Isaca CISA Certified Information Systems Auditor Exam Dumps and Practice Test Questions Set 4 Q46-60
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Question 46
Which control is most effective for ensuring that backup data is recoverable and intact in case of system failure?
A) Implementing regular backup testing and verification procedures
B) Performing endpoint antivirus scans
C) Monitoring network bandwidth usage
D) Conducting annual employee security awareness training
Answer: A
Explanation:
Implementing regular backup testing and verification procedures is the most effective control for ensuring that backup data is recoverable and intact in case of system failure. Backup processes are critical for business continuity and disaster recovery, but simply creating backups is not sufficient. Data may become corrupted during the backup process, be stored incorrectly, or fail to meet recovery requirements if it is not tested. Regular testing involves restoring backups to a test environment to verify that data can be recovered accurately, completely, and promptly. Verification ensures the integrity and completeness of backup files, confirming that critical systems and data are protected against operational disruptions, hardware failures, human error, or malicious activity. Auditors can review backup schedules, testing results, and logs to confirm that procedures are implemented consistently, backups are functional, and recovery time objectives are achievable. This procedure provides both preventive assurance by ensuring backups are performed correctly and detective assurance by identifying issues with recovery readiness before they impact operations.
Performing endpoint antivirus scans protects devices from malware, ransomware, and viruses. While antivirus scanning is crucial for system security and integrity, it does not ensure that backup data is recoverable or intact. Malware protection complements backup processes by preventing corruption due to malicious software, but it cannot validate the functionality or integrity of backup files.
Monitoring network bandwidth usage evaluates throughput, latency, and traffic patterns. Network monitoring is important for operational performance and identifying anomalies, but it does not verify backup integrity or recovery capabilities. Bandwidth metrics provide insight into data transfer performance but cannot confirm that backups are complete, accurate, or restorable.
Conducting annual employee security awareness training educates staff on policies, acceptable use, phishing prevention, and data handling procedures. While awareness training supports general security hygiene, it does not technically ensure that backups are functional or recoverable. Training is preventive and behavioral, but does not provide verifiable evidence that backup systems are operational or tested.
Regular backup testing and verification also help organizations meet regulatory and compliance requirements. Many regulations mandate business continuity and data protection procedures that include functional backup testing and retention policies. Testing identifies gaps in backup processes, such as missing data, incorrect retention periods, or incomplete restoration procedures, and allows for corrective action before data loss occurs. Audit logs and reports from testing activities provide evidence of due diligence, helping management demonstrate control effectiveness to regulators, stakeholders, and auditors. Effective backup procedures combine technical controls, procedural oversight, and documentation to ensure recoverability and operational resilience.
Implementing regular backup testing and verification procedures is the most effective control to ensure that backup data is recoverable and intact. Endpoint antivirus scans, network monitoring, and employee awareness training support security or operational objectives but do not verify backup functionality. Testing and verification provide both preventive and detective assurance, ensuring business continuity, data integrity, and compliance with organizational policies and regulations.
Question 47
Which audit procedure is most effective for verifying that user access to sensitive systems is aligned with their job responsibilities?
A) Reviewing user access rights against approved role definitions and job descriptions
B) Monitoring network bandwidth usage
C) Conducting periodic antivirus scans
D) Performing endpoint performance monitoring
Answer: A
Explanation:
Reviewing user access rights against approved role definitions and job descriptions is the most effective audit procedure for verifying that user access to sensitive systems is aligned with job responsibilities. Access control is a fundamental security principle, ensuring that users only have the privileges necessary to perform their assigned tasks. Role-based access control (RBAC) provides predefined roles mapped to specific job functions, minimizing the risk of excessive privileges or privilege creep. Auditors can compare actual user permissions against approved roles and job descriptions to identify discrepancies such as unauthorized access, inappropriate privileges, or dormant accounts. This procedure ensures compliance with internal policies, segregation of duties requirements, and regulatory mandates such as SOX, HIPAA, or GDPR. It also provides both preventive assurance by restricting inappropriate access and detective assurance by identifying misalignments or deviations that require remediation.
Monitoring network bandwidth usage evaluates throughput, latency, and traffic patterns. While network monitoring supports operational performance and can detect unusual activity, it does not verify whether users’ system access aligns with job responsibilities. Bandwidth metrics do not provide insight into user permissions, roles, or authorization levels.
Conducting periodic antivirus scans protects systems from malware, ransomware, and other malicious code. Antivirus scanning maintains endpoint and server security, but it does not ensure that access rights are appropriate for users’ job roles. Malware prevention is complementary to access control but does not enforce or verify alignment with organizational responsibilities.
Performing endpoint performance monitoring evaluates system utilization, resource allocation, and responsiveness. While performance monitoring supports operational efficiency, it does not verify access permissions, segregation of duties, or role-based compliance. Performance metrics cannot detect unauthorized or misaligned user privileges.
By reviewing user access rights against approved roles and job descriptions, auditors can identify instances of privilege creep, redundant access, or inappropriate account permissions. Any misalignments can be corrected by adjusting permissions, revoking unnecessary access, or reassigning roles. Audit documentation provides evidence for management and regulators, demonstrating that access controls are enforced and monitored. Regular access reviews also enhance security by reducing the risk of insider threats, accidental misuse, or data breaches. Effective procedures include periodic validation, integration with HR records, and reconciliation of role definitions with system permissions. This approach ensures continuous alignment of user privileges with job responsibilities and organizational policies.
