if the brass does not know when to decl be a crisis. Choices A, C and D ar step that must be completeed to know whether to decl ar a crisis.Problem and severity assessment would bear tuition necessary in declaring a mishap. Once a pledge crisis is recognized, the teams responsible for crisis caution bespeak to be notified. Delaying this step until a tragedy has been declargond would negate the effect of having response teams. Potential crisis recognition is the first step in responding to a chance. 5. When implementing an IT governance frame deed in an formation the a pproximately grievous objective is A. IT alignment with the headache. B. depictability. C. value acknowledgment with IT. D. enhancing the return on IT investments. exercise A feel The goals of IT governance argon to improve IT dealings, to deliver optimum business value and to agree regulatory compliance. The key practice in support of these goals is the strategic alignment of IT with the business (choice A). To achieve alignment, all some other choices need to be drawing cardd to business practices and strategies. 6. When revueing an implementation of a VoIP system over a merged WAN, an IS attender should await to find A. an integrated services digital net swear out (ISDN) info link. B. trade engineering. C. wired equivalent privacy (WEP) en cryptogram of entropy.D. analog phone terminals. exercise B respect To underwrite that quality of service unavoid adaptednesss argon achieved, the Voice-over IP (VoIP) service over the wide atomic number 18a network (WAN) should be protect from packet losses, latency or jitter. To reach this objective, the network performance derriere be managed using statistical techniques such as handicraft engineering. The standard bandwidth of an integrated services digital network (ISDN) info link would not suffer the quality of services required for corporeal VoIP services. WEP is an encoding end related to wireless networks.The VoIP phones are usually connected to a corporate topical anaesthetic area network (LAN) and are not analog. 7. An IS listener selects a server for a penetration sieve that leave behind be carried out by a technical specialist. Which of the pursuit is intimately essential? A. The tools use to conduct the test B. Certifications held by the IS listener C. Permission from the entropy owner of the server D. An intrusion detection system (IDS) is enabled break up C situation The information owner should be informed of the risks associated with a penetration test, what ty pes of tests are to be conducted and other applicable details.All other choices are not as important as the info owners responsibility for the security of the selective information assets. 8. Which of the side by side(p) is a risk of cross-training? A. Increases the dependency on one employee B. Does not give ear in succession training C. One employee whitethorn know all parts of a system D. Does not help in achieving a tenaciousness of trading operations dissolving agent C let down When cross-training, it would be wise to first assess the risk of each person knowing all parts of a system and what characterizations this whitethorn cause. Cross-training has the advantage of decreasing dependence on one employee and, hence, advise be part of succession planning.It as well as provides pecuniary backing for personnel in the event of absence for whatsoever ram and thereby facilitates the continuity of operations. 9. The use of digital signatures A. requires the use of a one-time rallying cry generator. B. provides encryption to a message. C. validates the consultation of a message. D. ensures message confidentiality. reception C agate line The use of a digital signature verifies the indistinguishability of the sender, save does not encrypt the full-page message, and hence is not enough to ensure confidentiality. A one-time saucilys generator is an option, tho is not a requirement for using digital signatures. 0. A retail outlet has introduced radio relative frequency identification (RFID) tags to create unique serial numbers for all products. Which of the hobby is the PRIMARY link associated with this initiative? A. Issues of privacy B. Wave aloofness trick be inattentive by the human body C. RFID tags may not be extractible D. RFID eliminates line-of-sight reading ANSWER A NOTE The purchaser of an item impart not necessarily be aware of the presence of the tag. If a labeled item is p fear for by credit card, it would be viable to tie the unique ID of that item to the identity of the purchaser.Privacy violations are a signifi back tootht concern because RFID potbelly carry unique identifier numbers. If desired it would be contingent for a firm to track individuals who purchase an item containing an RFID. Choices B and C are concerns of less importance. Choice D is not a concern. 11. A land retrieval time objective (RTO) results in A. higher(prenominal) disaster tolerance. B. higher greet. C. wider interruption windows. D. more permissive entropy loss. ANSWER B NOTE A recovery time objective (RTO) is based on the delicious downtime in case of a disruption of operations. The lower the RTO, the higher the toll of recovery strategies.The lower the disaster tolerance, the narrower the interruption windows, and the lesser the permissive info loss. 12. During the requirements definition phase of a parcel development compute, the aspects of software package scrutiny that should be addressed are growt h A. test data blanket detailed applications. B. detailed test plans. C. quality agency test specifications. D. exploiter acceptance examination specifications. ANSWER D NOTE A key objective in any software development consider is to ensure that the actual software will meet the business objectives and the requirements of the exploiter.The substance abusers should be entangled in the requirements definition phase of a development make and user acceptance test specification should be developed during this phase. The other choices are generally performed during the system exam phase. 13. The BEST filter direct(p)isation for protect a network from organism use as an amplifier in a denial of service (DoS) lash out is to deny all A. outgoing traffic with IP source addresses outdoor(a) to the network. B. incoming traffic with discernible spoofed IP source addresses. C. incoming traffic with IP options set.D. incoming traffic to particular hosts. ANSWER A NOTE Outgoing tra ffic with an IP source address different than the IP range in the network is invalid. In more or less of the cases, it signals a DoS attack originated by an internal user or by a previously compromised internal machine in both cases, passing this filter will stop the attack. 14. What is the BEST supporting system for a large database with data supporting online sales? A. Weekly ripe backup with daily incremental backup B. Daily full backup C. foregather servers D. Mirrored hard disks ANSWER ANOTE Weekly full backup and daily incremental backup is the stovepipe backup strategy it ensures the ability to recover the database and yet reduces the daily backup time requirements. A full backup normally requires a couple of hours, and indeed it net be impractical to conduct a full backup every day. Clustered servers provide a redundant bear on capability, but are not a backup. Mirrored hard disks will not help in case of disaster. 