Isaca CISA Certified Information Systems Auditor Exam Dumps and Practice Test Questions Set 11 Q151-165

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Question 151

Which control is most effective for ensuring that mobile devices accessing corporate resources are secured and monitored?

A) Implementing mobile device management, encryption, access controls, remote wipe, and monitoring of device activity
B) Monitoring network bandwidth usage
C) Performing endpoint antivirus scans
D) Conducting annual security awareness training

Answer: A

Explanation:

Implementing mobile device management, encryption, access controls, remote wipe, and monitoring of device activity is the most effective control for ensuring that mobile devices accessing corporate resources are secured and monitored. Mobile devices, including smartphones, tablets, and laptops, provide flexibility and accessibility but introduce significant security risks due to their mobility, connection to multiple networks, and potential loss or theft. Mobile device management (MDM) solutions enable centralized administration of devices, allowing organizations to enforce security policies, configure settings, and ensure compliance across all mobile endpoints. Encryption protects data stored on mobile devices and transmitted to corporate systems, preventing unauthorized access in case the device is lost or compromised. Access controls restrict which users and devices can connect to corporate resources, ensuring that only authorized individuals with compliant devices gain access. Remote wipe capabilities allow IT teams to erase data from lost or stolen devices promptly, reducing the risk of sensitive information exposure. Monitoring device activity provides visibility into usage patterns, application installations, security events, and compliance violations, enabling timely detection and response to threats or policy breaches. This integrated approach provides preventive assurance by securing devices, controlling access, and encrypting sensitive data, and detective assurance by monitoring activity, logging events, and detecting anomalies. Auditors can review MDM configurations, encryption policies, access control settings, remote wipe logs, and monitoring reports to confirm that mobile devices comply with organizational standards and regulatory requirements such as ISO 27001, NIST, HIPAA, and PCI DSS. Effective mobile device management reduces the risk of data breaches, unauthorized access, malware propagation, operational disruptions, and regulatory noncompliance. Continuous monitoring, regular policy updates, and periodic audits ensure that controls remain effective as mobile devices, applications, and threats evolve. Integration with identity and access management, incident response, and endpoint protection strengthens the overall organizational security posture. Proper documentation of policies, MDM configurations, monitoring logs, and remote wipe actions supports accountability, audit readiness, and regulatory compliance. By implementing mobile device management, encryption, access controls, remote wipe, and monitoring, organizations ensure that mobile devices are secure, controlled, and compliant, reducing the likelihood of security incidents while enabling productivity. Preventive measures protect devices proactively, while detective measures identify anomalies, unauthorized usage, or policy violations. Continuous evaluation maintains effectiveness, adapts to emerging threats, and ensures alignment with organizational and regulatory requirements. Organizations with robust mobile device management maintain secure access, protect sensitive information, reduce operational risks, and demonstrate governance to auditors and regulators. Structured mobile device management also enhances incident response capabilities, reduces downtime, and maintains business continuity.

Monitoring network bandwidth usage evaluates throughput, latency, and traffic patterns. While useful for network performance assessment, it does not secure mobile devices, enforce access controls, or provide encryption and remote wipe capabilities.

Performing endpoint antivirus scans protects systems from malware, ransomware, and viruses. Antivirus enhances security but does not ensure proper mobile device management, encryption, access control, or monitoring. Endpoint protection complements mobile security but cannot replace structured MDM controls.

Conducting annual security awareness training educates personnel about mobile device risks and policies. Awareness reduces risky behavior but does not technically enforce encryption, access controls, remote wipe, or activity monitoring. Training alone cannot ensure mobile device security.

By implementing mobile device management, encryption, access controls, remote wipe, and monitoring, organizations maintain secure, auditable, and compliant mobile device usage. Preventive and detective assurance is achieved through structured administration, monitoring, and policy enforcement. Continuous evaluation maintains effectiveness, reduces operational and security risks, and supports regulatory compliance. Proper documentation enhances accountability, audit readiness, and governance.

 Implementing mobile device management, encryption, access controls, remote wiping, and monitoring of device activity is the most effective control for securing mobile devices. Network monitoring, antivirus scanning, and awareness training support objectives but do not provide comprehensive assurance. Structured mobile device management provides preventive and detective assurance, reduces operational and security risks, and maintains regulatory compliance.

Question 152

Which audit procedure is most effective for verifying that database user privileges are appropriate and monitored?

A) Reviewing database privilege assignments, access logs, role definitions, and periodic user access audits
B) Monitoring network bandwidth usage
C) Performing endpoint antivirus scans
D) Conducting annual security awareness training

Answer: A

Explanation:

Reviewing database privilege assignments, access logs, role definitions, and periodic user access audits is the most effective audit procedure for verifying that database user privileges are appropriate and monitored. Databases often contain critical business information, including financial data, personally identifiable information, trade secrets, and operational records. Inappropriate privileges, excessive access, or unauthorized activities can result in data breaches, fraud, operational disruption, and regulatory noncompliance. Reviewing privilege assignments ensures that users have access rights aligned with their roles, responsibilities, and the principle of least privilege. Role definitions help standardize access permissions across similar job functions, reducing the likelihood of excessive or inappropriate privileges. Access logs provide a detailed record of database activities, including successful and failed login attempts, query execution, and changes to data or schema, enabling detection of unauthorized or anomalous activities. Periodic user access audits involve systematic evaluation of user accounts, privileges, and roles to ensure compliance with organizational policies, regulatory requirements, and security standards such as ISO 27001, NIST, PCI DSS, and HIPAA. This integrated approach provides preventive assurance by restricting access to authorized users and limiting privileges, and detective assurance by monitoring activity, detecting anomalies, and auditing compliance. Auditors can review privilege assignments, role definitions, access logs, and audit findings to verify that database access controls are effective, appropriate, and maintained. Effective database privilege management reduces the risk of insider threats, data breaches, unauthorized modifications, and regulatory violations. Continuous monitoring, periodic audits, and access reviews ensure that privileges remain aligned with evolving roles, business requirements, and security standards. Integration with identity and access management, change management, and incident response strengthens overall security governance. Proper documentation of privilege assignments, access logs, role definitions, and audit reports supports accountability, audit readiness, and regulatory compliance. By reviewing database privilege assignments, access logs, role definitions, and periodic audits, auditors can verify that users have appropriate privileges, access is monitored, and anomalies are detected promptly. Preventive measures limit the risk of misuse or unauthorized access, while detective measures provide visibility, evidence, and actionable insights. Continuous evaluation maintains effectiveness, adapts to organizational changes, and ensures alignment with security and compliance requirements. Organizations with robust database privilege management protect sensitive data, maintain operational integrity, reduce security risks, and demonstrate governance to auditors and regulators. Structured privilege management processes also simplify auditing, reduce administrative errors, and enhance overall database security posture.