Reviewing user access rights against approved role definitions and job descriptions is the most effective audit procedure for verifying proper alignment of system access with job responsibilities. Network bandwidth monitoring, antivirus scanning, and performance monitoring support operational and security objectives, but do not address access authorization. Periodic review of access rights provides preventive and detective assurance, enhances security, ensures compliance, and maintains accountability for sensitive system access.
Question 48
Which control is most effective for ensuring that changes to network configurations do not introduce security vulnerabilities?
A) Implementing a formal network change management process with testing and approval
B) Monitoring network bandwidth usage
C) Conducting annual security awareness training
D) Performing endpoint antivirus scans
Answer: A
Explanation:
Implementing a formal network change management process with testing and approval is the most effective control for ensuring that changes to network configurations do not introduce security vulnerabilities. Network configurations, such as firewall rules, router settings, VPN policies, and access control lists, are critical to maintaining the security and integrity of an organization’s infrastructure. Unauthorized or improperly tested changes can result in security gaps, exposure to attacks, or operational disruptions. A formal change management process requires that any proposed network modification be documented, reviewed for impact, tested in a non-production environment, and approved by authorized personnel before implementation. This ensures that security considerations, compatibility, and operational continuity are evaluated before changes are applied. Audit trails of change requests, approvals, and testing results provide evidence of control effectiveness and compliance with internal policies and regulatory requirements.
Monitoring network bandwidth usage evaluates throughput, latency, and traffic patterns. While bandwidth monitoring supports operational performance and can indicate potential anomalies, it does not ensure that network changes are authorized, reviewed, or tested. Bandwidth metrics do not provide insight into whether changes introduce security vulnerabilities or violate policy.
Conducting annual security awareness training educates employees about security policies, acceptable use, phishing, and safe network practices. While training reduces the likelihood of human error and reinforces security culture, it does not technically enforce change controls or verify that network modifications are secure. Awareness is preventive but not sufficient to control network changes.
Performing endpoint antivirus scans protects devices from malware, ransomware, and viruses. Antivirus scanning is critical for endpoint and network security, but it does not ensure that network configuration changes are properly managed or do not introduce vulnerabilities. Malware prevention complements network security but cannot replace formal change management processes.
By implementing a formal network change management process with testing and approval, organizations maintain control over critical network elements, ensuring that modifications are deliberate, authorized, and evaluated for security impact. Logs of change requests and approvals provide accountability, while testing in controlled environments identifies potential issues before deployment. This control reduces the risk of misconfigurations, vulnerabilities, or operational downtime and ensures compliance with industry standards and regulatory requirements. Periodic audits of network changes further strengthen control effectiveness, providing both preventive and detective assurance.
Implementing a formal network change management process with testing and approval is the most effective control for preventing security vulnerabilities due to network configuration changes. Network bandwidth monitoring, security awareness training, and antivirus scanning support operational and security objectives, but do not provide oversight or verification of network modifications. Change management ensures accountability, compliance, and proactive risk mitigation, making it the strongest control for network security.
Question 49
Which audit procedure is most effective for verifying that encryption is applied consistently across all critical data storage systems?
A) Reviewing encryption configurations, policies, and logs across storage platforms
B) Monitoring network bandwidth usage
C) Conducting periodic antivirus scans
D) Performing employee security awareness surveys
Answer: A
Explanation:
Reviewing encryption configurations, policies, and logs across storage platforms is the most effective audit procedure for verifying that encryption is applied consistently across all critical data storage systems. Encryption protects data at rest by converting it into an unreadable format for unauthorized users. Consistency in encryption implementation ensures that all sensitive information is protected, regardless of its location, including databases, file servers, cloud storage, and backup media. Auditors examine system configuration settings to verify that approved encryption algorithms, key lengths, and operational modes are in place. Policies are reviewed to ensure that encryption is mandated for all critical data, that key management practices are defined, and that periodic reviews or audits of encryption effectiveness are conducted. Logs provide evidence of successful encryption operations and can identify any failures or deviations from policy, allowing for corrective action. This procedure offers preventive assurance by ensuring that encryption is consistently applied and detective assurance by providing evidence of compliance, gaps, or misconfigurations. Consistent encryption implementation also supports regulatory compliance with standards such as GDPR, HIPAA, or PCI DSS, which require the protection of sensitive or personally identifiable information.
Monitoring network bandwidth usage evaluates throughput, latency, and data traffic patterns. While network monitoring is useful for operational performance and detecting anomalies, it does not ensure that encryption is applied to data stored on critical systems. Bandwidth metrics do not reveal whether files, databases, or backups are encrypted according to policy.
Conducting periodic antivirus scans protects endpoints and servers from malware, ransomware, and viruses. Although endpoint protection contributes to overall security, it does not verify the encryption of stored data. Antivirus solutions prevent unauthorized access or modification due to malware, but encryption effectiveness and compliance cannot be inferred from antivirus activity alone.
Performing employee security awareness surveys collects feedback on staff perceptions and knowledge about security practices. Surveys help evaluate training effectiveness, but they do not provide evidence of encryption implementation or system-level control effectiveness. User feedback cannot reliably confirm technical enforcement of encryption policies or identify misconfigurations.
