Visit here for our full Isaca CISA exam dumps and practice test questions.
Question 41.
Which of the following is the MOST important consideration when reviewing the effectiveness of an organization’s incident response plan?
A) Whether the plan has been tested through simulations and actual incidents
B) The number of pages in the incident response documentation
C) Whether the plan is stored in multiple locations
D) The cost of developing the incident response plan
Answer: A
Explanation:
The most important consideration when reviewing the effectiveness of an organization’s incident response plan is whether the plan has been tested through simulations, tabletop exercises, and actual incident responses to validate that procedures work as intended and that personnel can execute them effectively under pressure. An incident response plan that exists only on paper without testing provides false assurance and may fail during real incidents when coordination, communication, and technical procedures prove inadequate or when staff lack familiarity with their roles. Testing reveals gaps in the plan, identifies missing procedures or resources, validates assumptions about recovery timeframes, trains personnel on incident response processes, and builds organizational muscle memory for handling crises. Various testing methods provide different levels of validation including tabletop exercises where participants discuss response scenarios without actual system changes, functional tests where specific capabilities like backup restoration are tested in isolation, and full-scale simulations that test comprehensive response across multiple teams under realistic conditions. Reviews of actual incident response experiences provide the most valuable insights into plan effectiveness by revealing what worked well and what failed during real-world stress. Post-incident reviews should analyze response timeline, decision-making effectiveness, communication adequacy, technical recovery procedures, coordination between teams, and identification of lessons learned. An auditor reviewing incident response effectiveness examines testing frequency and realism, whether testing identifies and leads to correction of deficiencies, how actual incidents were handled and what improvements resulted, whether all critical personnel participate in testing, and whether test scenarios reflect current threat landscape and organizational systems. Plans that are not tested regularly become outdated as systems change, personnel turn over, and threat landscape evolves, while untested assumptions about recovery capabilities or response timeframes may prove incorrect during real incidents. Testing frequency should be risk-based with critical systems and high-likelihood scenarios tested more frequently. Documentation of testing results, deficiencies identified, and corrective actions taken demonstrates management commitment to incident response readiness.
Why other options are incorrect: B is incorrect because document length does not indicate plan effectiveness; a concise well-tested plan is superior to lengthy untested documentation. C is incorrect because while plan availability is important for business continuity, it does not validate whether procedures work or staff can execute them. D is incorrect because development cost does not correlate with plan effectiveness; expensive plans may be ineffective if not properly designed or tested.
Question 42.
An IS auditor is reviewing a cloud service provider’s compliance with a service level agreement (SLA). What should be the auditor’s PRIMARY focus?
A) Actual performance metrics compared to agreed-upon service levels
B) The technical specifications of cloud infrastructure
C) The provider’s marketing materials about services
D) The number of customers using the cloud service
Answer: A
Explanation:
When reviewing a cloud service provider’s compliance with a service level agreement, the auditor’s primary focus should be on comparing actual performance metrics to the agreed-upon service levels specified in the SLA to determine whether the provider is meeting contractual obligations. Service level agreements establish specific, measurable commitments regarding availability, performance, response times, security controls, support responsiveness, and other critical service aspects. The SLA should define metrics precisely including how they are measured, measurement periods, acceptable ranges or thresholds, and consequences when service levels are not met. Effective SLA review examines whether the provider maintains accurate measurement of agreed metrics, provides reliable reporting of performance against SLA commitments, achieves the specified service levels consistently, properly tracks and reports SLA violations, applies appropriate credits or penalties when commitments are not met, and maintains evidence supporting reported performance. Auditors should obtain provider performance reports, validate measurement methodologies, test accuracy of reported metrics through sampling or independent verification, compare actual performance to SLA thresholds, identify any SLA breaches and how they were addressed, review customer complaints or escalations related to service quality, and assess whether monitoring covers all material SLA commitments. Common SLA metrics include system availability percentage measured over specific periods, response time for user requests or transactions, time to resolve support tickets categorized by severity, data backup completion rates and restoration times, and security incident notification timeframes. Auditors should be alert to measurement methodologies that may artificially inflate reported performance, such as excluding certain downtime from availability calculations, measuring during favorable time periods, or using sampling that misses problem areas. The auditor should verify that measurement is independent and that reported performance is accurate. When SLA breaches occur, the review should determine whether contractual remedies such as service credits were properly applied and whether root causes were addressed to prevent recurrence. Significant or recurring SLA failures may indicate provider reliability concerns requiring escalation or contract renegotiation.