Monitoring network bandwidth usage evaluates throughput, latency, and traffic patterns. Bandwidth monitoring may detect anomalies, but does not verify user privileges, role appropriateness, or activity monitoring within databases.

Performing endpoint antivirus scans protects systems from malware, ransomware, and viruses. Antivirus enhances endpoint security but does not ensure appropriate database privileges, monitoring, or compliance. Endpoint protection complements database security but cannot replace structured audit procedures.

Conducting annual security awareness training educates personnel about database policies and security practices. Awareness reduces risky behavior but does not technically enforce privilege assignments, monitoring, or audits. Training alone cannot ensure database security.

By reviewing database privilege assignments, access logs, role definitions, and periodic user access audits, organizations maintain secure, controlled, and compliant access to critical information. Preventive and detective assurance is achieved through structured access management, monitoring, and auditing. Continuous evaluation maintains effectiveness, reduces operational and security risks, and supports regulatory compliance. Proper documentation enhances accountability, audit readiness, and governance.

 Reviewing database privilege assignments, access logs, role definitions, and periodic user access audits is the most effective audit procedure for managing database access. Network monitoring, antivirus scanning, and awareness training support objectives but do not provide comprehensive assurance. Structured privilege management provides preventive and detective assurance, reduces operational and security risks, and maintains regulatory compliance.

Question 153

Which control is most effective for ensuring that logs from critical systems are collected, protected, and reviewed for anomalies?

A) Implementing centralized log management, access controls, retention policies, and automated alerting
B) Monitoring network bandwidth usage
C) Performing endpoint antivirus scans
D) Conducting annual security awareness training

Answer: A

Explanation:

Implementing centralized log management, access controls, retention policies, and automated alerting is the most effective control for ensuring that logs from critical systems are collected, protected, and reviewed for anomalies. Logs provide detailed records of system activities, user actions, security events, application errors, and network traffic, which are essential for detecting incidents, troubleshooting issues, meeting compliance requirements, and performing forensic analysis. Centralized log management consolidates log data from multiple systems into a secure and unified repository, enabling easier analysis, correlation, and monitoring of events across the organization. Access controls ensure that only authorized personnel can view, modify, or delete logs, maintaining integrity and preventing tampering or unauthorized access. Retention policies define how long logs are stored, balancing operational, legal, and regulatory requirements, ensuring that historical data is available for auditing, investigation, or compliance verification. Automated alerting identifies unusual patterns, policy violations, or potential security incidents in near real-time, enabling proactive response and mitigation. This integrated approach provides preventive assurance by securing log data, controlling access, and establishing retention requirements, and detective assurance by monitoring events, alerting on anomalies, and supporting audits. Auditors can review centralized log configurations, access controls, retention schedules, and alerting mechanisms to confirm that logs are effectively collected, protected, and monitored. Effective log management reduces the risk of undetected security incidents, operational disruptions, regulatory violations, and data loss. Continuous monitoring, periodic review, and integration with incident response ensure that logs remain reliable and actionable as systems, threats, and business requirements evolve. Integration with security information and event management (SIEM), intrusion detection systems, and compliance monitoring enhances visibility, response, and governance. Proper documentation of log management policies, access controls, retention, and alerting supports accountability, audit readiness, and regulatory compliance. By implementing centralized log management, access controls, retention policies, and automated alerting, organizations ensure that critical system logs are available, protected, and reviewed for anomalies. Preventive measures maintain log integrity and access control, while detective measures identify anomalies, detect incidents, and provide evidence for investigation. Continuous evaluation maintains effectiveness, reduces operational and security risks, and ensures alignment with regulatory and organizational requirements. Organizations with robust log management practices maintain visibility, improve incident response, reduce compliance risk, and demonstrate governance to auditors and regulators. Structured log management supports operational efficiency, forensic readiness, and proactive threat mitigation.

Monitoring network bandwidth usage evaluates throughput, latency, and traffic patterns. While useful for network performance, it does not ensure the collection, protection, or review of system logs.

Performing endpoint antivirus scans protects systems from malware, ransomware, and viruses. Antivirus enhances endpoint security but does not ensure log collection, retention, or anomaly detection. Endpoint protection complements log management but cannot replace it.

Conducting annual security awareness training educates personnel about logging policies and security best practices. Awareness improves behavior but does not technically enforce the collection, protection, or review of logs. Training alone cannot ensure proper log management.

By implementing centralized log management, access controls, retention policies, and automated alerting, organizations maintain secure, auditable, and monitored system logs. Preventive and detective assurance is achieved through structured collection, monitoring, and protection. Continuous evaluation maintains effectiveness, reduces operational and security risks, and supports regulatory compliance. Proper documentation enhances accountability, audit readiness, and governance.