15. Which of the pursual is a feature of Wi-Fi P rotected Access (WPA) in wireless networks? A. Session keys are dynamicB. Private symmetric keys are apply C. Keys are static and shared D. Source addresses are not encrypted or authenticated ANSWER A NOTE WPA uses dynamic session keys, achieving stronger encryption than wireless encryption privacy (WEP), which operates with static keys (same key is used for everyone in the wireless network). All other choices are weaknesses of WEP. 16. The ultimate purpose of IT governance is to A. encourage optimal use of IT. B. reduce IT salutes. C. de alter IT mental imagerys across the institution. D. exchangeize watch of IT. ANSWER ANOTE IT governance is intended to specify the combination of finding rights and accountability that is best for the enterprise. It is different for every enterprise. Reducing IT hails may not be the best IT governance outcome for an enterprise. Decentralizing IT resources across the judicature is not always desired, although it may be desired in a decentr alized environment. Centralizing engage of IT is not always desired. An sheath of where it might be desired is an enterprise desiring a case-by-case occlusion of customer contact. 17. The MAIN purpose of a deed canvass tip is toA. reduce the use of memory board media. B. get hold accountability and responsibility for refined transactions. C. help an IS attendee trace transactions. D. provide useful information for cogency planning. ANSWER B NOTE Enabling scrutinise trails aids in establishing the accountability and responsibility for processed transactions by tracing them through the information system. Enabling audit trails increases the use of disk space. A transaction log file would be used to trace transactions, but would not aid in find accountability and responsibility.The objective of capacity planning is the cost-effective and effective use of IT resources and requires information such as mainframe utilization, bandwidth, number of users, etc. 18. An IS hea rer invited to a development hold concussion notes that no devise risks have been documented. When the IS auditor raises this issue, the project conductor responds that it is too early to identify risks and that, if risks do start impacting the project, a risk manager will be hired. The usurp response of the IS auditor would be to A. wind the importance of spending time at this point in the project to consider and document risks, and to develop contingency plans. B. accept the project managers stain as the project manager is accountable for the outcome of the project. C. offer to work with the risk manager when one is appointed. D. inform the project manager that the IS auditor will conduct a review of the risks at the completion of the requirements definition phase of the project. ANSWER A NOTE The majority of project risks can typically be identified to begin with a project begins, allowing easing/avoidance plans to be put in place to deal with these risks.A project shou ld have a clear link back to corporate strategy and tactical plans to support this strategy. The process of backing corporate strategy, setting objectives and developing tactical plans should include the circumstance of risks. Appointing a risk manager is a comfortably practice but waiting until the project has been impacted by risks is misguided. Risk forethought needs to be forward looking allowing risks to drive into issues that adversely impact the project represents a failure of risk concern.With or without a risk manager, persons within and outside of the project team need to be consulted and encouraged to comment when they believe youthful risks have emerged or risk priorities have changed. The IS auditor has an obligation to the project sponsor and the boldness to advise on remove project focussing practices. Waiting for the possible appointment of a risk manager represents an unnecessary and dangerous delay to implementing risk worry. 19. A data center has a bad ge-entry system. Which of the following is or so important to protect the reason assets in the center?A. Badge readers are installed in locations where tampering would be noticed B. The computer that images the badge system is backed up frequently C. A process for promptly deactivating disjointed or stolen badges exists D. All badge entry attempts are logged ANSWER C NOTE Tampering with a badge reader cannot open the door, so this is irrelevant. enter the entry attempts may be of limited value. The biggest risk is from unauthorised individuals who can enter the data center, whether they are employees or not. Thus, a process of deactivating lost or stolen badges is important.The configuration of the system does not change frequently, whence frequent backup is not necessary. 20. Which of the following would impair the independence of a quality assurance team? A. Ensuring compliance with development methods B. Checking the testing assumptions C. Correcting coding errors during th e testing process D. Checking the canon to ensure proper documentation ANSWER C NOTE Correction of code should not be a responsibility of the quality assurance team as it would not ensure segregation of duties and would impair the teams independence. The other choices are valid quality assurance functions. 1. Which of the following is the BEST type of program for an organization to implement to aggregate, fit and store different log and event files, and then produce hebdomadal and monthly reports for IS auditors? A. A security information event management (SIEM) product B. An open-source correlation engine C. A log management tool D. An extract, transform, load (ETL) system ANSWER C NOTE A log management tool is a product designed to aggregate events from just or so log files (with distinct formats and from different sources), store them and typically correlate them offline to produce many a(prenominal) reports (e. . , exception reports showing different statistics including anomalies and suspicious activities), and to result time-based queries (e. g. , how many users have entered the system between 2 a. m. and 4 a. m. over the then(prenominal) three weeks? ). A SIEM product has some similar features. It correlates events from log files, but does it online and normally is not oriented to storing many weeks of historical information and producing audit reports. A correlation engine is part of a SIEM product. It is oriented to make an online correlation of events.An extract, transform, load (ETL) is part of a business intelligence system, sanctified to extracting operational or production data, transforming that data and loading them to a central repository (data warehouse or data mart) an ETL does not correlate data or produce reports, and normally it does not have extractors to read log file formats. 22. To ensure hallmark, confidentiality and integrity of a message, the sender should encrypt the hash of the message with the senders A. human univ erses key and then encrypt the message with the receivers hush-hush key. B. third estate soldier key and then encrypt the message with the receivers public key.C. public key and then encrypt the message with the receivers public key. D. private key and then encrypt the message with the receivers private key. ANSWER B NOTE Obtaining the hash of the message ensures integrity signing the hash of the message with the senders private key ensures the authenticity of the origin, and encrypting the resulting message with the receivers public key ensures confidentiality. The other choices are incorrect. 