Practice Free CISA Exam Online Questions
Question #21
Which of the following is the MOST appropriate indicator of change management effectiveness?
- A . Time lag between changes to the configuration and the update of records
- B . Number of system software changes
- C . Time lag between changes and updates of documentation materials
- D . Number of incidents resulting from changes
Correct Answer: D
D
Explanation:
Change management is the process of planning, implementing, monitoring, and evaluating changes to an organization’s information systems and related components. Change management aims to ensure that changes are aligned with the business objectives, minimize risks and disruptions, and maximize benefits and value.
One of the key aspects of change management is measuring its effectiveness, which means assessing whether the changes have achieved the desired outcomes and met the expectations of the stakeholders. There are various indicators that can be used to measure change management effectiveness, such as time, cost, quality, scope, satisfaction, and performance.
Among the four options given, the most appropriate indicator of change management effectiveness is the number of incidents resulting from changes. An incident is an unplanned event or interruption that affects the normal operation or service delivery of an information system. Incidents can be caused by various factors, such as errors, defects, failures, malfunctions, or malicious attacks. Incidents can have negative impacts on the organization, such as loss of data, productivity, reputation, or revenue.
The number of incidents resulting from changes is a direct measure of how well the changes have been planned, implemented, monitored, and evaluated. A high number of incidents indicates that the changes have not been properly tested, verified, communicated, or controlled. A low number of incidents indicates that the changes have been executed smoothly and successfully. Therefore, the number of incidents resulting from changes reflects the quality and effectiveness of the change management process.
The other three options are not as appropriate indicators of change management effectiveness as the number of incidents resulting from changes. The time lag between changes to the configuration and the update of records is a measure of how timely and accurate the configuration management process is. Configuration management is a subset of change management that focuses on identifying, documenting, and controlling the configuration items (CIs) that make up an information system. The time lag between changes and updates of documentation materials is a measure of how well the documentation process is aligned with the change management process. Documentation is an important aspect of change management that provides information and guidance to the stakeholders involved in or affected by the changes. The number of system software changes is a measure of how frequently and extensively the system software is modified or updated. System software changes are a type of change that affects the operating system, middleware, or utilities that support an information system.
While these three indicators are relevant and useful for measuring certain aspects of change management, they do not directly measure the outcomes or impacts of the changes on the organization. They are more related to the inputs or activities of change management than to its outputs or results. Therefore, they are not as appropriate indicators of change management effectiveness as the number of incidents resulting from changes.
References:
Metrics for Measuring Change Management – Prosci
How to Measure Change Management Effectiveness: Metrics, Tools & Processes
Metrics for Measuring Change Management 2023 – Zendesk
D
Explanation:
Change management is the process of planning, implementing, monitoring, and evaluating changes to an organization’s information systems and related components. Change management aims to ensure that changes are aligned with the business objectives, minimize risks and disruptions, and maximize benefits and value.
One of the key aspects of change management is measuring its effectiveness, which means assessing whether the changes have achieved the desired outcomes and met the expectations of the stakeholders. There are various indicators that can be used to measure change management effectiveness, such as time, cost, quality, scope, satisfaction, and performance.
Among the four options given, the most appropriate indicator of change management effectiveness is the number of incidents resulting from changes. An incident is an unplanned event or interruption that affects the normal operation or service delivery of an information system. Incidents can be caused by various factors, such as errors, defects, failures, malfunctions, or malicious attacks. Incidents can have negative impacts on the organization, such as loss of data, productivity, reputation, or revenue.
The number of incidents resulting from changes is a direct measure of how well the changes have been planned, implemented, monitored, and evaluated. A high number of incidents indicates that the changes have not been properly tested, verified, communicated, or controlled. A low number of incidents indicates that the changes have been executed smoothly and successfully. Therefore, the number of incidents resulting from changes reflects the quality and effectiveness of the change management process.
The other three options are not as appropriate indicators of change management effectiveness as the number of incidents resulting from changes. The time lag between changes to the configuration and the update of records is a measure of how timely and accurate the configuration management process is. Configuration management is a subset of change management that focuses on identifying, documenting, and controlling the configuration items (CIs) that make up an information system. The time lag between changes and updates of documentation materials is a measure of how well the documentation process is aligned with the change management process. Documentation is an important aspect of change management that provides information and guidance to the stakeholders involved in or affected by the changes. The number of system software changes is a measure of how frequently and extensively the system software is modified or updated. System software changes are a type of change that affects the operating system, middleware, or utilities that support an information system.
