Isaca CISA Certified Information Systems Auditor Exam Dumps and Practice Test Questions Set 12 Q166-180
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Question 166
Which control is most effective for ensuring that privileged user activities on critical systems are monitored and audited?
A) Implementing privileged access management, session logging, activity monitoring, and periodic review of logs
B) Monitoring network bandwidth usage
C) Performing endpoint antivirus scans
D) Conducting annual security awareness training
Answer: A
Explanation:
Implementing privileged access management, session logging, activity monitoring, and periodic review of logs is the most effective control for ensuring that privileged user activities on critical systems are monitored and audited. Privileged users, including system administrators, database administrators, and network engineers, have elevated access that allows them to modify configurations, access sensitive data, and perform critical system operations. Misuse of privileges, whether intentional or accidental, can result in significant security incidents, data breaches, operational disruptions, and regulatory violations. Privileged access management (PAM) solutions help enforce the principle of least privilege, ensuring that users only have the minimum required access to perform their roles. PAM systems typically include password vaulting, session management, and controlled elevation of privileges, reducing the risk of unauthorized or improper use. Session logging records all activities performed by privileged users, including commands executed, changes made, and access to sensitive resources. This provides an auditable trail that can be reviewed for compliance, forensic investigations, and anomaly detection. Activity monitoring enables real-time tracking of privileged sessions, allowing organizations to detect suspicious behavior, policy violations, or abnormal usage patterns. Periodic review of logs ensures that all privileged actions are examined systematically, deviations are investigated, and corrective actions are implemented where necessary. This integrated approach provides preventive assurance by controlling access, limiting privileges, and enforcing policies, and detective assurance by monitoring, logging, and auditing activities. Auditors can examine PAM configurations, session logs, activity monitoring reports, and review documentation to confirm that privileged users are effectively controlled and monitored according to organizational policies and regulatory requirements such as ISO 27001, NIST, HIPAA, and SOX. Effective management of privileged users reduces the likelihood of unauthorized data modification, security breaches, operational downtime, and compliance violations. Continuous monitoring, automated alerts, and periodic audits ensure that the control remains effective as roles, systems, and threats evolve. Integration with identity and access management, incident response, and security information and event management (SIEM) enhances overall governance and operational security. Proper documentation of PAM configurations, session logs, monitoring alerts, and audit findings supports accountability, audit readiness, and regulatory compliance. By implementing privileged access management, session logging, activity monitoring, and periodic review of logs, organizations ensure that all critical system activities are controlled, monitored, and auditable. Preventive measures reduce the risk of misuse, while detective measures provide visibility, evidence, and support for corrective actions. Continuous evaluation maintains the effectiveness of controls, aligns with organizational policies, mitigates risks, and ensures compliance. Organizations with robust privileged access controls protect critical systems, maintain operational continuity, secure sensitive information, and demonstrate governance to auditors and regulators. Monitoring network performance, antivirus scanning, and awareness training support security objectives but do not specifically control or audit privileged activities. Structured privileged access management provides both preventive and detective assurance, strengthens accountability, and supports regulatory compliance while mitigating insider threats.
Question 167
Which audit procedure is most effective for verifying that IT service providers meet contractual security obligations?
A) Reviewing service-level agreements, audit reports, compliance documentation, and monitoring performance metrics
B) Monitoring network bandwidth usage
C) Performing penetration testing
D) Conducting annual security awareness training
Answer: A
Explanation:
Reviewing service-level agreements (SLAs), audit reports, compliance documentation, and monitoring performance metrics is the most effective audit procedure for verifying that IT service providers meet contractual security obligations. IT service providers often handle critical business functions, sensitive data, and core infrastructure, making their compliance with contractual security requirements vital for operational continuity, data protection, and regulatory adherence. Service-level agreements define the expectations, responsibilities, performance metrics, security obligations, and reporting requirements between the organization and the service provider. Reviewing SLAs ensures that the contractual obligations align with organizational security policies and regulatory requirements. Audit reports generated by the service provider or independent third parties provide objective evidence of compliance, identify security gaps, and assess the effectiveness of controls implemented by the provider. Compliance documentation includes certifications, policies, procedures, and evidence that demonstrate adherence to applicable regulations such as ISO 27001, SOC 2, HIPAA, and PCI DSS. Monitoring performance metrics, including incident response times, availability, and security incidents, provides ongoing verification that the provider is meeting agreed-upon service levels and contractual security commitments. This integrated approach provides preventive assurance by establishing clear contractual expectations and monitoring adherence, and detective assurance by assessing compliance through audits, documentation, and metrics. Auditors can examine SLAs, audit reports, compliance evidence, and performance records to verify that service providers maintain the agreed security standards and fulfill obligations in alignment with organizational and regulatory requirements. Effective oversight of IT service providers reduces the risk of data breaches, operational disruption, financial loss, and regulatory noncompliance. Continuous monitoring, periodic audits, and reporting ensure that providers maintain compliance and adapt to evolving security threats, technologies, and business requirements. Integration with vendor risk management, incident response, and contract management strengthens governance and operational resilience. Proper documentation of audit findings, performance metrics, compliance reports, and contractual reviews supports accountability, audit readiness, and regulatory compliance. By reviewing SLAs, audit reports, compliance documentation, and performance metrics, auditors ensure that IT service providers are monitored, contractual obligations are enforced, and risks are mitigated. Preventive measures define expectations and controls, while detective measures provide evidence, visibility, and support corrective actions. Continuous evaluation maintains effectiveness, reduces operational and security risks, and ensures compliance. Organizations with robust third-party management protect sensitive data, maintain service continuity, minimize risks, and demonstrate governance to auditors and regulators. Penetration testing, network monitoring, and awareness training support security objectives but do not provide comprehensive verification of contractual compliance. Structured auditing of service providers provides both preventive and detective assurance, reduces operational and regulatory risks, and supports contractual and regulatory compliance.
