Certified Information Systems Auditor (CISA) Exam Prep - Austin Peay State University
IT and Software Development

Certified Information Systems Auditor (CISA) Exam Prep

25 Hours

Module 01 – The Process of Auditing Information Systems
Lesson 1: Management of the Audit Function
• Organization of the IS Audit Function
• IS Audit Resource Management
• Audit Planning
• Effect of Laws and Regulations on IS Audit Planning

Lesson 2: ISACA IT Audit and Assurance Standards and Guidelines
• ISACA IT Audit And Assurance Standards And Guidelines
• ISACA IT Audit And Assurance Standards Framework
• Auditing Standards
• Audit Guidelines
• Audit and Assurance Tools and Techniques
• Relationship Among Standards, Guidelines, and Tools and Techniques
• Information Technology Assurance Framework
• Information Technology Assurance Framework Components
• ITAF General Standards (Section 2200)
• ITAF Performance Standards (Section 2400)
• Reporting Standards (Section 2600)
• IT Assurance Guidelines (Section 3000)

Lesson 3: Risk Analysis
• Risk Analysis

Lesson 4: Internal Controls
• Internal Control Objectives
• IS Control Objectives
• General Controls
• IS Controls

Lesson 5: Performing An IS Audit
• Performing an IS Audit
• Classification of Audits
• Audit Programs
• Audit Methodology
• Fraud Detection
• Risk-Based Auditing
• Audit Risk and Materiality
• Risk Assessment and Treatment
• Risk Assessment Techniques
• Audit Objectives
• Compliance Versus Substantive Testing
• Evidence
• Interviewing and Observing Personnel in the Performance Of Their Duties
• Sampling
• Using The Services Of Other Auditors And Experts
• Computer-Assisted Audit Techniques (CAAT)
• Evaluation Of Audit Strengths And Weaknesses
• Communicating Audit Results
• Management Implementation Of Recommendations
• Audit Documentation

Lesson 6: Control Self-Assessment
• Objectives of CSA
• Benefits of CSA
• Disadvantages of CSA
• Auditor Role in CSA
• Technology Drivers for CSA
• Traditional Versus CSA Approach

Lesson 7: The Evolving IS Audit Process
• Automated Work Papers
• Integrated Auditing
• Continuous Auditing
— Module 01 Review

Module 02 – Governance and Management of IT
Lesson 1: Corporate Governance
• Corporate Governance

Lesson 2: IT Governance
• IT Governance

Lesson 3: IT Monitoring and Assurance Practices for Board and Senior Management
• IT Monitoring and Assurance Practices for Board and Senior Management
• Best Practices for IT Governance
• IT Governance Frameworks
• Audit Role in IT Governance
• IT Strategy Committee
• IT Balanced Scorecard
• Information Security Governance
• Importance of Information Security Governance
• Outcomes of Security Governance
• Effective Information Security Governance
• Roles and Responsibilities of Senior Management and Board of Directors
• Enterprise Architecture

Lesson 4: Information Systems Strategy
• Strategic Planning
• Steering Committee

Lesson 5: Maturity and Process Improvement Models
• Maturity and Process Improvement Models

Lesson 6: IT Investment and Allocation Practices
• IT Investment and Allocation Practices
• Implement IT Portfolio Management
• IT Portfolio Management Versus Balanced Scorecard

Lesson 7: Policies and Procedures
• Policies
• Information Security Policy

Lesson 8: Risk Management
• Risk Management
• Developing a Risk Management Program
• Risk Management Process
• Risk Analysis Methods

Lesson 9: IS Management Practices
• Human Resource Management
• Organizational Change Management
• Financial Management Practices
• Quality Management
• Information Security Management
• Performance Optimization

Lesson 10: IS Organizational Structure and Responsibilities
• IS Roles and Responsibilities
• Segregation of Duties
• Segregation of Duties Controls
• Compensating Controls for Lack of Segregation

Lesson 11: Auditing IT Governance Structure and Implementation
• Reviewing Documentation
• Reviewing Contractual Commitments

Lesson 12: Business Continuity Planning
• IS Business Continuity Planning
• Disasters and Other Disruptive Events
• Business Continuity Planning Process
• Business Continuity Policy
• Business Impact Analysis
• Classification of Operations and Criticality Analysis
• Development of Business Continuity Plans
• Other Issues and Plan Development
• Components of a BCP
• BCP Testing
• BCP Maintenance
• Summary of BCP
— Module 02 Review

Module 03 – Information Systems Acquisition, Development and Implementation
Lesson 1: Business Realization
• Portfolio/Program Management
• Business Case Development and Approval
• Benefits Realization Techniques

Lesson 2: Project Management Structure
• Project Context and Environment
• Project Organizational Forms
• Project Communication and Culture
• Project Objectives
• Roles and Responsibilities of Groups and Individuals