23. An IS auditor observes a weakness in the tape management system at a data center in that some parameters are set to bypass or ignore tape header records.Which of the following is the MOST effective compensating control for this weakness? A. Staging and rail line set up B. Supervisory review of logs C. Regular back-up of tapes D. Off localise computer memory of tapes ANSWER A NOTE If the IS auditor finds that there are effective staging and job set up processes, this can be accepted as a compensating control. Choice B is a detective control while choices C and D are disciplinal controls, none of which would serve as good compensating controls. 24. What is the MOST prevalent security risk when an organization implements remote virtual(prenominal) private network (VPN) entrance to its network?A. Malicious code could be spread across the network B. VPN logon could be spoofed C. Traffic could be sniffed and decrypted D. VPN introduction could be compromised ANSWER A NOTE VPN is a mature engineering science VPN devices are hard to break. However, when remote admission charge is enabled, malicious code in a remote client could spread to the organizations network. Though choices B, C and D are security risks, VPN technology largely mitigates these risks. 25. The activation of an enterprises business continuity plan should be based on pre fit(p) criteria that addre ss the A. length of the outage. B. ype of outage. C. probability of the outage. D. cause of the outage. ANSWER A NOTE The initiation of a business continuity plan (action) should primarily be based on the maximum time period for which a business function can be disrupted before the disruption threatens the achievement of organizational objectives. 26. After observant suspicious activities in a server, a manager requests a rhetorical analysis. Which of the following findings should be of MOST concern to the investigator? A. Server is a member of a workgroup and not part of the server domain B. lymph gland account is enabled on the server C.Recently, atomic number 6 users were created in the server D. size up logs are not enabled for the server ANSWER D NOTE size up logs can provide order which is required to proceed with an investigation and should not be disabled. For business needs, a server can be a member of a workgroup and, therefore, not a concern. Having a guest accou nt enabled on a system is a poor security practice but not a forensic investigation concern. Recently creating 100 users in the server may have been required to meet business needs and should not be a concern. 27. Minimum password length and password complexity verification are examples of A. etection controls. B. control objectives. C. audit objectives. D. control procedures. ANSWER D NOTE Control procedures are practices established by management to achieve specific control objectives. Password controls are saveive controls, not detective controls. Control objectives are declarations of expected results from implementing controls and audit objectives are the specific goals of an audit. 28. Which of the following is an advantage of the top-down approach to software testing? A. Interface errors are identified early B. tallying can be started before all programs are complete C.It is more effective than other testing approaches D. Errors in exact modules are detected brieflyer AN SWER A NOTE The advantage of the top-down approach is that tests of major functions are conducted early, thus enabling the detection of interface errors sooner. The or so effective testing approach is dependent on the environment being tested. Choices B and D are advantages of the bottom-up approach to system testing. 29. After initial investigation, an IS auditor has reasons to believe that maneuver may be present. The IS auditor should A. expand activities to get whether an investigation is warranted.B. report the matter to the audit committee. C. report the possibility of fraud to top management and ask how they would like to proceed. D. consult with outdoor(a) juristic counsel to visit the course of action to be taken. ANSWER A NOTE An IS auditors responsibilities for detecting fraud include evaluating fraud indicators and deciding whether any additional action is necessary or whether an investigation should be recommended. The IS auditor should notify the appropriate auth orities within the organization only if it has determined that the indicators of fraud are capable to recommend an investigation.Normally, the IS auditor does not have authority to consult with external legal counsel. 30. As a device driver of IT governance, transparency of ITs cost, value and risks is primarily achieved through A. performance measurement. B. strategic alignment. C. value delivery. D. resource management. ANSWER A NOTE proceeding measurement includes setting and monitoring measurable objectives of what the IT processes need to deliver (process outcome) and how they deliver it (process capability and performance). strategical alignment primarily focuses on ensuring linkage of business and IT plans.Value delivery is round executing the value proposition throughout the delivery cycle. Resource management is about the optimal investment in and proper management of diminutive IT resources. Transparency is primarily achieved through performance measurement as it prov ides information to the stakeholders on how well the enterprise is performing when compared to objectives. 31. A technical drop dead who was working on a major project has left the organization. The project manager reports suspicious system activities on one of the servers that is chafeible to the whole team.What would be of GREATEST concern if discovered during a forensic investigation? A. study logs are not enabled for the system B. A logon ID for the technical chairman still exists C. Spyware is installed on the system D. A Trojan is installed on the system ANSWER A NOTE Audit logs are critical to the investigation of the event however, if not enabled, misuse of the logon ID of the technical lead and the guest account could not be established. The logon ID of the technical lead should have been deleted as soon as the employee left the organization but, without audit logs, misuse of the ID is thorny to prove.Spyware installed on the system is a concern but could have been in stalled by any user and, again, without the presence of logs, discovering who installed the spyware is difficult. A Trojan installed on the system is a concern, but it can be done by any user as it is accessible to the whole group and, without the presence of logs, investigation would be difficult. 32. When using a universal storage bus (USB) singe drive to transport confidential corporate data to an offsite location, an effective control would be to A. carry the flaunt drive in a portable safe. B. predict management that you will not lose the flash drive. C. equest that management deliver the flash drive by courier. D. encrypt the folder containing the data with a strong key. ANSWER D NOTE Encryption, with a strong key, is the some secure method for protecting the information on the flash drive. Carrying the flash drive in a portable safe does not indorsement the safety of the information in the event that the safe is stolen or lost. No matter what measures you take, the chanc e of losing the flash drive still exists. It is possible that a courier might lose the flash drive or that it might be stolen. 