While these three indicators are relevant and useful for measuring certain aspects of change management, they do not directly measure the outcomes or impacts of the changes on the organization. They are more related to the inputs or activities of change management than to its outputs or results. Therefore, they are not as appropriate indicators of change management effectiveness as the number of incidents resulting from changes.
References:
Metrics for Measuring Change Management – Prosci
How to Measure Change Management Effectiveness: Metrics, Tools & Processes
Metrics for Measuring Change Management 2023 – Zendesk
Question #22
Which of the following is an IS auditor’s BEST approach when low-risk anomalies have been identified?
- A . Reprioritize further testing of the anomalies and refocus on issues with higher risk
- B . Update the audit plan to include the information collected during the audit
- C . Ask auditees to promptly remediate the anomalies
- D . Document the anomalies in audit workpapers
Correct Answer: D
D
Explanation:
Documenting anomalies in audit workpapers (D) is the best approach because it ensures traceability, supports findings in the audit report, and allows for future reference if similar issues arise. Even if an anomaly is low-risk, proper documentation is a fundamental audit practice.
Other options:
Reprioritizing testing (A) is a valid audit approach but does not address documentation needs.
Updating the audit plan (B) may be necessary but does not replace documentation.
Prompt remediation (C) is an operational concern but is not always the auditor’s primary role.
Reference: ISACA CISA Review Manual, Audit Process
D
Explanation:
Documenting anomalies in audit workpapers (D) is the best approach because it ensures traceability, supports findings in the audit report, and allows for future reference if similar issues arise. Even if an anomaly is low-risk, proper documentation is a fundamental audit practice.
Other options:
Reprioritizing testing (A) is a valid audit approach but does not address documentation needs.
Updating the audit plan (B) may be necessary but does not replace documentation.
Prompt remediation (C) is an operational concern but is not always the auditor’s primary role.
Reference: ISACA CISA Review Manual, Audit Process
Question #23
Which of the following is the PRIMARY objective of enterprise architecture (EA)?
- A . Maintaining detailed system documentation
- B . Managing and planning for IT investments
- C . Executing customized development and delivery of projects
- D . Enforcing the IT policy across the organization
Correct Answer: B
Question #24
Which of the following is a method to prevent disclosure of classified documents printed on a shared printer?
- A . Using passwords to allow authorized users to send documents to the printer
- B . Requiring a key code to be entered on the printer to produce hard copy
- C . Encrypting the data stream between the user’s computer and the printer
- D . Producing a header page with classification level for printed documents
Correct Answer: B
B
Explanation:
Requiring a key code to be entered on the printer to produce hard copy is a method to prevent disclosure of classified documents printed on a shared printer. This is because requiring a key code adds an extra layer of security and authentication to the printing process, ensuring that only authorized users can access and retrieve the printed documents. Requiring a key code also prevents unauthorized users from viewing or tampering with the documents while they are in the printer’s queue or output tray1.
Using passwords to allow authorized users to send documents to the printer is not a sufficient method to prevent disclosure of classified documents printed on a shared printer. This is because passwords only protect the transmission of the documents from the user’s computer to the printer, but they do not protect the documents once they are printed. Passwords can also be compromised or forgotten by users, making them vulnerable to unauthorized access or denial of service2.
Encrypting the data stream between the user’s computer and the printer is not a sufficient method to prevent disclosure of classified documents printed on a shared printer. This is because encryption only protects the confidentiality and integrity of the documents while they are in transit, but they do not protect the documents once they are printed. Encryption can also introduce performance issues or compatibility problems with different printers or devices2.
Producing a header page with classification level for printed documents is not a method to prevent disclosure of classified documents printed on a shared printer. This is because producing a header page only informs the users about the sensitivity and handling of the documents, but it does not prevent unauthorized users from accessing or viewing them. Producing a header page can also waste paper and ink, as well as increase the risk of misplacing or mixing up the documents
B
Explanation:
Requiring a key code to be entered on the printer to produce hard copy is a method to prevent disclosure of classified documents printed on a shared printer. This is because requiring a key code adds an extra layer of security and authentication to the printing process, ensuring that only authorized users can access and retrieve the printed documents. Requiring a key code also prevents unauthorized users from viewing or tampering with the documents while they are in the printer’s queue or output tray1.
Using passwords to allow authorized users to send documents to the printer is not a sufficient method to prevent disclosure of classified documents printed on a shared printer. This is because passwords only protect the transmission of the documents from the user’s computer to the printer, but they do not protect the documents once they are printed. Passwords can also be compromised or forgotten by users, making them vulnerable to unauthorized access or denial of service2.
