CRISC IT Risk Assessment Practice Question
In assessing control effectiveness, an IS auditor evaluates both design adequacy and operating effectiveness. Which of the following indicates that a control is operating effectively?
⚠ Common exam trap
Test-takers frequently confuse control design (what is planned or documented) with control operation (what actually happens in practice), leading candidates to select policy or approval as evidence of effectiveness.
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
✓
The control has been tested and works as designed
Operating effectiveness means the control has been tested and consistently produces the intended result in practice. Even if a control is well-designed, it may fail during actual operation due to misconfiguration, human error, or environmental changes. Testing confirms that the control functions as designed under real conditions, which is the definitive indicator of operating effectiveness.
Answer analysis
Option-by-option breakdown
For each option: why learners choose it and why it is or isn't the right answer here.
- ✗
The control is approved by management
Why it's wrong here
Management approval evidences design endorsement, not that the control operated as intended during the period. It is tempting because sign-off is a genuine governance artefact, and would be correct when assessing whether a control's design was authorised before implementation.
- ✓
The control has been tested and works as designed
Why this is correct
Operating effectiveness is demonstrated when testing confirms the control functions as designed throughout the review period, not merely that it exists. Design adequacy addresses whether the control is suitably constructed; testing evidences actual consistent operation, satisfying the auditor's effectiveness criterion.
- ✗
The control is inexpensive to implement
Why it's wrong here
Cost reflects implementation economics, not whether the control functioned consistently during the audit period. It is tempting because cost-effectiveness informs control selection, and would be correct when evaluating design adequacy against budget or recommending a compensating control.
- ✗
The control is documented in policy
Why it's wrong here
Policy documentation evidences design, not operating effectiveness; a documented control may never have run. It is tempting because documentation is a standard audit artefact, and would be correct when assessing whether the control's design was adequately specified before testing execution.
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