Question 168
Which control is most effective for ensuring that sensitive data stored in databases is protected from unauthorized access?
A) Implementing database access controls, encryption, auditing, and regular privilege reviews
B) Monitoring network bandwidth usage
C) Performing endpoint antivirus scans
D) Conducting annual security awareness training
Answer: A
Explanation:
Implementing database access controls, encryption, auditing, and regular privilege reviews is the most effective control for ensuring that sensitive data stored in databases is protected from unauthorized access. Databases often contain critical business information, personally identifiable information, financial data, and intellectual property, making them prime targets for cyberattacks, insider threats, and accidental exposure. Access controls enforce the principle of least privilege, ensuring that users have only the permissions necessary to perform their job functions. Role-based access control (RBAC) and fine-grained access policies help standardize permissions and minimize the risk of excessive privileges. Encryption protects data both at rest and in transit, ensuring that even if unauthorized access occurs, sensitive information remains unreadable and secure. Auditing records database activities, including logins, queries executed, and changes made, providing visibility for monitoring, forensic investigations, and compliance reporting. Regular privilege reviews involve systematic examination of user access, roles, and permissions to ensure alignment with organizational policies, detect outdated or unnecessary privileges, and revoke unauthorized access promptly. This integrated approach provides preventive assurance by enforcing access restrictions and encrypting sensitive data, and detective assurance by auditing activity, monitoring anomalies, and verifying compliance with organizational and regulatory requirements such as ISO 27001, NIST, HIPAA, and PCI DSS. Auditors can review access control settings, encryption configurations, audit logs, and privilege review reports to verify that database security is effectively implemented and maintained. Effective database security reduces the risk of unauthorized disclosure, data breaches, fraud, regulatory violations, and operational disruptions. Continuous monitoring, automated alerts, and periodic audits ensure that security measures remain effective as systems, applications, and threats evolve. Integration with identity management, incident response, and security monitoring enhances overall governance, accountability, and operational reliability. Proper documentation of access policies, encryption standards, audit logs, and privilege review findings supports audit readiness, regulatory compliance, and organizational transparency. By implementing database access controls, encryption, auditing, and regular privilege reviews, organizations ensure that sensitive data is protected, access is monitored, and anomalies are detected promptly. Preventive measures protect data proactively, while detective measures provide evidence and support corrective action. Continuous evaluation maintains effectiveness, reduces security risks, and ensures compliance with organizational policies and regulations. Organizations with robust database security practices protect critical information, maintain operational integrity, reduce exposure to threats, and demonstrate governance to auditors and regulators. Network monitoring, antivirus scans, and awareness training support database security objectives but cannot replace structured access control, encryption, auditing, and privilege reviews. Structured database security provides both preventive and detective assurance, strengthens accountability, and maintains compliance.
Question 169
Which control is most effective for ensuring that mobile devices accessing corporate resources are secure?
A) Implementing mobile device management, encryption, access controls, and monitoring compliance
B) Monitoring network bandwidth usage
C) Performing endpoint antivirus scans
D) Conducting annual security awareness training
Answer: A
Explanation:
Implementing mobile device management (MDM), encryption, access controls, and monitoring compliance is the most effective control for ensuring that mobile devices accessing corporate resources are secure. Mobile devices, including smartphones, tablets, and laptops, often connect to corporate networks and access sensitive data, making them a significant security risk if unmanaged. Mobile device management solutions allow organizations to enforce security policies, configure settings remotely, manage device updates, and detect non-compliant devices. Encryption protects sensitive data stored on mobile devices and transmitted to corporate systems, ensuring confidentiality even if the device is lost or stolen. Access controls enforce authentication requirements, such as strong passwords, biometrics, or multi-factor authentication, preventing unauthorized users from accessing corporate resources. Monitoring compliance ensures that devices adhere to security policies, identifies violations, and allows timely remediation. This integrated approach provides preventive assurance by enforcing security policies and restricting access, and detective assurance by monitoring usage and detecting anomalies. Auditors can review MDM configurations, encryption status, access control settings, and compliance reports to verify that mobile devices are secure and aligned with organizational and regulatory requirements such as ISO 27001, NIST, HIPAA, and PCI DSS. Effective mobile device security reduces the risk of data breaches, unauthorized access, regulatory penalties, and operational disruption. Continuous monitoring, periodic audits, and policy updates ensure controls remain effective as devices, threats, and business requirements evolve. Integration with endpoint management, identity management, and incident response strengthens governance and operational resilience. Proper documentation of MDM configurations, encryption policies, access controls, and monitoring reports supports accountability, audit readiness, and regulatory compliance. By implementing mobile device management, encryption, access controls, and monitoring compliance, organizations ensure secure access to corporate resources, protect sensitive information, and detect potential security violations. Preventive measures secure devices proactively, while detective measures provide visibility and support corrective action. Continuous evaluation maintains effectiveness, mitigates risks, and ensures regulatory compliance. Organizations with robust mobile device controls protect sensitive data, maintain operational continuity, and demonstrate governance to auditors and regulators. Network monitoring, antivirus scanning, and awareness training support security objectives but do not provide structured assurance for mobile devices. Structured mobile device controls provide both preventive and detective assurance, reduce operational and security risks, and maintain compliance with organizational and regulatory standards.
