CA Foundation Business Economics Questions 2023 - Part 32
Fri, 03 Mar 2023
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CISA—Certified Information Systems Auditor - Part 182
1. An IS auditor is performing an audit of a remotely managed server backup. The IS auditor reviews the logs for one day and finds one case where logging on a server has failed with the result that backup restarts cannot be confirmed. What should the auditor do?
A) Issue an audit finding
B) Seek an explanation from IS management
C) Review the classifications of data held on the server
D) Expand the sample of logs reviewed
2. In an IS audit of several critical servers, the IS auditor wants to analyze audit trails to discover potential anomalies in user or system behavior. Which of the following tools are MOST suitable for performing that task?
A) CASE tools
B) Embedded data collection tools
C) Heuristic scanning tools
D) Trend/variance detection tools
3. An IS auditor is evaluating a corporate network for a possible penetration by employees. Which of the following findings should give the IS auditor the GREATEST concern?
A) There are a number of external modems connected to the network.
B) Users can install software on their desktops.
C) Network monitoring is very limited.
D) Many user IDs have identical passwords.
4. Which of the following is the PRIMARY advantage of using computer forensic software for investigations?
A) The preservation of the chain of custody for electronic evidence
B) Time and cost savings
C) Efficiency and effectiveness
D) Ability to search for violations of intellectual property rights
5. An IS auditor has imported data from the client's database. The next step-confirming whether the imported data are complete-is performed by:
A) matching control totals of the imported data to control totals of the original data.
B) sorting the data to confirm whether the data are in the same order as the original data.
C) reviewing the printout of the first 100 records of original data with the first 100 records of imported data.
D) filtering data for different categories and matching them to the original data.
A) Issue an audit finding
B) Seek an explanation from IS management
C) Review the classifications of data held on the server
D) Expand the sample of logs reviewed
2. In an IS audit of several critical servers, the IS auditor wants to analyze audit trails to discover potential anomalies in user or system behavior. Which of the following tools are MOST suitable for performing that task?
A) CASE tools
B) Embedded data collection tools
C) Heuristic scanning tools
D) Trend/variance detection tools
3. An IS auditor is evaluating a corporate network for a possible penetration by employees. Which of the following findings should give the IS auditor the GREATEST concern?
A) There are a number of external modems connected to the network.
B) Users can install software on their desktops.
C) Network monitoring is very limited.
D) Many user IDs have identical passwords.
4. Which of the following is the PRIMARY advantage of using computer forensic software for investigations?
A) The preservation of the chain of custody for electronic evidence
B) Time and cost savings
C) Efficiency and effectiveness
D) Ability to search for violations of intellectual property rights
5. An IS auditor has imported data from the client's database. The next step-confirming whether the imported data are complete-is performed by:
A) matching control totals of the imported data to control totals of the original data.
B) sorting the data to confirm whether the data are in the same order as the original data.
C) reviewing the printout of the first 100 records of original data with the first 100 records of imported data.
D) filtering data for different categories and matching them to the original data.
1. Right Answer: D
Explanation: Audit standards require that an IS auditor gather sufficient and appropriate audit evidence. The auditor has found a potential problem and now needs to determine if this is an isolated incident or a systematic control failure. At this stage it is too preliminary to issue an audit finding and seeking an explanation from management is advisable, but it would be better to gather additional evidence to properly evaluate the seriousness of the situation. A backup failure, which has not been established at this point, will be serious if it involves critical data. However, the issue is not the importance of the data on the server, where a problem has been detected, but whether a systematic control failure that impacts other servers exists.
2. Right Answer: D
Explanation: Trend/variance detection tools look for anomalies in user or system behavior, for example, determining whether the numbers for prenumbered documents are sequential or increasing. CASE tools are used to assist software development. Embedded (audit) data collection software is used for sampling and to provide production statistics. Heuristic scanning tools can be used to scan for viruses to indicate possible infected code.
3. Right Answer: D
Explanation: Exploitation of a known user ID and password requires minimal technical knowledge and exposes the network resources to exploitation. The technical barrier is low and the impact can be very high; therefore, the fact that many user IDs have identical passwords represents the greatest threat. External modems represent a security risk, but exploitation still depends on the use of a valid user account. While the impact of users installing software on their desktops can be high {for example, due to the installation of Trojans or key-logging programs), the likelihood is not high due to the level of technical knowledge required to successfully penetrate the network. Although network monitoring can be a useful detective control, it will only detect abuse of user accounts in special circumstances and is, therefore, not a first line of defense.
4. Right Answer: A
Explanation: The primary objective of forensic software is to preserve electronic evidence to meet the rules of evidence. Choice B, time and cost savings, and choice C, efficiency and effectiveness, are legitimate concerns that differentiate good from poor forensic software packages. Choice D, the ability to search for intellectual property rights violations, is an example of a use of forensic software.
5. Right Answer: A
Explanation: Matching control totals of the imported data with control totals of the original data is the next logical step, as this confirms the completeness of the imported datA. It is not possible to confirm completeness by sorting the imported data, because the original data may not be in sorted order. Further, sorting does not provide control totals for verifying completeness. Reviewing a printout of 100 records of original data with 100 records of imported data is a process of physical verification and confirms the accuracy of only these records. Filtering data for different categories and matching them to original data would still require that control totals be developed to confirm the completeness of the data.
Explanation: Audit standards require that an IS auditor gather sufficient and appropriate audit evidence. The auditor has found a potential problem and now needs to determine if this is an isolated incident or a systematic control failure. At this stage it is too preliminary to issue an audit finding and seeking an explanation from management is advisable, but it would be better to gather additional evidence to properly evaluate the seriousness of the situation. A backup failure, which has not been established at this point, will be serious if it involves critical data. However, the issue is not the importance of the data on the server, where a problem has been detected, but whether a systematic control failure that impacts other servers exists.
2. Right Answer: D
Explanation: Trend/variance detection tools look for anomalies in user or system behavior, for example, determining whether the numbers for prenumbered documents are sequential or increasing. CASE tools are used to assist software development. Embedded (audit) data collection software is used for sampling and to provide production statistics. Heuristic scanning tools can be used to scan for viruses to indicate possible infected code.
3. Right Answer: D
Explanation: Exploitation of a known user ID and password requires minimal technical knowledge and exposes the network resources to exploitation. The technical barrier is low and the impact can be very high; therefore, the fact that many user IDs have identical passwords represents the greatest threat. External modems represent a security risk, but exploitation still depends on the use of a valid user account. While the impact of users installing software on their desktops can be high {for example, due to the installation of Trojans or key-logging programs), the likelihood is not high due to the level of technical knowledge required to successfully penetrate the network. Although network monitoring can be a useful detective control, it will only detect abuse of user accounts in special circumstances and is, therefore, not a first line of defense.
4. Right Answer: A
Explanation: The primary objective of forensic software is to preserve electronic evidence to meet the rules of evidence. Choice B, time and cost savings, and choice C, efficiency and effectiveness, are legitimate concerns that differentiate good from poor forensic software packages. Choice D, the ability to search for intellectual property rights violations, is an example of a use of forensic software.
5. Right Answer: A
Explanation: Matching control totals of the imported data with control totals of the original data is the next logical step, as this confirms the completeness of the imported datA. It is not possible to confirm completeness by sorting the imported data, because the original data may not be in sorted order. Further, sorting does not provide control totals for verifying completeness. Reviewing a printout of 100 records of original data with 100 records of imported data is a process of physical verification and confirms the accuracy of only these records. Filtering data for different categories and matching them to original data would still require that control totals be developed to confirm the completeness of the data.
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