Isaca CISA Certified Information Systems Auditor Exam Dumps and Practice Test Questions Set 3 Q31-45

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Question 31

An organization wants to ensure that its cloud service provider maintains proper security controls over customer data. Which audit procedure is most effective?

A) Reviewing the provider’s service-level agreements (SLAs) and audit reports
B) Performing endpoint antivirus scans on internal systems
C) Monitoring internal network traffic for anomalies
D) Conducting employee awareness training sessions

Answer: A

Explanation:

Reviewing the provider’s service-level agreements (SLAs) and audit reports is the most effective audit procedure for ensuring that a cloud service provider maintains proper security controls over customer data. SLAs define the responsibilities of both the provider and the client, including uptime guarantees, data protection requirements, incident response, compliance with regulatory standards, and reporting obligations. Auditors examine SLAs to verify that security expectations and operational responsibilities are clearly documented and enforceable. Audit reports, such as SOC 1, SOC 2, ISO 27001 certifications, or third-party audit results, provide independent verification that the cloud provider implements controls to protect data confidentiality, integrity, and availability. By reviewing these documents, auditors can assess whether controls are aligned with organizational requirements, whether risk management practices are in place, and whether compliance with regulations such as GDPR or HIPAA is maintained.

Performing endpoint antivirus scans on internal systems helps protect devices from malware, ransomware, and viruses. While this is critical for internal security, it does not provide evidence regarding the cloud provider’s security posture. Antivirus scanning addresses threats to local endpoints but cannot verify whether the cloud provider enforces proper security controls, access restrictions, or encryption.

Monitoring internal network traffic for anomalies allows an organization to detect unusual patterns, unauthorized access attempts, or potential intrusions within its own network. Although network monitoring is essential for detecting threats to internal infrastructure, it does not verify the security practices of an external cloud service provider. The cloud provider’s environment, infrastructure security, and compliance procedures cannot be evaluated solely through internal network observations.

Conducting employee awareness training sessions educates staff about security best practices, phishing prevention, password policies, and data handling procedures. Awareness training reduces the likelihood of human error and social engineering attacks, but does not ensure that the cloud provider maintains appropriate security controls. It is preventive for internal staff behavior, but does not address third-party control effectiveness.

By reviewing SLAs and audit reports, auditors can confirm that contractual obligations include appropriate security measures such as encryption, access controls, monitoring, incident reporting, and data retention policies. Audit reports provide independent evidence of control implementation and effectiveness, helping identify potential gaps or risks in the provider’s processes. Combining SLA review with audit reports allows auditors to evaluate both contractual and operational controls. They can verify whether data security responsibilities are clearly defined, whether performance metrics align with organizational expectations, and whether remediation procedures exist for incidents or noncompliance.

This approach ensures accountability and transparency from the provider. It enables risk-based decisions regarding data protection, regulatory compliance, and operational reliance on the cloud service. Auditors can also verify whether the provider undergoes regular independent assessments, implements industry-standard security frameworks, and maintains continuity and disaster recovery plans. Evidence from audit reports combined with SLA obligations supports management in assessing residual risk, developing oversight strategies, and making informed decisions about using cloud services. Reviewing the provider’s service-level agreements and audit reports is the most effective procedure for verifying proper security controls over customer data. Endpoint antivirus scanning, internal network monitoring, and employee awareness training support internal security, but do not assure cloud provider controls. SLA and audit review provide both contractual and operational evidence of security, compliance, and accountability, making it the strongest approach for third-party risk assessment.

Question 32

Which control is most effective for preventing unauthorized use of removable media in a corporate environment?

A) Implementing device control policies and endpoint encryption
B) Performing periodic network bandwidth analysis
C) Conducting annual IT security awareness training
D) Reviewing backup logs

Answer: A

Explanation:

Implementing device control policies and endpoint encryption is the most effective control for preventing unauthorized use of removable media in a corporate environment. Device control policies define which devices, such as USB drives, external hard disks, or SD cards, are allowed to connect to corporate endpoints. These policies can block unauthorized devices, enforce encryption on approved media, and restrict read/write access based on user roles. Endpoint encryption ensures that even if removable media is lost or stolen, the data contained is unreadable to unauthorized users. Together, these measures provide preventive and detective controls to mitigate data leakage risks, enforce compliance, and maintain the confidentiality of corporate information. Device control solutions often include audit logging, allowing administrators to track attempted or successful usage of removable media, providing accountability and evidence for internal and external audits.

Performing periodic network bandwidth analysis evaluates throughput, latency, and congestion within the network. While useful for operational monitoring and detecting unusual traffic patterns, bandwidth analysis does not prevent or detect unauthorized use of removable media. Unauthorized copying or transfer of data to removable devices may occur entirely offline, bypassing network monitoring.

Conducting annual IT security awareness training educates employees about security policies, acceptable use, phishing prevention, and proper handling of sensitive data. While training reduces the likelihood of human error and encourages compliance, it cannot technically enforce restrictions on removable media. Employees may still attempt unauthorized actions, intentionally or unintentionally, even after awareness sessions. Awareness is supportive but not a primary preventive control.