 Implementing centralized log management, access controls, retention policies, and automated alerting is the most effective control for log management. Network monitoring, antivirus scanning, and awareness training support objectives but do not provide comprehensive assurance. Structured log management provides preventive and detective assurance, reduces operational and security risks, and maintains regulatory compliance.

Question 154

Which control is most effective for ensuring that sensitive data is protected when transmitted over public networks?

A) Implementing encryption protocols, secure tunneling, access controls, and monitoring of transmission activity
B) Monitoring network bandwidth usage
C) Performing endpoint antivirus scans
D) Conducting annual security awareness training

Answer: A

Explanation:

Implementing encryption protocols, secure tunneling, access controls, and monitoring of transmission activity is the most effective control for ensuring that sensitive data is protected when transmitted over public networks. Data transmitted over public networks, such as the internet or external wireless networks, is vulnerable to interception, eavesdropping, man-in-the-middle attacks, and unauthorized access. Encryption protocols, such as TLS, IPSec, or VPN-based encryption, ensure that data is transformed into an unreadable format during transmission, which prevents attackers from interpreting the information even if it is intercepted. Secure tunneling, such as through a VPN, provides a private communication channel within a public network, encapsulating data packets and securing both authentication and integrity. Access controls ensure that only authorized users or devices can initiate transmissions, preventing unauthorized individuals from sending or receiving sensitive information. Monitoring of transmission activity tracks unusual patterns, such as unauthorized endpoints attempting to access or send data, ensuring that potential breaches are detected promptly. This integrated approach provides preventive assurance by enforcing encryption and access restrictions and detective assurance by monitoring network activity and identifying anomalies. Auditors can review encryption policies, VPN configurations, access control settings, and monitoring logs to ensure that sensitive data is protected according to organizational policies and regulatory requirements, such as ISO 27001, NIST, PCI DSS, and HIPAA. Effective management of transmitted data reduces the risk of data breaches, regulatory penalties, and reputational damage while maintaining the confidentiality, integrity, and availability of critical information. Continuous monitoring, configuration reviews, and testing of encryption and tunneling mechanisms ensure that these protections remain effective as technology, threats, and business requirements evolve. Integration with endpoint security, identity and access management, and incident response enhances overall security posture. Proper documentation of encryption standards, VPN deployment, access logs, and monitoring reports supports accountability, audit readiness, and compliance. By implementing encryption protocols, secure tunneling, access controls, and monitoring, organizations ensure that sensitive information remains confidential during transmission and that unauthorized attempts to intercept or tamper with data are detected. Preventive measures protect the information proactively, while detective measures identify potential breaches or anomalies. Continuous evaluation maintains effectiveness, mitigates security risks, and ensures compliance with regulatory and organizational requirements. Organizations with robust controls for secure data transmission can maintain business continuity, safeguard intellectual property, protect personal and financial data, and demonstrate governance to auditors and regulators. Structured protection of transmitted data ensures operational reliability and builds trust with partners, clients, and employees by minimizing exposure to network-based threats.

Monitoring network bandwidth usage evaluates throughput, latency, and traffic patterns, which may detect network performance issues, but does not secure sensitive data or enforce encryption.

Performing endpoint antivirus scans protects devices from malware, ransomware, and viruses, enhancing endpoint security, but it does not secure data in transit over public networks.

Conducting annual security awareness training educates personnel about safe transmission practices but cannot enforce encryption, secure tunneling, or access control, and does not provide technical assurance.

By implementing encryption protocols, secure tunneling, access controls, and monitoring of transmission activity, organizations maintain the confidentiality, integrity, and availability of sensitive data during public network transmission. Preventive and detective assurance is achieved through encryption, access control enforcement, and monitoring. Continuous evaluation maintains effectiveness, reduces operational and security risks, and supports regulatory compliance. Proper documentation enhances accountability, audit readiness, and governance. Implementing encryption protocols, secure tunneling, access controls, and monitoring is the most effective control for protecting data transmitted over public networks. Network monitoring, antivirus scanning, and awareness training support objectives but do not provide comprehensive assurance. Structured technical controls provide preventive and detective assurance, reduce security risks, and maintain regulatory compliance.

Question 155

Which audit procedure is most effective for verifying that backup and recovery processes are operating as intended?

A) Reviewing backup schedules, testing recovery procedures, verifying backup integrity, and monitoring compliance reports
B) Monitoring network bandwidth usage
C) Performing penetration testing
D) Conducting annual security awareness training

Answer: A

Explanation:

Reviewing backup schedules, testing recovery procedures, verifying backup integrity, and monitoring compliance reports are the most effective audit procedures for verifying that backup and recovery processes are operating as intended. Organizations rely on backups to ensure the availability and recoverability of critical data in case of system failure, corruption, accidental deletion, or cyberattacks. Backup schedules define the frequency and scope of data backups, ensuring that critical systems and datasets are captured consistently and in alignment with organizational requirements. Testing recovery procedures involves restoring data from backup copies to confirm that it can be recovered accurately, completely, and within the defined recovery time objectives (RTO) and recovery point objectives (RPO). Verifying backup integrity ensures that data is intact, uncorrupted, and consistent with sources, which is essential to prevent recovery failures or partial data restoration. Monitoring compliance reports provides visibility into adherence to backup policies, identifying missed backups, failed operations, or procedural deviations that could compromise recoverability. This integrated approach provides preventive assurance by ensuring that backups are executed according to schedule and stored securely, and detective assurance by tracking completion, monitoring failures, and auditing compliance. Auditors can review backup logs, recovery test reports, integrity verification records, and compliance documentation to assess whether backup processes meet organizational standards, regulatory requirements, and industry best practices such as ISO 27001, NIST, HIPAA, and PCI DSS. Effective backup and recovery management reduces the risk of data loss, operational disruptions, financial loss, reputational damage, and regulatory noncompliance. Continuous monitoring, periodic testing, and validation ensure that backup and recovery processes remain reliable despite changes in systems, applications, or threat landscapes. Integration with disaster recovery, incident response, and business continuity planning strengthens resilience and operational reliability. Proper documentation of backup schedules, testing results, integrity checks, and monitoring activities supports accountability, audit readiness, and regulatory compliance. By reviewing backup schedules, testing recovery procedures, verifying integrity, and monitoring compliance, auditors can verify that backup and recovery processes are effective, reliable, and aligned with organizational requirements. Preventive measures ensure backups are executed and stored correctly, while detective measures provide visibility into failures, deviations, and anomalies. Continuous evaluation maintains effectiveness, reduces operational and security risks, and ensures alignment with business continuity objectives. Organizations with robust backup and recovery practices protect critical data, maintain operational resilience, support regulatory compliance, and demonstrate governance to auditors and regulators. Structured processes for backups also simplify recovery, improve incident response, and reduce downtime during unexpected disruptions.