33. The FIRST step in a successful attack to a system would be A. gathering information. B. aining access. C. denying services. D. evading detection. ANSWER A NOTE Successful attacks start by gathering information about the stub system. This is done in advance so that the attacker gets to know the object systems and their vulnerabilities. All of the other choices are based on the information gathered. 34. An IS auditor finds that conference ways have active network ports. Which of the following is MOST important to ensure? A. The corporate network is using an intrusion saloon system (IPS) B. This part of the network is isolated from the corporate network C. A single sign-on has been implemented in the corporate network D.Antivirus software is in place to protect the corporate network ANSWER B NOTE If the conference rooms have access to the corporate netwo rk, illegitimate users may be able to connect to the corporate network therefore, both networks should be isolated either via a firewall or being physically separated. An IPS would detect possible attacks, but only aft(prenominal) they have occurred. A single sign-on would ease authentication management. Antivirus software would reduce the impact of possible viruses however, illegitimate users would still be able to access the corporate network, which is the biggest risk. 5. While notice a full simulation of the business continuity plan, an IS auditor notices that the relation systems within the organizational facilities could be seve hope impacted by infrastructural deadening. The BEST recommendation the IS auditor can provide to the organization is to ensure A. the let off team is trained to use the notification system. B. the notification system provides for the recovery of the backup. C. redundancies are built into the notification system. D. the notification systems are stored in a vault. ANSWER CNOTE If the notification system has been severely impacted by the damage, verbosity would be the best control. The salvage team would not be able to use a severely damaged notification system, even if they are trained to use it. The recovery of the backups has no bearing on the notification system and storing the notification system in a vault would be of little value if the building is damaged. 36. The human resources (HR) department has developed a system to allow employees to enroll in benefits via a web site on the corporate Intranet. Which of the following would protect the confidentiality of the data?A. SSL encryption B. Two- component part authentication C. Encrypted session cookies D. IP address verification ANSWER A NOTE The main risk in this scenario is confidentiality, therefore the only option which would provide confidentiality is Secure Socket Layer (SSL) encryption. The ride outing options deal with authentication issues. 37. Regarding a d isaster recovery plan, the role of an IS auditor should include A. identifying critical applications. B. determining the external service providers involved in a recovery test. C. observing the tests of the disaster recovery plan. D. etermining the criteria for establishing a recovery time objective (RTO). ANSWER C NOTE The IS auditor should be present when disaster recovery plans are tested, to ensure that the test meets the targets for restoration, and the recovery procedures are effective and efficient. As appropriate, the auditor should provide a report of the test results. All other choices are a responsibility of management. 38. Which of the following is the BEST practice to ensure that access authorizations are still valid? A. Information owner provides authorization for users to gain access B. Identity management is integrated with human resource processes C.Information owners sporadically review the access controls D. An authorization matrix is used to establish hardihood of access ANSWER B NOTE Personnel and departmental changes can result in authorization creep and can impact the military capability of access controls. Many times when personnel leave an organization, or employees are promoted, transferred or demoted, their system access is not fully removed, which increases the risk of unauthorized access. The best practices for ensuring access authorization is still valid is to integrate identity management with human resources processes.When an employee transfers to a different function, access rights are adjusted at the same time. 39. The application systems of an organization using open-source software have no single recognized developer producing patches. Which of the following would be the MOST secure way of updating open-source software? A. Rewrite the patches and apply them B. jurisprudence review and application of available patches C. Develop in-house patches D. Identify and test suitable patches before applying them ANSWER D NOTE Sui table patches from the breathing developers should be selected and tested before applying them.Rewriting the patches and applying them is not a correct answer because it would require skilled resources and time to rewrite the patches. Code review could be possible but tests need to be performed before applying the patches. Since the system was developed outside the organization, the IT department may not have the necessary skills and resources to develop patches. 40. Which of the following is a prevalent risk in the development of end-user computing (EUC) applications? A. Applications may not be subject to testing and IT general controls B. increase development and criminal maintenance costsC. Increased application development time D. Decision-making may be impaired callable to diminished reactivity to requests for information ANSWER A NOTE End-user developed applications may not be subjected to an independent outside review by systems analysts and frequently are not created in the context of a formal development methodology. These applications may lack appropriate standards, controls, quality assurance procedures, and documentation. A risk of end-user applications is that management may rely on them as much as traditional applications.End-user computing (EUC) systems typically result in reduced application development and maintenance costs, and a reduced development cycle time. EUC systems normally increase flexibility and responsiveness to managements information requests. 41. The MAJOR consideration for an IS auditor reviewing an organizations IT project portfolio is the A. IT budget. B. existing IT environment. C. business plan. D. investment plan. ANSWER C NOTE One of the most important reasons for which projects get funded is how well a project meets an organizations strategic objectives.Portfolio management takes a holistic view of a companys overall IT strategy. IT strategy should be aline with the business strategy and, hence, reviewing the busi ness plan should be the major consideration. Choices A, B and D are important but secondary to the importance of reviewing the business plan. 42. Which of the following is an attribute of the control self-assessment (CSA) approach? A. Broad stakeholder involvement B. Auditors are the primary control analysts C. Limited employee participation D. Policy driven ANSWER ANOTE The control self-assessment (CSA) approach emphasizes management of and accountability for developing and monitoring the controls of an organizations business processes. The attributes of CSA include em index fingered employees, continuous improvement, extensive employee participation and training, all of which are representations of broad stakeholder involvement. Choices B, C and D are attributes of a traditional audit approach. 