Reviewing backup logs verifies whether critical data has been backed up and whether backups are performed successfully. Backup log reviews ensure data recoverability but do not prevent unauthorized copying or transfer of sensitive information to removable media. Backups provide resilience in case of loss, but do not address preventive control over data exfiltration.

Device control policies combined with endpoint encryption provide direct enforcement. Organizations can define which removable devices are allowed, enforce encryption on approved devices, log attempted usage, and block unauthorized connections automatically. Logs provide auditors and administrators with evidence of control effectiveness and enable the detection of policy violations. Proper implementation ensures that sensitive data cannot be copied, transferred, or removed without authorization, reducing the risk of data breaches, regulatory violations, and operational exposure. Device control solutions may also integrate with endpoint management platforms to enforce compliance centrally across the corporate environment.

Implementing device control policies and endpoint encryption is the most effective control for preventing unauthorized use of removable media. Network bandwidth monitoring, awareness training, and backup log review support operational or security goals but do not directly enforce or monitor removable media usage. Device control and encryption provide technical enforcement, detection, and auditability, ensuring data protection and accountability.

Question 33

Which audit procedure is most effective for verifying that system logs are being generated and reviewed regularly?

A) Reviewing log configuration settings and examining log review reports
B) Monitoring network bandwidth usage
C) Conducting periodic antivirus scans
D) Performing user satisfaction surveys

Answer: A

Explanation:

Reviewing log configuration settings and examining log review reports is the most effective audit procedure for verifying that system logs are being generated and reviewed regularly. System logs record critical events such as user logins, access to sensitive files, configuration changes, system errors, and security alerts. Reviewing log configuration ensures that logging is enabled on all relevant systems, that events are captured at an appropriate level of detail, and that logs are retained according to organizational policy and regulatory requirements. Examining log review reports verifies that logs are monitored and analyzed regularly for anomalies, unauthorized activities, and operational issues. Together, these procedures provide both preventive and detective assurance. Proper logging and regular review support incident detection, forensic investigation, compliance with regulations, and accountability for system usage.

Monitoring network bandwidth usage evaluates throughput, latency, and traffic patterns. While bandwidth monitoring can detect unusual activity at the network level, it does not provide evidence that system logs are being generated or reviewed. Network metrics focus on operational performance rather than auditing user activity or security events.

Conducting periodic antivirus scans protects endpoints from malware, ransomware, and viruses. Although antivirus scanning supports overall system security, it does not verify that system logs are being properly generated or reviewed. Antivirus provides preventive protection but does not confirm adherence to logging policies or log review practices.

Performing user satisfaction surveys collects feedback on employee perceptions of IT services, system usability, or support quality. Surveys provide operational insights but do not ensure that system logs exist, are complete, or are reviewed regularly. Survey data does not offer evidence for audit purposes regarding log monitoring or compliance with logging policies.

Reviewing log configuration settings ensures that logging mechanisms are correctly enabled and capture relevant events. Examining log review reports confirms that the logs are being monitored and acted upon. Auditors can verify the timeliness, completeness, and adequacy of log reviews, and can identify gaps in event detection or response processes. These procedures also support compliance with regulatory frameworks such as PCI DSS, HIPAA, and SOX, which require proper logging and monitoring of critical systems. Effective log management enhances visibility into system operations, strengthens incident detection, and facilitates accountability and traceability.

Reviewing log configuration settings and examining log review reports is the most effective audit procedure to verify regular log generation and review. Network bandwidth monitoring, antivirus scans, and user satisfaction surveys support operational and security goals but do not assure logging practices. Proper configuration and review of logs ensure accountability, detect anomalies, and support regulatory compliance, making it the strongest control for system event monitoring.

Question 34

Which control is most effective for ensuring that only authorized software updates are applied to production systems?

A) Implementing a patch management approval workflow with testing
B) Conducting periodic network performance monitoring
C) Performing endpoint antivirus scans
D) Conducting annual employee security awareness training

Answer: A

Explanation:

Implementing a patch management approval workflow with testing is the most effective control for ensuring that only authorized software updates are applied to production systems. Patch management workflows define the procedures for identifying, evaluating, approving, testing, and deploying updates. The approval step ensures that changes are reviewed by appropriate personnel before installation, minimizing the risk of unauthorized or untested updates being applied to critical systems. Testing updates in a non-production environment validates compatibility, stability, and operational impact before deployment, reducing the likelihood of system downtime or operational failures. By formalizing the patch management process, organizations can enforce accountability, maintain configuration integrity, and document all activities for audit purposes. Auditors can examine approval records, test results, and deployment logs to verify that the patch management process is followed consistently, providing both preventive and detective assurance that updates are authorized and properly implemented.

Conducting periodic network performance monitoring evaluates throughput, latency, and bandwidth usage. While network monitoring is essential for identifying performance issues or operational anomalies, it does not verify whether software updates have been properly approved or tested. Network metrics provide operational visibility but do not enforce software update governance or compliance.

Performing endpoint antivirus scans protects devices from malware, ransomware, and other malicious code. Antivirus scanning helps maintain system integrity by preventing malicious modifications, but it does not control or monitor the authorization of legitimate software updates. Antivirus solutions detect threats but do not ensure that updates follow approval workflows or testing procedures.