Reviewing encryption configurations, policies, and logs ensures that sensitive data is consistently protected, keys are managed properly, and compliance requirements are met. Auditors can identify unencrypted data, validate algorithm strength, and confirm adherence to organizational standards. Logs provide traceability of encryption operations, while policy review ensures that procedures are updated to reflect changes in technology, regulations, or business requirements. Continuous auditing of encryption practices helps organizations reduce risk, prevent data breaches, and demonstrate due diligence to regulators or stakeholders. Evidence from audits can also inform improvements in encryption coverage, key rotation practices, and operational security standards.
Reviewing encryption configurations, policies, and logs across storage platforms is the most effective audit procedure for verifying consistent application of encryption on critical data. Network monitoring, antivirus scanning, and employee surveys support security and operational objectives but do not confirm encryption coverage or compliance. Configuration and log review provide preventive and detective assurance, ensuring confidentiality, integrity, and regulatory compliance.
Question 50
Which control is most effective for preventing unauthorized software installation on corporate systems?
A) Implementing application whitelisting with centralized enforcement
B) Conducting periodic network bandwidth analysis
C) Performing endpoint antivirus scans
D) Conducting annual employee security awareness training
Answer: A
Explanation:
Implementing application whitelisting with centralized enforcement is the most effective control for preventing unauthorized software installation on corporate systems. Application whitelisting allows only approved applications to execute, while all others are blocked by default. Centralized enforcement ensures that policies are applied consistently across endpoints, servers, and user devices, minimizing the risk of unauthorized, malicious, or untested software being installed. This control provides preventive assurance by directly enforcing software execution policies and detective assurance through logging attempts to execute unauthorized applications. Auditors can review whitelisting policies, exception requests, and execution logs to verify compliance with internal policies and regulatory requirements. Application whitelisting reduces exposure to malware, ransomware, and data breaches caused by unapproved software, while maintaining operational integrity and stability. Regular reviews of whitelisting configurations ensure that approved software is current, authorized exceptions are documented, and attempts to bypass restrictions are detected and investigated.
Conducting periodic network bandwidth analysis evaluates throughput, latency, and traffic patterns. While useful for detecting anomalies or monitoring performance, bandwidth monitoring does not prevent or detect unauthorized software installations on endpoints. Network metrics provide visibility into communication patterns, but not enforcement of application execution policies.
Performing endpoint antivirus scans protects devices from malware, ransomware, and viruses. Although antivirus software detects known malicious software and contributes to system security, it does not prevent the installation of unauthorized, non-malicious applications. Antivirus alone cannot enforce corporate software policies, and it may not detect all unapproved applications or configurations that violate policy.
Conducting annual employee security awareness training educates staff about acceptable use, software policies, phishing prevention, and secure computing practices. Training is important for reducing accidental installation or policy violations, but it cannot technically prevent software installation. User behavior may deviate from training, making technical enforcement necessary for effective control.
Application whitelisting with centralized enforcement provides a robust, proactive approach to software control. By defining approved applications and preventing all others, organizations eliminate a significant attack vector. Logs generated by the system provide audit evidence of attempted unauthorized installations and policy enforcement. Periodic review of whitelisting policies ensures that software updates, new applications, and necessary exceptions are managed properly, maintaining operational and security effectiveness. This approach also supports compliance with regulatory requirements, internal policies, and security frameworks, while reducing the risk of malware infections, unauthorized access, and operational instability.
Implementing application whitelisting with centralized enforcement is the most effective control for preventing unauthorized software installation. Network bandwidth monitoring, antivirus scanning, and employee training support operational or security objectives, but do not technically enforce software restrictions. Whitelisting provides preventive and detective assurance, ensuring software compliance, system security, and regulatory adherence.
Question 51
Which audit procedure is most effective for verifying that system-generated reports are accurate and reliable?
A) Comparing report outputs against source data and predefined business rules
B) Monitoring network bandwidth usage
C) Performing endpoint antivirus scans
D) Conducting annual employee security awareness training
Answer: A
Explanation:
Comparing report outputs against source data and predefined business rules is the most effective audit procedure for verifying that system-generated reports are accurate and reliable. Reports are critical for decision-making, regulatory compliance, and operational monitoring. To ensure accuracy, auditors review the source data used in report generation and validate it against predefined business rules, formulas, or logic embedded within the reporting system. This includes checking calculations, data aggregation, filtering, and formatting to identify errors or inconsistencies. By performing this comparison, auditors can detect discrepancies, data corruption, or programming errors that could compromise the reliability of reports. This procedure provides both preventive assurance, by ensuring that report generation processes are designed to produce correct outputs, and detective assurance, by identifying deviations or anomalies in actual reports. Accurate reports support management decisions, regulatory compliance, and operational efficiency, making this audit procedure critical for organizational integrity.
Monitoring network bandwidth usage evaluates throughput, latency, and operational traffic patterns. While network monitoring is important for detecting anomalies or performance issues, it does not provide assurance that system-generated reports are accurate or reliable. Bandwidth metrics give operational insight but cannot verify the correctness of report outputs or underlying calculations.
Performing endpoint antivirus scans protects devices from malware, ransomware, and viruses. Antivirus scanning contributes to system integrity and security, but does not validate report accuracy. Malware protection prevents system compromise, but cannot ensure that the business logic or calculations used in reporting are correct.
Conducting annual employee security awareness training educates staff on policies, data handling, and secure practices. Awareness training reduces the likelihood of human error in report generation or data entry, but it does not technically verify the accuracy or reliability of system-generated reports. Training supports a preventive culture but does not substitute for direct validation of report outputs.