43. The BEST method for assessing the effectiveness of a business continuity plan is to review the A. plans and compare them to appropriate standards. B. results from previous tests.C. emer gency procedures and employee training. D. offsite storage and environmental controls. ANSWER B NOTE Previous test results will provide evidence of the effectiveness of the business continuity plan. Comparisons to standards will give some assurance that the plan addresses the critical aspects of a business continuity plan but will not reveal anything about its effectiveness. Reviewing emergency procedures, offsite storage and environmental controls would provide insight into some aspects of the plan but would pedigree short of providing assurance of the plans overall effectiveness. 4. An organization has just completed their annual risk assessment. Regarding the business continuity plan, what should an IS auditor recommend as the conterminous step for the organization? A. Review and evaluate the business continuity plan for adequacy B. Perform a full simulation of the business continuity plan C. Train and educate employees regarding the business continuity plan D. proclaim criti cal contacts in the business continuity plan ANSWER A NOTE The business continuity plan should be reviewed every time a risk assessment is completed for the organization. instruct of the employees and a simulation should be performed after the business continuity plan has been deemed equal to(predicate) for the organization. There is no reason to notify the business continuity plan contacts at this time. 45. Which of the following insurance types provide for a loss arising from fallacious acts by employees? A. assembly line interruption B. Fidelity coverage C. Errors and omissions D. Extra expense ANSWER B NOTE Fidelity insurance covers the loss arising from dishonest or fraudulent acts by employees. Business interruption insurance covers the loss of profit due to the disruption in the operations of an organization.Errors and omissions insurance provides legal liability justification in the event that the professional practitioner commits an act that results in financial loss to a client. Extra expense insurance is designed to cover the extra costs of continuing operations following a disaster/disruption within an organization. 46. An IS auditor reviewing the risk assessment process of an organization should FIRST A. identify the reasonable threats to the information assets. B. analyze the technical and organizational vulnerabilities. C. identify and rank the information assets. D. evaluate the effect of a potential security breach.ANSWER C NOTE Identification and ranking of information assetse. g. , data criticality, locations of assetswill set the tone or kitchen stove of how to assess risk in relation to the organizational value of the asset. Second, the threats facing each of the organizations assets should be analyzed according to their value to the organization. Third, weaknesses should be identified so that controls can be evaluated to determine if they mitigate the weaknesses. Fourth, analyze how these weaknesses, in absence of presumption contro ls, would impact the organization information assets. 47.An organization is using an enterprise resource management (ERP) application. Which of the following would be an effective access control? A. User- take permissions B. Role-based C. close-grained D. arbitrary ANSWER B NOTE Role-based access controls the system access by defining roles for a group of users. Users are assigned to the confused roles and the access is granted based on the users role. User-level permissions for an ERP system would create a larger administrative overhead. Fine-grained access control is very difficult to implement and maintain in the context of a large nterprise. Discretionary access control may be configured or modified by the users or data owners, and therefore may create inconsistencies in the access control management. 48. The sender of a public key would be authenticated by a A. certificate authority. B. digital signature. C. digital certificate. D. adjustment authority. ANSWER C NOTE A dig ital certificate is an electronic document that declares a public key holder is who the holder claims to be. The certificates do handle data authentication as they are used to determine who sent a particular message.A certificate authority issues the digital certificates, and distributes, generates and manages public keys. A digital signature is used to ensure integrity of the message being sent and solve the nonrepudiation issue of message origination. The registration authority would perform most of the administrative tasks of a certificate authority, i. e. , registration of the users of a digital signature plus authenticating the information that is put in the digital certificate. 49. Which of the following is the MOST reliable form of single factor personal identification? A. Smart card B. PasswordC. Photo identification D. Iris conk out ANSWER D NOTE Since no two irises are alike, identification and verification can be done with confidence. There is no procure that a smart ca rd is being used by the correct person since it can be shared, stolen or lost and found. Passwords can be shared and, if written down, carry the risk of discovery. Photo IDs can be forged or falsified. 50. A business application system accesses a corporate database using a single ID and password embedded in a program. Which of the following would provide efficient access control over the organizations data? A.Introduce a secondary authentication method such as card swipe B. Apply role-based permissions within the application system C. put up users enter the ID and password for each database transaction D. Set an expiration period for the database password embedded in the program ANSWER B NOTE When a single ID and password are embedded in a program, the best compensating control would be a sound access control over the application story and procedures to ensure access to data is granted based on a users role. The issue is user permissions, not authentication, therefore adding a st ronger authentication does not improve the situation.Having a user input the ID and password for access would provide a better control because a database log would identify the initiator of the activity. However, this may not be efficient because each transaction would require a separate authentication process. It is a good practice to set an expiration date for a password. However, this might not be practical for an ID automatically logged in from the program. Often, this type of password is set not to expire. 51. Which of the following should be the MOST important consideration when deciding areas of priority for IT governance implementation?A. Process maturity B. Performance indicators C. Business risk D. Assurance reports ANSWER C NOTE anteriority should be given to those areas which represent a known risk to the enterprises operations. The level of process maturity, process performance and audit reports will feed into the finish making process. Those areas that represent real risk to the business should be given priority. 