Isaca CISA Certified Information Systems Auditor Exam Dumps and Practice Test Questions Set 2 Q16-30
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Question 16
An organization wants to assess whether its critical IT assets are protected from natural disasters. Which audit activity is most appropriate?
A) Reviewing the disaster recovery and business continuity plans
B) Conducting vulnerability scanning of servers
C) Monitoring firewall logs for intrusion attempts
D) Performing periodic antivirus updates
Answer: A
Explanation:
Reviewing the disaster recovery and business continuity plans is the most appropriate audit activity for assessing whether critical IT assets are protected from natural disasters. Disaster recovery plans outline the procedures for restoring IT systems and services following incidents such as fires, floods, earthquakes, or other catastrophic events. Business continuity plans define how business operations will continue despite disruptions, including identification of critical processes, prioritization of IT systems, and recovery time objectives. By examining these plans, an auditor can determine whether proper risk assessments have been conducted, critical assets identified, and recovery strategies developed. This review also evaluates the clarity of roles, responsibilities, communication procedures, and resource allocation necessary for responding effectively to disasters. The auditor examines whether the plans are current, tested regularly, and capable of supporting organizational objectives. In addition, the review should assess whether offsite storage of backups, redundancy of critical systems, and alternate operational facilities are in place.
Vulnerability scanning of servers identifies security weaknesses such as unpatched software, misconfigured applications, or open ports that may be exploited by attackers. While vulnerability scanning is critical for IT security, it focuses on threats arising from malicious actors rather than natural disasters. It does not assess whether systems can be restored after events like earthquakes or floods, nor does it evaluate business continuity preparedness. This activity is operational security-focused rather than resilience-focused.
Monitoring firewall logs for intrusion attempts provides insight into attempted or successful unauthorized network access. While firewall monitoring is an important part of overall IT security and threat detection, it does not provide assurance that critical IT assets are protected against natural disasters. A firewall cannot prevent physical damage from environmental events, nor does it ensure continuity of operations or recovery of data after such events.
Performing periodic antivirus updates ensures that endpoints are protected from malware infections. While keeping antivirus software current is vital for preventing malicious software from compromising systems, it does not address the continuity of critical assets during natural disasters. Antivirus updates enhance operational security, but they do not provide alternative processing locations, data restoration mechanisms, or disaster response procedures.
The review of disaster recovery and business continuity plans allows auditors to verify that formal processes exist for risk mitigation, asset protection, and recovery. It involves evaluating whether risk assessments identify threats such as earthquakes, floods, fires, or other environmental hazards, and whether preventive and corrective measures are documented. The auditor assesses the sufficiency of backups, the feasibility of failover sites, and the clarity of procedures to resume operations. This review also confirms that periodic testing is conducted to validate that recovery processes function as intended, ensuring that staff are trained and familiar with procedures, equipment is maintained, and communication protocols are established. Proper documentation and testing reduce uncertainty and increase confidence that critical IT assets can withstand and recover from disasters.
reviewing disaster recovery and business continuity plans directly addresses the organization’s preparedness for natural disasters. Vulnerability scanning, firewall monitoring, and antivirus updates support operational and security objectives but do not evaluate readiness for environmental disruptions or continuity of critical IT assets. Therefore, reviewing disaster recovery and business continuity plans is the most appropriate audit activity to ensure protection against natural disasters.
Question 17
Which audit procedure best evaluates whether privileged user accounts are being properly managed?
A) Reviewing privileged user access logs and comparing them to authorization records
B) Conducting a network performance analysis
C) Verifying antivirus definitions are up to date
D) Performing periodic software patching
Answer: A
Explanation:
Reviewing privileged user access logs and comparing them to authorization records is the audit procedure that best evaluates whether privileged user accounts are being properly managed. Privileged accounts have elevated access rights and can modify configurations, access sensitive data, or perform administrative tasks that could impact system integrity, confidentiality, or availability. Mismanagement of these accounts, such as excessive privileges, orphaned accounts, or unauthorized use, creates significant security risks. The audit procedure involves analyzing system logs to identify login times, executed commands, and unusual activity. Comparing the activity to formal authorization records ensures that only approved personnel are using privileged accounts. This process also allows auditors to identify privilege creep, dormant accounts, and inappropriate segregation of duties. Automated tools can assist in monitoring these accounts and detecting anomalies that may indicate misuse or security breaches. Auditors can then recommend corrective actions such as revoking unnecessary privileges, enforcing stronger authentication, or tightening monitoring processes.
Conducting a network performance analysis assesses throughput, latency, and network resource utilization. While this helps identify network bottlenecks or inefficient resource allocation, it does not provide insight into the management of privileged accounts. Network performance metrics cannot reveal whether accounts are appropriately authorized, whether activities comply with policy, or whether inappropriate access has occurred.
Verifying antivirus definitions are up to date ensures that endpoints are protected against known malware threats. While this is an important component of overall IT security, it does not assess account management practices or the proper handling of privileged access. Antivirus updates are preventive controls for malware and cannot detect misuse of administrative accounts or privilege abuse.