Lesson 3: Project Management Practices
• Initiation of a Project
• Project Planning
• Example of Project Management for New Software
• Software Size Estimation
• Lines of Source Code
• Function Point Analysis (FPA)
• Function Points
• Cost Budgets
• Software Cost Estimation
• Scheduling and Establishing the Timeframe
• Critical Path Methodology
• Gantt Charts
• Program Evaluation Review Technique (PERT)
• Time Box Management
• General Project Management
• Project Controlling
• Management of Resource Usage
• Management of Risk
• Closing a Project

Lesson 4: Business Application Development
• Traditional SDLC Approach
• SDLC Phases
• Integrated Resource Management Systems
• Description of SDLC Phases
• Risks Associated with Software Development

Lesson 5: Business Application Systems
• Electronic Commerce
• E-Commerce Models
• E-Commerce Architectures
• E-Commerce Risks
• E-Commerce Requirements
• E-Commerce Audit and Control Issues or Best Practices
• Components of PKI
• Electronic Data Interchange
• General Requirements of EDI
• Traditional EDI
• Web Based EDI
• EDI Risks and Controls
• Controls in EDI Environment
• E-Mail
• E-Mail Security Issues
• Standards for E-Mail Security
• Point-Of-Sale Systems (POS)
• Electronic Banking
• Risk Management Challenges in E-Banking
• Risk Management Controls for E-Banking
• Electronic Finance
• Payment Systems
• Electronic Money Model
• Electronic Checks Model
• Electronic Transfer Model
• Electronic Funds Transfer
• Controls in an EFT Environment
• Automated Teller Machines
• Image Processing
• Business Intelligence
• Decision Support System (DSS)
• DSS Frameworks
• Customer Relation Management (CRM)
• Supply Chain Management (SCM)

Lesson 6: Alternative Forms of Software Project Organization
• Agile Development
• Prototyping
• Rapid Application Development (RAD)

Lesson 7: Alternative Development Methods
• Data Oriented System Development
• Object Oriented System Development
• Component-Based Development
• Web-Based Application Development
• Software Reengineering
• Reverse Engineering

Lesson 8: Infrastructure Development/Acquisition Practices
• Project Phases of Physical Architecture Analysis
• Planning Implementation of Infrastructure
• Critical Success Factors
• Hardware Acquisition
• Acquisition Steps
• System Software Acquisition
• System Software Implementation
• System Software Change Control Procedures

Lesson 9: Information Systems Maintenance Practices
• Change Management Process Overview
• Deploying Changes
• Documentation
• Testing Changed Programs
• Auditing Program Changes
• Emergency Changes
• Change Exposures (Unauthorized Changes)
• Configuration Management

Lesson 10: System Development Tools And Productivity Aids
• Code Generators
• Computer Aided Software Engineering
• Fourth-Generation Languages (4GL)

Lesson 11: Business Process Reengineering And Process Change Projects
• Business Process Reengineering And Process Change Projects Continued
• The Benchmarking Process
• ISO 9126
• Software Capability Maturity Model
• ISO 15504

Lesson 12: Application Controls
• Inputs Controls
• Processing Procedures And Controls
• Processing Controls
• Data File Control Procedures
• Output Controls
• Business Process Control Assurance

Lesson 13: Auditing Application Controls
• Risk Assessment Model To Analyze Application Controls
• Observing And Testing User Performing Procedures
• Data Integrity Testing
• Example Of Referential And Relational Integrity
• Data Integrity In Online Transaction Processing Systems
• Test Application Systems
• Continuous Online Auditing
• Online Auditing Techniques

Lesson 14: Auditing Systems Development, Acquisition And Maintenance
• Project Management
• Feasibility Study
• Requirements Definition
• Software Acquisition Process
• Detailed Design And Development
• Implementation Phase
• Post Implementation Review
• System Change Procedures And The Program Migration Process
— Module 03 Review

Module 04 – Information Systems Operations, Maintenance and Support
Lesson 1: Information Systems Operations
• Management of IS Operations
• Service Management
• Service Level
• Infrastructure Operations
• Monitoring Use of Resources
• Process of Incident Handling
• Problem Management
• Detection, Documentation, Control, • Resolution and Reporting of Abnormal Conditions
• Support/Helpdesk
• Change Management Process
• Release Management
• Information Security Management
• Media Sanitization

Lesson 2: Information Systems Hardware
• Computer Hardware Components and Architecture
• Common Enterprise Backend Devices
• Specialized Devices
• Risks
• Security Control
• Radiofrequency Identification
• RFID Applications
• RFID Risks
• RFID Security Control
• Hardware Maintenance Program
• Hardware Monitoring Procedures
• Capacity Management

Lesson 3: IS Architecture and Software
Operating Systems
• Software Integrity Issues
• Activity Logging and Reporting Options
• Data Communication Software
• Data Management
• File Organization
• Database Management Systems
• Example of Data in DBMS
• DBMS Architecture
• DBMS Metadata Architecture
• Database Structure
• Relational Database
• Database Models
• Relational Database Model
• Database Controls
• Tape and Disk Management Systems
• Utility Programs
• Software Licensing Issues
• Digital Rights Management