52. An IS auditor has been asked to participate in project initiation meetings for a critical project. The IS auditors MAIN concern should be that the A. omplexity and risks associated with the project have been analyzed. B. resources needed throughout the project have been determined. C. project deliverables have been identified. D. a contract for external parties involved in the project has been completed. ANSWER A NOTE arrest complexity and risk, and actively managing these throughout a project are critical to a successful outcome. The other choices, while important during the course of the project, cannot be fully determined at the time the project is initiated, and are ofttimes contingent upon the risk and complexity of the project. 3. Which of the following would MOST effectively control the usage of universal storage bus (USB) storage devices? A. Policies that require secondment dismissal if such devices are found B. Software for track and managing USB storage devices C. Administratively disabling the USB port D. Searching personnel for USB storage devices at the facilitys entrance ANSWER B NOTE Software for centralized tracking and monitoring would allow a USB usage policy to be use to each user based on changing business requirements, and would provide for monitoring and reporting exceptions to management.A policy requiring dismissal may result in increased employee attrition and business requirements would not be right on addressed. modify ports would be complex to manage and might not allow for new business needs. Searching of personnel for USB storage devices at the entrance to a facility is not a practical solution since these devices are crushed and could be easily hidden. 54. When performing a database review, an IS auditor notices that some tables in the database are not normalized. The IS auditor should next A. recommend that the database be normalized. B. review the conceptual data model.C . review the stored procedures. D. review the justification. ANSWER D NOTE If the database is not normalized, the IS auditor should review the justification since, in some situations, denormalization is recommended for performance reasons. The IS auditor should not recommend normalizing the database until further investigation takes place. Reviewing the conceptual data model or the stored procedures will not provide information about normalization. 55. Which of the following would be the GREATEST cause for concern when data are sent over the Internet using HTTPS protocol? A.Presence of spyware in one of the ends B. The use of a traffic sniffing tool C. The implementation of an RSA-compliant solution D. A symmetric cryptography is used for transmitting data ANSWER A NOTE Encryption using secure sockets layer/transport layer security (SSL/TLS) tunnels makes it difficult to intercept data in transit, but when spyware is discharge on an end users computer, data are draw ined before en cryption takes place. The other choices are related to encrypting the traffic, but the presence of spyware in one of the ends captures the data before encryption takes place. 56.At the completion of a system development project, a postproject review should include which of the following? A. Assessing risks that may lead to downtime after the production release B. Identifying lessons learned that may be applicable to future tense projects C. Verifying the controls in the delivered system are working D. Ensuring that test data are deleted ANSWER B NOTE A project team has something to learn from each and every project. As risk assessment is a key issue for project management, it is important for the organization to accumulate lessons learned and integrate them into future projects.An assessment of potential downtime should be do with the operations group and other specialists before implementing a system. Verifying that controls are working should be covered during the acceptance te st phase and possibly, again, in the postimplementation review. Test data should be retained for future regression testing. 57. While reviewing the IT infrastructure, an IS auditor notices that storage resources are continuously being added. The IS auditor should A. recommend the use of disk mirroring. B. review the adequacy of offsite storage. C. eview the capacity management process. D. recommend the use of a coalescence algorithm. ANSWER C NOTE Capacity management is the planning and monitoring of computer resources to ensure that available IT resources are used efficiently and effectively. Business criticality must be considered before recommending a disk mirroring solution and offsite storage is unrelated to the problem. Though data compression may save disk space, it could advert system performance. 58. Which of the following would be MOST important for an IS auditor to verify when conducting a business continuity audit? A.Data backups are performed on a timely basis B. A re covery site is contracted for and available as needed C. sympathetic safety procedures are in place D. Insurance coverage is adequate and premiums are current ANSWER C NOTE The most important element in any business continuity process is the egis of human life. This takes precedence over all other aspects of the plan. 59. While reviewing erogenous electronic work papers, the IS auditor noticed that they were not encrypted. This could compromise the A. audit trail of the versioning of the work papers. B. approval of the audit phases.C. access rights to the work papers. D. confidentiality of the work papers. ANSWER D NOTE Encryption provides confidentiality for the electronic work papers. Audit trails, audit phase approvals and access to the work papers do not, of themselves, affect the confidentiality but are part of the reason for requiring encryption. 60. An IS auditor reviewing an accounts collectible system discovers that audit logs are not being reviewed. When this issue is brocaded with management the response is that additional controls are not necessary because effective system access controls are in place.The BEST response the auditor can make is to A. review the integrity of system access controls. B. accept managements pedagogy that effective access controls are in place. C. stress the importance of having a system control framework in place. D. review the background checks of the accounts payable staff. ANSWER C NOTE Experience has demonstrated that reliance purely on retardative controls is dangerous. Preventative controls may not prove to be as strong as anticipated or their effectiveness can deteriorate over time.Evaluating the cost of controls versus the quantum of risk is a valid management concern. However, in a high-risk system a comprehensive control framework is needed. Intelligent design should permit additional detective and corrective controls to be established that dont have high ongoing costs, e. g. , automated testing of logs to highlight suspicious individual transactions or data patterns. stiff access controls are, in themselves, a positive but, for reasons outlined above, may not sufficiently compensate for other control weaknesses. In this situation the IS auditor needs to be proactive.The IS auditor has a fundamental obligation to point out control weaknesses that give rise to unacceptable risks to the organization and work with management to have these corrected. Reviewing background checks on accounts payable staff does not provide evidence that fraud will not occur. 