Performing periodic software patching addresses known vulnerabilities in operating systems, applications, or firmware. Although patching enhances system security and reduces the risk of compromise, it does not evaluate whether privileged users are appropriately authorized or whether their actions comply with organizational policies. Patch management focuses on system integrity rather than user activity monitoring.
Reviewing privileged user access logs against authorization records provides direct evidence of control effectiveness. Auditors can verify that only designated personnel have access, that activity aligns with business requirements, and that any anomalies are investigated. This procedure also supports compliance with regulatory requirements that mandate monitoring of privileged accounts. In addition, logging and reconciliation provide a foundation for continuous auditing, allowing organizations to detect potential security incidents in near real time. Proper management of privileged accounts reduces the risk of unauthorized system changes, data breaches, and operational disruption, which are often targeted in security attacks.
reviewing privileged user access logs and comparing them to authorization records is the most effective audit procedure to ensure that elevated accounts are properly managed. Network performance analysis, antivirus updates, and software patching support overall security and operational performance but do not directly evaluate privileged account management. Log review and reconciliation provide evidence of policy enforcement, accountability, and risk mitigation, making this approach critical for auditing privileged user access.
Question 18
Which control is most effective in ensuring the integrity of data transmitted between two systems?
A) Implementing digital signatures or message authentication codes
B) Installing endpoint antivirus software
C) Conducting annual user awareness training
D) Performing periodic network speed tests
Answer: A
Explanation:
Implementing digital signatures or message authentication codes is the most effective control for ensuring the integrity of data transmitted between two systems. Digital signatures use cryptographic techniques to verify that a message or document has not been altered in transit and authenticate the sender. When the receiving system validates the digital signature, it confirms that the content remains unchanged since it was signed. Message authentication codes achieve a similar purpose by generating a cryptographic checksum based on the message content and a shared secret key. The receiving system recalculates the checksum and compares it to the transmitted code, detecting any alterations. These mechanisms provide strong assurance that transmitted data is authentic and intact, which is critical for financial transactions, system integrations, or confidential communications.
Installing endpoint antivirus software protects devices from malware infections, including viruses, worms, ransomware, and spyware. While antivirus software maintains system integrity by preventing malicious modifications to files, it does not guarantee the integrity of data during transmission between systems. Malware may exist on one system, and antivirus cannot verify that data received from another system has not been altered during transfer. Antivirus solutions address endpoint security rather than ensuring transmission integrity.
Conducting annual user awareness training educates employees about security best practices, phishing, password policies, and acceptable use of systems. While user awareness reduces the likelihood of accidental or intentional breaches, it does not provide a technical mechanism to verify or enforce the integrity of transmitted data. Humans may make errors, and awareness training alone cannot prevent tampering during transmission.
Performing periodic network speed tests assesses latency, throughput, and overall network performance. While speed tests are useful for maintaining efficient communication and diagnosing network congestion, they do not validate whether the data received matches the data sent. Network performance metrics are operational and do not address the integrity or authenticity of transmitted messages.
Digital signatures and message authentication codes directly protect the integrity of transmitted data by providing cryptographic verification. These methods ensure that any unauthorized modifications during transmission are detectable and that the sender can be authenticated. Unlike antivirus software, user training, or network tests, these cryptographic controls provide measurable, enforceable, and verifiable integrity assurance for data exchanges. Proper implementation of these controls ensures confidence in communication reliability and reduces the risk of fraud, data corruption, or unauthorized alterations.
digital signatures or message authentication codes are the most effective control for ensuring data integrity between systems. Endpoint antivirus, user training, and network speed testing support overall IT security and performance but do not provide cryptographic verification of transmitted data. Digital integrity controls protect against tampering, provide authentication, and maintain trust between communicating systems.
Question 19
An organization wants to ensure that sensitive financial reports cannot be altered after they are generated. Which control is most appropriate?
A) Implementing file integrity monitoring and access controls
B) Performing periodic antivirus scans
C) Conducting annual user awareness training
D) Monitoring network bandwidth
Answer: A
Explanation:
Implementing file integrity monitoring and access controls is the most appropriate control to ensure that sensitive financial reports cannot be altered after they are generated. File integrity monitoring (FIM) uses hashing, checksums, or cryptographic techniques to detect changes in critical files. When a file is modified, added, or deleted, the system generates alerts, enabling auditors or IT staff to investigate unauthorized changes. Access controls complement FIM by limiting who can view, modify, or delete files. Role-based access control, least privilege principles, and segregation of duties reduce the risk of unauthorized alterations. Together, these mechanisms provide both preventive and detective measures to maintain the integrity of sensitive financial reports. FIM also supports compliance with regulatory requirements by maintaining auditable records of file access and modifications.
Performing periodic antivirus scans protects endpoints from malware infections, such as viruses, worms, ransomware, and spyware. While antivirus solutions help maintain overall system integrity and prevent malicious tampering, they do not specifically track or verify changes to financial reports after they are generated. Malware could bypass antivirus protections or manipulate files before scans occur, making antivirus scanning insufficient for ensuring post-generation file integrity.