Comparing report outputs against source data and business rules enables auditors to verify completeness, accuracy, and consistency. This process helps identify errors caused by data input issues, system misconfigurations, calculation mistakes, or coding defects. Findings from this validation process can inform corrective action, improve system controls, and enhance confidence in management reporting and regulatory submissions. Regular audits of report accuracy support compliance, operational efficiency, and informed decision-making. By documenting the validation steps and discrepancies identified, organizations create an audit trail demonstrating due diligence and control effectiveness over reporting processes.
Comparing report outputs against source data and predefined business rules is the most effective audit procedure for verifying that system-generated reports are accurate and reliable. Network monitoring, antivirus scanning, and security awareness training support operational or security objectives, but do not confirm report correctness. Direct validation ensures preventive and detective assurance, maintaining confidence in organizational reporting, compliance, and decision-making.
Question 52
Which control is most effective for ensuring that remote access to corporate systems is secure and monitored?
A) Implementing multi-factor authentication (MFA) and centralized logging for remote connections
B) Conducting periodic network bandwidth analysis
C) Performing endpoint antivirus scans
D) Conducting annual security awareness training
Answer: A
Explanation:
Implementing multi-factor authentication (MFA) and centralized logging for remote connections is the most effective control for ensuring that remote access to corporate systems is secure and monitored. MFA strengthens authentication by requiring users to provide two or more forms of identification, such as a password and a one-time code generated on a mobile device. This prevents unauthorized access even if credentials are compromised, significantly reducing the risk of external breaches or insider misuse. Centralized logging of remote access sessions provides a comprehensive record of who accessed the system, when, from which location, and what actions were performed. Auditors can review logs to verify adherence to access policies, detect anomalies, and investigate suspicious activity. This combination of preventive and detective controls ensures both that unauthorized users are blocked from accessing corporate systems and that all authorized activity is monitored for compliance, operational security, and regulatory requirements. Logs also support forensic analysis, helping organizations respond effectively to incidents and demonstrate control effectiveness to regulators.
Conducting periodic network bandwidth analysis evaluates throughput, latency, and traffic patterns. While monitoring network performance is important for operational efficiency, it does not enforce secure authentication or provide audit evidence of remote access activity. Bandwidth metrics alone cannot confirm that access is restricted to authorized users or detect malicious behavior during remote sessions.
Performing endpoint antivirus scans protects devices from malware, ransomware, and viruses. While endpoint protection is critical to maintaining system integrity, it does not verify that remote access is properly secured or monitored. Antivirus solutions complement access controls by preventing malware-related compromise, but they do not enforce authentication policies or log user activity.
Conducting annual security awareness training educates employees about secure remote access practices, phishing threats, and acceptable use policies. While awareness training reduces the likelihood of user error or compromised credentials, it does not technically enforce secure access or provide continuous monitoring. Training is preventive in nature but cannot substitute for strong authentication controls or centralized logging.
Implementing MFA ensures that only authorized users with multiple validated credentials can gain access, while centralized logging enables continuous oversight, detection of anomalies, and documentation of compliance with internal policies and regulatory standards. Together, these controls reduce the risk of unauthorized access, insider misuse, and external attacks. Audit trails allow organizations to demonstrate adherence to corporate policies and regulatory requirements such as HIPAA, GDPR, or SOX. Regular reviews of logs and authentication events also support incident response and continuous improvement of access controls. By integrating MFA and logging with remote access management policies, organizations maintain operational security, accountability, and resilience against evolving threats.
Implementing multi-factor authentication and centralized logging for remote access is the most effective control to ensure secure, monitored access to corporate systems. Network bandwidth monitoring, antivirus scanning, and security awareness training support operational or security objectives but do not enforce access control or provide verifiable monitoring. MFA combined with logging provides both preventive and detective assurance, strengthening security, accountability, and compliance.
Question 53
Which audit procedure is most effective for verifying that security patches are applied consistently and on schedule?
A) Reviewing patch management policies, deployment logs, and exception reports
B) Monitoring network bandwidth usage
C) Conducting endpoint antivirus scans
D) Performing annual security awareness training
Answer: A
Explanation:
Reviewing patch management policies, deployment logs, and exception reports is the most effective audit procedure for verifying that security patches are applied consistently and on schedule. Patch management policies define the procedures, responsibilities, and timelines for identifying, testing, approving, and deploying software updates, including security patches. Deployment logs provide evidence that patches were applied to the correct systems, when they were applied, and whether the installation succeeded. Exception reports identify any systems that were not patched and the justification for delayed or omitted updates. By reviewing these artifacts, auditors can verify adherence to internal policies, regulatory requirements, and vendor recommendations. Consistent patch application is critical to protecting systems from known vulnerabilities, malware exploits, and security breaches. This audit procedure provides preventive assurance by confirming that proper processes are in place and followed, and detective assurance by identifying gaps, delays, or non-compliance. Regular review of patch management documentation also supports business continuity, operational reliability, and regulatory compliance.
Monitoring network bandwidth usage evaluates throughput, latency, and traffic patterns. While bandwidth monitoring may reveal network performance issues, it does not confirm that security patches are applied correctly or consistently. Metrics provide operational visibility but cannot verify deployment schedules or detect missing updates.