Encrypting the data stream between the user’s computer and the printer is not a sufficient method to prevent disclosure of classified documents printed on a shared printer. This is because encryption only protects the confidentiality and integrity of the documents while they are in transit, but they do not protect the documents once they are printed. Encryption can also introduce performance issues or compatibility problems with different printers or devices2.
Producing a header page with classification level for printed documents is not a method to prevent disclosure of classified documents printed on a shared printer. This is because producing a header page only informs the users about the sensitivity and handling of the documents, but it does not prevent unauthorized users from accessing or viewing them. Producing a header page can also waste paper and ink, as well as increase the risk of misplacing or mixing up the documents
Question #25
During an audit, an IT finding is agreed upon by all IT teams involved, but no team wants to be responsible for remediation or considers the finding within Its area of responsibility.
Which of the following is the IS auditor’s BEST course of action?
- A . Escalate to IT management for resolution.
- B . Issue the finding without identifying an owner
- C . Assign shared responsibility to all IT teams.
- D . Determine the most appropriate team and assign accordingly.
Correct Answer: A
A
Explanation:
The best course of action for the IS auditor is A. Escalate to IT management for resolution. This is because IT management is responsible for overseeing and coordinating the IT activities and functions within the organization, and ensuring that they comply with the audit findings and recommendations1. IT management can help resolve the issue of finding ownership by:
Clarifying and communicating the roles and responsibilities of each IT team, and how they relate to the finding and its remediation2.
Evaluating and assigning the finding to the most appropriate IT team, based on their expertise, authority, and availability2.
Providing guidance and support to the assigned IT team, and monitoring their progress and performance in remediating the finding2.
A
Explanation:
The best course of action for the IS auditor is A. Escalate to IT management for resolution. This is because IT management is responsible for overseeing and coordinating the IT activities and functions within the organization, and ensuring that they comply with the audit findings and recommendations1. IT management can help resolve the issue of finding ownership by:
Clarifying and communicating the roles and responsibilities of each IT team, and how they relate to the finding and its remediation2.
Evaluating and assigning the finding to the most appropriate IT team, based on their expertise, authority, and availability2.
Providing guidance and support to the assigned IT team, and monitoring their progress and performance in remediating the finding2.
Question #26
An IS auditor discovers a box of hard drives in a secured location that are overdue for physical destruction. The vendor responsible for this task was never made aware of these hard drives.
Which of the following is the BEST course of action to address this issue?
- A . Examine the workflow to identify gaps in asset-handling responsibilities.
- B . Escalate the finding to the asset owner for remediation.
- C . Recommend the drives be sent to the vendor for destruction.
- D . Evaluate the corporate asset-handling policy for potential gaps.
Correct Answer: A
A
Explanation:
The issue seems to stem from a breakdown in the workflow or process for handling assets that are due for destruction12. By examining the workflow, the IS auditor can identify where the process failed, such as why the vendor was not notified about the hard drives12. This could involve reviewing procedures for inventory management, communication with vendors, and tracking of assets due for destruction12. The findings can then be used to improve the workflow and prevent similar issues in the future12.
References:
How To Properly Destroy A Hard Drive – Tech News Today
How to safely and securely destroy hard disk data – iFixit
A
Explanation:
The issue seems to stem from a breakdown in the workflow or process for handling assets that are due for destruction12. By examining the workflow, the IS auditor can identify where the process failed, such as why the vendor was not notified about the hard drives12. This could involve reviewing procedures for inventory management, communication with vendors, and tracking of assets due for destruction12. The findings can then be used to improve the workflow and prevent similar issues in the future12.
References:
How To Properly Destroy A Hard Drive – Tech News Today
How to safely and securely destroy hard disk data – iFixit
Question #27
An IS auditor is reviewing a machine learning algorithm-based system for loan approvals and is preparing a data set to test the algorithm for bias.
Which of the following is MOST important for the auditor’s test data set to include?
- A . Applicants of all ages
- B . Applicants from a range of geographic areas and income levels
- C . Incomplete records and incorrectly formatted data
- D . Duplicate records
Correct Answer: B
Question #28
Which of the following BEST describes an audit risk?
- A . The company is being sued for false accusations.
- B . The financial report may contain undetected material errors.
- C . Employees have been misappropriating funds.
- D . Key employees have not taken vacation for 2 years.
Correct Answer: B
B
Explanation:
The best description of an audit risk is that the financial report may contain undetected material errors. Audit risk is the risk that the auditor expresses an inappropriate opinion on the financial report when it contains material misstatements or errors. Audit risk consists of three components: inherent risk, control risk, and detection risk. Inherent risk is the susceptibility of an assertion or a control to a material misstatement or error due to factors such as complexity, volatility, fraud, or human error. Control risk is the risk that a material misstatement or error will not be prevented or detected by the internal controls. Detection risk is the risk that the auditor’s procedures will not detect a material misstatement or error that exists in an assertion or a control.