Question 170
Which audit procedure is most effective for verifying that data retention policies are being enforced?
A) Reviewing retention schedules, backup and archival logs, disposal records, and compliance reports
B) Monitoring network bandwidth usage
C) Performing endpoint antivirus scans
D) Conducting annual security awareness training
Answer: A
Explanation:
Reviewing retention schedules, backup and archival logs, disposal records, and compliance reports is the most effective audit procedure for verifying that data retention policies are being enforced. Data retention policies define the duration for which different types of data should be retained, ensuring compliance with legal, regulatory, and business requirements. Retention schedules specify how long each category of data must be preserved, whether in active systems, backups, or archives, and help organizations plan storage and disposal procedures accordingly. Backup and archival logs provide evidence that data is retained in accordance with retention schedules, documenting successful storage and location of retained data. Disposal records confirm that data exceeding its retention period has been securely deleted or destroyed, mitigating risks associated with unauthorized access or noncompliance. Compliance reports provide oversight by summarizing adherence to retention policies across organizational units. This integrated approach provides preventive assurance by defining retention rules, ensuring secure storage, and controlling access to retained data, and detective assurance by monitoring adherence, detecting violations, and documenting compliance. Auditors can review retention schedules, archival logs, disposal records, and compliance reports to verify that data retention policies are implemented, enforced, and aligned with organizational and regulatory requirements such as ISO 27001, NIST, HIPAA, and GDPR. Effective retention management reduces risks of data loss, regulatory penalties, reputational damage, and unauthorized access. Continuous monitoring, periodic reviews, and updates to retention policies ensure controls remain effective as business requirements, regulations, and technology evolve. Integration with backup management, information lifecycle management, and security controls strengthens overall governance and operational reliability. Proper documentation of retention schedules, archival logs, disposal activities, and compliance reports supports accountability, audit readiness, and regulatory compliance. By reviewing retention schedules, backup and archival logs, disposal records, and compliance reports, auditors can ensure that data retention policies are enforced consistently, sensitive information is retained or deleted according to policy, and compliance risks are minimized. Preventive measures enforce retention rules, while detective measures provide evidence, visibility, and support for corrective action. Continuous evaluation maintains effectiveness, mitigates risks, and ensures alignment with legal, regulatory, and business requirements. Organizations with robust retention management practices safeguard data, maintain compliance, reduce exposure to legal risks, and demonstrate governance to auditors and regulators. Network monitoring, antivirus scans, and awareness training support data protection objectives but do not verify retention compliance. Structured retention management provides both preventive and detective assurance, reduces operational and regulatory risks, and maintains compliance.
Question 171
Which control is most effective for ensuring that remote access to corporate systems is secure?
