IIA-CIA-Part2 Exam Dumps | The chief audit executive (CAE) manages a large internal audit activity (IAA) reporting functionally

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Question 188/468

The chief audit executive (CAE) manages a large internal audit activity (IAA) reporting functionally to the audit committee and administratively to the chief risk officer. During the CAE's recent unplanned medical leave, several internal audit reports were completed and waiting for CAE approval, however, no formal delegation of authority was in place to anticipate this situation. In order to preserve the independence of the IAA, which of the following would be the most appropriate individual to review and approve these reports during the CAE's absence?

A. Chief risk officer.

B. Audit committee chair.

C. External auditor.

D. Engagement lead auditor.

Question List (468q): 1 commentQuestion 1: When establishing the internal audit activity's annual plan,...; Question 2: Which of the following performance criteria would be most us...; Question 3: The most effective method of reporting engagement results to...; Question 4: According to IIA guidance, which of the following are accept...; Question 5: A chief audit executive (CAE) received a detailed internal r...; Question 6: Which two of the following considerations must an internal a...; Question 7: New environmental regulations require the board to certify t...; Question 8: In reviewing the appropriateness of the minimum quantity lev...; Question 9: Which of the following would be the best audit procedure to ...; Question 10: Five brand managers in a consumer products company met to de...; Question 11: A manager of one of a retailer's several retail outlets is s...; Question 12: Which of the following risks assumes an absence of compensat...; Question 13: An organization's policies allow buyers to authorize expendi...; Question 14: An audit client responded to recommendations from a recent c...; Question 15: An internal auditor found that the cost of some material ins...; Question 16: Productivity statistics are provided quarterly to a company'...; Question 17: Which of the following items should be addressed in an organ...; Question 18: During an information security audit, an auditor discovers t...; Question 19: A recent survey indicated that residents of a small town tak...; Question 20: The chief audit executive (CAE) determined that based on man...; Question 21: An organization's internal audit plan includes a recurring a...; Question 22: In order to effectively elicit sensitive information from an...; Question 23: The internal audit activity of an investment company receive...; Question 24: An internal auditor has just undertaken an organization-wide...; Question 25: The internal audit activity performs the following sequence ...; Question 26: Which of the following would be the most effective method to...; Question 27: With which of the following would the internal audit activit...; Question 28: A large retail organization, which sells most of its product...; Question 29: Which of the following would be most helpful to a government...; Question 30: A manufacturing process could create hazardous waste at seve...; Question 31: A consumer electronics company is considering acquiring a sm...; Question 32: When creating the internal audit plan, the chief audit execu...; Question 33: According to IIA guidance, which of the following procedures...; Question 34: While performing a follow-up of a concern about equipment-in...; Question 35: During an audit of a major contract, an auditor finds that a...; Question 36: If an auditor is sampling to test compliance with a particul...; Question 37: According to IIA guidance, which of the following strategies...; Question 38: According to the Standards, which of the following best desc...; Question 39: The internal audit activity (IAA) wants to measure its perfo...; Question 40: Monetary-unit sampling is most useful when the internal audi...; Question 41: An audit engagement objective at a manufacturer is to determ...; Question 42: An internal auditor is conducting an assessment of the organ...; Question 43: Checklists used to assess audit risk have been criticized fo...; Question 44: Which of the following is typically not a reason for committ...; Question 45: Which of the following examples of audit evidence is the mos...; Question 46: Which of the following situations would justify the removal ...; Question 47: An organization has an opening for an entry-level internal a...; Question 48: Which of the following potential performance measures should...; Question 49: Which of the following recommendations made by the internal ...; Question 50: A company owns a machine that will produce 100 light switche...; Question 51: A retail company uses a computer program that matches electr...; Question 52: Which of the following is an effective approach for internal...; 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Question 79: According to the Standards, which of the following describes...; Question 80: According to the Standards, which of the following would hav...; Question 81: A large investment organization hired a chief risk officer (...; Question 82: When setting the scope for the identification and assessment...; Question 83: Which of the following conditions is the strongest indicator...; Question 84: Which of the following statements is not true about the over...; Question 85: An internal auditor has been asked to participate in an advi...; Question 86: According to IIA guidance, which of the following individual...; Question 87: As part of a preliminary survey of the purchasing function, ...; Question 88: An auditor decides to vouch a sample