Conducting annual employee security awareness training educates staff on security best practices, acceptable use policies, and safe handling of software. While training reduces the likelihood of accidental errors or policy violations, it does not technically enforce the authorization, testing, or deployment of software updates. Awareness training is preventive in nature, but cannot assure that the patch management process is applied consistently.

A patch management approval workflow with testing provides direct technical enforcement and oversight. Organizations can define policies for criticality, testing requirements, rollback procedures, and authorization levels. Approval logs, test results, and deployment records offer verifiable evidence that updates are applied correctly and safely. This process mitigates the risk of introducing unstable updates, unauthorized changes, or security vulnerabilities. It also ensures compliance with regulatory requirements, internal policies, and operational standards. Continuous monitoring and auditing of patch workflows allow management to detect exceptions, enforce corrective action, and maintain operational resilience.

Implementing a patch management approval workflow with testing is the most effective control to ensure that only authorized software updates are applied to production systems. Network performance monitoring, antivirus scanning, and employee awareness training support operational efficiency and security, but do not enforce update authorization or validate testing. Patch management workflows provide structured, verifiable evidence of control, minimizing risk and maintaining system reliability.

Question 35

Which audit procedure is most effective for verifying that sensitive files are encrypted when transmitted over external networks?

A) Reviewing encryption configuration settings and analyzing transmission logs
B) Performing periodic network bandwidth analysis
C) Conducting user access reviews
D) Monitoring antivirus update compliance

Answer: A

Explanation:

Reviewing encryption configuration settings and analyzing transmission logs is the most effective audit procedure for verifying that sensitive files are encrypted when transmitted over external networks. Encryption configuration settings determine which protocols are used, the strength of cryptographic algorithms, and whether encryption is applied consistently for all relevant files. Transmission logs provide evidence of data transfer events, including whether encryption was in place, the source and destination of files, and any potential errors during transfer. Auditors can verify that encryption policies align with regulatory requirements, such as GDPR, HIPAA, or PCI DSS, and that encryption is applied consistently across all external communications. This procedure ensures confidentiality, integrity, and protection against unauthorized access during transmission. By combining configuration review with log analysis, auditors obtain both preventive assurance (that encryption is enabled correctly) and detective assurance (that encryption is actually applied during transfers).

Performing periodic network bandwidth analysis evaluates throughput, latency, and traffic patterns. While monitoring bandwidth can help detect unusual network activity, it does not verify whether sensitive files are encrypted. Bandwidth metrics provide operational insight but cannot confirm the application of cryptographic controls or compliance with encryption policies.

Conducting user access reviews evaluates whether permissions and roles align with organizational policies. While access reviews support accountability and internal security, they do not ensure that files transmitted externally are encrypted. User permissions focus on who can access data internally, but encryption during external transfer is a technical control independent of user privileges.

Monitoring antivirus update compliance ensures that endpoints are protected against malware and threats. Although keeping antivirus software up to date is critical for system security, it does not ensure that files sent over external networks are encrypted. Antivirus scanning addresses malware protection, not the confidentiality of transmitted data.

By reviewing encryption settings and analyzing transmission logs, auditors can confirm that sensitive files are encrypted using approved protocols such as TLS, SFTP, or PGP. Logs allow verification of compliance with encryption requirements and can reveal instances where encryption was not applied. Regular audits of encryption policies, configuration settings, and transmission logs strengthen security posture, prevent unauthorized data access, and provide evidence for regulatory compliance. Organizations can also detect deviations, misconfigurations, or failures in encryption processes, ensuring timely remediation. Proper documentation of findings and audit trails ensures accountability and facilitates continuous improvement of encryption controls.

Reviewing encryption configuration settings and analyzing transmission logs is the most effective audit procedure for verifying that sensitive files are encrypted when transmitted externally. Network bandwidth analysis, access reviews, and antivirus compliance monitoring support operational security but do not assure encryption implementation. Configuration review combined with log analysis ensures confidentiality, integrity, and compliance, making it the strongest control for protecting data in transit.

Question 36

Which control is most effective for ensuring that privileged accounts are regularly reviewed and adjusted based on job roles?

A) Implementing periodic privileged access reviews with role reconciliation
B) Performing endpoint antivirus scans
C) Monitoring network bandwidth usage
D) Conducting annual user security awareness training

Answer: A

Explanation:

Implementing periodic privileged access reviews with role reconciliation is the most effective control for ensuring that privileged accounts are regularly reviewed and adjusted based on job roles. Privileged accounts have elevated access rights that allow modification of system configurations, data, and security settings. Regular reviews ensure that these accounts are appropriate, authorized, and aligned with current job responsibilities. Role reconciliation compares current access privileges against predefined role definitions, ensuring that privileges reflect business needs and minimizing unnecessary or excessive access. By performing periodic reviews, organizations can detect orphaned accounts, privilege creep, or accounts that no longer align with user responsibilities. Audit trails from access reviews provide evidence for compliance with internal policies, regulatory requirements, and security best practices. This approach reduces the risk of misuse, insider threats, and unauthorized changes, providing both preventive and detective assurance.

Performing endpoint antivirus scans protects devices from malware, ransomware, and other malicious software. Although antivirus scanning helps maintain system integrity, it does not verify that privileged accounts are appropriate, authorized, or aligned with job roles. Antivirus protects systems from threats, but does not address access control governance or role alignment.