Conducting endpoint antivirus scans protects systems from malware, ransomware, and viruses. Antivirus solutions may detect some vulnerabilities, but do not ensure that patches for operating systems, applications, or firmware are deployed on schedule. Endpoint protection complements patch management but does not replace verification of patch application or policy compliance.
Performing annual security awareness training educates employees on safe computing, phishing prevention, and security policies. Awareness training may reduce human error, but it does not technically enforce patch deployment or verify schedule adherence. Training alone cannot provide evidence that systems are patched consistently or that vulnerabilities are remediated on time.
Reviewing patch management policies, deployment logs, and exception reports ensures that security patches are applied to all relevant systems, reduces the window of exposure to vulnerabilities, and provides an audit trail for compliance. By comparing deployment records against policy-defined schedules, auditors can identify gaps or delays, assess risk, and recommend corrective actions. This procedure also helps organizations maintain operational stability, prevent security incidents, and demonstrate due diligence to regulators, management, and stakeholders. Detailed documentation of patch management processes and logs ensures accountability and enables continuous improvement of vulnerability management practices.
Reviewing patch management policies, deployment logs, and exception reports is the most effective audit procedure for verifying consistent and timely application of security patches. Network monitoring, antivirus scanning, and awareness training support operational or security goals but do not confirm patch compliance or effectiveness. Direct review of patch management activities provides preventive and detective assurance, ensuring security, operational reliability, and regulatory compliance.
Question 54
Which control is most effective for ensuring that sensitive data is properly classified and handled according to its sensitivity?
A) Implementing a formal data classification policy with enforcement and audit procedures
B) Conducting periodic network bandwidth analysis
C) Performing endpoint antivirus scans
D) Conducting annual employee security awareness training
Answer: A
Explanation:
Implementing a formal data classification policy with enforcement and audit procedures is the most effective control for ensuring that sensitive data is properly classified and handled according to its sensitivity. Data classification involves categorizing information based on its confidentiality, integrity, and availability requirements. A formal classification policy defines categories such as public, internal, confidential, or restricted, and specifies handling procedures for each category, including storage, transmission, encryption, access control, and retention. Enforcement mechanisms, such as labeling, access restrictions, and automated controls, ensure that data is protected consistently according to its classification. Audit procedures verify that classification and handling policies are applied correctly, identifying misclassified data, unauthorized access, or non-compliance with policy. This provides preventive assurance by ensuring that sensitive data is handled according to defined rules and detective assurance by detecting deviations or incidents. Proper data classification supports regulatory compliance with frameworks such as GDPR, HIPAA, SOX, or ISO 27001, which mandate the protection of sensitive information based on its level of sensitivity.
Conducting periodic network bandwidth analysis evaluates throughput, latency, and operational traffic patterns. While useful for performance monitoring, network bandwidth analysis does not enforce or verify proper classification or handling of data. Bandwidth metrics do not provide information about data sensitivity or policy compliance.
Performing endpoint antivirus scans protects devices from malware, ransomware, and viruses. Antivirus solutions are critical for maintaining system integrity and preventing data compromise, but do not ensure that sensitive data is classified correctly or handled in accordance with its classification. Malware prevention complements data protection but cannot enforce classification policies.
Conducting annual employee security awareness training educates staff about data protection, acceptable use, and security policies. While awareness training helps reduce accidental mishandling of sensitive data, it does not technically enforce classification or provide audit evidence. Training alone is insufficient to guarantee consistent application of classification policies.
Implementing a formal data classification policy with enforcement and audit procedures ensures that data is protected appropriately throughout its lifecycle. Auditors can review labels, access permissions, storage locations, and transmission practices to verify compliance. Misclassified data can be detected and corrected, while automated controls enforce handling requirements. Audit logs provide evidence of compliance, support incident investigations, and demonstrate due diligence to regulators. Continuous monitoring and periodic reviews enhance control effectiveness, reduce the risk of data breaches, and maintain operational accountability. Proper classification also enables organizations to prioritize resources, apply security measures proportionate to sensitivity, and maintain compliance with legal and contractual obligations. Implementing a formal data classification policy with enforcement and audit procedures is the most effective control for ensuring that sensitive data is classified and handled correctly. Network monitoring, antivirus scanning, and awareness training support security or operational objectives but do not enforce classification or handling policies. A formal policy with enforcement and auditing provides preventive and detective assurance, strengthens data protection, and ensures regulatory compliance.
Question 55
Which control is most effective for ensuring that third-party vendors adhere to the organization’s security requirements?
A) Implementing formal vendor management policies with contractual security requirements and periodic audits
B) Conducting periodic network bandwidth analysis
C) Performing endpoint antivirus scans
D) Conducting annual employee security awareness training
Answer: A
Explanation:
Implementing formal vendor management policies with contractual security requirements and periodic audits is the most effective control for ensuring that third-party vendors adhere to the organization’s security requirements. Organizations increasingly rely on external vendors for services such as cloud computing, software development, IT support, or data processing. Third-party relationships introduce risk, as vendors may have access to sensitive data, critical systems, or intellectual property. A formal vendor management policy defines security expectations, compliance requirements, reporting obligations, and monitoring procedures. Contractual agreements ensure that vendors are legally obligated to implement adequate security controls, follow industry standards, and adhere to organizational policies. Periodic audits or assessments evaluate vendor compliance, identify gaps, and verify that corrective actions are implemented. This approach provides both preventive assurance, by ensuring that security requirements are defined and enforced, and detective assurance, by identifying non-compliance or deviations. Effective vendor management reduces the risk of data breaches, regulatory penalties, and operational disruptions.