Lesson 4: Network Infrastructure
• Enterprise Network Architecture
• Types of Networks
• Network Services
• Network Standards and Protocols
• OSI Architecture
• OSI Layers
• Application of the OSI Model in Network Architectures
• Local Area Network
• Network Physical Media Specifications
• Implementation of WANs
• LAN Media Access Technologies
• LAN Components
• OSI Layer Diagram
• LAN Technology Selection Criteria
• Wide Area Networks
• WAN Message Transmission Techniques
• WAN Devices
• WAN Technologies
• Wireless Networks
• Wireless Wide Area Networks
• Wireless Local Area Networks
• Wireless Security
• Wireless Application Protocol
• Risks of Wireless Communications
• World Wide Web Services
• General Internet Terminology
• Network Administration and Control
• Network Performance Metrics
• Network Management Issues
• Network Management Tools
• Client/Server Technology

Lesson 5: Disaster Recovery Planning
• Recovery Point Objective and Recovery Time Objective
• Recovery Strategies
• Application Disaster Recovery Methods
• Data Storage Disaster Recovery Methods
• Telecommunication Networks Disaster Recovery Methods
• Methods for Network Protection
• Development of Disaster Recovery Plans
• Organization and Assignment Of Responsibilities
• Backup and Restoration
• Off-Site Library Controls
• Types of Backup Devices and Media
• Periodic Backup Procedures
• Frequency of Rotation
• Backup Schemes
— Module 04 Review

Module 05 – Protection of Information Assets
Lesson 1: Importance Of Information Security
• Key Elements of Information Security Management
• Information Security Management Roles and Responsibilities
• Inventory and Classification of Information Assets
• System Access Permission
• Mandatory and Discretionary Access Controls
• Privacy Management Issue and the Role of IS Auditors
• Critical Success Factors to Information Security Management
• Information Security and External Parties
• Identification of Risks Related to External Parties
• Addressing Security When Dealing with Customers
• Addressing Security and Third-Party Agreements
• Human Resources Security and Third Parties
• Computer Crime Issues and Exposures
• Types of Computer Crimes
• Peer to Peer, Instant Messaging, Data Leakage and Web-Based Technologies
• Security Incident Handling and Response

Lesson 2: Logical Access
• Logical Access Exposures
• Familiarization with the Enterprise IT Environment
• Paths of Logical Access
• General Points of Entry
• Logical Access Control Software
• Identification and Authentication
• Features of Passwords
• Identification and Authentication Best Practices
• Token Devices, One-Time Passwords
• Management of Biometrics
• Single Sign-On
• Authorization Issues
• Access Control Lists
• Logical Access Security Administration
• Remote Access Security
• Common Connectivity Methods
• Remote Access Using PDAs
• Access Issues with Mobile Technology
• Access Rights to System Logs
• Tools for Audit Trail Analysis
• Use of Intrusion Detection
Storing, Retrieving, Transporting and Disposing of Confidential Information

Lesson 3: Network Infrastructure Security
• LAN Security
• Virtualization
• Client/Server Security
• Wireless Security Threats and Risks Mitigation
• Internet Threats and Security
• Network Security Threats
• Internet Security Control Audits
• Firewall Security Systems
• Common Attacks Against a Firewall
• Examples of Firewall Implementation
• Intrusion Detection
• Describing IDS and IPS Deployment
• Encryption
• Uses of Encryption
• Viruses
• Technical Controls Against Viruses
• AV Software
• Voice Over IP
• Private Branch Exchange

Lesson 4: Auditing Information Security Management Framework
• Auditing Logical Access
• Techniques for Testing Security

Lesson 5: Auditing Network Infrastructure Security
• Auditing Remote Access
• Network Penetration Test
• Types of Penetration Tests
• Full Network Assessment Reviews
• Development and Authorization of Network Changes
• Unauthorized Changes
• Computer Forensics
• Chain of Evidence

Lesson 6: Environmental Exposures and Controls

Lesson 7: Physical Access Exposures and Controls
• Physical Access Exposures
• Physical Access Controls
• Auditing Physical Access

Lesson 8: Mobile Computing

The CISA designation is a globally recognized certification for IS audit control, assurance and security professionals. Being CISA-certified showcases your audit experience, skills and knowledge, and demonstrates you are capable to assess vulnerabilities, report on compliance and institute controls within the enterprise. Once a CISA candidate has passed the CISA certification exam and has met the work experience requirements, the final step is to complete and submit a CISA Application for Certification. A minimum of 5 years of professional information systems auditing, control or security work experience (as described in the CISA job practice areas) is required for certification. It is important to note that many individuals choose to take the CISA exam prior to meeting the experience requirements. This practice is acceptable and encouraged although the CISA designation will not be awarded until all requirements are met. The work experience for CISA certification must be gained within the 10-year period preceding the application date for certification or within 5 years from the date of originally passing the exam. The CISA Application for Certification is available at www.isaca.org/cisaapp. Note that candidates have 5 years from the passing date to apply for certification.
Each state may have additional licensing requirements, be sure to research your states requirements for employment by visiting your states occupation board.

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