A) Implementing VPNs, multi-factor authentication, access controls, and monitoring remote sessions
B) Monitoring network bandwidth usage
C) Performing endpoint antivirus scans
D) Conducting annual security awareness training
Answer: A
Explanation:
Implementing VPNs, multi-factor authentication (MFA), access controls, and monitoring remote sessions is the most effective control for ensuring that remote access to corporate systems is secure. Remote access exposes organizations to risks such as unauthorized access, data breaches, malware infections, and interception of communications. Virtual private networks (VPNs) create encrypted channels for remote users, protecting data transmitted between remote devices and corporate systems from eavesdropping or tampering. Multi-factor authentication strengthens user verification, ensuring that access requires multiple forms of credentials, such as a password and a token or biometric factor, reducing the risk of credential theft or misuse. Access controls enforce the principle of least privilege, granting remote users only the permissions necessary to perform their functions, limiting exposure to sensitive systems or data. Monitoring remote sessions provides visibility into user activities, enabling detection of anomalies, unauthorized behavior, and potential security incidents. This integrated approach provides preventive assurance by enforcing secure remote access methods and restricting privileges, and detective assurance by monitoring activity, reviewing logs, and identifying policy violations. Auditors can examine VPN configurations, MFA implementation, access control policies, and remote session monitoring logs to verify adherence to organizational and regulatory requirements such as ISO 27001, NIST, HIPAA, and PCI DSS. Effective remote access management reduces risks of unauthorized access, data breaches, operational disruptions, and regulatory violations. Continuous monitoring, policy updates, and periodic reviews ensure that remote access controls remain effective as threats, technologies, and user behaviors evolve. Integration with endpoint security, identity management, and incident response enhances governance, accountability, and operational resilience. Proper documentation of VPN configurations, MFA implementation, access control settings, and monitoring reports supports audit readiness, compliance, and organizational transparency. By implementing VPNs, MFA, access controls, and monitoring remote sessions, organizations ensure secure remote access, protect sensitive information, and detect anomalies promptly. Preventive measures secure access proactively, while detective measures provide evidence, visibility, and support corrective actions. Continuous evaluation maintains effectiveness, mitigates risks, and ensures compliance with organizational policies and regulatory standards. Network monitoring, antivirus scanning, and awareness training support remote access security but do not provide structured assurance for secure access. Structured remote access controls provide both preventive and detective assurance, reduce operational and security risks, and maintain regulatory compliance.
Question 172
Which control is most effective for ensuring that backup data is available and can be restored in the event of a system failure?
A) Implementing regular backups, offsite storage, periodic restoration testing, and monitoring backup logs
B) Monitoring network bandwidth usage
C) Performing endpoint antivirus scans
D) Conducting annual security awareness training
Answer: A
Explanation:
Implementing regular backups, offsite storage, periodic restoration testing, and monitoring backup logs is the most effective control for ensuring that backup data is available and can be restored in the event of a system failure. Regular backups ensure that critical data and systems are consistently copied to a secure location, protecting against data loss due to hardware failures, software errors, human mistakes, or malicious activity. Offsite storage, whether physical or cloud-based, protects backups from site-specific risks such as natural disasters, fire, or theft, ensuring data availability even if primary systems are compromised. Periodic restoration testing validates that backups can be successfully restored and are not corrupted or incomplete, assuring that recovery objectives can be met within required timelines. Monitoring backup logs allows organizations to verify that scheduled backups were completed successfully, detect failures, and identify potential issues before they impact data availability. This integrated approach provides preventive assurance by creating redundant copies of critical data and controlling storage, and detective assurance by monitoring logs, detecting failures, and validating restoration capabilities. Auditors can review backup schedules, offsite storage arrangements, restoration test results, and log reports to confirm that backup controls are implemented, effective, and aligned with organizational policies and regulatory requirements such as ISO 27001, NIST, HIPAA, and PCI DSS. Effective backup management reduces the risk of data loss, operational disruption, financial loss, and noncompliance with legal or contractual obligations. Continuous monitoring, automated alerts, and periodic audits ensure that backup processes remain effective as systems, applications, and business requirements evolve. Integration with disaster recovery planning, business continuity management, and incident response enhances overall governance and operational resilience. Proper documentation of backup procedures, offsite storage policies, restoration test outcomes, and monitoring logs supports accountability, audit readiness, and regulatory compliance. By implementing regular backups, offsite storage, periodic restoration testing, and monitoring backup logs, organizations ensure that data is recoverable, redundant, and reliable. Preventive measures protect against data loss, while detective measures provide visibility, evidence, and support corrective actions. Continuous evaluation maintains effectiveness, reduces operational and security risks, and ensures compliance with organizational and regulatory requirements. Organizations with robust backup management protect critical information, maintain operational continuity, minimize downtime, and demonstrate governance to auditors and regulators. Network monitoring, antivirus scanning, and awareness training support broader security objectives but do not ensure the reliability and recoverability of backup data. Structured backup management provides both preventive and detective assurance, safeguards critical data, and maintains compliance with organizational and regulatory standards.
Question 173
Which audit procedure is most effective for verifying that IT asset inventories are accurate and complete?
