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Isaca CISA Bundle

Exam Code: CISA

Exam Name Certified Information Systems Auditor

Certification Provider: Isaca

Corresponding Certification: CISA

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Isaca CISA Practice Test 33

Question 320

During a regulatory readiness review at a municipal government, the IS auditor learns that a vendor certifies itself compliant without independent evidence or review. The affected operation supports citizen service accounts and public records. Public accountability and essential service access are affected. Which substantive or control test most directly addresses the observation?

  1. Review architecture standards and exception decisions against the solution portfolio, integration map and target-state road map.
  2. Map applicable laws and contracts to accountable owners, controls, jurisdictional flows and periodic compliance assessment evidence.
  3. Examine quality plans, acceptance tests, defect trends, independent reviews and corrective action effectiveness.
  4. Trace a processing purpose from data inventory and notices through lawful basis, retention, processor flows and privacy impact assessment.

Explanation

Correct Answer

C:

Correct. Examine quality plans, acceptance tests, defect trends, independent reviews and corrective action effectiveness. The procedure directly tests the reported condition that a vendor certifies itself compliant without independent evidence or review. A defensible IS audit conclusion requires relevant and reliable evidence from the actual control population and period.

Incorrect Answers

A:

Not the most direct fieldwork procedure for these facts. Acceptance here depends on observing evidence appropriate to the audit conclusion, not only that test.

B:

Not the most direct fieldwork procedure for these facts. It does not establish the requested evidence appropriate to the audit conclusion outcome.

D:

Not the most direct fieldwork procedure for these facts. That result could pass without demonstrating evidence appropriate to the audit conclusion.

Question 321

During a regulatory readiness review at a municipal government, the IS auditor learns that a vendor certifies itself compliant without independent evidence or review. The affected operation supports citizen service accounts and public records. Public accountability and essential service access are affected. What outcome would provide the STRONGEST evidence that the identified gap is resolved?

  1. Approved purpose inventories and sampled rights requests, deletion actions and processor reviews demonstrate privacy requirements operate end to end.
  2. A current obligation register and sampled control records show required retention, reporting and location requirements are fulfilled.
  3. Traceable acceptance evidence and declining repeat defects show quality objectives are met and corrective actions are sustained.
  4. Version-controlled approved policies and observed procedures are consistent, accessible and supported by time-limited documented exceptions.

Explanation

Correct Answer

C:

Correct. Traceable acceptance evidence and declining repeat defects show quality objectives are met and corrective actions are sustained. This is stronger than a manager's verbal assurance because it can be checked against the observed issue that a vendor certifies itself compliant without independent evidence or review. The reviewer must verify the remediation period and scope.

Incorrect Answers

A:

Not the strongest closure evidence for this case. It does not establish the requested evidence appropriate to the audit conclusion outcome.

B:

Not the strongest closure evidence for this case. The relevant success criterion is evidence appropriate to the audit conclusion; this measures a different function.

D:

Not the strongest closure evidence for this case. Acceptance here depends on observing evidence appropriate to the audit conclusion, not only that test.

Question 322

During a post-incident audit at a retail marketplace, the IS auditor learns that quality management reports only test case execution counts, not escaped defects. The affected operation supports customer checkout and order fulfillment. Customer transactions and market trust depend on effective control. What control exposure MOST directly explains why this observation is significant?

  1. Weak governance can misalign technology decisions, accountability and risk ownership with enterprise objectives.
  2. Unclear data accountability or classification can lead to inaccurate decisions and inappropriate information access.
  3. Quality claims may not reflect end-to-end requirements when assurance lacks independence, feedback and traceable controls.
  4. Inconsistent or unenforced management directives may create gaps between control intent and actual behavior.

Explanation

Correct Answer

C:

Correct. Quality claims may not reflect end-to-end requirements when assurance lacks independence, feedback and traceable controls. The described exception is: quality management reports only test case execution counts, not escaped defects. This risk ties the observation to the business significance of customer checkout and order fulfillment, rather than treating management's claim as independent assurance.