Why other options are incorrect: B is incorrect because while infrastructure specifications may affect capability to meet SLAs, actual measured performance against commitments is the primary compliance concern. C is incorrect because marketing materials are promotional content, not contractual commitments; SLA compliance is measured against formal SLA terms. D is incorrect because customer count does not indicate SLA compliance; a provider could have many customers while failing to meet service levels.
Question 43.
Which of the following is the GREATEST risk associated with granting excessive user access privileges?
A) Increased likelihood of unauthorized access to sensitive data and fraud
B) Higher software licensing costs
C) More frequent system updates required
D) Increased network bandwidth consumption
Answer: A
Explanation:
The greatest risk associated with granting excessive user access privileges is the increased likelihood of unauthorized access to sensitive data, fraud, errors, and insider threats, as users with access beyond what is necessary for their legitimate job functions can potentially view, modify, or exfiltrate information they should not access, commit fraud, or cause damage whether intentionally or accidentally. The principle of least privilege states that users should be granted only the minimum access rights necessary to perform their assigned duties and nothing more. Excessive privileges violate this principle and create security vulnerabilities because authorized users can access data outside their need-to-know, increasing risks of privacy breaches, intellectual property theft, or exposure of sensitive business information, users with administrative or elevated privileges can bypass security controls, modify audit logs, or create unauthorized accounts, employees facing financial pressures or grievances may exploit excessive privileges to commit fraud or sabotage, terminated employees with lingering excessive access can cause damage after employment ends, and attackers who compromise user credentials gain access to all resources those credentials permit. Real-world breaches frequently involve attackers using compromised credentials of over-privileged accounts to move laterally through networks and access sensitive systems. Excessive privilege accumulation often occurs through poor access management practices including granting access based on requests without proper approval or justification, users accumulating privileges as they move between roles without previous access being removed, temporary elevated access granted for specific purposes but never revoked, default installations granting broad access that is never restricted, and lack of periodic access reviews to identify and remove unneeded privileges. Auditors reviewing access controls should examine whether access granting follows least privilege principles, periodic reviews identify and remove excessive access, access is properly terminated when no longer needed, privileged access is granted only when justified and properly approved, and monitoring detects unusual use of privileged access. Remediating excessive privileges requires access certification reviews where managers attest that subordinates’ access is appropriate, comparing user access to role-based access control standards, and promptly removing identified excessive access. The challenge increases with system complexity, number of users, and frequency of organizational changes, requiring systematic access governance processes.
Why other options are incorrect: B is incorrect because licensing costs are a financial concern but do not represent the security risk that excessive access creates for data confidentiality and integrity. C is incorrect because system update frequency is unrelated to user access privilege levels. D is incorrect because bandwidth consumption is not significantly affected by access privileges and does not represent a comparable security risk to excessive access.
Question 44.
An organization is implementing a new enterprise resource planning (ERP) system. What should be the IS auditor’s PRIMARY concern during the implementation phase?