Monitoring network bandwidth usage evaluates throughput, latency, and traffic patterns. Bandwidth monitoring may identify performance issues, but it does not validate backup schedules, recovery testing, or integrity verification.

Performing penetration testing assesses system vulnerabilities but does not verify that backup and recovery processes are functional, complete, or compliant. Pen testing complements backup strategies but cannot replace structured audits.

Conducting annual security awareness training educates personnel about backup policies and procedures. Awareness reduces human error but does not technically verify schedules, test recovery, or monitor integrity. Training alone cannot ensure operational recovery readiness.

By reviewing backup schedules, testing recovery procedures, verifying integrity, and monitoring compliance, organizations maintain reliable, secure, and auditable backup processes. Preventive and detective assurance is achieved through structured execution, monitoring, and auditing. Continuous evaluation maintains effectiveness, reduces operational and security risks, and supports regulatory compliance. Proper documentation enhances accountability, audit readiness, and governance.

 Reviewing backup schedules, testing recovery procedures, verifying backup integrity, and monitoring compliance reports are the most effective audit procedures for backup and recovery. Network monitoring, penetration testing, and awareness training support objectives but do not provide comprehensive assurance. Structured backup and recovery audits provide preventive and detective assurance, reduce operational and security risks, and maintain regulatory compliance.

Question 156

Which control is most effective for ensuring that third-party service providers comply with the organization’s security requirements?

A) Implementing vendor security agreements, risk assessments, access controls, and monitoring of compliance
B) Monitoring network bandwidth usage
C) Performing endpoint antivirus scans
D) Conducting annual security awareness training

Answer: A

Explanation:

Implementing vendor security agreements, risk assessments, access controls, and monitoring of compliance is the most effective control for ensuring that third-party service providers comply with the organization’s security requirements. Third-party providers often have access to sensitive information, systems, or networks, which introduces risks including unauthorized access, data breaches, service disruptions, and regulatory noncompliance. Vendor security agreements define contractual obligations, security requirements, responsibilities, and reporting expectations, ensuring that providers are held accountable for protecting organizational assets. Risk assessments evaluate the provider’s security posture, identifying potential vulnerabilities, operational weaknesses, and compliance gaps, and determine whether the provider meets the organization’s risk tolerance. Access controls restrict the provider’s access to only the systems, applications, or data necessary to perform their services, minimizing exposure to sensitive resources and reducing the risk of misuse. Monitoring of compliance tracks adherence to security policies, contractual obligations, and regulatory requirements, including periodic audits, security assessments, and reporting of incidents or policy violations. This integrated approach provides preventive assurance by enforcing security requirements, controlling access, and mitigating risks, and detective assurance by monitoring activities, tracking compliance, and detecting deviations. Auditors can review vendor contracts, risk assessment reports, access control logs, and compliance monitoring records to ensure that third-party providers adhere to organizational and regulatory standards such as ISO 27001, NIST, HIPAA, and PCI DSS. Effective third-party security management reduces the risk of data breaches, service disruptions, regulatory violations, financial loss, and reputational damage. Continuous monitoring, periodic audits, and risk reassessments ensure that controls remain effective as third-party services, threats, and business requirements evolve. Integration with incident response, access management, and business continuity planning strengthens overall governance and resilience. Proper documentation of agreements, risk assessments, access logs, and monitoring reports supports accountability, audit readiness, and regulatory compliance. By implementing vendor security agreements, risk assessments, access controls, and monitoring, organizations ensure that third-party providers comply with security requirements and mitigate risks associated with outsourced services. Preventive measures enforce requirements and restrict access, while detective measures provide visibility, identify violations, and support corrective action. Continuous evaluation maintains effectiveness, aligns with organizational and regulatory requirements, and reduces exposure to operational and security risks. Organizations with robust third-party security management practices protect sensitive information, maintain service integrity, reduce compliance risk, and demonstrate governance to auditors and regulators. Structured third-party management enhances trust, operational reliability, and overall security posture, minimizing risks associated with external service providers.

Monitoring network bandwidth usage evaluates throughput, latency, and traffic patterns, which may reveal performance issues, but does not enforce security compliance for third-party providers.

Performing endpoint antivirus scans protects systems from malware and viruses, but does not ensure that third-party providers comply with security requirements. Antivirus complements security but cannot replace structured third-party controls.

Conducting annual security awareness training educates personnel about third-party risks but does not technically enforce contractual obligations, access restrictions, or monitoring. Awareness alone cannot ensure compliance by external providers.

By implementing vendor security agreements, risk assessments, access controls, and monitoring, organizations maintain secure, compliant, and auditable relationships with third-party providers. Preventive and detective assurance is achieved through structured policies, access restrictions, and monitoring. Continuous evaluation maintains effectiveness, reduces operational and security risks, and supports regulatory compliance. Proper documentation enhances accountability, audit readiness, and governance.