Monitoring network bandwidth usage evaluates throughput, latency, and operational performance. While bandwidth monitoring is important for detecting anomalies or network congestion, it does not provide information about the appropriateness of privileged access. Bandwidth metrics do not track user accounts, roles, or authorization levels and therefore cannot ensure proper management of privileged accounts.

Conducting annual user security awareness training educates employees about security policies, social engineering, phishing, and proper handling of privileged access. Awareness training is important for reducing human error and promoting secure practices, but it does not technically enforce periodic reviews or adjustments of privileged account access. Training cannot detect misaligned or excessive privileges, nor can it ensure compliance with access control policies.

Privileged access reviews combined with role reconciliation provide direct oversight and verification. Organizations can define review frequency, responsible personnel, and criteria for privilege adjustments. Findings from reviews allow management to revoke unnecessary access, correct misassignments, and ensure alignment with segregation of duties principles. Audit documentation supports accountability, internal control validation, and regulatory compliance. This control also enables proactive detection of potential insider threats, reducing operational and security risk associated with elevated privileges.

Implementing periodic privileged access reviews with role reconciliation is the most effective control for ensuring that privileged accounts are regularly reviewed and adjusted. Endpoint antivirus scanning, bandwidth monitoring, and awareness training support security or operational goals, but do not enforce proper management of privileged accounts. Regular reviews with role reconciliation provide accountability, reduce risk, and maintain alignment with business responsibilities, making this the strongest control for privileged access governance.

Question 37

Which audit procedure is most effective for verifying that mobile devices accessing corporate data comply with security policies?

A) Reviewing mobile device management (MDM) logs and compliance reports
B) Performing periodic network bandwidth analysis
C) Conducting user satisfaction surveys
D) Installing antivirus software on endpoints

Answer: A

Explanation:

Reviewing mobile device management (MDM) logs and compliance reports is the most effective audit procedure for verifying that mobile devices accessing corporate data comply with security policies. MDM solutions enforce security controls on mobile devices, including password requirements, device encryption, remote wipe capabilities, application restrictions, and access permissions. By reviewing MDM logs, auditors can verify that devices are enrolled, policies are applied, and configurations remain compliant with organizational standards. Compliance reports provide a summary of devices that meet policy requirements, those that are out of compliance, and any corrective actions taken. This procedure ensures that sensitive data accessed from mobile devices is protected against unauthorized access, malware, or accidental data leakage. Regular review of MDM logs and reports provides both preventive and detective assurance, as unauthorized devices or non-compliant configurations can be identified and remediated promptly.

Performing periodic network bandwidth analysis evaluates throughput, latency, and data transfer patterns. While network monitoring is important for operational efficiency, it does not verify whether mobile devices adhere to security policies. Bandwidth analysis identifies performance issues or unusual traffic but cannot confirm compliance with encryption, access controls, or device configurations.

Conducting user satisfaction surveys collects feedback about the usability and effectiveness of IT services, including mobile access. While surveys provide operational insights, they do not verify whether mobile devices comply with security policies. Feedback from users cannot be relied upon to detect unauthorized access, misconfigurations, or policy violations on devices.

Installing antivirus software on endpoints protects devices from malware, ransomware, and viruses. While endpoint protection is important for device security, it does not enforce policy compliance on mobile devices or verify configuration settings. Antivirus software provides a preventive layer against threats, but does not offer visibility or enforcement for mobile device policy adherence.

By reviewing MDM logs and compliance reports, auditors can verify enrollment status, security configuration adherence, encryption usage, and application restrictions. Any deviations can be flagged, investigated, and remediated to maintain the confidentiality, integrity, and availability of corporate data. This approach also supports regulatory requirements such as GDPR, HIPAA, and PCI DSS, which mandate the protection of sensitive data across all devices. Furthermore, MDM solutions often provide detailed audit trails that document enforcement actions, failed compliance attempts, and corrective measures, enabling organizations to demonstrate control effectiveness. Continuous monitoring ensures that security policies remain enforced as devices are added, removed, or modified, and it allows proactive detection of potential risks before they result in data breaches or unauthorized access. Reviewing mobile device management logs and compliance reports is the most effective audit procedure to ensure that mobile devices comply with security policies. Network bandwidth monitoring, user surveys, and antivirus installation support operational and security objectives, but do not provide enforcement or verification of mobile device compliance. MDM logs and reports provide both preventive and detective assurance, ensuring device security, regulatory compliance, and accountability.

Question 38

Which control is most effective for ensuring that critical system configurations cannot be modified without authorization?

A) Implementing configuration management controls and change approval processes
B) Monitoring network performance metrics
C) Conducting antivirus scans
D) Performing annual user awareness training

Answer: A

Explanation:

Implementing configuration management controls and change approval processes is the most effective control for ensuring that critical system configurations cannot be modified without authorization. Configuration management involves maintaining a baseline of approved system settings, documenting changes, and controlling modifications through a formal change approval process. Change approval ensures that any configuration modification is reviewed, authorized, tested, and documented before implementation. Unauthorized changes are blocked or logged, providing preventive and detective assurance. By controlling configuration changes, organizations maintain system stability, integrity, and security, reducing the risk of operational failures, misconfigurations, or security vulnerabilities. Auditors can examine configuration baselines, change logs, and approval records to verify adherence to policies and evaluate control effectiveness.