A) Reviewing asset registers, configuration management databases, physical inspections, and reconciliation reports
B) Monitoring network bandwidth usage
C) Performing endpoint antivirus scans
D) Conducting annual security awareness training
Answer: A
Explanation:
Reviewing asset registers, configuration management databases (CMDBs), physical inspections, and reconciliation reports is the most effective audit procedure for verifying that IT asset inventories are accurate and complete. IT asset inventories include hardware, software, network devices, licenses, and virtual resources that are critical to operational and security management. Accurate and complete inventories provide visibility into the organization’s IT landscape, enable effective risk management, facilitate patch management, and support regulatory compliance. Asset registers list all assets with relevant details such as serial numbers, locations, ownership, and operational status. Configuration management databases provide a centralized repository of IT assets, their relationships, and configurations, ensuring alignment with operational processes. Physical inspections verify the existence, condition, and location of assets, identifying discrepancies between records and actual inventory. Reconciliation reports compare recorded data with physical inspections, system scans, and procurement records to detect missing, duplicate, or unauthorized assets. This integrated approach provides preventive assurance by establishing accurate inventories and controlling assets, and detective assurance by identifying inconsistencies, errors, or potential security risks. Auditors can review asset registers, CMDBs, inspection reports, and reconciliation records to confirm that inventories are maintained, accurate, and aligned with organizational policies and regulatory requirements such as ISO 27001, NIST, HIPAA, and SOX. Effective IT asset management reduces the risk of unauthorized access, unpatched systems, compliance violations, operational disruptions, and financial losses. Continuous monitoring, periodic audits, and reconciliation ensure that inventory accuracy is maintained as assets are added, retired, or relocated. Integration with change management, configuration management, and security monitoring strengthens overall governance and operational control. Proper documentation of asset registers, CMDB updates, inspection records, and reconciliation reports supports accountability, audit readiness, and regulatory compliance. By reviewing asset registers, configuration management databases, physical inspections, and reconciliation reports, auditors can ensure that IT asset inventories are accurate, complete, and properly managed. Preventive measures establish correct records and control over assets, while detective measures identify anomalies, discrepancies, and potential risks. Continuous evaluation maintains effectiveness, mitigates operational and security risks, and ensures compliance with organizational policies and regulatory requirements. Organizations with robust IT asset management protect critical resources, maintain operational reliability, improve risk management, and demonstrate governance to auditors and regulators. Network monitoring, antivirus scans, and awareness training support security objectives but do not verify inventory accuracy or completeness. Structured IT asset management provides both preventive and detective assurance, strengthens accountability, and maintains compliance with organizational and regulatory standards.
Question 174
Which control is most effective for ensuring that application development follows secure coding practices?
A) Implementing secure coding standards, code reviews, static and dynamic testing, and developer training
B) Monitoring network bandwidth usage
C) Performing endpoint antivirus scans
D) Conducting annual security awareness training
Answer: A
Explanation:
Implementing secure coding standards, code reviews, static and dynamic testing, and developer training is the most effective control for ensuring that application development follows secure coding practices. Application vulnerabilities introduced during development are a primary source of security risks, including data breaches, unauthorized access, injection attacks, and denial-of-service incidents. Secure coding standards provide guidelines for writing code that mitigates common security weaknesses, ensuring consistency and adherence to best practices throughout the development lifecycle. Code reviews involve manual examination of source code by peers or security specialists, identifying potential vulnerabilities, logical errors, or deviations from secure coding guidelines. Static application security testing (SAST) analyzes source code without executing it, detecting vulnerabilities such as buffer overflows, input validation issues, or insecure configurations early in the development process. Dynamic application security testing (DAST) tests running applications for vulnerabilities that may not be evident in source code alone, including authentication weaknesses, session management issues, or runtime errors. Developer training ensures that programmers understand secure coding principles, threat modeling, and regulatory requirements, fostering a culture of security awareness and proactive mitigation. This integrated approach provides preventive assurance by embedding security into the development process and enforcing best practices, and detective assurance by identifying vulnerabilities through testing and review. Auditors can review coding standards, code review records, SAST and DAST results, and training documentation to verify adherence to secure coding practices, alignment with organizational policies, and compliance with regulatory frameworks such as ISO 27001, NIST, OWASP, and PCI DSS. Effective secure coding practices reduce the risk of exploitable vulnerabilities, data breaches, financial loss, and reputational damage. Continuous monitoring, automated testing, periodic reviews, and ongoing training ensure that secure coding controls remain effective as technologies, threats, and organizational requirements evolve. Integration with change management, software development lifecycle processes, and incident response enhances overall governance, accountability, and operational resilience. Proper documentation of coding standards, review findings, test results, and training supports audit readiness, compliance, and organizational transparency. By implementing secure coding standards, code reviews, static and dynamic testing, and developer training, organizations ensure applications are designed, developed, and maintained securely. Preventive measures mitigate vulnerabilities proactively, while detective measures provide visibility and support corrective actions. Continuous evaluation maintains effectiveness, reduces security risks, and ensures compliance. Organizations with robust secure coding practices produce reliable, secure applications, protect sensitive data, minimize operational disruptions, and demonstrate governance to auditors and regulators. Network monitoring, antivirus scanning, and awareness training support application security objectives but cannot replace structured secure coding practices. Structured secure coding programs provide both preventive and detective assurance, reduce operational and security risks, and maintain regulatory compliance.
Question 175
Which control is most effective for ensuring that system changes do not introduce vulnerabilities or disrupt operations?