A) Whether proper change management and testing procedures are being followed
B) The cost of the ERP software licenses
C) The physical location of the ERP servers
D) The color scheme of the user interface
Answer: A
Explanation:
During ERP system implementation, the IS auditor’s primary concern should be whether the organization is following proper change management and testing procedures to ensure the new system functions correctly, meets business requirements, maintains data integrity, and does not introduce security vulnerabilities or operational disruptions. ERP implementations are complex, high-risk projects affecting multiple business processes and departments, with failures potentially causing significant business disruption, financial losses, and data integrity issues. Effective implementation requires structured change management including comprehensive requirements definition documenting business needs and system specifications, formal approval processes for design decisions and scope changes, risk assessment identifying potential implementation challenges, resource allocation ensuring adequate staffing and expertise, project planning with realistic timelines and milestones, and stakeholder communication keeping affected parties informed. Testing is critical to validate that the system works as intended through unit testing of individual components, integration testing verifying interfaces between modules and with other systems, user acceptance testing confirming the system meets business requirements, performance testing ensuring adequate system response under expected loads, security testing identifying vulnerabilities before production deployment, and data conversion testing validating that legacy data migrates accurately. Inadequate testing is a common cause of ERP implementation failures, with systems going live before critical defects are identified, resulting in business process disruptions, incorrect financial reporting, inventory discrepancies, or customer service failures. Change management failures occur when requirements are poorly defined leading to systems that do not meet business needs, insufficient user involvement results in low adoption, inadequate training leaves users unable to perform their jobs, or scope creep expands projects beyond original plans without corresponding time and resource adjustments. Auditors should review project governance structures, testing documentation and results, issue tracking and resolution processes, training plans and execution, data conversion strategies and validation, cutover plans for transitioning from legacy systems, and post-implementation support arrangements. Red flags include compressed timelines skipping testing phases, inadequate user involvement in requirements and testing, lack of formal change control for modifications, insufficient documentation, or management pressure to go live despite unresolved critical issues.
Why other options are incorrect: B is incorrect because while cost is a business concern, ensuring the system is properly implemented and tested to avoid failures is the primary risk management priority. C is incorrect because physical server location is an infrastructure consideration but not the primary implementation concern compared to functionality and testing. D is incorrect because user interface aesthetics are minor compared to ensuring the system functions correctly and is properly tested.
Question 45.
Which of the following BEST ensures the confidentiality of sensitive data stored in a database?
A) Encryption of data at rest and in transit
B) Daily database backups
C) Database performance tuning
D) Installing the database on the latest hardware
Answer: A
Explanation:
Encryption of data both at rest when stored in databases and in transit when transmitted across networks best ensures the confidentiality of sensitive data by rendering it unreadable to unauthorized parties who may gain access to storage media, intercept network communications, or compromise systems. Encryption transforms plaintext data into ciphertext using cryptographic algorithms and keys, ensuring that even if attackers obtain the encrypted data, they cannot read it without the decryption keys. Data at rest encryption protects database files, backups, and storage media from confidentiality breaches if physical media is stolen, systems are improperly decommissioned without secure data destruction, unauthorized administrators access database files directly, or attackers compromise operating systems gaining file-level access. Modern databases offer transparent data encryption encrypting entire databases or specific columns with sensitive data, with encryption and decryption performed automatically as data is written to and read from storage. Data in transit encryption protects data moving between applications and databases or between distributed database components, preventing network eavesdropping or man-in-the-middle attacks from exposing sensitive information. Transport Layer Security or equivalent protocols encrypt database connections ensuring confidentiality during transmission. Encryption implementation requires proper key management including generating cryptographically strong keys, protecting keys from unauthorized access through hardware security modules or key management services, rotating keys periodically, and securely destroying keys when no longer needed. Weak key management undermines encryption effectiveness if attackers can obtain decryption keys. Additional considerations include encryption algorithm strength using current standards like AES-256, encryption performance impacts and whether hardware acceleration is available, managing encryption for backups ensuring backed-up data remains protected, and compliance requirements with regulations like PCI DSS requiring encryption of cardholder data. Auditors reviewing database encryption should verify that sensitive data is encrypted both at rest and in transit, encryption uses strong current algorithms, keys are properly managed and protected, encryption applies to backups and archives, and performance impacts are acceptable. Encryption should be part of defense-in-depth, complementing access controls, authentication, network security, and monitoring.