Monitoring network performance metrics evaluates bandwidth, latency, and traffic flow. While network monitoring helps identify congestion or operational anomalies, it does not ensure that critical system configurations are authorized or maintained according to policy. Performance metrics provide operational insight but cannot detect unauthorized configuration changes.

Conducting antivirus scans protects systems from malware, viruses, and ransomware. While antivirus software maintains endpoint security, it does not enforce or verify configuration management. Malware protection is important for system integrity, but it cannot prevent changes to configuration settings by authorized users or misconfigurations introduced through improper change processes.

Performing annual user awareness training educates staff about security policies, acceptable use, and configuration procedures. While awareness training supports preventive behavior, it relies on user compliance and cannot enforce technical restrictions. Training alone cannot prevent or detect unauthorized modifications to critical system configurations.

Configuration management and change approval processes provide direct control over system settings. By defining a baseline and controlling deviations, organizations prevent unauthorized changes, ensure documentation, and maintain operational consistency. Logs of approved changes provide an audit trail for verification, while periodic reviews ensure ongoing compliance with organizational policies and regulatory requirements. These processes also enable quick identification of unauthorized changes, facilitating timely remediation and reducing the risk of security incidents or system downtime. Auditors can assess the effectiveness of these controls by reviewing change requests, approvals, testing results, and comparisons against baseline configurations, providing assurance that critical systems remain secure and operationally stable. Implementing configuration management controls with change approval processes is the most effective control to prevent unauthorized modifications to critical system configurations. Network monitoring, antivirus scanning, and awareness training support operational security but do not enforce or verify configuration control. Configuration management ensures system integrity, accountability, and compliance, making it the strongest preventive and detective control for critical system settings.

Question 39

Which audit procedure is most effective for verifying that user accounts are disabled promptly when employees leave the organization?

A) Reviewing HR termination records against system deprovisioning logs
B) Monitoring network bandwidth usage
C) Conducting endpoint antivirus scans
D) Performing database integrity checks

Answer: A

Explanation:

Reviewing HR termination records against system deprovisioning logs is the most effective audit procedure for verifying that user accounts are disabled promptly when employees leave the organization. Deprovisioning involves removing system access and privileges for users who no longer require access due to termination, role change, or other reasons. By comparing HR termination records with deprovisioning logs, auditors can confirm that access rights were revoked promptly, reducing the risk of unauthorized access, insider threats, or data breaches. This procedure provides both preventive and detective assurance: preventive because it ensures that access is removed when employees depart, and detective because it enables auditors to identify discrepancies, delays, or failures in the deprovisioning process. Timely deactivation of accounts ensures compliance with internal policies, segregation of duties requirements, and regulatory obligations such as SOX or GDPR.

Monitoring network bandwidth usage evaluates throughput, latency, and network performance. While bandwidth monitoring can identify operational anomalies or unusual traffic patterns, it does not provide evidence that user accounts have been disabled promptly. Network metrics cannot verify deprovisioning activities or account status.

Conducting endpoint antivirus scans protects devices from malware, ransomware, and viruses. Antivirus scans maintain endpoint security, but do not ensure that former employees’ accounts have been deactivated. Malware protection and deprovisioning are separate controls addressing different risks.

Performing database integrity checks evaluates whether data has been altered, corrupted, or compromised. While database integrity is important for data accuracy, it does not ensure that user accounts are disabled upon termination. Integrity checks focus on data consistency rather than access control enforcement.

Reviewing HR termination records against deprovisioning logs allows auditors to identify cases where access rights were not revoked, delayed, or improperly configured. The review supports accountability, ensures adherence to policies, and reduces the risk of unauthorized access. Combining HR records and system logs also enables verification across multiple systems, ensuring comprehensive coverage. Audit findings can be used to implement corrective actions, refine procedures, and enforce timely account management. Regular reconciliation between HR records and IT systems strengthens internal controls, reduces exposure to security threats, and provides evidence for regulatory compliance.

Reviewing HR termination records against system deprovisioning logs is the most effective audit procedure to verify that user accounts are disabled promptly when employees leave. Bandwidth monitoring, antivirus scanning, and database integrity checks support security and operational objectives but do not ensure proper deprovisioning. This procedure ensures accountability, reduces unauthorized access risk, and provides verifiable evidence of effective access control.

Question 40

Which control is most effective for ensuring that sensitive emails are not accidentally sent to unauthorized recipients?

A) Implementing email data loss prevention (DLP) controls
B) Conducting annual employee security awareness training
C) Monitoring network bandwidth usage
D) Performing endpoint antivirus scans

Answer: A

Explanation:

Implementing email data loss prevention (DLP) controls is the most effective control for ensuring that sensitive emails are not accidentally sent to unauthorized recipients. DLP systems monitor outgoing emails and attachments, analyzing content for sensitive data such as personally identifiable information, financial records, or intellectual property. Policies within the DLP system can automatically block, quarantine, or encrypt emails that violate data protection rules, ensuring that sensitive information does not leave the organization inappropriately. These controls provide both preventive and detective measures: preventive because they stop unauthorized transmission, and detective because they log attempts, allowing administrators to review and investigate incidents. DLP systems also support compliance with regulations such as GDPR, HIPAA, and SOX, which mandate the protection of sensitive information. The system can generate audit trails showing who attempted to send data, what content was involved, and what actions were taken, providing evidence for both internal reviews and external audits.