Conducting periodic network bandwidth analysis evaluates throughput, latency, and traffic patterns. While useful for operational monitoring and detecting anomalies, bandwidth analysis does not ensure that third-party vendors adhere to security requirements. Network metrics provide insight into performance but do not verify compliance with contractual obligations or security standards.
Performing endpoint antivirus scans protects devices from malware, ransomware, and viruses. Endpoint protection is important for maintaining system integrity, but it does not enforce vendor security compliance. Antivirus scanning cannot verify whether third-party systems or processes meet organizational security requirements.
Conducting annual employee security awareness training educates internal staff about policies, phishing, and secure practices. While training helps employees manage internal risks and interact safely with vendors, it does not ensure that vendors themselves are adhering to security requirements. Awareness training is preventive in nature but does not enforce external compliance.
Formal vendor management policies, contractual obligations, and audit procedures create accountability and provide verifiable evidence of compliance. Auditors can review contracts, assess adherence to security standards, examine audit findings, and track corrective actions. This process ensures that risks associated with third-party access to sensitive data or systems are identified and mitigated. By maintaining a structured approach to vendor oversight, organizations protect the confidentiality, integrity, and availability of data, minimize regulatory risk, and reduce exposure to operational disruptions. Periodic assessments also allow organizations to adjust vendor requirements to reflect changes in technology, regulatory environment, or business priorities, ensuring ongoing control effectiveness.
Implementing formal vendor management policies with contractual security requirements and periodic audits is the most effective control for ensuring third-party vendors meet organizational security requirements. Network monitoring, antivirus scanning, and employee awareness training support operational or internal security objectives but do not ensure external compliance. Vendor management with audits provides preventive and detective assurance, reducing third-party risk and supporting regulatory compliance.
Question 56
Which audit procedure is most effective for verifying that system logs are collected, retained, and reviewed for security events?
A) Reviewing logging policies, retention schedules, and audit trail reports
B) Monitoring network bandwidth usage
C) Conducting endpoint antivirus scans
D) Performing annual employee security awareness training
Answer: A
Explanation:
Reviewing logging policies, retention schedules, and audit trail reports is the most effective audit procedure for verifying that system logs are collected, retained, and reviewed for security events. System logs provide a record of user activity, system changes, access attempts, and security-related events. Logging policies define which events should be captured, how logs are formatted, how long they should be retained, and how they are reviewed. Retention schedules ensure logs remain available for investigation, auditing, and compliance purposes, while audit trail reports provide evidence of security monitoring and incidents. By reviewing these components, auditors can verify that logs are complete, accurate, and systematically monitored, allowing detection of unauthorized access, configuration changes, or policy violations. This procedure provides both preventive assurance, by ensuring that logging processes are established, and detective assurance, by enabling identification and investigation of incidents. Proper log management supports regulatory compliance with frameworks such as SOX, PCI DSS, HIPAA, and ISO 27001, which mandate monitoring, audit trails, and retention of security records.
Monitoring network bandwidth usage evaluates throughput, latency, and traffic patterns. While network monitoring helps identify performance issues or unusual traffic, it does not verify that system logs are collected, retained, or reviewed for security events. Bandwidth metrics provide operational insight but cannot demonstrate auditing or monitoring of security events.
Conducting endpoint antivirus scans protects devices from malware, ransomware, and viruses. Endpoint protection is critical for security, but it does not confirm that logs are collected, stored, or reviewed for anomalous activity. Antivirus scanning complements logging but does not provide evidence of logging compliance.
Performing annual employee security awareness training educates staff about acceptable use, security policies, and phishing risks. While awareness training helps prevent human errors that generate security events, it does not ensure that logs are collected, retained, or monitored. Training is preventive, but cannot provide verifiable evidence of logging effectiveness.
By reviewing logging policies, retention schedules, and audit trail reports, auditors confirm that security events are captured, critical information is retained for sufficient periods, and reviews are performed to detect incidents or violations. Logs provide a basis for investigating security breaches, identifying root causes, and implementing corrective measures. Retention ensures historical events are available for compliance audits, forensic investigations, or legal proceedings. Audit trail reviews enable organizations to proactively detect suspicious activity, enforce accountability, and maintain evidence for regulatory obligations. Comprehensive log management ensures continuous monitoring of security controls, timely incident detection, and a structured response to threats.
Reviewing logging policies, retention schedules, and audit trail reports is the most effective audit procedure for verifying that system logs are collected, retained, and reviewed for security events. Network monitoring, antivirus scanning, and employee awareness training support operational or security objectives, but do not confirm logging practices. Log management provides preventive and detective assurance, supports regulatory compliance, and strengthens organizational security monitoring.
Question 57
Which control is most effective for ensuring that sensitive information transmitted via email is encrypted and protected from interception?
A) Implementing email encryption solutions with policy enforcement and auditing
B) Monitoring network bandwidth usage
C) Performing endpoint antivirus scans
D) Conducting annual employee security awareness training
Answer: A
Explanation:
Implementing email encryption solutions with policy enforcement and auditing is the most effective control for ensuring that sensitive information transmitted via email is encrypted and protected from interception. Email encryption converts message content into an unreadable format that can only be decrypted by authorized recipients. Policy enforcement ensures that sensitive emails, as defined by content type or classification, are automatically encrypted before transmission. Auditing provides visibility into email encryption activity, confirming that encryption policies are applied correctly and that attempts to send unencrypted sensitive information are detected. This combination of preventive and detective controls ensures that confidential information remains protected during transmission, mitigating risks such as data leakage, eavesdropping, and unauthorized access. Audit logs provide evidence for compliance with regulatory requirements such as GDPR, HIPAA, and PCI DSS, demonstrating due diligence and control effectiveness. Email encryption solutions often integrate with data classification, allowing automated application of encryption based on sensitivity, enhancing operational efficiency and reducing the likelihood of human error.