Conducting annual user awareness training educates employees about security policies, phishing risks, password practices, and proper handling of sensitive information. While training reduces the likelihood of accidental or deliberate unauthorized changes, it relies on human behavior rather than technical enforcement. Even well-trained users can make mistakes or intentionally bypass policies, so awareness alone cannot guarantee file integrity for critical financial reports.
Monitoring network bandwidth assesses data transfer speeds, congestion, and network performance. While network monitoring is important for operational efficiency, it does not prevent unauthorized modifications to files or detect integrity violations. High or low bandwidth usage does not indicate whether sensitive reports have been altered. Network monitoring is operational rather than an integrity-focused control.
File integrity monitoring and access controls provide both technical enforcement and continuous monitoring. By implementing these controls, organizations can verify that reports remain unchanged after generation, receive alerts for unauthorized changes, and enforce policies limiting who can modify critical data. This approach ensures that reports retain their reliability and accuracy for management decision-making, regulatory compliance, and audit purposes. Technical enforcement is complemented by policy documentation, regular reviews, and logging of all file access and changes, creating a comprehensive control environment.
file integrity monitoring combined with access controls directly addresses the need to prevent unauthorized modifications to sensitive financial reports. Antivirus scanning, user training, and network monitoring support security and operational objectives but do not guarantee file integrity. File integrity monitoring ensures detection, prevention, and accountability, making it the most effective control for protecting post-generation financial data.
Question 20
Which activity is most effective for evaluating whether an organization’s IT systems comply with regulatory requirements?
A) Conducting a compliance audit against applicable laws and standards
B) Performing network vulnerability scanning
C) Checking antivirus update schedules
D) Reviewing system performance reports
Answer: A
Explanation:
Conducting a compliance audit against applicable laws and standards is the most effective activity for evaluating whether an organization’s IT systems comply with regulatory requirements. Compliance audits involve assessing IT processes, policies, procedures, and controls against specific regulatory frameworks, such as SOX, GDPR, HIPAA, or PCI DSS. Auditors review documentation, system configurations, access controls, and operational practices to determine whether IT systems meet legal and regulatory obligations. The audit provides evidence of adherence to regulations, identifies gaps or noncompliance, and recommends corrective actions. A compliance audit ensures that the organization maintains accountability, reduces regulatory risk, and avoids fines or penalties.
Performing network vulnerability scanning identifies weaknesses such as unpatched software, misconfigurations, or open ports that could be exploited by attackers. While vulnerability scanning enhances security and operational resilience, it does not assess adherence to laws or regulatory requirements. Scanning results indicate technical weaknesses but do not provide evidence of compliance with governance, privacy, or financial reporting standards.
Checking antivirus update schedules ensures that endpoints are protected against malware threats. Although keeping antivirus software current is critical for system security, it does not indicate whether IT systems comply with regulatory mandates. Compliance is broader than endpoint security and includes access control, documentation, risk management, and process enforcement. Antivirus updates are preventive security measures rather than compliance assurance activities.
Reviewing system performance reports evaluates operational efficiency, response times, uptime, and resource utilization. While this information supports service-level monitoring, it does not assess whether the organization meets regulatory requirements. System performance metrics are operational in nature and do not demonstrate adherence to laws, standards, or internal compliance policies.
Compliance audits provide a structured, formal process for evaluating IT adherence to legal, contractual, and industry requirements. Auditors review evidence, such as policies, logs, reports, and configurations, and conduct tests to verify that controls are functioning effectively. They also assess whether risk management, access control, data protection, and operational processes align with regulatory obligations. The audit produces recommendations for remediation and supports ongoing monitoring, providing management and stakeholders with assurance that IT systems operate within the bounds of applicable regulations.
conducting a compliance audit directly addresses the objective of evaluating whether IT systems meet regulatory requirements. Vulnerability scanning, antivirus updates, and performance monitoring support security and operational management but do not provide formal evidence of compliance. A compliance audit evaluates policies, procedures, and controls against legal frameworks, making it the most effective approach for regulatory assurance.
Question 21
Which control is most effective for detecting unauthorized changes to critical application configurations?
A) Periodic configuration audits and change reviews
B) Network performance monitoring
C) Antivirus scanning of endpoints
D) Reviewing backup schedules
Answer: A
Explanation:
Periodic configuration audits and change reviews are the most effective control for detecting unauthorized changes to critical application configurations. Configuration audits compare current system or application settings against established baselines or approved configurations. Change reviews evaluate all modifications, additions, or deletions to ensure that they are properly authorized, tested, and documented. Together, these activities provide both preventive and detective control measures. Unauthorized changes are detected quickly, minimizing the risk of system instability, security vulnerabilities, or business process disruptions. Change review processes also include maintaining logs of approvals, testing results, and deployment activities, allowing auditors and IT management to trace any deviation from standard procedures. This systematic approach enforces accountability, ensures adherence to policies, and supports operational reliability.
Network performance monitoring assesses traffic, latency, bandwidth, and overall network efficiency. While this helps identify congestion or anomalies in data flow, it does not detect unauthorized configuration changes at the application level. Performance metrics do not provide information about configuration deviations, approvals, or policy adherence. Network monitoring is operational, whereas configuration audits and change reviews are control-focused, addressing integrity and compliance.