of ledger entries back ...; Question 89: An internal auditor provided the following statement about d...; Question 90: Which of the following would not be an appropriate step for ...; Question 91: After the team member who specialized in fraud investigation...; 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Question 105: An internal auditor notices that a division has recorded unc...; Question 106: The chief risk officer (CRO) of a large manufacturing organi...; Question 107: While conducting a payroll audit, an internal auditor in a l...; Question 108: Which of the following tasks is typically performed in the a...; Question 109: According to the International Professional Practices Framew...; Question 110: The use of standard operating procedure questionnaires in au...; Question 111: An internal auditor has a recommendation to change operation...; Question 112: When constructing a staffing schedule for the internal audit...; Question 113: Which characteristic of risk assessment makes it a useful to...; Question 114: The newly appointed chief audit executive (CAE) of a large m...; Question 115: In a payroll audit, a staff auditor suspects that signatures...; Question 116: Which of the following would be included in an internal audi...; Question 117: Which of the following is an effective way for an internal a...; 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Question 183: Which sampling plan requires no additional sampling once the...; Question 184: Which of the following describes an internal auditor's respo...; Question 185: The best method for assessing the relative importance of ris...; Question 186: During which of the following systems development stages wou...; 1 commentQuestion 187: Which of the following statements is correct regarding the a...; Question 188: The chief audit executive (CAE) manages a large internal aud...; Question 189: A company used simple regression analysis to analyze mainten...; Question 190: Management has asked the internal audit activity to perform ...; Question 191: In preparing to facilitate a control self-assessment session...; Question 192: Which of the following best describes the four components of...; Question 193: According to IIA guidance, which of the following factors sh...; Question 194: Which of the following best defines an audit opinion?...; Question 195: After partially completing an internal control review of the...; Question 196: Which of the following statements is true pertaining to inte...; Question 197: Which of the following might alert an auditor to the possibi...; Question 198: If an organization's chief audit executive wants to implemen...; Question 199: An internal control questionnaire would be most appropriate ...; Question 200: According to IIA guidance, which of the following is true re...; Question 201: A newly promoted chief audit executive (CAE) is faced with a...; Question 202: During a routine audit of a customer service hotline, an int...; Question 203: Which of the following tests must an internal auditor perfor...; Question 204: An internal audit activity is participating in the due dilig...; Question 205: Which of the following factors could interfere with effectiv...; Question 206: Which of the following would be a legitimate action for the ...; Question 207: During an audit of a major metropolitan museum, an auditor w...; Question 208: An organization's board would like to establish a formal ris...; Question 209: An internal auditor has been assigned to facilitate a risk a...; Question 210: Which of the following represents appropriate evidence of su...; Question 211: When assessing the risk associated with an activity, an inte...; Question 212: An internal auditor is conducting tests to determine if an o...; Question 213: Which of the following would be the most important reason fo...; Question 214: An employee in the sales department completes a purchase req...; Question 215: Which of the following is the best approach for obtaining fe...; Question 216: A report prepared by the internal audit activity contains se...; Question 217: Which of the following is a weakness that is inherent in the...; Question 218: To furnish useful and timely information and promote improve...; Question 219: One method for dealing with the uncertainty of demand foreca...; Question 220: During a fraud interview, it was discovered that unquestione...; Question 221: Questions used to interrogate individuals suspected of fraud...; 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Question 235: A bank uses a risk analysis matrix to quantify the relative ...; Question 236: Which of the following will be an appropriate course of acti...; Question 237: During the planning phase of an audit of the treasury functi...; Question 238: Which of the following trends found on financial reports wou...; Question 239: When internal auditors provide consulting services, the scop...; Question 240: The chief audit executive (CAE) of a new organization is in ...; Question 241: According to IIA guidance,when performing a compliance audit...; Question 242: Which of the following methods would an auditor most likely ...; Question 243: Which of the following is correct with respect to roles with...; Question 244: For which of the following fraud engagement activities would...; Question 245: While performing an audit of the human resources department,...; Question 246: The internal audit activity's primary responsibility in a re...; Question 247: An auditor is using an internal control questionnaire as par...; Question 248: A performance audit engagement typically involves:...; Question 249: An auditor plans to analyze customer satisfaction, including...; Question 250: What type of analysis