Why other options are incorrect: B is incorrect because backups ensure availability and enable recovery but do not protect confidentiality of data in the database; backups themselves need encryption. C is incorrect because performance tuning improves efficiency but does not protect data confidentiality from unauthorized access. D is incorrect because hardware quality affects performance and reliability but does not provide confidentiality protection that encryption provides.
Question 46.
An IS auditor discovers that software developers have access to production systems. What is the auditor’s BEST recommendation?
A) Implement segregation of duties between development and production environments
B) Increase the password complexity requirements for developers
C) Provide developers with additional training
D) Install antivirus software on all developer workstations
Answer: A
Explanation:
When developers have access to production systems, the best recommendation is to implement proper segregation of duties between development and production environments, ensuring that personnel who develop code do not have the ability to deploy or modify code in production without proper authorization and independent review. Segregation of duties is a fundamental internal control principle that prevents individuals from having complete control over critical processes, reducing risks of errors, fraud, and unauthorized changes. Developer access to production creates multiple risks including developers can bypass change management controls and deploy untested or unapproved code directly to production, malicious or disgruntled developers can introduce backdoors, logic bombs, or other malicious code, developers may make expedient but poorly considered changes to fix production issues without proper analysis or testing, errors made by developers testing in production can cause outages or data corruption, lack of independent review means coding errors or security vulnerabilities may not be detected, and audit trails may be compromised if developers can modify production systems and logs. Proper segregation requires separate development, testing, and production environments with developers having full access only to development, limited access to testing for deployment and troubleshooting, and no routine access to production. Code promotion from development through testing to production should follow formal change management processes requiring independent approval, code review, and testing validation before production deployment. Access to production should be limited to operations staff responsible for executing approved changes. When developers must access production for urgent issue resolution, such access should require break-glass procedures with explicit approval, comprehensive logging, time limitations, and post-access review. Implementation challenges include resistance from developers who prefer direct production access for convenience, management pressure to expedite changes by bypassing controls, resource constraints limiting ability to maintain separate environments, and technical debt in legacy systems where separation is difficult. Auditors should recognize these challenges while emphasizing that the risks of allowing developer production access outweigh the convenience. Compensating controls might include enhanced monitoring, dual approval for production changes, or automated deployment pipelines that enforce segregation.
Why other options are incorrect: B is incorrect because password complexity does not address the fundamental segregation of duties issue; developers still have production access with stronger passwords. C is incorrect because training does not remove the inherent risk of developers having production access; structural controls are needed. D is incorrect because antivirus software protects against malware but does not address the segregation of duties concern regarding production access.
Question 47.
Which of the following is the MOST important factor to consider when evaluating the adequacy of an organization’s backup strategy?
A) Whether recovery time objectives and recovery point objectives can be met
B) The brand of backup software used
C) The color of the backup tape labels
D) The number of backup administrators employed
Answer: A
Explanation:
The most important factor when evaluating backup strategy adequacy is whether the strategy enables the organization to meet its recovery time objectives, which define how quickly systems and data must be restored after disruptions, and recovery point objectives, which define the maximum acceptable data loss measured in time. These objectives are derived from business impact analysis identifying critical business processes, dependencies, and tolerance for downtime and data loss. A backup strategy that cannot meet RTO and RPO requirements fails in its fundamental purpose of enabling business recovery after incidents. Evaluation should determine whether backup frequency supports RPO requirements, with more frequent backups needed when acceptable data loss windows are short, backup retention periods align with data recovery and compliance requirements, backup and restoration speeds enable meeting RTO targets including consideration of data volumes and network bandwidth, backup coverage includes all systems and data critical to meeting business requirements, restoration procedures are documented and tested regularly, and backup infrastructure has adequate capacity, redundancy, and geographic distribution. Common failures include backing up too infrequently resulting in data loss exceeding RPO when restoring from backups, storing backups only at the primary site making them unavailable during site disasters, inadequate restoration testing revealing that actual recovery times vastly exceed RTO when disaster strikes, backup retention too short to meet compliance or business requirements, lack of backup monitoring allowing backup failures to go undetected, and insufficient restoration capacity to restore multiple systems simultaneously during disasters. Testing is critical to validate that backup strategies work as intended, with restoration tests revealing whether RTOs and RPOs can actually be achieved under various failure scenarios. Tests should include restoring individual files, complete systems, and multiple simultaneous restorations simulating disaster scenarios. Organizations often discover during testing that documented RTOs cannot be met due to restoration bottlenecks, necessitating strategy revisions. Auditors should review whether documented RTOs and RPOs are based on current business requirements, backup strategies are designed to meet these objectives, regular testing validates recovery capabilities, test results are analyzed and strategies adjusted when deficiencies are identified, and backup success rates and restoration times are monitored and reported to management. Backup strategies should evolve as business requirements, data volumes, and technology capabilities change.