Antivirus scanning of endpoints protects systems against malware, viruses, ransomware, and spyware. Although antivirus software helps maintain system integrity and prevent compromise, it does not track changes to application configurations. Unauthorized modifications by privileged users, misconfigurations, or unauthorized deployments cannot be reliably detected by antivirus scans alone. Antivirus scanning is preventive but not sufficient to detect configuration deviations.
Reviewing backup schedules ensures that critical data and configurations are being backed up regularly. While important for recovery and availability, backup review does not detect unauthorized configuration changes or enforce approval and documentation processes. Backups preserve the ability to restore previous states but do not proactively monitor for deviations in real time.
Configuration audits combined with change reviews provide comprehensive control over application settings. By comparing actual configurations to baselines, auditors can detect unauthorized changes, evaluate their impact, and ensure corrective action is taken promptly. Change reviews enforce approval procedures, ensure testing is conducted, and maintain proper documentation for accountability. This approach reduces operational risk, supports regulatory compliance, and ensures application stability. Additionally, periodic audits allow organizations to identify trends, recurring issues, or gaps in process enforcement, supporting continuous improvement in configuration management practices.
periodic configuration audits and change reviews are the most effective control for detecting unauthorized changes to critical application configurations. Network monitoring, antivirus scanning, and backup schedule reviews contribute to operational and security goals but do not directly identify configuration deviations. Auditing configurations and reviewing changes ensures integrity, compliance, and system stability, making it the strongest control for this objective.
Question 22
An organization wants to ensure that its electronic payment system is not susceptible to fraudulent transactions. Which control is most effective?
A) Implementing transaction monitoring with anomaly detection
B) Performing annual IT security awareness training
C) Installing antivirus software on all endpoints
D) Conducting network bandwidth analysis
Answer: A
Explanation:
Implementing transaction monitoring with anomaly detection is the most effective control for ensuring that an electronic payment system is not susceptible to fraudulent transactions. Transaction monitoring involves continuously reviewing and analyzing transactional data for unusual patterns or deviations from established norms. Anomaly detection uses algorithms and rule-based systems to identify potentially suspicious activity, such as multiple transactions from the same account in a short period, unusual transaction amounts, or transactions originating from unexpected geographic locations. By flagging these anomalies, the organization can investigate and prevent fraud before it affects financial outcomes. Monitoring is proactive, providing near real-time alerts for potential issues, which helps mitigate financial and reputational risk. Additionally, transaction monitoring systems often maintain detailed logs that can be used for audit purposes, regulatory compliance, and forensic investigation, making them critical for fraud detection and operational control.
Performing annual IT security awareness training educates employees on security risks, phishing, social engineering, and safe handling of sensitive information. While this helps reduce the likelihood of human error and promotes a security-conscious culture, it does not provide technical enforcement or real-time detection of fraudulent activity in a payment system. Users may still bypass policies or make mistakes, leaving the system vulnerable. Awareness training is important but is more of a preventive and educational measure rather than a direct fraud detection control.
Installing antivirus software on all endpoints protects against malware, ransomware, spyware, and other malicious code that could compromise systems. Antivirus solutions help maintain system integrity and prevent unauthorized access, but they are insufficient for detecting fraud within transaction data. Malware may not always target transactional anomalies, and fraud can occur through legitimate system access or internal collusion. Antivirus software is important for endpoint security, but it does not detect fraudulent patterns in payments, which requires monitoring and analysis.
Conducting network bandwidth analysis evaluates throughput, latency, and network performance. While bandwidth monitoring is useful for ensuring network efficiency and detecting abnormal traffic that could indicate denial-of-service attacks, it does not address the detection of fraudulent financial transactions. Bandwidth metrics provide operational insight but are unrelated to transactional integrity or fraud prevention.
Transaction monitoring with anomaly detection provides a direct method to evaluate each transaction against predefined rules or patterns. The system can detect deviations in real time, automatically flagging transactions for review or blocking suspicious activity. It ensures compliance with regulatory requirements such as anti-money laundering (AML) laws and payment card industry standards while enhancing operational resilience. The audit trail generated by these monitoring systems also supports investigation and accountability. When implemented effectively, transaction monitoring and anomaly detection reduce the risk of financial loss and protect both the organization and its customers.
implementing transaction monitoring with anomaly detection is the most effective control for preventing fraudulent transactions in an electronic payment system. IT awareness training, antivirus software, and bandwidth analysis are supportive security measures, but they do not provide the direct transactional oversight necessary to detect and prevent fraud. Transaction monitoring ensures real-time detection, investigation, and mitigation of anomalous transactions, making it the strongest control for safeguarding electronic payments.
Question 23
Which audit activity is most suitable for verifying that access rights are revoked when employees leave the organization?
