Question # 1
An organization has developed a large database that tracks employees,employee
benefits,payroll deductions,job classifications,and other similar information. In order to test
whether data currently within the automated system are correct,an auditorshould: | | A. Use test data and determine whether all the data entered are captured correctly in the
updated database. | | B. Select a sample of data to be entered for a few days and trace the data to the updated
database to determine the correctness of the updates.
| | C. Use generalized audit software to provide a printout of all employees with invalid job
descriptions. Investigate the causes of the problems.
| | D. Use generalized audit software to select a sample of employees from the database.
Verify the data fields.
|
D. Use generalized audit software to select a sample of employees from the database.
Verify the data fields.
Question # 2
Risk assessments are valuable to the internal audit activity's planning process because they assist in: | | A. Eliminating all areas with low risk from the audit plan.
| | B. Educating management on the importance of keeping the internal audit activity informed
of organizational changes.
| | C. Identifying the audit universe or auditable activities that need to be reviewed. | | D. Identifying risks that management and the internal auditors have overlooked.
|
C. Identifying the audit universe or auditable activities that need to be reviewed.
Question # 3
Which two of the following are preventive controls in a check disbursement process?
1.Daily reconciliation of the bank account used for check disbursements and prompt followup
of un-reconciled items.
2.Segregation of the following duties: establishing new vendors,approving checks,and
reconciling the bank account.
3.An activity report detailing who accesses the check disbursement system and the nature
of any action taken in the system.
4.Evidence of strong access controls ensuring that authorized individuals have access only
to the functions related to their responsibilities.
| | A. 1 and 3.
| | B. 1 and 4.
| | C. 2 and 3. | | D. 2 and 4.
|
Question # 4
Which of the following represents the correct order of the risk management process?
| | A. Resource allocation,risk management metrics,risk assessment,post-mortem
analysis,effective communication.
| | B. Risk management metrics,resource allocation,risk assessment,effective
communication,post-mortem analysis. | | C. Risk assessment,resource allocation,risk governance and reporting,post-mortem
analysis,feedback.
| | D. Resource allocation,risk monitoring,risk assessment,feedback,post-mortem analysis.
|
C. Risk assessment,resource allocation,risk governance and reporting,post-mortem
analysis,feedback.
Question # 5
Which of the following internal auditor attributes are affected by a conflict of interest?
| | A. Independence and authority.
| | B. Authority and proficiency.
| | C. Independence and objectivity.
| | D. Objectivity and due professional care.
|
C. Independence and objectivity.
Question # 6
According to IIA guidance,which of the following statements is correct concerning the
knowledge,skills,and competencies required to fulfill the responsibilities of the internal audit
activity (IAA)? | | A. The IAA must collectively possess the knowledge,skills,and competencies needed to
perform all engagements. | | B. Each internal auditor in the IAA must possess the competencies required to detect and
investigate fraudulent transactions.
| | C. The IAA must not decline any engagement based solely on a lack the necessary
knowledge,skills,and competencies to perform it.
| | D. The competencies of external service providers must be assessed by the chief audit
executive before the IAA can use external service providers' work.
|
D. The competencies of external service providers must be assessed by the chief audit
executive before the IAA can use external service providers' work.
Question # 7
Which of the following internal controls is likely to prevent pollution from waste disposal
before it occurs,rather than detect it after it occurs?
| | A. Identification of large budget variances in disposal costs for hazardous chemicals.
| | B. Restricted access to environmental department files.
| | C. Formal on-the-job training program conducted by the environmental staff.
| | D. Samples of water and solid waste taken daily with the results recorded in a log.
|
C. Formal on-the-job training program conducted by the environmental staff.
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