Why other options are incorrect: B is incorrect because while backup software capabilities matter, what is critical is whether the overall strategy meets recovery objectives regardless of vendor. C is incorrect because tape labeling is an administrative detail that does not determine whether recovery objectives can be met. D is incorrect because staffing is a resource consideration, but adequacy depends on whether RTOs and RPOs are achievable, not staff count alone.
Question 48.
An IS auditor is reviewing an organization’s patch management process. What is the PRIMARY concern if patches are applied without testing?
A) Patches may cause system instability or conflicts with existing applications
B) Patches may consume excessive storage space
C) Patches may slow down the internet connection
D) Patches may change the desktop wallpaper
Answer: A
Explanation:
The primary concern when patches are applied without testing is that they may cause system instability, introduce new vulnerabilities, create conflicts with existing applications or configurations, or disrupt business operations through unexpected system behavior or failures. While patches are essential for addressing security vulnerabilities and fixing bugs, they can have unintended consequences in complex environments with diverse applications, customizations, and interdependencies. History provides numerous examples of patches causing widespread problems including security patches that prevent systems from booting or cause blue screen errors, patches that conflict with antivirus software causing protection failures, updates that break compatibility with business-critical applications, patches that degrade system performance unacceptably, and vendor patches later withdrawn due to critical flaws. Testing patches before production deployment allows organizations to identify and address problems in controlled environments before affecting business operations. Effective patch management processes include maintaining test environments that reasonably approximate production configurations, prioritizing patches based on risk and criticality, testing patches in non-production first to identify compatibility issues or adverse effects, developing rollback procedures if patches cause problems, coordinating with application owners to assess potential impacts, and scheduling deployment during maintenance windows to minimize disruption. The challenge is balancing the need for timely patching to address security vulnerabilities against the risk of untested patches causing operational problems. Critical security patches addressing actively exploited vulnerabilities may require expedited deployment with abbreviated testing, while less critical patches allow more thorough testing. Organizations must make risk-based decisions about testing scope and timeline. Compensating controls for expedited patching include enhanced monitoring for issues, maintaining ability to quickly rollback problematic patches, and prioritizing critical systems for expedited patching while allowing longer testing for less critical systems. Auditors should review whether patch management processes include adequate testing requirements that are risk-based and account for patch criticality, test environment adequacy for identifying likely issues, documentation of testing results and deployment approvals, rollback procedures and capabilities, and lessons learned from previous patch-related incidents. Complete absence of testing represents an unacceptable risk that should be reported as a significant deficiency.
Why other options are incorrect: B is incorrect because while patches consume some storage, this is rarely a significant concern compared to the stability and compatibility risks of untested patches. C is incorrect because patches typically do not significantly impact internet bandwidth, and this is not a primary concern for patch testing. D is incorrect because patches rarely affect desktop wallpaper, and even if they did, this would be trivial compared to stability and compatibility risks.
Question 49.
Which of the following is the BEST method to ensure that terminated employee access to systems is promptly revoked?