A) Reviewing user deprovisioning logs and HR termination records
B) Performing network intrusion detection
C) Checking system patch levels
D) Conducting user satisfaction surveys
Answer: A
Explanation:
Reviewing user deprovisioning logs and HR termination records is the most suitable audit activity for verifying that access rights are revoked when employees leave the organization. Deprovisioning involves removing system accounts, access permissions, and privileges associated with users who no longer have a legitimate need for access. By examining deprovisioning logs and comparing them with human resources termination records, auditors can verify that all former employees’ accounts have been properly disabled or deleted. This process ensures that unauthorized access is prevented, reducing the risk of data breaches, misuse of resources, or fraudulent activity. Proper documentation also provides evidence of compliance with internal policies and regulatory requirements, ensuring accountability for access control processes. Regular audits of deprovisioning activities help detect exceptions, lapses, or delays, which can then be corrected promptly to maintain security.
Performing network intrusion detection monitors traffic for signs of unauthorized access, malware, or attempted attacks. While this is critical for detecting active threats or suspicious behavior on the network, it does not verify whether user accounts for former employees have been properly revoked. Intrusion detection cannot confirm that deprovisioning policies are consistently applied or that access rights are terminated in alignment with HR records.
Checking system patch levels ensures that vulnerabilities in software and applications are addressed promptly. Patch management is important for maintaining system integrity and preventing exploitation, but it does not provide insight into user account management or the enforcement of access controls. It addresses security weaknesses at the software level, not personnel access rights.
Conducting user satisfaction surveys evaluates how employees perceive IT services, system usability, or support responsiveness. While surveys provide operational feedback, they do not verify compliance with access control policies, nor do they confirm whether departing employees’ accounts have been revoked. Surveys are unrelated to the enforcement or monitoring of access rights.
By reviewing deprovisioning logs against HR termination records, auditors can identify gaps such as accounts that remain active after employee departure, delayed revocations, or unauthorized access retention. This activity also supports segregation of duties, ensuring that no individual retains inappropriate privileges that could allow system manipulation or data exfiltration. It provides clear evidence for audit purposes, demonstrating that access control procedures are enforced and that risks associated with terminated users are mitigated. Effective monitoring and reconciliation of deprovisioning processes strengthen the organization’s security posture, support regulatory compliance, and protect critical IT assets from unauthorized access.
Reviewing user deprovisioning logs and HR termination records is the most suitable audit activity for ensuring that access rights are revoked when employees leave. Network intrusion detection, patch management, and user satisfaction surveys are supportive measures but do not provide direct verification of access revocation. Proper reconciliation between system logs and HR data ensures accountability, prevents unauthorized access, and strengthens overall access control processes.
Question 24
Which control is most effective for preventing unauthorized modifications to database records?
A) Implementing database access controls and audit logging
B) Conducting periodic network bandwidth analysis
C) Installing endpoint antivirus software
D) Performing employee awareness training
Answer: A
Explanation:
Implementing database access controls and audit logging is the most effective control for preventing unauthorized modifications to database records. Access controls define who can read, write, update, or delete data within a database based on user roles and privileges. By applying principles such as least privilege, role-based access, and segregation of duties, the organization limits the ability of unauthorized individuals to make changes. Audit logging complements access control by recording all transactions, including data modifications, user IDs, timestamps, and the nature of changes made. Logs provide a traceable record of activities, enabling detection and investigation of unauthorized modifications. This combination of preventive and detective controls ensures that data integrity is maintained, unauthorized actions are promptly detected, and accountability is enforced.
Conducting periodic network bandwidth analysis evaluates throughput, latency, and network performance. While this activity is useful for identifying performance issues or network congestion, it does not prevent or detect unauthorized modifications to database records. Bandwidth analysis is operational in nature and does not provide visibility into data integrity or user activity within the database.
Installing endpoint antivirus software protects systems from malware, ransomware, and other malicious software. Antivirus tools help prevent infection and maintain system integrity, but they do not directly control database access or monitor changes to records. Malware could bypass antivirus defenses, and legitimate users with excessive privileges could still alter database records without detection. Endpoint security supports overall system integrity but does not enforce transactional controls at the database level.
Performing employee awareness training educates staff about security policies, phishing, and safe handling of sensitive data. While awareness reduces the risk of accidental data alteration or misuse, it relies on user behavior and does not enforce access restrictions or monitor actual database changes. Awareness is preventive but cannot replace technical enforcement or auditing mechanisms.
Database access controls and audit logging together provide a robust mechanism to protect record integrity. Access controls prevent unauthorized individuals from modifying data, while audit logs detect changes made by authorized users and ensure accountability. Regular review of logs allows timely identification of suspicious or unauthorized modifications, supporting compliance with internal policies, regulatory requirements, and best practices. Additionally, these controls support forensic investigations, risk assessments, and continuous improvement of database security. They provide a verifiable trail that can be used for auditing, management reporting, and demonstrating adherence to governance standards.
implementing database access controls and audit logging is the most effective control for preventing unauthorized modifications to database records. Network bandwidth analysis, antivirus software, and user training are important security measures but do not directly enforce or monitor database integrity. Access controls and audit logs ensure that only authorized users can modify data and that all changes are traceable, providing both preventive and detective assurance of data integrity.
Question 25
Which control is most effective for ensuring that sensitive data transmitted over the internet remains confidential?