is performed when an auditor tests for...; Question 251: A chief audit executive (CAE) has decided to add an engageme...; Question 252: During the development of a purchasing system, an auditor re...; Question 253: A manufacturer is under contract to produce and deliver a nu...; Question 254: An organization has recently incurred significant cost overr...; Question 255: An organization has a health and safety division that conduc...; Question 256: Which of the following actions are appropriate for the chief...; Question 257: An internal auditor is discussing an audit problem with an e...; Question 258: According to IIA guidance, which of the following are the mo...; Question 259: Which of the following is the correct ratio to use in calcul...; Question 260: Which of the following would be the least important reason f...; Question 261: What is the most important risk in determining the validity ...; Question 262: Which of the following is an advantage to using the question...; Question 263: As part of an operational audit of the shipping department, ...; Question 264: Given the scarcity of internal audit resources, a chief audi...; Question 265: Which of the following is used to identify and prioritize cr...; Question 266: Which of the following actions is related to the preliminary...; Question 267: A company's policy requires that all customers be treated in...; Question 268: If management expects 100 percent compliance with a procedur...; Question 269: A chief audit executive is preparing interview questions for...; Question 270: Due to the expanded role of internal audit in the organizati...; Question 271: Which of the following is a preventive control strategy agai...; Question 272: Which of the following would be an appropriate improvement t...; Question 273: Which of the following audit procedures is most suitable for...; Question 274: Which of the following types of sampling techniques should a...; Question 275: During an audit of a branch bank, an internal auditor learne...; Question 276: An auditor evaluating excessive product rejection rates shou...; Question 277: An internal auditor is conducting a review of the procuremen...; Question 278: When conducting a performance appraisal of an internal audit...; Question 279: Which of the following is least likely to help ensure that r...; Question 280: An audit of a Web-based third-party payment processor determ...; Question 281: During a payroll audit of a large organization, an internal ...; Question 282: A governmental auditor was assigned to determine reasons why...; Question 283: When interviewing an individual in relation to a fraud inves...; Question 284: During an interview with a manager in a company's claims dep...; Question 285: While developing a risk based audit plan, which of the follo...; Question 286: Which of the following audit steps would be most effective t...; Question 287: According to the Standards, which of the following is an att...; Question 288: An internal auditor would most likely use attributes samplin...; Question 289: An internal auditor submitted a report containing recommenda...; Question 290: An airline contracted with an external service provider to p...; Question 291: The efficiency of internal audit operations is best enhanced...; Question 292: What is the most likely source of information for a detailed...; Question 293: A staff auditor, nearly finished with an audit engagement, d...; Question 294: Ordinarily, which of the following would not be an objective...; Question 295: Which of the following would most likely include recommendat...; Question 296: A chief audit executive (CAE) suspects that several employee...; Question 297: A draft internal audit report that cites deficient condition...; Question 298: When approving the final engagement report, which of the fol...; Question 299: In response to an accounts receivable confirmation, a custom...; Question 300: During an engagement the internal auditors reported that the...; Question 301: Which of the following is not a primary reason for outsourci...; Question 302: Which of the following factors would increase the confidence...; Question 303: Which of the following would constitute a violation of the I...; Question 304: Which of the following is an advantage of an interim report?...; Question 305: Which of the following is a justifiable reason for omitting ...; Question 306: Which of the following factors would the auditor in charge b...; Question 307: A major insurance company provides a discount on automobile ...; Question 308: Which of the following would not include recommendations for...; Question 309: An auditor is performing a review of a complex process to id...; Question 310: Which of the following would provide the greatest assurance ...; Question 311: Insurance companies often receive electronic hospitalization...; Question 312: According to the International Professional Practices Framew...; Question 313: Confirmation would be most effective in addressing the exist...; Question 314: An audit of management's quality program includes testing th...; Question 315: According to the Standards, which of the following is applic...; Question 316: The chief audit executive (CAE) of a multinational entity wi...; Question 317: After finalizing an assurance engagement concerning safety o...; Question 318: An internal auditor notes that employees continue to violate...; Question 319: When forming an opinion on the adequacy of management's syst...; Question 320: Which of the following data sources would provide the least ...; Question 321: Which role is not considered a change agent when an organiza...; Question 322: Given the scarcity of internal audit resources, a chief audi...; Question 323: An internal auditor has been assigned to perform a quality a...; Question 324: In response to an audit finding, senior management informed ...; Question 325: Which of the following is the most common method management ...; Question 326: An audit of an organization's claims department determined t...; Question 327: Which of the following would provide the best evidence of co...; Question 328: During an assurance engagement, an internal auditor noted th...; Question 329: The board has asked the internal audit activity (IAA) to be ...; Question 330: Which of the following is not a direct benefit of control se...; Question 331: Which of the following best describes the most important cri...; Question 332: Which of the following situations justifies the release of a...; Question 333: When determining the nature, timing, and extent of follow up...; Question 334: If observed during fieldwork by an internal auditor, which o...; Question 335: When planning an audit engagement, what should an internal a...; Question 336: Which of the following would provide the best audit evidence...; Question 337: Audit supervision includes approval of the engagement report...; Question 338: An internal auditor for a large telecommunications organizat...; Question 339: Which of the following files, when compared with billing rec...; Question 340: An internal audit manager is supervising an engagement. A se...; Question 341: According to IIA guidance, which of the following activities...; Question 342: An organization has acquired a new line of business. None of...; Question 343: Which of the following best describes the primary concern of...; Question 344: Which of the following best defines an engagement conclusion...; Question 345: Which of the following is the most important concept to be i...; Question 346: Which of the following behaviors could represent a significa...; Question 347: Which of the following is the most appropriate step for the ...; Question 348: Which of the following is true regarding roles and responsib...; Question 349: Persuasive evidence indicates that a member of senior manage...; Question 350: If participants in a control self-assessment workshop begin ...; Question 351: Which of the following procedures would provide the best evi...; Question 352: During the quarterly review of the internal audit activity's...; Question 353: An auditor decides to perform an inventory turnover analysis...; Question 354: According to the Standards, which of the following control s...; Question 355: An internal auditor is reviewing purchases made through the ...; Question 356: An audit of an organization's fulfillment department discove...; Question 357: Which of the following statements is true regarding the comm...; Question 358: Which of the following statements describes an engagement pl...; Question 359: Which of the following events would most likely cause the ch...; Question 360: After completing a net present value (NPV) calculation on a ...; Question 361: Which of the following processes real-transaction data throu...; Question 362: The internal auditor of a bank has developed a multiple regr...; Question 363: Which of the following documents should the chief audit exec...; Question 364: Which of the following data collection strategies systematic...; Question 365: Which of the following is not relevant when developing recom...; Question 366: According to IIA guidance, which of the following actions mi...; Question 367: An auditor-in-charge is preparing her audit team for a consu...; Question 368: The internal auditor's opinion in terms of due professional ...; Question 369: Which of the following would have the least significance in ...; Question 370: If an auditor expects to find numerous discrepancies between...; Question 371: According to the International Professional Practices Framew...; Question 372: Under what circumstances would internal audit not become inv...; Question 373: Which of the following is not a primary purpose for conducti...; Question 374: It is close to the fiscal year end for a government agency, ...; Question 375: Which of the following is least likely to vary when conducti...; Question 376: Which of the following would be an appropriate role of the i...; Question 377: Management requested the chief audit executive (CAE) to incl...; Question 378: According to IIA guidance, which of the following accurately...; Question 379: What decision-making approach should a facilitator initiate ...; Question 380: An audit department has received anonymous information that ...; Question 381: Which of the following is a red flag associated with fictiti...; Question 382: Which of the following, if observed, would not indicate the ...; Question 383: Many questionnaires are made up of a series of different que...; Question 384: According to the Standards, which of the following would lea...; Question 385: When establishing a quality assurance and improvement progra...; Question 386: A manufacturing organization is considering a merger with a ...; Question 387: Why should internal auditors develop a strong relationship w...; Question 388: According to IIA guidance, which of the following is true ab...; Question 389: While investigating a compromised Web server, an auditor fou...; Question 390: Which of the following would be a red flag that indicates th...; Question 391: The chief audit executive (CAE) is adding a new audit positi...; Question 392: The most effective way for internal auditors to enhance the ...; Question 393: The internal auditor is asked to conduct an investigation in...; Question 394: An internal auditor is planning an assurance engagement. The...; Question 395: A chief audit executive has noticed that staff auditors