Monitoring network bandwidth usage evaluates throughput, latency, and traffic anomalies. While helpful for operational performance, bandwidth monitoring does not ensure that sensitive emails are encrypted or protected. It cannot prevent interception or provide evidence of compliance with encryption policies.
Performing endpoint antivirus scans protects devices from malware, ransomware, and viruses. Antivirus solutions support overall system security, but do not enforce email encryption or verify that sensitive information is protected during transmission. Endpoint protection complements encryption but does not replace it.
Conducting annual employee security awareness training educates staff about secure communication practices, phishing, and acceptable use policies. While awareness reduces human error and supports policy adherence, training alone cannot enforce encryption or provide audit evidence of encrypted transmissions. Human error may still result in unencrypted emails being sent.
By implementing email encryption solutions with policy enforcement and auditing, organizations ensure that sensitive information is automatically encrypted according to policy, reducing reliance on manual user action. Logs of encrypted and unencrypted emails provide evidence of compliance, detect violations, and support investigations. Integration with data classification ensures consistent application of controls based on sensitivity, improving operational efficiency and reducing risk. Regular review of audit logs enables continuous improvement, identification of gaps, and demonstration of control effectiveness to regulators and management. Implementing email encryption solutions with policy enforcement and auditing is the most effective control for protecting sensitive information transmitted via email. Network monitoring, antivirus scanning, and security awareness training support operational or security objectives but do not enforce encryption or provide verifiable monitoring. Email encryption with auditing provides preventive and detective assurance, safeguarding confidentiality and supporting regulatory compliance.
Question 58
Which control is most effective for ensuring that system configurations remain secure after initial deployment?
A) Implementing continuous configuration monitoring with automated alerts and periodic reviews
B) Conducting periodic network bandwidth analysis
C) Performing endpoint antivirus scans
D) Conducting annual employee security awareness training
Answer: A
Explanation:
Implementing continuous configuration monitoring with automated alerts and periodic reviews is the most effective control for ensuring that system configurations remain secure after initial deployment. Systems often require changes for maintenance, updates, or operational requirements, which can unintentionally weaken security controls if not properly managed. Continuous configuration monitoring tools establish a secure baseline for systems, including operating system settings, application configurations, user privileges, and network parameters. The monitoring solution compares current system configurations against this baseline and generates automated alerts when deviations occur. This enables real-time detection of unauthorized changes, misconfigurations, or security drift, allowing administrators to respond promptly. Periodic reviews complement automated monitoring by evaluating historical changes, validating policy compliance, and identifying recurring issues or potential gaps. Together, continuous monitoring and periodic reviews provide preventive assurance by maintaining secure configurations and detective assurance by identifying deviations before they lead to security incidents. Auditors can examine logs, review alerts, and verify that deviations are investigated and corrected, ensuring accountability and regulatory compliance. Continuous configuration monitoring supports best practices for system hardening, operational security, and risk mitigation, providing confidence that systems remain aligned with organizational security policies over time.
Conducting periodic network bandwidth analysis evaluates throughput, latency, and traffic patterns. While network monitoring helps identify operational performance issues or anomalies, it does not verify or enforce system configuration security. Bandwidth metrics provide operational insight but cannot detect unauthorized configuration changes or misaligned security settings.
Performing endpoint antivirus scans protects devices from malware, ransomware, and viruses. Antivirus solutions are essential for maintaining system integrity, but do not guarantee that system configurations remain secure or unchanged after deployment. Malware prevention complements configuration security, but cannot detect configuration drift or policy violations.
Conducting annual employee security awareness training educates staff on acceptable use, policies, and secure practices. While awareness reduces the likelihood of accidental misconfiguration, it does not enforce or verify system configurations. Training alone cannot provide real-time monitoring, corrective actions, or audit evidence of compliance with configuration policies.
Continuous configuration monitoring combined with periodic reviews ensures that systems remain hardened, aligned with baseline standards, and resilient to threats. Alerts and logs provide verifiable evidence for audits, while review procedures help refine policies and operational practices. This control reduces the likelihood of security incidents caused by misconfigurations, unauthorized changes, or human error. By integrating monitoring with change management processes, organizations maintain operational efficiency while enforcing security controls. Regulatory compliance, audit readiness, and system integrity are all supported by maintaining secure configurations continuously. Implementing continuous configuration monitoring with automated alerts and periodic reviews is the most effective control to ensure system configurations remain secure. Network monitoring, antivirus scanning, and awareness training support operational or security objectives, but do not maintain configuration security. Continuous monitoring and periodic review provide preventive and detective assurance, supporting regulatory compliance, operational resilience, and effective risk management.
Question 59
Which audit procedure is most effective for verifying that user accounts are disabled or removed promptly when employees leave the organization?