A) Implementing strong encryption protocols for data in transit
B) Performing network speed and performance tests
C) Installing antivirus software on all endpoints
D) Conducting periodic user security awareness training
Answer: A
Explanation:
Implementing strong encryption protocols for data in transit is the most effective control for ensuring that sensitive data transmitted over the internet remains confidential. Encryption converts readable data into an unreadable format using cryptographic algorithms, making it inaccessible to unauthorized parties. Only authorized recipients with the correct decryption key can restore the data to its original format. Protocols such as TLS (Transport Layer Security), HTTPS, and VPN encryption provide secure channels for transmitting sensitive information, protecting against eavesdropping, man-in-the-middle attacks, or interception during transfer. Encryption ensures both confidentiality and integrity, as many protocols include mechanisms for detecting unauthorized modifications to the data while in transit.
Performing network speed and performance tests measures throughput, latency, packet loss, and overall network efficiency. While network performance testing is essential for operational reliability and quality of service, it does not guarantee confidentiality or prevent unauthorized interception of data. Speed tests assess technical efficiency but do not protect against cyber threats or data breaches during transmission.
Installing antivirus software on all endpoints helps protect devices from malware, ransomware, and other malicious programs that could compromise system security. Antivirus solutions are important for maintaining system integrity and preventing local attacks, but they do not secure data during transmission. Even if endpoints are secure, unencrypted data sent over an insecure network remains vulnerable to interception or unauthorized access.
Conducting periodic user security awareness training educates employees on best practices, phishing, password policies, and data handling procedures. While awareness reduces the likelihood of human error and social engineering attacks, it does not provide technical enforcement to ensure confidentiality of data in transit. Users may follow policies correctly, but without encryption, sensitive data can still be intercepted during transmission.
Encryption protocols provide both preventive and detective assurances. They prevent unauthorized access by ensuring that even if data is intercepted, it cannot be understood without the corresponding decryption key. Secure transmission also supports compliance with regulations such as GDPR, HIPAA, and PCI DSS, which require protection of sensitive information. Implementing encryption is a technical, enforceable control that operates independently of user behavior, providing consistent protection across all transmissions. Monitoring and managing encryption keys, ensuring protocol updates, and using strong algorithms further strengthen the security posture.
implementing strong encryption protocols for data in transit is the most effective control for maintaining confidentiality. Network speed testing, antivirus installation, and security awareness training support operational efficiency and general security but do not directly prevent unauthorized access to transmitted data. Encryption ensures that sensitive information is secure, maintains compliance, and reduces the risk of data breaches during internet transmission.
Question 26
Which audit procedure is most effective for verifying that backups of critical systems are performed regularly and recoverable?
A) Reviewing backup logs and performing sample restore tests
B) Conducting antivirus scans on all servers
C) Monitoring network traffic for anomalies
D) Performing user access reviews
Answer: A
Explanation:
Reviewing backup logs and performing sample restore tests is the most effective audit procedure for verifying that backups of critical systems are performed regularly and are recoverable. Backup logs provide evidence of scheduled and completed backups, including the time, date, type of backup, and affected systems or data. Auditors can verify whether backups occur according to policy, identify failed or incomplete backups, and ensure that all critical systems are included. Sample restore tests go a step further by validating that the backups are functional and can be successfully restored to a working state. These tests simulate disaster recovery scenarios, ensuring that recovery time objectives (RTO) and recovery point objectives (RPO) are achievable. This dual approach provides both preventive assurance that backups are executed and detective assurance that the data can be restored effectively.
Conducting antivirus scans on all servers ensures that endpoints and servers are protected against malware, viruses, and ransomware. While antivirus scanning is critical for maintaining system integrity and preventing data corruption, it does not provide evidence that backups are performed regularly or are recoverable. Antivirus solutions protect data during normal operations but do not validate backup processes or recovery capabilities.
Monitoring network traffic for anomalies provides insight into unusual patterns, unauthorized access attempts, or potential intrusions. Although network monitoring helps detect operational threats and security breaches, it does not verify that critical system backups are completed or that they can be restored. Traffic monitoring focuses on security and performance rather than backup integrity or recoverability.
Performing user access reviews evaluates whether access permissions align with roles and policies. While important for maintaining security and segregation of duties, access reviews do not address whether backups are executed, logged, or recoverable. Access controls protect systems from unauthorized use but do not guarantee business continuity through effective backup processes.
By reviewing backup logs and performing sample restore tests, auditors can identify gaps in the backup strategy, verify adherence to policies, and ensure that critical data can be recovered after system failures, disasters, or human errors. The logs provide documentation of completion and coverage, while restore testing validates that the backed-up data is usable. Regularly performing these procedures ensures operational resilience, supports regulatory compliance, and reduces the risk of prolonged downtime or data loss. This control also allows organizations to refine backup schedules, optimize storage usage, and improve recovery procedures over time.
reviewing backup logs and performing sample restore tests is the most effective audit procedure for verifying the regularity and recoverability of backups. Antivirus scans, network monitoring, and access reviews support overall IT security but do not directly address the effectiveness of backup processes. Backup logs and restoration tests provide objective, verifiable evidence of continuity readiness and safeguard critical organizational data.
Question 27
Which control is most effective for preventing unauthorized software installation on corporate endpoints?