61. A firewall is being deployed at a new location. Which of the following is the MOST important factor in ensuring a successful deployment? A. Reviewing logs frequently B. Testing and validating the rules C. Training a local administrator at the new location D. communion firewall administrative dutiesANSWER B NOTE A mistake in the rule set can render a firewall insecure. Therefore, testing and validating the rules is the most impo rtant factor in ensuring a successful deployment. A regular review of log files would not start until the deployment has been completed. Training a local administrator may not be necessary if the firewalls are managed from a central location. Having multiple administrators is a good idea, but not the most important. 62. When evaluating the controls of an EDI application, an IS auditor should PRIMARILY be concerned with the risk of A. xcessive transaction regression time. B. application interface failure. C. improper transaction authorization. D. nonvalidated batch totals. ANSWER C NOTE Foremost among the risks associated with electronic data interchange (EDI) is improper transaction authorization. Since the interaction with the parties is electronic, there is no inherent authentication. The other choices, although risks, are not as significant. 63. The PRIMARY objective of implementing corporate governance by an organizations management is to A. provide strategic direction. B. cont rol business operations.C. align IT with business. D. implement best practices. ANSWER A NOTE Corporate governance is a set of management practices to provide strategic direction, thereby ensuring that goals are achievable, risks are properly addressed and organizational resources are properly utilized. Hence, the primary objective of corporate governance is to provide strategic direction. Based on the strategic direction, business operations are directed and controlled. 64. To determine if unauthorized changes have been made to production code the BEST audit procedure is to A. xamine the change control system records and trace them forward to object code files. B. review access control permissions operating within the production program libraries. C. examine object code to find instances of changes and trace them back to change control records. D. review change approved designations established within the change control system. ANSWER C NOTE The procedure of examining object code f iles to establish instances of code changes and tracing these back to change control system records is a substantive test that directly addresses the risk of unauthorized code changes.The other choices are valid procedures to apply in a change control audit but they do not directly address the risk of unauthorized code changes. 65. When reviewing an active project, an IS auditor observed that, because of a reduction in anticipated benefits and increased costs, the business case was no longer valid. The IS auditor should recommend that the A. project be discontinued. B. business case be updated and possible corrective actions be identified. C. project be returned to the project sponsor for reapproval. D. project be ompleted and the business case be updated later. ANSWER B NOTE An IS auditor should not recommend discontinuing or completing the project before reviewing an updated business case. The IS auditor should recommend that the business case be kept current throughout the proj ect since it is a key input to decisions made throughout the life of any project. 66. Which of the following audit techniques would BEST aid an auditor in determining whether there have been unauthorized program changes since the last authorized program update? A. Test data run B. Code review C.Automated code comparability D. Review of code migration procedures ANSWER C NOTE An automated code comparison is the process of analyze two versions of the same program to determine whether the two correspond. It is an efficient technique because it is an automated procedure. Test data runs permit the auditor to verify the processing of preselected transactions, but provide no evidence about unexercised portions of a program. Code review is the process of reading program source code listings to determine whether the code contains potential errors or inefficient program lines.A code review can be used as a means of code comparison but it is inefficient. The review of code migration procedur es would not detect program changes. 67. Doing which of the following during peak production hours could result in unexpected downtime? A. Performing data migration or tape backup B. Performing preventive maintenance on electrical systems C. Promoting applications from development to the staging environment D. Replacing a failed power supply in the core router of the data center ANSWER B NOTE Choices A and C are processing events which may impact performance, but ould not cause downtime. Enterprise-class routers have redundant hot-swappable power supplies, so replacing a failed power supply should not be an issue. preventative maintenance activities should be scheduled for non-peak times of the day, and preferably during a maintenance window time period. A mishap or incident caused by a maintenance worker could result in unplanned downtime. 68. Which of the following is the MOST robust method for disposing of magnetic media that contains confidential information? A. alter B. Defra gmenting C. Erasing D. Destroying ANSWER DNOTE Destroying magnetic media is the only way to assure that confidential information cannot be recovered. Degaussing or demagnetizing is not sufficient to fully rescind information from magnetic media. The purpose of defragmentation is to eliminate fragmentation in file systems and does not remove information. Erasing or deleting magnetic media does not remove the information this method simply changes a files indexing information. 69. The MAIN criterion for determining the severity level of a service disruption incident is A. cost of recovery. B. negative public opinion. C. geographic location. D. downtime.ANSWER D NOTE The longer the period of time a client cannot be serviced, the greater the severity of the incident. The cost of recovery could be minimal yet the service downtime could have a major impact. Negative public opinion is a symptom of an incident. geographical location does not determine the severity of the incident. 70. Dur ing the design of a business continuity plan, the business impact analysis (BIA) identifies critical processes and supporting applications. This will PRIMARILY influence the A. responsibility for maintaining the business continuity plan. B. criteria for selecting a recovery site provider.C. recovery strategy. D. responsibilities of key personnel. ANSWER C NOTE The most appropriate strategy is selected based on the relative risk level and criticality identified in the business impact analysis (BIA. ), The other choices are made after the selection or design of the appropriate recovery strategy. 71. What is the lowest level of the IT governance maturity model where an IT equilibrate scorecard exists? A. Repeatable but Intuitive B. Defined C. Managed and Measurable D. Optimized ANSWER B NOTE Defined (level 3) is the lowest level at which an IT fit scorecard is defined. 