 Implementing vendor security agreements, risk assessments, access controls, and monitoring of compliance is the most effective control for managing third-party providers. Network monitoring, antivirus scanning, and awareness training support objectives but do not provide comprehensive assurance. Structured third-party security controls provide preventive and detective assurance, reduce operational and security risks, and maintain regulatory compliance.

Question 157

Which control is most effective for ensuring that system patches and software updates are applied promptly?

A) Implementing a patch management policy, automated deployment, testing procedures, and monitoring compliance
B) Monitoring network bandwidth usage
C) Performing endpoint antivirus scans
D) Conducting annual security awareness training

Answer: A

Explanation:

Implementing a patch management policy, automated deployment, testing procedures, and monitoring compliance is the most effective control for ensuring that system patches and software updates are applied promptly. Unpatched systems are vulnerable to exploitation, malware infections, and unauthorized access, making timely patching critical for maintaining security. A patch management policy defines responsibilities, procedures, timelines, and prioritization criteria for applying updates, ensuring that critical vulnerabilities are addressed promptly. Automated deployment ensures consistent application of patches across all systems and reduces the risk of human error or oversight. Testing procedures validate that patches do not disrupt functionality, introduce conflicts, or affect dependent systems before deployment to production. Monitoring compliance tracks the status of patch installation across devices, identifies missed updates, and ensures adherence to organizational standards. This integrated approach provides preventive assurance by reducing vulnerabilities and ensuring timely remediation, and detective assurance by monitoring deployment and identifying gaps. Auditors can review patch management policies, deployment logs, test results, and compliance reports to confirm adherence to organizational and regulatory requirements such as ISO 27001, NIST, HIPAA, and PCI DSS. Effective patch management reduces the risk of security incidents, operational disruption, and regulatory violations. Continuous monitoring, periodic testing, and policy updates ensure that patches remain effective against emerging threats and evolving software environments. Integration with vulnerability management, configuration management, and incident response strengthens organizational security posture. Proper documentation of patch schedules, deployment logs, test results, and compliance reports supports accountability, audit readiness, and regulatory compliance. By implementing a patch management policy, automated deployment, testing procedures, and monitoring compliance, organizations ensure that systems remain secure, vulnerabilities are addressed promptly, and operational continuity is maintained. Preventive measures reduce the likelihood of exploitation, while detective measures provide evidence of compliance, highlight gaps, and support corrective actions. Continuous evaluation ensures patch management processes remain effective, aligned with business requirements, and compliant with regulations. Organizations with robust patch management practices protect sensitive data, reduce operational risks, maintain regulatory compliance, and demonstrate governance to auditors and regulators. Network monitoring, antivirus scans, and awareness training support security objectives but do not provide the structured controls required for comprehensive patch management. Structured patch management provides both preventive and detective assurance, minimizes vulnerabilities, and strengthens overall security posture.

Question 158

Which audit procedure is most effective for verifying that user access to critical applications is appropriate and reviewed periodically?

A) Reviewing user access lists, role assignments, access logs, and periodic access certification reports
B) Monitoring network bandwidth usage
C) Performing endpoint antivirus scans
D) Conducting annual security awareness training

Answer: A

Explanation:

Reviewing user access lists, role assignments, access logs, and periodic access certification reports is the most effective audit procedure for verifying that user access to critical applications is appropriate and reviewed periodically. Access control ensures that only authorized individuals can access sensitive systems and data, reducing the risk of unauthorized actions, fraud, or data breaches. User access lists provide a comprehensive view of all individuals who have access to an application and the level of privileges granted, ensuring alignment with organizational policies and roles. Role assignments standardize privileges based on job functions, simplifying management and reducing the likelihood of excessive or inappropriate access. Access logs provide detailed records of user activity within applications, enabling the detection of unauthorized actions or anomalous behavior. Periodic access certification reports involve formal review and validation of user access by system owners or management, confirming that privileges remain appropriate as roles, responsibilities, or employment status change. This integrated approach provides preventive assurance by enforcing appropriate access rights and detective assurance by monitoring usage and identifying deviations. Auditors can review access lists, role definitions, log entries, and certification reports to confirm that access controls are effective, policies are enforced, and regulatory requirements such as ISO 27001, NIST, HIPAA, and SOX are met. Effective access management reduces the risk of insider threats, unauthorized data modifications, and regulatory violations. Continuous monitoring, periodic reviews, and access certification maintain compliance and minimize security risks as personnel and organizational structures evolve. Integration with identity management, HR systems, and incident response strengthens overall governance. Proper documentation of access controls, roles, logs, and certification results supports accountability, audit readiness, and regulatory compliance. By reviewing user access lists, role assignments, access logs, and periodic certification reports, auditors can verify that user access is appropriate, monitored, and aligned with organizational requirements. Preventive measures limit the potential for misuse, while detective measures provide evidence of anomalies and facilitate corrective actions. Continuous evaluation ensures access management remains effective, secure, and compliant. Organizations with robust access control reviews protect sensitive data, maintain operational integrity, and demonstrate governance to auditors and regulators. Network monitoring, antivirus scans, and awareness training complement access management but do not provide structured verification of privileges. Structured access reviews provide both preventive and detective assurance, reduce operational and security risks, and maintain compliance with organizational and regulatory standards.

Question 159

Which control is most effective for ensuring that sensitive files stored on shared drives are properly protected and monitored?