A) Implementing application whitelisting and endpoint control policies
B) Conducting annual user security awareness training
C) Performing network bandwidth analysis
D) Monitoring database activity logs
Answer: A
Explanation:
Implementing application whitelisting and endpoint control policies is the most effective control for preventing unauthorized software installation on corporate endpoints. Application whitelisting ensures that only approved and verified software is allowed to run on endpoints. Any attempt to execute or install software not included in the whitelist is blocked automatically. Endpoint control policies may include restrictions on administrative privileges, preventing users from installing applications without authorization. These controls provide both preventive and detective measures, reducing the risk of malware, unauthorized applications, or policy violations. Together, whitelisting and endpoint management enforce strict governance over software installation, ensuring compliance with organizational security policies and regulatory requirements. Audit logs generated by endpoint management systems also allow verification and monitoring of attempted software installations, providing traceability and accountability.
Conducting annual user security awareness training educates employees about security risks, phishing, password management, and software usage policies. While training helps reduce the likelihood of intentional or accidental policy violations, it relies on human behavior and does not technically prevent unauthorized software installation. Awareness alone cannot enforce security policies in real time or prevent execution of unapproved applications.
Performing network bandwidth analysis evaluates throughput, latency, and network performance. While important for operational efficiency, bandwidth analysis does not prevent or detect unauthorized software installations on endpoints. Network metrics provide performance insight but cannot control or monitor application execution.
Monitoring database activity logs tracks user actions, modifications, and queries within database systems. While database activity monitoring is important for data integrity and security, it does not control or prevent unauthorized software installation on endpoints. It is focused on database operations rather than endpoint software governance.
Application whitelisting combined with endpoint control policies provides strong technical enforcement, ensuring that only authorized software is installed and executed. Unauthorized installation attempts can be blocked and logged for auditing purposes. Regular review of logs, policy updates, and integration with endpoint security management tools ensures ongoing compliance and effectiveness. This approach reduces exposure to malware, limits unapproved software usage, and strengthens overall IT security posture. Proper implementation of these controls supports organizational policy enforcement, regulatory compliance, and operational reliability.
implementing application whitelisting and endpoint control policies is the most effective control to prevent unauthorized software installation. Security awareness training, bandwidth analysis, and database monitoring support operational or security objectives but do not provide direct technical enforcement on endpoints. Whitelisting ensures only approved software can run, prevents unauthorized execution, and allows for monitoring and audit verification, making it the strongest preventive and detective control.
Question 28
Which control is most effective for ensuring that changes to production systems are authorized, tested, and documented?
A) Implementing a formal change management process
B) Conducting network traffic monitoring
C) Performing endpoint antivirus scans
D) Reviewing employee security awareness training records
Answer: A
Explanation:
Implementing a formal change management process is the most effective control for ensuring that changes to production systems are authorized, tested, and documented. Change management is a structured process that governs how system modifications are proposed, evaluated, approved, implemented, and reviewed. The process typically includes identifying the need for change, performing impact analysis, obtaining management approval, testing in a non-production environment, scheduling deployment, and documenting the change. By formalizing these steps, organizations reduce the risk of unintended system disruptions, operational downtime, and unauthorized modifications. Auditors can review change records to verify that changes were properly authorized, tested before deployment, and documented according to policy. This process ensures accountability, transparency, and traceability, supporting operational reliability and regulatory compliance.
Conducting network traffic monitoring observes data flow, bandwidth usage, and potential unauthorized access or anomalies. While network monitoring is important for detecting intrusions or performance issues, it does not verify whether changes to production systems have been properly authorized, tested, or documented. Traffic patterns provide operational visibility but do not ensure adherence to change management processes.
Performing endpoint antivirus scans helps protect systems from malware, viruses, and ransomware. While antivirus software is essential for maintaining system security and preventing malicious modifications, it does not provide assurance that legitimate system changes have been properly authorized or tested. Antivirus tools focus on security threats, not process compliance or operational governance.
Reviewing employee security awareness training records verifies that staff have received guidance on security policies, phishing, and acceptable use. While training supports overall security awareness, it does not ensure that changes to production systems follow formal approval or testing procedures. Awareness alone cannot enforce control over system modifications or maintain documentation of changes.
A formal change management process provides preventive and detective controls. Preventive measures include requiring approvals, testing in controlled environments, and scheduling changes to minimize business disruption. Detective measures include auditing change logs, verifying implementation, and documenting results. This structured approach reduces risk, supports accountability, and ensures continuity of service. Auditors can evaluate effectiveness by reviewing change requests, approval workflows, test results, and post-implementation reviews. Effective change management ensures that all production system modifications are authorized, tested for accuracy and impact, and recorded, mitigating operational, security, and compliance risks.
implementing a formal change management process is the most effective control to ensure that changes to production systems are properly authorized, tested, and documented. Network monitoring, antivirus scans, and awareness training support security and operational goals but do not directly enforce or verify change control processes. Formal change management provides structured, verifiable evidence of compliance and control over system modifications.
Question 29
Which audit procedure is most effective for verifying that critical system patches are applied in a timely manner?