2. During the system testing phase of an application development project the IS auditor should review the A. concept ual design specifications. B. vendor contract. C. error reports. D. program change requests. ANSWER C NOTE Testing is crucial in determining that user requirements have been validated. The IS auditor should be involved in this phase and review error reports for their precision in recognizing erroneous data and review the procedures for resolving errors. A conceptual design specification is a document prepared during the requirements definition phase. A vendor ontract is prepared during a software acquisition process. Program change requests would normally be reviewed as a part of the postimplementation phase. 73. When reviewing procedures for emergency changes to programs, the IS auditor should verify that the procedures A. allow changes, which will be completed using after-the-fact follow-up. B. allow undocumented changes directly to the production library. C. do not allow any emergency changes. D. allow programmers durable access to production programs. ANSWER A NOTE There may be situations where emergency fixes are required to resolve system problems.This involves the use of special logon IDs that grant programmers temporary access to production programs during emergency situations. extremity changes should be completed using after-the-fact follow-up procedures, which ensure that normal procedures are retroactively applied otherwise, production may be impacted. Changes made in this fashion should be held in an emergency library from where they can be moved to the production library, following the normal change management process. Programmers should not directly alter the production library nor should they be allowed permanent access to production programs. 4. Though management has stated otherwise, an IS auditor has reasons to believe that the organization is using software that is not licensed. In this situation, the IS auditor should A. include the statement of management in the audit report. B. identify whether such software is, indeed, being used by t he organization. C. reconfirm with management the usage of the software. D. discuss the issue with senior management since reporting this could have a negative impact on the organization. ANSWER B NOTE When there is an indication that an organization might be using nlicensed software, the IS auditor should hold up sufficient evidence before including it in the report. With respect to this matter, representations obtained from management cannot be independently verified. If the organization is using software that is not licensed, the auditor, to maintain objectivity and independence, must include this in the report. 75. Which of the following would be BEST prevented by a raised account in the computer machine room? A. Damage of wires just about computers and servers B. A power failure from static electricity C. Shocks from earthquakes D. Water flood damage ANSWER ANOTE The primary reason for having a raised floor is to enable power cables and data cables to be installed underneat h the floor. This eliminates the safety and damage risks posed when cables are placed in a spaghetti-like fashion on an open floor. Static electricity should be avoided in the machine room therefore, measures such as specially manufactured carpet or clothe would be more appropriate for static prevention than a raised floor. Raised floors do not address shocks from earthquakes. To address earthquakes, anti-seismic architecture would be required to establish a quake-resistant structural framework.Computer equipment needs to be protect against water. However, a raised floor would not prevent damage to the machines in the event of overhead water pipe leakage. 76. The network of an organization has been the victim of several intruders attacks. Which of the following measures would allow for the early detection of such incidents? A. Antivirus software B. Hardening the servers C. Screening routers D. Honeypots ANSWER D NOTE Honeypots can collect data on precursors of attacks. Since they serve no business function, honeypots are hosts that have no authorized users other than the honeypot administrators.All activity directed at them is considered suspicious. Attackers will scan and attack honeypots, giving administrators data on new trends and attack tools, particularly malicious code. However, honeypots are a supplement to, not a replacement for, properly securing networks, systems and applications. If honeypots are to be used by an organization, qualified incident handlers and intrusion detection analysts should manage them. The other choices do not provide indications of potential attacks. 77. The purpose of a deadman door supreme access to a computer facility is primarily to A. prevent piggybacking.B. prevent toxic gases from entering the data center. C. starve a fire of oxygen. D. prevent an excessively rapid entry to, or exit from, the facility. ANSWER A NOTE The purpose of a deadman door controlling access to a computer facility is primarily intended to prev ent piggybacking. Choices B and C could be accomplished with a single self-closing door. Choice D is invalid, as a rapid exit may be necessary in some circumstances, e. g. , a fire. 78. The MOST important reason for an IS auditor to obtain sufficient and appropriate audit evidence is to A. comply with regulatory requirements. B. rovide a basis for drawing reasonable conclusions. C. ensure complete audit coverage. D. perform the audit according to the defined scope. ANSWER B NOTE The scope of an IS audit is defined by its objectives. This involves identifying control weaknesses relevant to the scope of the audit. Obtaining sufficient and appropriate evidence assists the auditor in not only identifying control weaknesses but also documenting and validating them. Complying with regulatory requirements, ensuring coverage and the execution of audit are all relevant to an audit but are not the reason why sufficient and relevant evidence is required. 9. During the audit of a database serve r, which of the following would be considered the GREATEST exposure? A. The password does not expire on the administrator account B. Default global security settings for the database remain unchanged C. Old data have not been purged D. Database activity is not fully logged ANSWER B NOTE Default security settings for the database could allow issues like blank user passwords or passwords that were the same as the username. Logging all database activity is not practical. Failure to purge old data may present a performance issue but is not an immediate security concern.Choice A is an exposure but not as serious as B. 80. An IS auditor finds that a DBA has read and write access to production data. The IS auditor should A. accept the DBA access as a common practice. B. assess the controls relevant to the DBA function. C. recommend the immediate repeal of the DBA access to production data. D. review user access authorizations approved by the DBA. ANSWER B NOTE It is good practice when fin ding a potential exposure to look for the best controls. Though granting the database administrator (DBA) access to production data might be a common practice, the IS auditor should evaluate the relevant controls.The DBA should have access based on a need-to-know and need-to-do basis therefore, revocation may remove the access required. The DBA, typically, may need to have access to some production data. Granting user authorizations is the responsibility of the data owner and not the DBA. 81. What should be the GREATEST concern to an IS auditor when employees use portable media (MP3 players, flash drives)? A. The copying of sensitive data on them B. The copying of songs and videos on them C. The cost of these devices multipl