Conducting annual employee security awareness training educates staff about data handling policies, phishing risks, and proper email usage. While awareness reduces the likelihood of accidental disclosure, it does not technically enforce email protection or prevent unauthorized transmission in real time. Users may still inadvertently send sensitive emails despite training, making this control insufficient as the primary measure.

Monitoring network bandwidth usage provides insight into throughput, latency, and traffic anomalies. While useful for operational performance monitoring, bandwidth analysis cannot detect or prevent the transmission of sensitive information in emails. It provides no content-based filtering, and accidental or malicious data leakage may go unnoticed.

Performing endpoint antivirus scans protects devices from malware, ransomware, and viruses. While endpoint protection is crucial for overall system security, it does not prevent accidental or unauthorized transmission of sensitive emails. Antivirus software ensures system integrity but does not enforce data protection policies during email communication.

Email DLP solutions provide direct, automated enforcement of data protection policies. They can scan email content, attachments, and metadata, automatically encrypt sensitive data, or block transmission according to predefined rules. Regular review of DLP logs allows auditing and detection of policy violations, as well as identification of training or procedural gaps. Organizations can continuously refine DLP policies based on emerging threats or business needs, ensuring effective protection of sensitive information without relying solely on user behavior.

Implementing email data loss prevention controls is the most effective control for preventing sensitive emails from being sent to unauthorized recipients. Security awareness training, bandwidth monitoring, and antivirus scanning support security objectives, but do not enforce email-specific data protection. DLP ensures both preventive and detective assurance, reduces data leakage risk, and supports compliance with regulatory and organizational policies.

Question 41

Which audit procedure is most effective for verifying that application system inputs are validated to prevent data corruption?

A) Reviewing input validation rules and testing sample transactions
B) Monitoring network traffic for anomalies
C) Conducting periodic antivirus scans
D) Performing user satisfaction surveys

Answer: A

Explanation:

Reviewing input validation rules and testing sample transactions is the most effective audit procedure for verifying that application system inputs are validated to prevent data corruption. Input validation ensures that data entered into an application meets defined criteria such as format, range, completeness, and type. Validation rules prevent incorrect, incomplete, or malicious data from being accepted, reducing the risk of errors, data inconsistencies, or system failures. Auditors can review system documentation, configuration settings, and business rules to confirm that validation rules are correctly defined. Sample transaction testing simulates actual data entry scenarios, including boundary tests and invalid input cases, to verify that the system enforces validation consistently. This procedure provides both preventive assurance (rules are implemented correctly) and detective assurance (testing identifies failures or gaps in validation).

Monitoring network traffic for anomalies evaluates throughput, latency, and unusual patterns that may indicate security issues or operational problems. While network monitoring helps detect potential intrusions or performance issues, it does not verify that application inputs are validated. Traffic monitoring provides operational visibility but does not ensure data integrity within applications.

Conducting periodic antivirus scans protects endpoints and servers from malware, ransomware, and viruses. Antivirus software is critical for preventing malicious code from compromising system integrity, but it does not validate application data inputs or ensure proper handling of user-entered information. Endpoint protection and input validation address different aspects of security and data integrity.

Performing user satisfaction surveys collects feedback on usability, system performance, and user experience. Surveys provide operational insights but do not verify that input validation rules are in place or functioning. User feedback cannot be relied upon to detect data corruption, validation failures, or system vulnerabilities.

Input validation reviews and sample testing enable auditors to detect configuration errors, misapplied rules, or exceptions that could compromise data integrity. This approach also ensures compliance with internal control standards and regulatory requirements by verifying that data processed by applications is accurate, complete, and consistent. Audit procedures can include testing of boundary conditions, invalid formats, or special characters to confirm that the application enforces rules consistently. Detailed findings from these audits allow organizations to remediate weaknesses, strengthen controls, and prevent operational failures or reporting errors.

Reviewing input validation rules and testing sample transactions is the most effective audit procedure for ensuring that application system inputs are validated to prevent data corruption. Network monitoring, antivirus scanning, and user surveys provide operational and security insights but do not verify application-level validation. Input validation testing ensures data accuracy, integrity, and consistency, providing both preventive and detective assurance against errors and corruption.

Question 42

Which control is most effective for detecting unauthorized changes to critical system files?

A) Implementing file integrity monitoring (FIM) and automated alerts
B) Performing periodic network bandwidth analysis
C) Conducting annual security awareness training
D) Monitoring antivirus update compliance

Answer: A

Explanation:

Implementing file integrity monitoring (FIM) and automated alerts is the most effective control for detecting unauthorized changes to critical system files. FIM solutions continuously monitor files for changes such as modifications, deletions, additions, or attribute alterations. By establishing a baseline of approved file states, FIM can detect deviations in real time, generating automated alerts for investigation. This provides both preventive and detective assurance: preventive because it can block unauthorized modifications or trigger security actions, and detective because it produces evidence for analysis, audit, and compliance purposes. FIM helps protect system integrity, prevents malware from altering critical files, and supports regulatory requirements such as PCI DSS, HIPAA, and SOX. Auditors can review FIM logs to verify that unauthorized changes are detected, logged, and investigated, demonstrating the effectiveness of internal controls.