A) Reviewing patch management logs and comparing against policy schedules
B) Monitoring network performance metrics
C) Conducting endpoint antivirus scans
D) Performing database integrity checks
Answer: A
Explanation:
Reviewing patch management logs and comparing against policy schedules is the most effective audit procedure for verifying that critical system patches are applied in a timely manner. Patch management logs provide documentation of patch deployment, including the time and date applied, systems updated, and the specific vulnerabilities addressed. By comparing these logs against the organization’s patch management policy and schedule, auditors can verify compliance with established timelines, ensuring that critical security updates are applied promptly. Timely patching reduces exposure to vulnerabilities, prevents exploitation, and maintains system integrity. Audit procedures also include reviewing exceptions, identifying delayed or missed patches, and recommending corrective actions to mitigate potential risks.
Monitoring network performance metrics evaluates bandwidth usage, latency, and throughput. While performance monitoring ensures operational efficiency, it does not provide evidence that patches are deployed or that systems remain protected against known vulnerabilities. Network metrics cannot verify compliance with patch schedules or detect unpatched systems, making them ineffective for patch management verification.
Conducting endpoint antivirus scans protects devices from malware, ransomware, and other malicious software. Although antivirus scans are crucial for system security, they do not confirm that system patches have been applied. Antivirus focuses on threat detection and prevention but cannot ensure that operating system or application vulnerabilities are remediated according to patch schedules.
Performing database integrity checks assesses whether database records have been altered, corrupted, or compromised. While important for data reliability and operational continuity, database integrity checks do not provide assurance that critical system patches have been installed. Database monitoring focuses on data consistency rather than patch compliance.
Reviewing patch management logs against policy schedules provides both preventive and detective assurance. Preventive assurance is achieved by ensuring that processes and policies require timely patch application. Detective assurance is provided by log review, which identifies missed, delayed, or incorrectly applied patches. Regular review allows management to track patch compliance, plan remediation, and reduce exposure to security threats. Effective patch management audit procedures also evaluate testing protocols, rollback procedures, and documentation of exceptions, ensuring that all critical updates are applied safely and consistently.
reviewing patch management logs and comparing them against policy schedules is the most effective audit procedure to ensure timely application of critical patches. Network performance metrics, antivirus scans, and database checks support security and operational goals but do not provide verifiable evidence of patch compliance. Patch log review ensures accountability, regulatory adherence, and operational security by confirming that critical systems remain protected against known vulnerabilities.
Question 30
Which control is most effective for detecting unauthorized access attempts to critical applications?
A) Implementing centralized logging and continuous monitoring of authentication events
B) Conducting annual security awareness training
C) Performing periodic software patching
D) Monitoring network bandwidth usage
Answer: A
Explanation:
Implementing centralized logging and continuous monitoring of authentication events is the most effective control for detecting unauthorized access attempts to critical applications. Centralized logging consolidates authentication events from multiple systems, capturing login attempts, successful authentications, failed logins, and privilege escalations. Continuous monitoring analyzes these logs in real time or near real time, allowing the identification of suspicious patterns such as repeated failed attempts, logins outside normal business hours, or access from unusual geographic locations. Alerts generated by these systems enable immediate investigation and response to potential unauthorized access, reducing the risk of compromise. This control provides both preventive and detective assurance by enforcing accountability, supporting incident response, and maintaining a detailed audit trail for regulatory and forensic purposes.
Conducting annual security awareness training educates employees about security policies, phishing attacks, password hygiene, and safe practices. While training reduces the likelihood of accidental or negligent behavior, it does not provide real-time detection of unauthorized access attempts. Awareness alone relies on human behavior and cannot enforce system-level monitoring or provide evidence of suspicious activity.
Performing periodic software patching addresses vulnerabilities in operating systems, applications, and firmware. While patch management reduces the risk of exploitation, it does not directly detect unauthorized authentication attempts or monitor access patterns. Patches prevent certain attacks but cannot identify or alert on improper login attempts in real time.
Monitoring network bandwidth usage evaluates throughput, latency, and potential anomalies in traffic. While bandwidth monitoring can identify unusual activity, it is operational and not designed to track authentication events or determine whether access attempts are authorized. Bandwidth analysis does not provide evidence of policy violations or potential security breaches within critical applications.
Centralized logging and continuous monitoring enable organizations to detect unauthorized access attempts, investigate potential threats, and respond promptly to incidents. By consolidating logs across multiple systems, auditors and security teams gain a comprehensive view of authentication activity. Alerts can be configured to flag unusual patterns, enabling proactive measures such as temporary account suspension, further investigation, or policy enforcement. The approach ensures compliance with regulatory requirements, enhances accountability, and reduces the risk of compromise of sensitive or critical data. Combined with role-based access controls, multi-factor authentication, and segregation of duties, centralized logging forms the backbone of application security monitoring.
Implementing centralized logging and continuous monitoring of authentication events is the most effective control for detecting unauthorized access attempts. Security awareness training, software patching, and bandwidth monitoring support operational or security objectives but do not provide real-time detection or audit trails of authentication activity. Centralized logging ensures visibility, accountability, and prompt response to unauthorized access attempts, making it the strongest preventive and detective control.