A) Implementing file access controls, encryption, audit logging, and periodic permission reviews
B) Monitoring network bandwidth usage
C) Performing endpoint antivirus scans
D) Conducting annual security awareness training

Answer: A

Explanation:

Implementing file access controls, encryption, audit logging, and periodic permission reviews is the most effective control for ensuring that sensitive files stored on shared drives are properly protected and monitored. Shared drives often contain sensitive organizational information such as financial records, personnel data, intellectual property, and confidential operational files. Without structured controls, these files are vulnerable to unauthorized access, accidental deletion, data leakage, or misuse. File access controls enforce the principle of least privilege, ensuring that only authorized personnel have the appropriate read, write, or modify permissions based on their roles and responsibilities. Encryption protects sensitive files from unauthorized access both at rest and during transfers, ensuring confidentiality and integrity. Audit logging records access, modification, and deletion activities, providing a clear trail for monitoring usage, detecting anomalies, and supporting forensic investigations. Periodic permission reviews assess whether current access rights align with employee roles and responsibilities, ensuring timely removal of unnecessary privileges. This integrated approach provides preventive assurance by enforcing secure access and data protection, and detective assurance by monitoring activity and identifying policy violations. Auditors can examine access control settings, encryption configurations, audit logs, and permission review reports to confirm adherence to organizational policies and regulatory requirements such as ISO 27001, NIST, HIPAA, and PCI DSS. Effective file protection reduces the risk of unauthorized disclosure, data breaches, operational disruption, and regulatory penalties. Continuous monitoring, regular reviews, and structured logging ensure that controls remain effective as personnel and business needs evolve. Integration with identity and access management, incident response, and data protection policies strengthens overall governance and security posture. Proper documentation of access controls, encryption practices, audit logs, and permission review results supports accountability, audit readiness, and compliance. By implementing file access controls, encryption, audit logging, and periodic permission reviews, organizations ensure sensitive files are secured, monitored, and properly managed. Preventive measures protect files from unauthorized access, while detective measures provide evidence of anomalies or policy violations. Continuous evaluation maintains effectiveness, reduces operational and security risks, and ensures alignment with organizational and regulatory requirements. Organizations with robust shared drive controls protect critical information, maintain operational integrity, reduce compliance risks, and demonstrate governance to auditors and regulators. Network monitoring, antivirus scans, and awareness training support security objectives but do not provide structured file protection and monitoring. Structured file controls provide both preventive and detective assurance, safeguard sensitive information, and maintain compliance.

Question 160

Which control is most effective for ensuring that critical system configurations are secure and compliant with organizational policies?

A) Implementing configuration baselines, automated monitoring, access restrictions, and periodic audits
B) Monitoring network bandwidth usage
C) Performing endpoint antivirus scans
D) Conducting annual security awareness training

Answer: A

Explanation:

Implementing configuration baselines, automated monitoring, access restrictions, and periodic audits is the most effective control for ensuring that critical system configurations are secure and compliant with organizational policies. System configurations determine how hardware, operating systems, applications, and network devices operate, and misconfigurations can create vulnerabilities, reduce system performance, or violate compliance requirements. Configuration baselines establish the expected state for systems, defining approved settings, services, and controls that meet security and operational standards. Automated monitoring tools continuously compare live configurations against baselines, detecting deviations, unauthorized changes, or potential security weaknesses. Access restrictions enforce that only authorized personnel can modify configurations, maintaining integrity and reducing the risk of insider threats or accidental misconfiguration. Periodic audits validate that configurations comply with organizational policies, regulatory requirements, and industry best practices such as ISO 27001, NIST, HIPAA, and PCI DSS. This integrated approach provides preventive assurance by enforcing secure configurations and access controls, and detective assurance by monitoring deviations and verifying compliance through audits. Auditors can review configuration baselines, monitoring logs, access control settings, and audit reports to confirm that systems are configured correctly, maintained securely, and aligned with organizational standards. Effective configuration management reduces the risk of security incidents, operational disruptions, regulatory penalties, and reputational damage. Continuous monitoring, automated alerts, and periodic audits ensure that configurations remain effective and compliant as systems evolve or threats emerge. Integration with change management, vulnerability management, and incident response strengthens overall governance and security posture. Proper documentation of baselines, monitoring results, access permissions, and audit findings supports accountability, audit readiness, and regulatory compliance. By implementing configuration baselines, automated monitoring, access restrictions, and periodic audits, organizations maintain secure, controlled, and compliant system configurations. Preventive measures enforce approved settings, while detective measures identify unauthorized changes, deviations, or weaknesses. Continuous evaluation ensures that controls remain effective, reduce operational and security risks, and support regulatory compliance. Organizations with robust configuration management practices protect critical systems, maintain operational reliability, and demonstrate governance to auditors and regulators. Monitoring network bandwidth, antivirus scans, and security awareness training support broader security objectives but do not directly ensure secure system configurations. Structured configuration management provides both preventive and detective assurance, safeguards systems from misconfigurations, and maintains compliance with policies and standards.

Question 161

Which audit procedure is most effective for verifying that physical access to data centers is restricted and monitored?

A) Reviewing access logs, surveillance recordings, visitor logs, and physical security policies
B) Monitoring network bandwidth usage
C) Performing endpoint antivirus scans
D) Conducting annual security awareness training

Answer: A

Explanation:

Reviewing access logs, surveillance recordings, visitor logs, and physical security policies is the most effective audit procedure for verifying that physical access to data centers is restricted and monitored. Data centers house critical systems, servers, and storage containing sensitive business and customer data, making them high-risk areas for unauthorized access, theft, or sabotage. Access logs provide records of individuals entering and exiting secure areas, enabling verification that only authorized personnel have accessed the data center. Surveillance recordings from CCTV or security cameras provide visual evidence of activities and can be used to investigate suspicious events or incidents. Visitor logs track temporary access granted to contractors, vendors, or visitors, ensuring that external parties are supervised and access is controlled. Physical security policies define the requirements for access control, authentication procedures, monitoring practices, and emergency response, providing a framework for maintaining the security of the data center. This integrated approach provides preventive assurance by restricting access to authorized personnel and enforcing security policies, and detective assurance by monitoring access, reviewing records, and identifying anomalies. Auditors can review access control logs, surveillance footage, visitor records, and policies to confirm that physical security measures are implemented effectively and comply with organizational standards and regulatory requirements such as ISO 27001, NIST, HIPAA, and PCI DSS. Effective physical security management reduces the risk of unauthorized access, data theft, equipment damage, service disruption, and regulatory violations. Continuous monitoring, periodic reviews, and audits ensure that physical controls remain effective as personnel, visitors, and operational requirements change. Integration with electronic access systems, incident response, and environmental monitoring enhances overall security governance and operational reliability. Proper documentation of logs, surveillance recordings, visitor management records, and security policies supports accountability, audit readiness, and regulatory compliance. By reviewing access logs, surveillance recordings, visitor logs, and physical security policies, auditors can verify that physical access is controlled, monitored, and compliant. Preventive measures restrict access and enforce security requirements, while detective measures provide evidence of unauthorized attempts or anomalies. Continuous evaluation ensures that physical security controls remain effective, reduce operational and security risks, and support compliance. Organizations with robust data center physical security protect critical systems, maintain operational continuity, and demonstrate governance to auditors and regulators. Monitoring network performance, antivirus scans, and awareness training support security objectives, but do not verify physical access. Structured physical security controls provide both preventive and detective assurance, safeguard assets, and maintain compliance with organizational policies and standards.

Question 162

Which control is most effective for ensuring that system and application audit logs are protected against tampering and unauthorized access?

A) Implementing centralized logging, access restrictions, encryption, and regular review procedures
B) Monitoring network bandwidth usage
C) Performing endpoint antivirus scans
D) Conducting annual security awareness training

Answer: A

Explanation:

Implementing centralized logging, access restrictions, encryption, and regular review procedures is the most effective control for ensuring that system and application audit logs are protected against tampering and unauthorized access. Audit logs are critical for detecting security events, tracking user activities, supporting investigations, and demonstrating regulatory compliance. Centralized logging collects logs from multiple systems into a secure repository, ensuring consistency, integrity, and easy analysis. Access restrictions ensure that only authorized personnel can view, modify, or delete log data, preventing tampering and insider misuse. Encryption protects logs both at rest and in transit, ensuring that unauthorized parties cannot alter or interpret sensitive event data. Regular review procedures involve examining logs for anomalies, suspicious activity, or policy violations, supporting timely detection and response to security incidents. This integrated approach provides preventive assurance by securing log data and enforcing access controls, and detective assurance by monitoring activity and reviewing logs for unusual behavior. Auditors can review centralized logging configurations, access control settings, encryption methods, and log review procedures to verify adherence to organizational policies and regulatory requirements such as ISO 27001, NIST, HIPAA, and PCI DSS. Effective log protection reduces the risk of undetected security incidents, operational disruptions, regulatory penalties, and data integrity issues. Continuous monitoring, automated alerts, and periodic reviews ensure that log controls remain effective as systems, applications, and threats evolve. Integration with incident response, SIEM tools, and access management strengthens overall governance and security posture. Proper documentation of logging procedures, access restrictions, encryption policies, and review findings supports accountability, audit readiness, and compliance. By implementing centralized logging, access restrictions, encryption, and review procedures, organizations ensure audit logs remain secure, auditable, and reliable. Preventive measures protect against unauthorized access and tampering, while detective measures identify anomalies and facilitate corrective actions. Continuous evaluation ensures log security remains effective, aligned with business requirements, and compliant with regulations. Organizations with robust log protection safeguard operational integrity, improve incident detection, maintain compliance, and demonstrate governance to auditors and regulators. Network monitoring, antivirus scans, and awareness training support broader security objectives but do not guarantee log integrity. Structured log protection provides both preventive and detective assurance, ensures accountability, and maintains compliance with organizational and regulatory standards.

Question 163

Which control is most effective for ensuring that critical business applications are protected from unauthorized changes?

A) Implementing change management procedures, approval workflows, version control, and audit trails
B) Monitoring network bandwidth usage
C) Performing endpoint antivirus scans
D) Conducting annual security awareness training

Answer: A

Explanation:

Implementing change management procedures, approval workflows, version control, and audit trails is the most effective control for ensuring that critical business applications are protected from unauthorized changes. Unauthorized or poorly managed changes can introduce vulnerabilities, disrupt operations, compromise data integrity, and violate regulatory requirements. Change management procedures define the process for requesting, evaluating, approving, implementing, and reviewing changes to business applications. This ensures that all changes are deliberate, documented, and aligned with organizational goals. Approval workflows enforce a review and authorization process, ensuring that only authorized personnel can implement modifications, reducing the risk of errors, misuse, or malicious alterations. Version control tracks changes to software, configurations, and documentation, allowing organizations to revert to previous states in case of issues or failures, maintaining operational continuity and reliability. Audit trails record all change activities, including who initiated and approved the change, when it occurred, and what was modified. This provides accountability, facilitates investigation of anomalies, and supports compliance with regulatory frameworks such as ISO 27001, NIST, HIPAA, and SOX. The integrated approach provides preventive assurance by enforcing structured change processes and access controls, and detective assurance by monitoring activities and maintaining evidence of all changes. Auditors can review change requests, approval records, version histories, and audit logs to verify that changes are authorized, tested, and implemented according to policy. Effective change management reduces operational risk, protects sensitive data, prevents service interruptions, and ensures compliance. Continuous monitoring of change activities, periodic audits, and policy updates ensures that the controls remain effective as systems, applications, and business requirements evolve. Integration with configuration management, risk management, and incident response strengthens overall governance and operational resilience. Proper documentation of procedures, approvals, version control logs, and audit trails supports accountability, audit readiness, and regulatory compliance. By implementing change management procedures, approval workflows, version control, and audit trails, organizations protect critical business applications from unauthorized modifications, maintain operational integrity, and mitigate risks. Preventive measures enforce controlled processes, while detective measures provide evidence of activities, deviations, or anomalies. Continuous evaluation ensures that change management remains effective, compliant, and aligned with organizational objectives. Organizations with robust change management practices safeguard critical applications, ensure service continuity, reduce operational and security risks, and demonstrate governance to auditors and regulators. Monitoring network performance, antivirus scanning, and awareness training support security, but do not provide structured assurance for application changes. Structured change management ensures both preventive and detective assurance, accountability, and regulatory compliance.