Performing periodic network bandwidth analysis evaluates throughput, latency, and data transfer patterns. While network monitoring is useful for operational and security purposes, it does not provide visibility into file-level changes. Bandwidth metrics cannot detect unauthorized modifications to system files, as file integrity issues may occur entirely within endpoints or servers.

Conducting annual security awareness training educates employees on security policies, acceptable use, and potential threats. While awareness reduces the likelihood of accidental or intentional malicious activity, it does not technically detect unauthorized file changes or generate alerts. Awareness training is supportive but cannot replace continuous, automated monitoring for critical files.

Monitoring antivirus update compliance ensures that endpoints are protected against malware and threats. While antivirus scanning helps prevent malicious software from modifying files, it does not provide evidence that all critical system file changes are tracked, logged, or investigated. Antivirus addresses threat prevention but does not replace integrity monitoring or audit trail generation.

FIM solutions provide detailed logs showing file changes, including the user or process responsible, timestamp, type of change, and affected file. Organizations can configure automated alerts to trigger investigations, enforce policy compliance, and support regulatory audit requirements. Regular review of FIM reports ensures that unauthorized changes are identified quickly, allowing prompt remediation. FIM also supports forensic investigations by maintaining historical records of file changes, enabling auditors to trace the source and nature of modifications. Integrating FIM with security information and event management (SIEM) systems enhances detection capabilities and centralizes monitoring for improved operational oversight.

Implementing file integrity monitoring with automated alerts is the most effective control for detecting unauthorized changes to critical system files. Network bandwidth analysis, security awareness training, and antivirus update monitoring support security and operational objectives, but do not directly detect file changes. FIM provides continuous monitoring, real-time alerts, and audit trails, ensuring system integrity, accountability, and compliance with regulatory and organizational requirements.

Question 43

Which control is most effective for ensuring that sensitive data stored in databases is protected from unauthorized access?

A) Implementing database access controls with role-based permissions and auditing
B) Conducting periodic network bandwidth analysis
C) Performing endpoint antivirus scans
D) Conducting annual employee security awareness training

Answer: A

Explanation:

Implementing database access controls with role-based permissions and auditing is the most effective control for ensuring that sensitive data stored in databases is protected from unauthorized access. Role-based access control (RBAC) allows organizations to assign access rights based on job responsibilities, limiting the ability of users to view, modify, or delete sensitive data. This ensures that users only have access to the information necessary to perform their roles, reducing the risk of insider threats or accidental data exposure. Database auditing provides a detailed record of all access attempts, changes made, and administrative activities. By regularly reviewing audit logs, auditors and administrators can detect unauthorized attempts, investigate anomalies, and enforce accountability. This combination of preventive and detective controls strengthens the security posture of database systems, ensures compliance with regulations such as GDPR, HIPAA, or SOX, and provides verifiable evidence that sensitive information is properly protected.

Conducting periodic network bandwidth analysis monitors throughput, latency, and traffic patterns. While network monitoring helps identify operational issues or unusual activity, it does not directly enforce access restrictions on database content or prevent unauthorized access. Bandwidth metrics provide visibility into network performance but do not offer control over database user privileges or data integrity.

Performing endpoint antivirus scans protects devices from malware, ransomware, and other malicious programs. Antivirus solutions are critical for maintaining system integrity and preventing infection-related data compromise, but they do not manage database access rights or log user activity. Malware prevention complements security but does not substitute for access control and auditing mechanisms.

Conducting annual employee security awareness training educates staff about policies, phishing, and safe handling of data. While awareness training reduces the likelihood of accidental data exposure, it does not technically prevent unauthorized database access or generate evidence for audit purposes. Training alone is insufficient to ensure the enforcement of access controls.

By implementing database access controls and auditing, organizations enforce consistent security policies, restrict unnecessary privileges, and maintain accountability. Audit logs provide historical evidence of access patterns, support forensic investigations, and demonstrate compliance with regulatory requirements. Regular review of logs allows the identification of privilege creep, orphaned accounts, or suspicious activities, enabling timely remediation. RBAC and auditing provide both preventive assurance—restricting access to authorized users—and detective assurance—alerting administrators to potential violations or anomalies. This control also supports continuous monitoring and integration with broader security management systems, enabling proactive risk management and operational reliability.

Implementing database access controls with role-based permissions and auditing is the most effective control for protecting sensitive data stored in databases. Network bandwidth analysis, endpoint antivirus scans, and employee awareness training support operational or security objectives but do not directly enforce or monitor access to sensitive data. Access controls combined with auditing ensure confidentiality, integrity, accountability, and regulatory compliance.

Question 44

Which audit procedure is most effective for verifying that encryption keys are properly managed and stored securely?