References:
CISA Review Manual (Digital Version)
CISA Questions, Answers & Explanations Database
B
Explanation:
The best description of an audit risk is that the financial report may contain undetected material errors. Audit risk is the risk that the auditor expresses an inappropriate opinion on the financial report when it contains material misstatements or errors. Audit risk consists of three components: inherent risk, control risk, and detection risk. Inherent risk is the susceptibility of an assertion or a control to a material misstatement or error due to factors such as complexity, volatility, fraud, or human error. Control risk is the risk that a material misstatement or error will not be prevented or detected by the internal controls. Detection risk is the risk that the auditor’s procedures will not detect a material misstatement or error that exists in an assertion or a control.
References:
CISA Review Manual (Digital Version)
CISA Questions, Answers & Explanations Database
Question #29
Which of the following is MOST important for an IS auditor to examine when reviewing an organization’s privacy policy?
- A . Whether there is explicit permission from regulators to collect personal data
- B . The organization’s legitimate purpose for collecting personal data
- C . Whether sharing of personal information with third-party service providers is prohibited
- D . The encryption mechanism selected by the organization for protecting personal data
Correct Answer: B
B
Explanation:
The most important thing for an IS auditor to examine when reviewing an organization’s privacy policy is its legitimate purpose for collecting personal data. A legitimate purpose is a clear and specific reason for collecting personal data that is necessary for the organization’s business operations or legal obligations, and that respects the rights and interests of the data subjects. A legitimate purpose is the basis for establishing a lawful and fair processing of personal data, and it should be communicated to the data subjects in the privacy policy. The other options are not as important as the legitimate purpose in reviewing the privacy policy. Explicit permission from regulators to collect personal data is not always required, as there may be other lawful bases for data collection, such as consent, contract, or public interest. Sharing of personal information with third-party service providers is not prohibited, as long as there are adequate safeguards and agreements in place to protect the data. The encryption mechanism selected by the organization for protecting personal data is a technical control that can enhance data security, but it does not determine the legality or fairness of data collection.
References: CISA Review Manual (Digital Version), Chapter 5, Section 5.3.2
B
Explanation:
The most important thing for an IS auditor to examine when reviewing an organization’s privacy policy is its legitimate purpose for collecting personal data. A legitimate purpose is a clear and specific reason for collecting personal data that is necessary for the organization’s business operations or legal obligations, and that respects the rights and interests of the data subjects. A legitimate purpose is the basis for establishing a lawful and fair processing of personal data, and it should be communicated to the data subjects in the privacy policy. The other options are not as important as the legitimate purpose in reviewing the privacy policy. Explicit permission from regulators to collect personal data is not always required, as there may be other lawful bases for data collection, such as consent, contract, or public interest. Sharing of personal information with third-party service providers is not prohibited, as long as there are adequate safeguards and agreements in place to protect the data. The encryption mechanism selected by the organization for protecting personal data is a technical control that can enhance data security, but it does not determine the legality or fairness of data collection.
References: CISA Review Manual (Digital Version), Chapter 5, Section 5.3.2
Question #30
An IS auditor is reviewing security controls related to collaboration tools for a business unit
responsible for intellectual property and patents.
Which of the following observations should be of MOST concern to the auditor?
- A . Training was not provided to the department that handles intellectual property and patents
- B . Logging and monitoring for content filtering is not enabled.
- C . Employees can share files with users outside the company through collaboration tools.