A) Implementing a formal change management process, testing, approval workflows, and post-implementation review
B) Monitoring network bandwidth usage
C) Performing endpoint antivirus scans
D) Conducting annual security awareness training
Answer: A
Explanation:
Implementing a formal change management process, testing, approval workflows, and post-implementation review is the most effective control for ensuring that system changes do not introduce vulnerabilities or disrupt operations. Changes to systems, applications, or configurations, if not properly managed, can result in security weaknesses, system downtime, data loss, and compliance violations. A formal change management process defines procedures for requesting, evaluating, approving, and implementing changes, ensuring that all modifications are authorized, documented, and aligned with organizational objectives. Testing changes before deployment ensures that they do not create conflicts, vulnerabilities, or operational issues, mitigating risks before production implementation. Approval workflows enforce review by designated personnel, ensuring that changes are properly scrutinized and authorized, reducing the likelihood of errors or malicious activity. Post-implementation reviews evaluate whether changes achieved the desired outcomes, assess their impact on system stability and security, and identify lessons learned for continuous improvement. This integrated approach provides preventive assurance by controlling and validating changes, and detective assurance by monitoring outcomes and documenting results. Auditors can review change requests, approval logs, testing records, and post-implementation review reports to verify that the organization effectively manages changes, maintains operational continuity, and complies with regulatory requirements such as ISO 27001, NIST, HIPAA, and SOX. Effective change management reduces the risk of security incidents, operational disruptions, financial loss, and regulatory penalties. Continuous monitoring, automated alerts, and periodic audits ensure that change management processes remain effective as systems, applications, and business requirements evolve. Integration with configuration management, risk management, and incident response enhances governance, accountability, and operational resilience. Proper documentation of change procedures, approvals, test results, and post-implementation reviews supports audit readiness, compliance, and organizational transparency. By implementing a formal change management process, testing, approval workflows, and post-implementation review, organizations ensure that system changes are controlled, tested, and reviewed systematically. Preventive measures reduce the likelihood of errors or vulnerabilities, while detective measures provide evidence, visibility, and opportunities for corrective actions. Continuous evaluation maintains effectiveness, mitigates operational and security risks, and ensures compliance with organizational policies and regulatory requirements. Organizations with robust change management practices protect critical systems, maintain operational continuity, reduce security risks, and demonstrate governance to auditors and regulators. Network monitoring, antivirus scanning, and awareness training support broader security objectives but do not provide structured assurance for safe system changes. Structured change management provides both preventive and detective assurance, reduces operational and security risks, and maintains compliance.
Question 176
Which audit procedure is most effective for verifying that user account provisioning and de-provisioning are performed correctly?
A) Reviewing user account requests, approvals, access rights assignments, and de-provisioning records
B) Monitoring network bandwidth usage
C) Performing endpoint antivirus scans
D) Conducting annual security awareness training
Answer: A
Explanation:
Reviewing user account requests, approvals, access rights assignments, and de-provisioning records is the most effective audit procedure for verifying that user account provisioning and de-provisioning are performed correctly. Proper account management ensures that users have appropriate access to systems and data and prevents unauthorized access resulting from inactive or mismanaged accounts. User account requests document the need for system access, specifying roles and required privileges. Approval records confirm that requests are reviewed and authorized by designated personnel, reducing the risk of excessive or unauthorized privileges. Access rights assignments define the specific permissions granted to users and ensure alignment with job functions, organizational policies, and regulatory requirements. De-provisioning records document the timely removal or modification of access for users who have left the organization, changed roles, or no longer require access, mitigating the risk of orphaned accounts being exploited. This integrated approach provides preventive assurance by enforcing structured account management policies and controlling access, and detective assurance by auditing account activities, detecting anomalies, and verifying compliance. Auditors can review account requests, approval logs, access rights documentation, and de-provisioning records to confirm that user accounts are managed according to organizational policies and regulatory standards such as ISO 27001, NIST, HIPAA, and SOX. Effective account management reduces the likelihood of unauthorized access, data breaches, operational disruptions, and regulatory penalties. Continuous monitoring, automated provisioning tools, and periodic audits ensure that account management processes remain effective as personnel, roles, and systems evolve. Integration with identity and access management, HR systems, and incident response strengthens governance, accountability, and operational control. Proper documentation of account requests, approvals, access assignments, and de-provisioning records supports audit readiness, compliance, and organizational transparency. By reviewing user account requests, approvals, access rights assignments, and de-provisioning records, auditors can verify that access management is performed correctly, access rights are appropriate, and risks associated with improper account management are mitigated. Preventive measures enforce proper provisioning and de-provisioning, while detective measures provide evidence and support corrective actions. Continuous evaluation maintains effectiveness, reduces operational and security risks, and ensures compliance with policies and regulations. Organizations with robust user account management protect sensitive data, maintain operational continuity, reduce security risks, and demonstrate governance to auditors and regulators. Network monitoring, antivirus scanning, and awareness training support security objectives but do not verify account provisioning accuracy. Structured account management provides both preventive and detective assurance, strengthens accountability, and maintains compliance.
Question 177
Which control is most effective for ensuring that sensitive information transmitted over networks is protected from interception?
