- A
Investigate the root cause of the exceptions
Root cause analysis is needed to determine why the control is failing.
- B
Redesign the control immediately
Why wrong: Redesign should come after understanding the root cause.
- C
Accept the risk since the rate is still low
Why wrong: The rate exceeds the acceptable threshold and requires action.
- D
Increase the acceptable exception rate to 2.5%
Why wrong: Changing the threshold without addressing the control deficiency is inappropriate.
Question 629 of 1,000
CRISC Risk Response and Reporting Practice Question
This CRISC practice question tests your understanding of risk response and reporting. The scenario asks you to isolate a root cause — eliminate options that address a different problem before choosing. 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.
A risk manager is evaluating the effectiveness of a control that requires dual authorization for high-value transactions. The Key Control Indicator (KCI) for this control is the rate of transactions processed without dual authorization (i.e., exception rate). If the acceptable exception rate is less than 1% and the observed rate is 2.5%, what is the most appropriate immediate action?
Answer choices
Why each option matters
Answer the question above first, then reveal the full breakdown to understand why each option is right or wrong.
Correct answer & explanation
✓
Investigate the root cause of the exceptions
The observed exception rate of 2.5% exceeds the acceptable threshold of 1%, indicating a control deficiency. The most appropriate immediate action is to investigate the root cause of the exceptions to determine whether the control is failing due to process gaps, user behavior, or system issues. Root cause analysis (RCA) is a foundational step before any remediation, as it prevents premature redesign or unjustified risk acceptance.
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.
- ✓
Investigate the root cause of the exceptions
Why this is correct
Root cause analysis is needed to determine why the control is failing.
Related concept
Read the scenario before looking for a memorised answer.
- ✗
Redesign the control immediately
Why it's wrong here
Redesign should come after understanding the root cause.
- ✗
Accept the risk since the rate is still low
Why it's wrong here
The rate exceeds the acceptable threshold and requires action.
- ✗
Increase the acceptable exception rate to 2.5%
Why it's wrong here
Changing the threshold without addressing the control deficiency is inappropriate.
Common exam traps
Common exam trap: answer the scenario, not the keyword
The trap here is that candidates may assume a 2.5% exception rate is still 'low' and choose to accept the risk (Option C), but CRISC emphasizes that any deviation from the acceptable threshold requires investigation and remediation, not automatic acceptance.
Detailed technical explanation
How to think about this question
In practice, dual authorization controls often rely on segregation of duties (SoD) enforced by an ERP system (e.g., SAP) where two distinct user IDs must approve a transaction exceeding a threshold. The KCI exception rate is calculated as (number of transactions processed without dual auth / total high-value transactions) * 100. A 2.5% exception rate might indicate a configuration error in the authorization workflow, a bypass privilege granted to a role, or a timing issue where the second approver is overridden. Investigating root cause typically involves reviewing audit logs, user access rights, and transaction approval workflows to identify the specific failure point.
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 junior network technician can log in to a core router but cannot reach the enable prompt or configuration mode. The AAA server is authenticating the login — but the authorisation policy only grants privilege level 1, not 15. Authentication (who you are) is working; authorisation (what you can do) is not.
What to study next
Got this wrong? Here's your next step.
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FAQ
Questions learners often ask
What does this CRISC question test?
Risk Response and Reporting — This question tests Risk Response and Reporting — Read the scenario before looking for a memorised answer..
What is the correct answer to this question?
The correct answer is: Investigate the root cause of the exceptions — The observed exception rate of 2.5% exceeds the acceptable threshold of 1%, indicating a control deficiency. The most appropriate immediate action is to investigate the root cause of the exceptions to determine whether the control is failing due to process gaps, user behavior, or system issues. Root cause analysis (RCA) is a foundational step before any remediation, as it prevents premature redesign or unjustified risk acceptance.
What should I do if I get this CRISC question wrong?
Identify which exam domain this question belongs to, review the core concept, then practise similar questions from the same domain.
What is the key concept behind this question?
Read the scenario before looking for a memorised answer.
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Last reviewed: Jul 4, 2026
This CRISC practice question is part of Courseiva's free ISACA certification practice question bank. Courseiva provides original exam-style practice questions with explanations, topic-based practice, mock exams, readiness tracking, and study analytics to help learners prepare for the CRISC exam.
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