Incorrect Answers

A:

Weak governance can misalign technology decisions, accountability and risk ownership with enterprise objectives. It changes a different feature than audit independence and objective reviewer judgment.

B:

Unclear data accountability or classification can lead to inaccurate decisions and inappropriate information access. That change would not implement audit independence and objective reviewer judgment.

D:

Inconsistent or unenforced management directives may create gaps between control intent and actual behavior. The audit independence and objective reviewer judgment prerequisite remains unaddressed.

Question 323

During a post-incident audit at a retail marketplace, the IS auditor learns that quality management reports only test case execution counts, not escaped defects. The affected operation supports customer checkout and order fulfillment. Customer transactions and market trust depend on effective control. Which evidence-gathering approach is MOST aligned with the recorded exposure?

  1. Compare governance charters and decision rights to approvals, strategy goals, investment outcomes and board oversight records.
  2. Examine quality plans, acceptance tests, defect trends, independent reviews and corrective action effectiveness.
  3. Trace ownership, lineage and classification decisions to access, retention, quality controls and system inventories.
  4. Review architecture standards and exception decisions against the solution portfolio, integration map and target-state road map.

Explanation

Correct Answer

B:

Correct. Examine quality plans, acceptance tests, defect trends, independent reviews and corrective action effectiveness. The procedure directly tests the reported condition that quality management reports only test case execution counts, not escaped defects. A defensible IS audit conclusion requires relevant and reliable evidence from the actual control population and period.

Incorrect Answers

A:

Not the most direct fieldwork procedure for these facts. That result could pass without demonstrating evidence appropriate to the audit conclusion.

C:

Not the most direct fieldwork procedure for these facts. It does not establish the requested evidence appropriate to the audit conclusion outcome.

D:

Not the most direct fieldwork procedure for these facts. The relevant success criterion is evidence appropriate to the audit conclusion; this measures a different function.

Question 324

During a post-incident audit at a retail marketplace, the IS auditor learns that quality management reports only test case execution counts, not escaped defects. The affected operation supports customer checkout and order fulfillment. Customer transactions and market trust depend on effective control. Which evidence would BEST support a conclusion that the exposure has been addressed?

  1. Version-controlled approved policies and observed procedures are consistent, accessible and supported by time-limited documented exceptions.
  2. Traceable acceptance evidence and declining repeat defects show quality objectives are met and corrective actions are sustained.
  3. Approved owners, consistent classifications and reconciled data lineage demonstrate critical information is governed as defined.
  4. Documented business sponsorship, explicit decision authority and governance reporting link IT choices to approved objectives and risk appetite.

Explanation

Correct Answer

B:

Correct. Traceable acceptance evidence and declining repeat defects show quality objectives are met and corrective actions are sustained. This is stronger than a manager's verbal assurance because it can be checked against the observed issue that quality management reports only test case execution counts, not escaped defects. The reviewer must verify the remediation period and scope.

Incorrect Answers

A:

Not the strongest closure evidence for this case. Acceptance here depends on observing evidence appropriate to the audit conclusion, not only that test.

C:

Not the strongest closure evidence for this case. The relevant success criterion is evidence appropriate to the audit conclusion; this measures a different function.

D:

Not the strongest closure evidence for this case. That result could pass without demonstrating evidence appropriate to the audit conclusion.

Question 325

During a routine controls assessment at a regional hospital, the IS auditor learns that a core banking project has no sponsor authorized to accept business risk. The affected operation supports patient-care scheduling and claims processing. Healthcare service continuity and protected records are at stake. Which consequence would MOST directly follow if this weakness remains unresolved?

  1. Unauthorized or unrepeatable deployments can invalidate tested controls and complicate rollback.
  2. Unverified cost, feasibility or benefit assumptions can justify a project that fails to deliver enterprise value.
  3. Projects may proceed with unapproved scope, unmanaged risk or unverified business accountability.
  4. Missing input, processing, authorization or monitoring controls can allow inaccurate or unauthorized business transactions.