A) Implementing encryption protocols, secure communication channels, access controls, and monitoring network traffic
B) Monitoring network bandwidth usage
C) Performing endpoint antivirus scans
D) Conducting annual security awareness training
Answer: A
Explanation:
Implementing encryption protocols, secure communication channels, access controls, and monitoring network traffic is the most effective control for ensuring that sensitive information transmitted over networks is protected from interception. Data transmitted over networks, including emails, file transfers, and application communications, is susceptible to eavesdropping, interception, and tampering by unauthorized parties if not properly secured. Encryption protocols, such as SSL/TLS for web traffic or IPsec for network communications, ensure that transmitted data is unreadable to anyone intercepting the communication, maintaining confidentiality and integrity. Secure communication channels, including virtual private networks (VPNs) and secure tunneling mechanisms, protect data in transit by providing encrypted pathways and authentication between endpoints. Access controls restrict the ability to connect to network resources, ensuring that only authorized users and systems can transmit or receive sensitive information. Monitoring network traffic provides visibility into communications, enabling detection of anomalies, suspicious activity, or policy violations, and supports incident response and forensic investigations. This integrated approach provides preventive assurance by encrypting data and controlling access and detective assurance by monitoring traffic and identifying potential threats. Auditors can review encryption configurations, VPN and secure channel setups, access control policies, and network monitoring logs to verify that transmitted information is protected according to organizational policies and regulatory requirements such as ISO 27001, NIST, HIPAA, and PCI DSS. Effective network data protection reduces the risk of data breaches, unauthorized disclosure, operational disruption, and regulatory penalties. Continuous monitoring, regular testing of encryption protocols, and periodic audits ensure that controls remain effective as threats, technologies, and communication patterns evolve. Integration with identity and access management, incident response, and security monitoring enhances governance, accountability, and operational resilience. Proper documentation of encryption protocols, secure channels, access policies, and monitoring reports supports audit readiness, regulatory compliance, and organizational transparency. By implementing encryption protocols, secure communication channels, access controls, and monitoring network traffic, organizations ensure that sensitive information transmitted over networks is secure, monitored, and auditable. Preventive measures protect data proactively, while detective measures provide evidence, visibility, and support corrective actions. Continuous evaluation maintains effectiveness, mitigates risks, and ensures compliance. Organizations with robust network data protection practices safeguard critical information, maintain operational continuity, reduce exposure to threats, and demonstrate governance to auditors and regulators. Network monitoring, antivirus scanning, and awareness training complement but do not replace structured transmission security. Structured network data protection provides both preventive and detective assurance, strengthens accountability, and maintains compliance.
Question 178
Which control is most effective for ensuring that business-critical applications are tested for vulnerabilities before deployment?
A) Implementing pre-deployment vulnerability assessments, penetration testing, code reviews, and risk evaluation
B) Monitoring network bandwidth usage
C) Performing endpoint antivirus scans
D) Conducting annual security awareness training
Answer: A
Explanation:
Implementing pre-deployment vulnerability assessments, penetration testing, code reviews, and risk evaluation is the most effective control for ensuring that business-critical applications are tested for vulnerabilities before deployment. Business-critical applications often handle sensitive information, support core processes, and integrate with multiple systems, making them prime targets for cyber threats. Pre-deployment vulnerability assessments identify weaknesses in the application or supporting infrastructure, including misconfigurations, outdated components, or potential entry points for attackers. Penetration testing simulates real-world attacks to assess how the application responds to exploitation attempts, providing insight into security gaps that automated scanning may not detect. Code reviews involve examining source code manually or with automated tools to identify coding errors, insecure practices, and potential vulnerabilities that could compromise the application. Risk evaluation assesses the potential impact and likelihood of vulnerabilities on business operations, compliance requirements, and organizational objectives, enabling prioritization of remediation efforts before deployment. This integrated approach provides preventive assurance by identifying and addressing vulnerabilities prior to live operation, and detective assurance by systematically reviewing and testing code and configurations. Auditors can review vulnerability assessment reports, penetration testing results, code review records, and risk evaluations to verify that pre-deployment testing is comprehensive and aligned with organizational policies and regulatory requirements such as ISO 27001, NIST, HIPAA, and PCI DSS. Effective pre-deployment testing reduces the likelihood of security incidents, data breaches, operational disruptions, financial loss, and reputational damage. Continuous monitoring, follow-up assessments, and periodic reviews ensure that testing methodologies remain effective as technologies, threats, and application requirements evolve. Integration with change management, secure development lifecycle processes, and incident response enhances governance, accountability, and operational resilience. Proper documentation of assessments, penetration testing, code reviews, and risk evaluations supports audit readiness, compliance, and organizational transparency. By implementing pre-deployment vulnerability assessments, penetration testing, code reviews, and risk evaluation, organizations ensure that business-critical applications are secure, tested, and aligned with organizational objectives. Preventive measures mitigate vulnerabilities proactively, while detective measures provide visibility and verification of potential issues. Continuous evaluation maintains effectiveness, reduces operational and security risks, and ensures regulatory compliance. Organizations with robust pre-deployment testing practices protect critical systems, maintain operational continuity, reduce exposure to threats, and demonstrate governance to auditors and regulators. Network monitoring, antivirus scanning, and awareness training complement security objectives but cannot replace structured vulnerability testing and risk evaluation. Structured pre-deployment testing provides both preventive and detective assurance, strengthens accountability, and ensures secure deployment of critical applications.