- D . The collaboration tool is hosted and can only be accessed via an Internet browser
Correct Answer: B
B
Explanation:
The observation that should be of most concern to the auditor when reviewing security controls related to collaboration tools for a business unit responsible for intellectual property and patents is that employees can share files with users outside the company through collaboration tools. Collaboration tools are software or hardware devices that enable users to communicate, cooperate, and coordinate with each other on a common task or project. Collaboration tools can facilitate information sharing and knowledge exchange among users, but they can also pose security risks if not properly controlled or managed. Employees can share files with users outside the company through collaboration tools, as this can compromise the security and confidentiality of intellectual property and patents, which are valuable and sensitive assets of the organization. Employees may share files with unauthorized or untrusted users who may misuse or disclose the intellectual property and patents, either intentionally or unintentionally. This can cause harm or damage to the organization, such as loss of competitive advantage, reputation, revenue, or legal rights. Training was not provided to the department that handles intellectual property and patents is a possible observation that could indicate a security issue related to collaboration tools for a business unit responsible for intellectual property and patents, but it is not the most concerning one. Training is an activity that educates and instructs users on how to use collaboration tools effectively and securely, such as how to access, share, store, and protect information using collaboration tools. Training was not provided to the department that handles intellectual property and patents, as this can affect the awareness and competence of users on collaboration tools, and increase the likelihood of errors or mistakes that may compromise the security or quality of information. However, this observation may not be directly related to collaboration tools, as it may apply to any information system or resource used by the department. Logging and monitoring for content filtering is not enabled is a possible observation that could indicate a security issue related to collaboration tools for a business unit responsible for intellectual property and patents, but it is not the most concerning one. Logging and monitoring are processes that record and analyze the events or activities that occur on an information system or network, such as user actions, system operations, data changes, errors, alerts, etc. Content filtering is a technique that blocks or allows access to certain types of information based on predefined criteria or rules, such as keywords, categories, sources, etc. Logging and monitoring for content filtering is not enabled, as this can affect the auditability, accountability, and visibility of collaboration tools, and prevent detection or investigation of security incidents or violations related to information sharing using collaboration tools. However, this observation may not be specific to collaboration tools, as it may affect any information system or network that uses content filtering. The collaboration tool is hosted and can only be accessed via an Internet browser is a possible observation that could indicate a security issue related to collaboration tools for a business unit responsible for intellectual property and patents, but it is not the most concerning one. A hosted collaboration tool is a type of cloud-based service that provides collaboration functionality over the Internet without requiring installation or maintenance on local devices. An Internet browser is a software application that enables users to access and interact with web-based content or services. The collaboration tool is hosted and can only be accessed via an Internet browser, as this can affect the availability and reliability of collaboration tools, and introduce security or privacy risks for information sharing using collaboration tools. However, this observation may not be unique to collaboration tools, as it may apply to any cloud-based service that uses an Internet browser.
B
Explanation:
The observation that should be of most concern to the auditor when reviewing security controls related to collaboration tools for a business unit responsible for intellectual property and patents is that employees can share files with users outside the company through collaboration tools. Collaboration tools are software or hardware devices that enable users to communicate, cooperate, and coordinate with each other on a common task or project. Collaboration tools can facilitate information sharing and knowledge exchange among users, but they can also pose security risks if not properly controlled or managed. Employees can share files with users outside the company through collaboration tools, as this can compromise the security and confidentiality of intellectual property and patents, which are valuable and sensitive assets of the organization. Employees may share files with unauthorized or untrusted users who may misuse or disclose the intellectual property and patents, either intentionally or unintentionally. This can cause harm or damage to the organization, such as loss of competitive advantage, reputation, revenue, or legal rights. Training was not provided to the department that handles intellectual property and patents is a possible observation that could indicate a security issue related to collaboration tools for a business unit responsible for intellectual property and patents, but it is not the most concerning one. Training is an activity that educates and instructs users on how to use collaboration tools effectively and securely, such as how to access, share, store, and protect information using collaboration tools. Training was not provided to the department that handles intellectual property and patents, as this can affect the awareness and competence of users on collaboration tools, and increase the likelihood of errors or mistakes that may compromise the security or quality of information. However, this observation may not be directly related to collaboration tools, as it may apply to any information system or resource used by the department. Logging and monitoring for content filtering is not enabled is a possible observation that could indicate a security issue related to collaboration tools for a business unit responsible for intellectual property and patents, but it is not the most concerning one. Logging and monitoring are processes that record and analyze the events or activities that occur on an information system or network, such as user actions, system operations, data changes, errors, alerts, etc. Content filtering is a technique that blocks or allows access to certain types of information based on predefined criteria or rules, such as keywords, categories, sources, etc. Logging and monitoring for content filtering is not enabled, as this can affect the auditability, accountability, and visibility of collaboration tools, and prevent detection or investigation of security incidents or violations related to information sharing using collaboration tools. However, this observation may not be specific to collaboration tools, as it may affect any information system or network that uses content filtering. The collaboration tool is hosted and can only be accessed via an Internet browser is a possible observation that could indicate a security issue related to collaboration tools for a business unit responsible for intellectual property and patents, but it is not the most concerning one. A hosted collaboration tool is a type of cloud-based service that provides collaboration functionality over the Internet without requiring installation or maintenance on local devices. An Internet browser is a software application that enables users to access and interact with web-based content or services. The collaboration tool is hosted and can only be accessed via an Internet browser, as this can affect the availability and reliability of collaboration tools, and introduce security or privacy risks for information sharing using collaboration tools. However, this observation may not be unique to collaboration tools, as it may apply to any cloud-based service that uses an Internet browser.