Question 164

Which audit procedure is most effective for verifying that security incidents are detected, reported, and resolved according to organizational policies?

A) Reviewing incident reports, response logs, escalation procedures, and resolution documentation
B) Monitoring network bandwidth usage
C) Performing endpoint antivirus scans
D) Conducting annual security awareness training

Answer: A

Explanation:

Reviewing incident reports, response logs, escalation procedures, and resolution documentation is the most effective audit procedure for verifying that security incidents are detected, reported, and resolved according to organizational policies. Security incidents can include unauthorized access, malware infections, data breaches, system outages, and policy violations, all of which may affect the confidentiality, integrity, and availability of information. Incident reports provide detailed accounts of the events, including the nature of the incident, affected systems, and actions taken. Response logs record the steps taken to investigate, mitigate, and resolve incidents, providing evidence that organizational procedures were followed. Escalation procedures define how incidents are communicated to appropriate management or technical teams based on severity, ensuring timely attention to high-priority events. Resolution documentation details the outcome, corrective actions, and lessons learned, supporting continuous improvement and compliance with regulatory requirements such as ISO 27001, NIST, HIPAA, and SOX. This integrated approach provides preventive assurance by demonstrating that processes exist to manage incidents, and detective assurance by monitoring activities, reviewing logs, and validating outcomes. Auditors can examine incident reports, response logs, escalation records, and resolution documentation to ensure that security incidents are identified promptly, handled consistently, and resolved effectively. Effective incident management reduces operational risk, limits the impact of security events, protects sensitive information, maintains business continuity, and ensures compliance. Continuous monitoring, periodic audits, and post-incident reviews ensure that incident response remains effective and adapts to evolving threats and organizational changes. Integration with risk management, business continuity, and security monitoring strengthens governance, accountability, and operational resilience. Proper documentation of incident activities supports audit readiness, regulatory compliance, and organizational learning. By reviewing incident reports, response logs, escalation procedures, and resolution documentation, auditors can verify that incidents are managed according to policy, preventive and detective measures are implemented, and risks are mitigated. Preventive measures ensure processes are in place, while detective measures provide visibility, evidence, and verification of compliance. Continuous evaluation maintains effectiveness, reduces operational and security risks, and supports regulatory adherence. Organizations with robust incident management practices protect critical assets, maintain service continuity, reduce security exposure, and demonstrate governance to auditors and regulators. Network monitoring, antivirus scanning, and awareness training support detection but do not replace structured verification of incident handling. Structured incident management provides both preventive and detective assurance, accountability, and regulatory compliance.

Question 165

Which control is most effective for ensuring that sensitive emails and attachments are protected during transmission and storage?

A) Implementing email encryption, access controls, data loss prevention, and monitoring
B) Monitoring network bandwidth usage
C) Performing endpoint antivirus scans
D) Conducting annual security awareness training

Answer: A

Explanation:

Implementing email encryption, access controls, data loss prevention, and monitoring is the most effective control for ensuring that sensitive emails and attachments are protected during transmission and storage. Emails frequently contain sensitive business information, personally identifiable data, intellectual property, or confidential operational details, making them high-risk communication channels. Email encryption transforms messages and attachments into unreadable formats during transit, ensuring that intercepted emails cannot be interpreted by unauthorized parties. Access controls ensure that only intended recipients or authorized personnel can view, forward, or modify sensitive emails, reducing exposure to accidental or malicious disclosure. Data loss prevention (DLP) systems monitor email content and attachments to detect, block, or alert on unauthorized transmissions of sensitive information, ensuring compliance with policies and regulations. Monitoring email activity tracks usage patterns, unauthorized attempts, and anomalies, providing visibility and supporting forensic investigation if incidents occur. This integrated approach provides preventive assurance by securing email content and restricting access, and detective assurance by monitoring activity and detecting potential policy violations. Auditors can review encryption policies, access control configurations, DLP reports, and monitoring logs to confirm that emails and attachments are adequately protected and compliant with organizational and regulatory standards such as ISO 27001, NIST, HIPAA, and PCI DSS. Effective email protection reduces the risk of unauthorized disclosure, data breaches, regulatory penalties, operational disruptions, and reputational damage. Continuous monitoring, periodic reviews, and system testing ensure that controls remain effective against evolving threats and business requirements. Integration with endpoint security, identity management, and incident response strengthens overall governance and security posture. Proper documentation of encryption practices, access controls, DLP settings, and monitoring logs supports accountability, audit readiness, and compliance. By implementing email encryption, access controls, data loss prevention, and monitoring, organizations maintain secure, auditable, and compliant email communications. Preventive measures protect messages proactively, while detective measures provide visibility and evidence of policy violations. Continuous evaluation ensures controls remain effective, reduces operational and security risks, and maintains regulatory compliance. Organizations with robust email security protect sensitive information, support operational continuity, and demonstrate governance to auditors and regulators. Network monitoring, antivirus scanning, and awareness training complement email security but do not replace structured technical and monitoring controls. Structured email protection provides both preventive and detective assurance, safeguards sensitive data, and ensures compliance.