Explanation

Correct Answer

C:

Correct. Projects may proceed with unapproved scope, unmanaged risk or unverified business accountability. The described exception is: a core banking project has no sponsor authorized to accept business risk. This risk ties the observation to the business significance of patient-care scheduling and claims processing, rather than treating management's claim as independent assurance.

Incorrect Answers

A:

Unauthorized or unrepeatable deployments can invalidate tested controls and complicate rollback. That protection can exist while evidence appropriate to the audit conclusion is still missing.

B:

Unverified cost, feasibility or benefit assumptions can justify a project that fails to deliver enterprise value. It protects a different risk than the evidence appropriate to the audit conclusion requirement.

D:

Missing input, processing, authorization or monitoring controls can allow inaccurate or unauthorized business transactions. Recurrence here depends on evidence appropriate to the audit conclusion, not this safeguard.

Question 326

During a routine controls assessment at a regional hospital, the IS auditor learns that a core banking project has no sponsor authorized to accept business risk. The affected operation supports patient-care scheduling and claims processing. Healthcare service continuity and protected records are at stake. Which audit procedure would provide the MOST DIRECT evidence about this control?

  1. Recalculate total lifecycle costs and benefits, test major assumptions and assess measurable benefit ownership and feasibility.
  2. Inspect governance charters, stage-gate approvals, issue escalation, change logs and sponsor decisions on material trade-offs.
  3. Compare signed releases, configuration baselines, deployment manifests, authorization and rollback test evidence.
  4. Map business and nonfunctional requirements to representative UAT, performance, security and operational readiness results.

Explanation

Correct Answer

B:

Correct. Inspect governance charters, stage-gate approvals, issue escalation, change logs and sponsor decisions on material trade-offs. The procedure directly tests the reported condition that a core banking project has no sponsor authorized to accept business risk. A defensible IS audit conclusion requires relevant and reliable evidence from the actual control population and period.

Incorrect Answers

A:

Not the most direct fieldwork procedure for these facts. The relevant success criterion is evidence appropriate to the audit conclusion; this measures a different function.

C:

Not the most direct fieldwork procedure for these facts. Acceptance here depends on observing evidence appropriate to the audit conclusion, not only that test.

D:

Not the most direct fieldwork procedure for these facts. It does not establish the requested evidence appropriate to the audit conclusion outcome.

Question 327

During a routine controls assessment at a regional hospital, the IS auditor learns that a core banking project has no sponsor authorized to accept business risk. The affected operation supports patient-care scheduling and claims processing. Healthcare service continuity and protected records are at stake. Which follow-up result would BEST substantiate that the remediation operates effectively?

  1. Approved baselines, independent feasibility results and post-delivery benefit measurements substantiate the expected outcomes.
  2. Accepted design evidence and tested control cases demonstrate authorized, complete and accurate business processing.
  3. Immutable release identifiers and sampled deployments reconcile to approved builds, settings and recovery plans.
  4. Authorized stage-gate minutes, traceable change approvals and resolved high-risk blockers support controlled project progression.

Explanation

Correct Answer

D:

Correct. Authorized stage-gate minutes, traceable change approvals and resolved high-risk blockers support controlled project progression. This is stronger than a manager's verbal assurance because it can be checked against the observed issue that a core banking project has no sponsor authorized to accept business risk. The reviewer must verify the remediation period and scope.

Incorrect Answers

A:

Not the strongest closure evidence for this case. It does not retain the evidence appropriate to the audit conclusion control over time.

B:

Not the strongest closure evidence for this case. Recurrence here depends on evidence appropriate to the audit conclusion, not this safeguard.

C:

Not the strongest closure evidence for this case. That protection can exist while evidence appropriate to the audit conclusion is still missing.

Question 328

During a payment-platform modernization at a payment clearing organization, the IS auditor learns that the steering committee approves milestones without resolving unresolved control dependencies. The affected operation supports merchant settlement and reconciliation. Finance and settlement integrity depend on this operation. Which weakness is MOST material to the control objective in this situation?