A) Reviewing key management policies, access logs, and rotation procedures
B) Performing endpoint antivirus scans
C) Monitoring network traffic for anomalies
D) Conducting user satisfaction surveys

Answer: A

Explanation:

Reviewing key management policies, access logs, and rotation procedures is the most effective audit procedure for verifying that encryption keys are properly managed and stored securely. Encryption keys are critical to protecting sensitive data, both at rest and in transit. Key management policies define how keys are generated, stored, accessed, rotated, and retired. Access logs provide evidence of who has accessed or attempted to access encryption keys, allowing auditors to verify that unauthorized access is prevented and detected. Key rotation procedures ensure that keys are updated periodically to reduce the risk of compromise and maintain cryptographic strength. By reviewing policies, logs, and rotation procedures, auditors can confirm adherence to best practices, assess compliance with regulations such as PCI DSS, GDPR, or HIPAA, and ensure that organizational data remains secure. This audit procedure provides preventive assurance—ensuring that proper controls are in place to protect keys—and detective assurance—providing evidence of key usage and potential misuse.

Performing endpoint antivirus scans protects devices from malware, ransomware, and viruses. Antivirus scanning is essential for maintaining system integrity, but it does not provide evidence that encryption keys are stored or managed securely. Endpoint protection complements key management security but does not replace it.

Monitoring network traffic for anomalies detects unusual activity, such as suspicious communications or potential intrusions. While this supports overall security monitoring, it does not verify the proper management or secure storage of encryption keys. Traffic monitoring provides visibility into network activity, but does not assure cryptographic key handling.

Conducting user satisfaction surveys collects feedback on employee experience with IT systems and services. While useful for operational insights, surveys do not provide evidence that encryption keys are properly managed or stored. Feedback alone cannot verify compliance with cryptographic policies or practices.

By reviewing key management policies, access logs, and rotation procedures, auditors can ensure that keys are stored securely, access is restricted to authorized personnel, and keys are rotated or retired in accordance with policy. Logs of key usage allow detection of unauthorized access attempts and demonstrate accountability. Policy reviews help verify that key management aligns with industry standards and regulatory requirements, reducing the risk of data exposure due to key compromise. Auditors can also assess integration of key management with overall information security controls, ensuring that encryption is implemented consistently across systems and applications.

Reviewing key management policies, access logs, and rotation procedures is the most effective audit procedure for verifying proper management and secure storage of encryption keys. Antivirus scanning, network monitoring, and user surveys support security and operational objectives but do not assure key management. Reviewing policies, logs, and rotation practices ensures preventive and detective controls, maintaining data confidentiality, integrity, and regulatory compliance.

Question 45

Which control is most effective for ensuring that cloud-based applications are securely configured and maintained?

A) Implementing continuous configuration monitoring with automated alerts and periodic reviews
B) Conducting endpoint antivirus scans
C) Monitoring network bandwidth usage
D) Performing annual employee security awareness training

Answer: A

Explanation:

Implementing continuous configuration monitoring with automated alerts and periodic reviews is the most effective control for ensuring that cloud-based applications are securely configured and maintained. Cloud applications are dynamic and may be accessed by multiple users across different environments, making them susceptible to misconfigurations that can lead to security vulnerabilities, data breaches, or service disruptions. Continuous monitoring tools scan configurations against a baseline of approved settings and security policies, detecting deviations in real time. Automated alerts notify administrators of non-compliance, enabling immediate corrective action. Periodic reviews complement real-time monitoring by providing a structured assessment of configurations, access controls, encryption settings, and system logs. Together, continuous monitoring and reviews provide both preventive assurance—reducing the likelihood of misconfigurations—and detective assurance—identifying and documenting deviations. This approach also ensures compliance with regulatory frameworks such as ISO 27001, SOC 2, HIPAA, or GDPR, which require consistent security controls in cloud environments.

Conducting endpoint antivirus scans protects devices from malware, ransomware, and viruses. While antivirus software is critical for overall system security, it does not verify the secure configuration or maintenance of cloud-based applications. Endpoint protection complements cloud security but does not directly address configuration compliance.

Monitoring network bandwidth usage evaluates throughput, latency, and traffic patterns. Bandwidth monitoring is useful for detecting performance issues or unusual traffic, but it does not ensure that cloud applications are securely configured or maintained according to policy. Network metrics provide operational insight but cannot detect misconfigurations or unauthorized changes within the cloud environment.

Performing annual employee security awareness training educates staff on secure cloud practices, acceptable use policies, phishing prevention, and data handling. While training helps reduce the risk of user error, it does not technically enforce or verify cloud application configurations. Awareness alone cannot prevent misconfigurations or provide audit evidence of compliance.

Continuous configuration monitoring with automated alerts provides real-time visibility into cloud environments, enabling administrators to enforce security policies, detect deviations, and remediate vulnerabilities promptly. Periodic reviews provide an additional layer of verification, ensuring that baseline configurations, access controls, and encryption standards are maintained. Audit logs generated from monitoring activities provide evidence for internal review and regulatory compliance, demonstrating accountability and adherence to security policies. This control also supports integration with cloud security posture management tools, enabling ongoing assessment and improvement of cloud security practices.

Implementing continuous configuration monitoring with automated alerts and periodic reviews is the most effective control for ensuring secure configuration and maintenance of cloud-based applications. Endpoint antivirus scanning, network monitoring, and security awareness training support operational and security goals, but do not enforce or verify cloud application configurations. Continuous monitoring and periodic reviews provide preventive and detective assurance, reducing misconfiguration risks, enhancing security, and ensuring regulatory compliance.