are ...; Question 396: An organization contracted a third party to construct a new ...; Question 397: After becoming aware of control weaknesses indicating that a...; Question 398: Which of the following situations would best support the dec...; Question 399: An internal auditor was assigned to conduct an inventory con...; Question 400: If an auditor used nonstatistical sampling instead of statis...; Question 401: A bakery chain has a statistical model that can be used to p...; Question 402: A post-audit questionnaire sent to audit clients is an effec...; Question 403: Which of the following is the primary purpose of financial s...; Question 404: An audit identified a number of weaknesses in the configurat...; Question 405: Which of the following is the first step in the process wher...; Question 406: The internal audit activity can be involved with systems dev...; Question 407: According to IIA guidance, which of the following is least l...; Question 408: Controls are implemented to:; Question 409: According to IIA guidance, which of the following are potent...; Question 410: What does the following scatter gram suggest?...; Question 411: An internal auditor is assessing the organization's risk man...; Question 412: A retail sales company has discontinued a product that norma...; Question 413: According to IIA guidance, which of the following is true wh...; Question 414: After completing a fraud investigation but before publishing...; Question 415: The chief audit executive (CAE) notes that management has ad...; Question 416: The chief audit executive's responsibility regarding control...; Question 417: Which of the following actions by management would reduce an...; Question 418: Which of the following conditions should a chief audit execu...; Question 419: In which of the following situations would it be most approp...; Question 420: Due to a recent system upgrade, an audit is planned to test ...; Question 421: According to IIA guidance, which of the following strategies...; Question 422: Reviewing internal audit report drafts with clients is: 1. R...; Question 423: An internal auditor compares real-time gasoline production d...; Question 424: Which of the following is a preventive control for fraud?...; Question 425: During a consulting engagement, an internal auditor identifi...; Question 426: According to the International Professional Practices Framew...; Question 427: The most effective procedure to verify compliance with a req...; Question 428: Which of the following statements regarding the use of exter...; Question 429: According to IIA guidance, which of the following should be ...; Question 430: As part of an operational audit, an auditor compared records...; Question 431: Which of the following factors would not be considered in de...; Question 432: While reviewing the draft report of an audit engagement, the...; Question 433: During an engagement, an internal auditor discovered that an...; Question 434: Which of the following would most likely contribute to discr...; Question 435: A limitation of using ratio analysis in an audit engagement ...; Question 436: Inadequate risk assessment would have the strongest negative...; Question 437: After issuance of the engagement final communication for an ...; Question 438: Which of the following statements is true?...; Question 439: According to the Standards, which of the following is least ...; Question 440: An internal auditor is assigned to conduct an audit of secur...; Question 441: Because of an abundance of high priority requests from manag...; Question 442: Which of the following is a red flag associated with imprope...; Question 443: Which of the following factors should a chief audit executiv...; Question 444: Company A has a formal comprehensive corporate code of ethic...; Question 445: In advance of a preliminary survey, a chief audit executive ...; Question 446: Which of the following must an auditor establish in order to...; Question 447: New credit policies have been implemented in an automated or...; Question 448: Which of the following would be the least desirable criteria...; Question 449: Which of the following tasks would be considered unusual for...; Question 450: Which of the following situations might allow an employee to...; Question 451: Which of the following is the primary reason the chief audit...; Question 452: Which of the following is a responsibility of the internal a...; Question 453: According to IIA guidance, which of the following statements...; Question 454: Which of the following types of internal audit consulting en...; Question 455: Which of the following statements is true?...; Question 456: Which of the following best illustrates the primary focus of...; Question 457: The chief audit executive (CAE) decided that based on manage...; Question 458: During an assurance engagement, an internal auditor discover...; Question 459: A code of business conduct should include which of the follo...; Question 460: An internal auditor is conducting a financial audit. Which o...; Question 461: An auditor for a major retail company suspects that inventor...; Question 462: Which of the following is not a reason for an internal audit...; Question 463: Which of the following statements is false regarding roles a...; Question 464: Which of the following would not be characteristic of contro...; Question 465: When developing the scope of an audit engagement, which of t...; Question 466: An internal auditor wants to determine whether employees are...; Question 467: During an audit of the accounts receivable (AR) process, an ...; Question 468: The chief executive officer has requested that the chief aud...

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