  1. Incomplete or inaccurate migration can corrupt business records even when the new application starts correctly.
  2. Projects may proceed with unapproved scope, unmanaged risk or unverified business accountability.
  3. Development practices may omit critical reviews and traceability when controls are not embedded into the chosen lifecycle.
  4. Missing input, processing, authorization or monitoring controls can allow inaccurate or unauthorized business transactions.

Explanation

Correct Answer

B:

Correct. Projects may proceed with unapproved scope, unmanaged risk or unverified business accountability. The described exception is: the steering committee approves milestones without resolving unresolved control dependencies. This risk ties the observation to the business significance of merchant settlement and reconciliation, rather than treating management's claim as independent assurance.

Incorrect Answers

A:

Incomplete or inaccurate migration can corrupt business records even when the new application starts correctly. Acceptance here depends on observing evidence appropriate to the audit conclusion, not only that test.

C:

Development practices may omit critical reviews and traceability when controls are not embedded into the chosen lifecycle. The relevant success criterion is evidence appropriate to the audit conclusion; this measures a different function.

D:

Missing input, processing, authorization or monitoring controls can allow inaccurate or unauthorized business transactions. That result could pass without demonstrating evidence appropriate to the audit conclusion.

Question 329

During a payment-platform modernization at a payment clearing organization, the IS auditor learns that the steering committee approves milestones without resolving unresolved control dependencies. The affected operation supports merchant settlement and reconciliation. Finance and settlement integrity depend on this operation. Which audit procedure would MOST directly validate the suspected control gap?

  1. Inspect governance charters, stage-gate approvals, issue escalation, change logs and sponsor decisions on material trade-offs.
  2. Reconcile source-to-target record counts and control totals; investigate rejected rows and test cutover and rollback.
  3. Walk through the development workflow and trace requirements, code reviews, testing and approval through representative releases.
  4. Map business and nonfunctional requirements to representative UAT, performance, security and operational readiness results.

Explanation

Correct Answer

A:

Correct. Inspect governance charters, stage-gate approvals, issue escalation, change logs and sponsor decisions on material trade-offs. The procedure directly tests the reported condition that the steering committee approves milestones without resolving unresolved control dependencies. A defensible IS audit conclusion requires relevant and reliable evidence from the actual control population and period.

Incorrect Answers

B:

Not the most direct fieldwork procedure for these facts. The relevant success criterion is evidence appropriate to the audit conclusion; this measures a different function.

C:

Not the most direct fieldwork procedure for these facts. That result could pass without demonstrating evidence appropriate to the audit conclusion.

D:

Not the most direct fieldwork procedure for these facts. Acceptance here depends on observing evidence appropriate to the audit conclusion, not only that test.

Question 330

During a payment-platform modernization at a payment clearing organization, the IS auditor learns that the steering committee approves milestones without resolving unresolved control dependencies. The affected operation supports merchant settlement and reconciliation. Finance and settlement integrity depend on this operation. What would an auditor MOST want to see before accepting the issue as remediated?

  1. Signed reconciliations, resolved exceptions and end-to-end business checks show migrated data are complete and accurate.
  2. Authorized stage-gate minutes, traceable change approvals and resolved high-risk blockers support controlled project progression.
  3. A sampled release has linked requirements, secure review evidence, passed tests and authorized promotion consistent with the method.
  4. Accepted design evidence and tested control cases demonstrate authorized, complete and accurate business processing.

Explanation

Correct Answer

B:

Correct. Authorized stage-gate minutes, traceable change approvals and resolved high-risk blockers support controlled project progression. This is stronger than a manager's verbal assurance because it can be checked against the observed issue that the steering committee approves milestones without resolving unresolved control dependencies. The reviewer must verify the remediation period and scope.

Incorrect Answers

A:

Not the strongest closure evidence for this case. The relevant success criterion is evidence appropriate to the audit conclusion; this measures a different function.

C:

Not the strongest closure evidence for this case. Acceptance here depends on observing evidence appropriate to the audit conclusion, not only that test.

D:

Not the strongest closure evidence for this case. It does not establish the requested evidence appropriate to the audit conclusion outcome.