A) Reviewing user account provisioning and de-provisioning logs against HR termination records
B) Monitoring network bandwidth usage
C) Performing endpoint antivirus scans
D) Conducting annual security awareness training
Answer: A
Explanation:
Reviewing user account provisioning and de-provisioning logs against HR termination records is the most effective audit procedure for verifying that user accounts are disabled or removed promptly when employees leave the organization. User accounts that remain active after termination pose a significant risk, allowing former employees to access sensitive systems, data, or applications. To verify that accounts are properly managed, auditors compare HR termination records with account deactivation logs in systems such as Active Directory, email servers, databases, and cloud applications. This comparison ensures that all accounts associated with departing employees are disabled or removed within the defined timeframe. Provisioning and de-provisioning logs provide a detailed audit trail, showing who initiated account changes, when the changes occurred, and whether approvals were obtained. Reviewing these logs enables auditors to identify gaps, delays, or exceptions in account management processes, ensuring preventive assurance by enforcing timely account removal and detective assurance by identifying unauthorized or delayed access. Prompt de-provisioning supports regulatory compliance with standards such as SOX, HIPAA, GDPR, and ISO 27001, which require access control and segregation of duties. Effective account lifecycle management reduces the risk of insider threats, unauthorized access, data breaches, and operational disruptions.
Monitoring network bandwidth usage evaluates throughput, latency, and traffic anomalies. While network monitoring helps identify performance issues or potential security incidents, it does not verify that accounts are disabled or removed in alignment with HR records. Bandwidth metrics provide operational insight but cannot enforce account lifecycle controls.
Performing endpoint antivirus scans protects devices from malware, ransomware, and viruses. Endpoint protection contributes to overall system security, but does not ensure that accounts of terminated employees are disabled or removed. Antivirus solutions cannot detect or enforce compliance with account de-provisioning policies.
Conducting annual security awareness training educates employees about policies, acceptable use, and secure practices. Awareness training may reduce inadvertent account misuse, but does not enforce account deactivation or provide verifiable evidence of compliance. Training alone cannot prevent former employees from retaining access.
By reviewing user account provisioning and de-provisioning logs against HR records, auditors can identify lapses in access control, track the timeliness of account removal, and verify adherence to policy. Any discrepancies can be addressed with corrective actions, process improvements, or technical controls. Documenting these audit findings provides management with assurance that access risks are managed effectively and that regulatory obligations are met. This procedure also supports periodic compliance reviews, forensic investigations, and continuous improvement of identity and access management processes. Proper account management reduces the potential for unauthorized access, enhances operational security, and maintains accountability for sensitive systems and data.
Reviewing user account provisioning and de-provisioning logs against HR termination records is the most effective audit procedure for verifying prompt disabling or removal of user accounts. Network monitoring, antivirus scanning, and awareness training support operational or security objectives, but do not ensure compliance with account deactivation policies. Log review provides preventive and detective assurance, supporting security, accountability, and regulatory compliance.
Question 60
Which control is most effective for preventing unauthorized changes to critical application software?
A) Implementing formal change management with testing, approval, and version control
B) Monitoring network bandwidth usage
C) Performing endpoint antivirus scans
D) Conducting annual security awareness training
Answer: A
Explanation:
Implementing formal change management with testing, approval, and version control is the most effective control for preventing unauthorized changes to critical application software. Application software forms the foundation of business operations, and unauthorized modifications can introduce errors, vulnerabilities, or data breaches. A formal change management process ensures that all modifications, updates, patches, or configuration changes are properly documented, tested, approved, and implemented in a controlled manner. Testing verifies that proposed changes do not negatively impact functionality, security, or system performance. Approval ensures that only authorized personnel can implement changes, while version control maintains a record of software revisions, enabling rollback if necessary. Audit trails from the change management system provide evidence of compliance and accountability, supporting preventive assurance by controlling modifications and detective assurance by enabling identification of unauthorized changes. Change management helps maintain system integrity, operational reliability, and regulatory compliance with standards such as SOX, ISO 27001, and PCI DSS. By implementing testing, approval, and version control, organizations mitigate the risk of accidental or malicious changes compromising critical software and ensure consistent, reliable application operation.
Monitoring network bandwidth usage evaluates throughput, latency, and traffic patterns. While network monitoring supports operational performance, it does not prevent or detect unauthorized changes to application software. Bandwidth metrics do not provide control over software modification processes.
Performing endpoint antivirus scans protects devices from malware, ransomware, and viruses. Antivirus solutions are essential for maintaining security, but they do not prevent unauthorized software modifications or enforce change control policies. Malware detection complements change management but cannot replace its preventive and detective functions.
Conducting annual security awareness training educates staff about acceptable use, software policies, and security practices. Awareness reduces accidental or negligent changes but cannot enforce formal approval, testing, or version control procedures. Training alone does not prevent unauthorized modifications.
Formal change management with testing, approval, and version control ensures controlled software changes, reduces the risk of errors or security breaches, and maintains accountability. Auditors can review change requests, approvals, test results, and version histories to verify compliance with policies and regulatory requirements. Continuous monitoring and documentation support forensic analysis, compliance reporting, and operational resilience. This structured approach minimizes disruption, prevents security incidents, and provides assurance that application software operates reliably and securely.
Implementing formal change management with testing, approval, and version control is the most effective control for preventing unauthorized changes to critical application software. Network monitoring, antivirus scanning, and security awareness training support operational or security objectives, but do not control software changes. Change management provides preventive and detective assurance, ensuring integrity, reliability, and compliance.