Question 179
Which audit procedure is most effective for verifying that system access controls are consistently applied across all applications?
A) Reviewing user access policies, access control matrices, audit logs, and exception reports
B) Monitoring network bandwidth usage
C) Performing endpoint antivirus scans
D) Conducting annual security awareness training
Answer: A
Explanation:
Reviewing user access policies, access control matrices, audit logs, and exception reports is the most effective audit procedure for verifying that system access controls are consistently applied across all applications. Consistent access control ensures that users have appropriate permissions, reduces the risk of unauthorized access, and protects sensitive data. User access policies define roles, responsibilities, and approval requirements, setting the framework for uniform access management across applications. Access control matrices provide detailed mappings of users, roles, and permissions, enabling auditors to assess whether access rights align with policies and organizational objectives. Audit logs record user activities, login attempts, and changes to access privileges, providing visibility into actual system usage and enabling detection of deviations from policy. Exception reports highlight instances where access rights do not conform to established policies, helping organizations identify and remediate misconfigurations, excessive privileges, or unauthorized access. This integrated approach provides preventive assurance by enforcing access policies consistently, and detective assurance by monitoring, logging, and reporting deviations. Auditors can review access policies, matrices, audit logs, and exception reports to confirm that access controls are applied uniformly, aligned with regulatory requirements such as ISO 27001, NIST, HIPAA, and SOX, and effectively protect sensitive information. Effective application of access controls reduces the likelihood of security breaches, unauthorized data manipulation, operational disruptions, and regulatory penalties. Continuous monitoring, periodic audits, and follow-up on exceptions ensure that controls remain effective as systems, users, and business requirements change. Integration with identity management, privileged access management, and incident response strengthens governance, accountability, and operational resilience. Proper documentation of access policies, control matrices, audit logs, and exceptions supports audit readiness, regulatory compliance, and organizational transparency. By reviewing user access policies, access control matrices, audit logs, and exception reports, auditors can verify that access management is consistently applied, deviations are detected, and risks are mitigated. Preventive measures enforce proper access assignment, while detective measures provide evidence, visibility, and support for corrective actions. Continuous evaluation maintains control effectiveness, reduces operational and security risks, and ensures compliance. Organizations with robust access management protect sensitive data, maintain operational integrity, reduce exposure to threats, and demonstrate governance to auditors and regulators. Network monitoring, antivirus scanning, and awareness training support security objectives but cannot verify consistency across applications. Structured access control management provides both preventive and detective assurance, strengthens accountability, and maintains regulatory compliance.
Question 180
Which control is most effective for ensuring that critical system patches are applied in a timely manner?
A) Implementing patch management policies, automated deployment tools, 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 patch management policies, automated deployment tools, testing procedures, and monitoring compliance is the most effective control for ensuring that critical system patches are applied promptly. Patch management is crucial for addressing known vulnerabilities, protecting against exploits, and maintaining system stability. Patch management policies define responsibilities, timelines, approval requirements, and procedures for applying updates, ensuring a structured approach that aligns with organizational risk tolerance and regulatory requirements. Automated deployment tools facilitate consistent and timely distribution of patches across systems, reducing manual errors and delays. Testing procedures validate patches in controlled environments before deployment to production systems, ensuring that updates do not disrupt operations, introduce conflicts, or compromise functionality. Monitoring compliance ensures that all systems receive required patches within defined timelines, identifies missing or failed updates, and supports reporting and accountability. This integrated approach provides preventive assurance by enforcing patch application and control policies, and detective assurance by monitoring deployment, testing outcomes, and adherence to schedules. Auditors can review patch management policies, deployment records, test results, and monitoring logs to verify that critical patches are applied timely manner and in accordance with organizational policies and regulatory frameworks such as ISO 27001, NIST, HIPAA, and PCI DSS. Effective patch management reduces the risk of exploitation, data breaches, system downtime, operational disruptions, and regulatory noncompliance. Continuous monitoring, automated alerts, and periodic audits ensure controls remain effective as systems, vulnerabilities, and business requirements evolve. Integration with configuration management, incident response, and vulnerability management strengthens governance, accountability, and operational resilience. Proper documentation of patch policies, deployment logs, test results, and compliance reports supports audit readiness, regulatory compliance, and organizational transparency. By implementing patch management policies, automated deployment tools, testing procedures, and monitoring compliance, organizations ensure that critical system vulnerabilities are mitigated, patches are applied consistently, and risks are managed proactively. Preventive measures enforce timely patching, while detective measures provide evidence, visibility, and opportunities for corrective actions. Continuous evaluation maintains effectiveness, reduces operational and security risks, and ensures compliance with organizational and regulatory requirements. Organizations with robust patch management protect critical systems, maintain operational continuity, reduce exposure to threats, and demonstrate governance to auditors and regulators. Network monitoring, antivirus scanning, and awareness training support overall security, but do not guarantee timely patch application. Structured patch management provides both preventive and detective assurance, strengthens accountability, and maintains compliance.