The correct answer is to implement an automated access recertification process with quarterly reviews. This directly addresses the most significant finding—the absence of any periodic review of user access rights—which is a systemic control failure that can allow excessive or inappropriate access to protected health information, such as a former nurse retaining EHR access. On the CISA exam, this scenario tests your ability to prioritize compensating controls over procedural weaknesses; the undocumented approvals are a secondary issue, while the lack of a review cycle represents a critical gap in user access recertification and compensating controls. A common trap is focusing on the approval documentation problem, but the auditor must address the root cause—no recurring validation of entitlements against current roles. Memory tip: think “No review, no trust”—automated recertification enforces documented, regular checks that manual processes often skip.
CISA Information System Auditing Process Practice Question
This CISA practice question tests your understanding of information system auditing process. Read the scenario carefully and evaluate each option against the stated constraints before committing to an answer. After answering, compare your reasoning against the explanation and wrong-answer breakdown below. Once you have made your selection, read the full explanation to reinforce the concept and understand why each distractor is designed to mislead on exam day.
An IS auditor is auditing the user access management process for a large healthcare organization that uses an electronic health records (EHR) system. The organization has 5,000 users including doctors, nurses, and administrative staff. The auditor reviews a sample of access requests and finds that 20% of the requests were approved by the user's manager but the approval was not documented in the system. The auditor also finds that there is no periodic review of user access rights. The IT security manager states that users are automatically provisioned based on their role in the HR system, and that access reviews are performed manually by managers but not documented. What is the auditor's BEST recommendation to address the most significant risk?
Clue words in this question
Noticing these words before you look at the options changes how you read each choice.
Clue: "best"
Why it matters: Signals that multiple options may be partially correct. Choose the option that most directly solves the exact problem described, not the one that sounds most complete.
Answer the question above first, then reveal the full breakdown to understand why each option is right or wrong.
Correct answer & explanation
✓
Implement an automated access recertification process with quarterly reviews.
The most significant risk is the lack of periodic review of user access rights, which can lead to excessive or inappropriate access (e.g., a former nurse retaining EHR access). Automating access recertification with quarterly reviews directly addresses this by enforcing a regular, documented validation of user entitlements against their current roles, reducing the risk of unauthorized access to protected health information (PHI) under HIPAA. While the undocumented approvals are a control weakness, the absence of any review cycle is a systemic failure that automated recertification resolves.
Key principle: Answer the scenario, not the keyword: identify the specific constraint before choosing the most familiar-sounding option.
Answer analysis
Option-by-option breakdown
For each option: why learners choose it and why it is or isn't the right answer here.
✓
Implement an automated access recertification process with quarterly reviews.
Why this is correct
Automated recertification ensures regular review and removal of unnecessary access.
Clue confirmation
The clue word "best" in the question point toward this answer.
Related concept
Read the scenario before looking for a memorised answer.
✗
Disable automatic provisioning and require manual approval for all access.
Why it's wrong here
Manual approval would be cumbersome and inefficient for 5,000 users.
✗
Require that all access approvals be documented and stored in the system.
Why it's wrong here
Documentation is important but does not address the lack of review.
✗
Perform a risk assessment to determine appropriate access controls.
Why it's wrong here
A risk assessment is a preliminary step, not a direct action to fix the identified issue.
Common exam traps
Common exam trap: answer the scenario, not the keyword
The trap here is that candidates focus on the documented approval finding (20% undocumented) and choose Option C, missing that the lack of any periodic review is a far more systemic risk that automated recertification directly mitigates.
Detailed technical explanation
How to think about this question
Automated access recertification typically integrates with an identity governance and administration (IGA) platform that compares user attributes from the HR system (e.g., job code, department) against entitlements in the EHR system (e.g., Epic, Cerner). The process triggers a certification campaign where managers review and attest to user access via a dashboard, with any unconfirmed access automatically revoked after a grace period. In healthcare, this is critical because role-based access control (RBAC) must be continuously aligned with changing staff roles, and manual reviews without documentation fail audit requirements for evidence of periodic access validation under HIPAA Security Rule §164.308(a)(4).
KKey Concepts to Remember
Read the scenario before looking for a memorised answer.
Find the constraint that changes the correct option.
Eliminate answers that are true in general but not in this case.
TExam Day Tips
→Watch for words such as best, first, most likely and least administrative effort.
→Review why wrong options are wrong, not only why the correct option is correct.
Key takeaway
Answer the scenario, not the keyword: identify the specific constraint before choosing the most familiar-sounding option.
Real-world example
How this comes up in practice
A practitioner preparing for the CISA exam encounters this exact type of scenario on the job. The correct answer here is not the most general option — it is the best answer for the specific constraint described. Answer the scenario, not the keyword: identify the specific constraint before choosing the most familiar-sounding option. Real exam questions reward reading the full scenario before eliminating options, because the constraint defines which answer fits.
What to study next
Got this wrong? Here's your next step.
Identify which exam domain this question belongs to, review the core concept, then practise similar questions from the same domain.
Information System Auditing Process — This question tests Information System Auditing Process — Read the scenario before looking for a memorised answer..
What is the correct answer to this question?
The correct answer is: Implement an automated access recertification process with quarterly reviews. — The most significant risk is the lack of periodic review of user access rights, which can lead to excessive or inappropriate access (e.g., a former nurse retaining EHR access). Automating access recertification with quarterly reviews directly addresses this by enforcing a regular, documented validation of user entitlements against their current roles, reducing the risk of unauthorized access to protected health information (PHI) under HIPAA. While the undocumented approvals are a control weakness, the absence of any review cycle is a systemic failure that automated recertification resolves.
What should I do if I get this CISA question wrong?
Identify which exam domain this question belongs to, review the core concept, then practise similar questions from the same domain.
Are there clue words in this question I should notice?
Yes — watch for: "best". Signals that multiple options may be partially correct. Choose the option that most directly solves the exact problem described, not the one that sounds most complete.
What is the key concept behind this question?
Read the scenario before looking for a memorised answer.
About these practice questions
Courseiva creates original exam-style practice questions with explanations and wrong-answer analysis. It does not publish real exam questions, exam dumps, or protected exam content. Learn why practice questions differ from exam dumps →
These questions test the same concept from different angles. Work through them to make sure you can recognise it however the exam phrases it.
Variation 1. During an audit of a financial application, the IS auditor discovers that user access reviews are performed quarterly instead of monthly as required by policy. Which of the following is the BEST initial action for the auditor?
medium
A.Recommend that the policy be changed to allow quarterly reviews
B.Report the noncompliance with the policy as a finding immediately
C.Escalate the issue to senior management for immediate resolution
✓ D.Determine if compensating controls mitigate the risk of less frequent reviews
Why D: The IS auditor's primary role is to assess risk, not to enforce policy blindly. Quarterly reviews may still be acceptable if compensating controls (e.g., automated provisioning/deprovisioning, real-time monitoring, or role-based access controls) effectively reduce the risk of unauthorized access between reviews. Determining the presence and effectiveness of such controls is the best initial action before deciding whether to report noncompliance.
Last reviewed: Jun 25, 2026
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