A) Automated deprovisioning integrated with HR termination processes
B) Monthly manual review of all user accounts
C) Annual access recertification
D) Strong password policies for all users
Answer: A
Explanation:
The best method to ensure prompt revocation of terminated employee access is automated deprovisioning integrated with human resources termination processes, creating direct linkage between employment status changes and immediate access removal without relying on manual notification and action. Terminated employees who retain system access create significant security risks including malicious insiders stealing data or committing sabotage during notice periods or after termination, disgruntled employees accessing systems to harm the organization, external attackers exploiting credentials of former employees whose accounts remain active, and compliance violations when unauthorized former employees access regulated data. Manual processes often result in delays between termination and access revocation because IT departments are not notified promptly of terminations, termination paperwork is delayed or incomplete, access removal tasks are forgotten during busy termination procedures, or removal requires multiple steps across many systems that are not all completed. Automated deprovisioning addresses these vulnerabilities by integrating HR systems that record employment status with identity and access management platforms that control user access, triggering automatic immediate access suspension when termination is processed, ensuring consistent execution across all systems without manual intervention, providing audit trails documenting termination dates and access removal timestamps, and enabling real-time response rather than waiting for periodic reviews. Implementation involves establishing automated workflows that detect HR system termination events and propagate access revocation commands to all connected systems including network accounts, email, applications, physical access badges, VPN access, and remote access systems. The automation should handle various termination scenarios including immediate terminations requiring instant access revocation, resignations with notice periods where access may be monitored but eventually removed, and leave of absence situations requiring temporary suspension. Organizations should maintain manual override capabilities for exceptional circumstances while relying on automation for standard processing. Testing should verify that automation triggers reliably and that access is removed from all systems. Regular auditing should confirm that terminated employees no longer have active access and that automation is functioning correctly.
Why other options are incorrect: B is incorrect because monthly reviews create an unacceptable window where terminated employees retain access for up to thirty days, allowing significant harm during that period. C is incorrect because annual recertification is far too infrequent to ensure prompt access revocation after terminations. D is incorrect because password policies do not address access revocation for terminated employees; strong passwords do not help if the account should be disabled entirely.
Question 50.
An IS auditor is evaluating the organization’s disaster recovery plan documentation. Which element is MOST critical to ensure effective recovery?
A) Detailed step-by-step recovery procedures for critical systems and dependencies
B) The total number of pages in the disaster recovery plan
C) The type of binding used for the printed plan
D) The font size used throughout the documentation
Answer: A
Explanation:
The most critical element of disaster recovery plan documentation is detailed step-by-step recovery procedures for critical systems that provide clear actionable instructions enabling recovery personnel to restore systems and resume business operations even under stressful disaster conditions. Effective recovery procedures specify the exact sequence of actions required to restore each critical system, including prerequisite steps and dependencies, technical commands or configurations needed, responsible parties for each procedure step, estimated time required for completion, decision points requiring management approval, and verification steps to confirm successful recovery. Without detailed procedures, recovery efforts during actual disasters become chaotic improvisation rather than organized execution, with personnel uncertain about what actions to take, critical steps overlooked or performed incorrectly, system dependencies not properly addressed leading to failures, recovery taking far longer than planned, and errors compounded by stress and time pressure. Disaster recovery plans that exist only as high-level descriptions or conceptual frameworks provide insufficient guidance during actual recovery when specific technical actions are required. Documentation should be detailed enough that personnel with appropriate skills but no prior involvement in creating the plan can execute recovery procedures successfully. This requires documenting technical details that may seem obvious to system experts but are critical during recovery, such as server names, IP addresses, storage locations, configuration settings, and command syntax. Recovery procedures should address various failure scenarios since different disasters require different recovery approaches, with procedures for recovering from hardware failures, data corruption, cyberattacks, natural disasters, and other scenarios. Dependencies between systems must be explicitly documented showing which systems must be recovered in sequence because of interdependencies, preventing attempts to restore systems before their prerequisites are available. Regular testing validates whether documented procedures are accurate, complete, and executable, often revealing gaps or errors in documentation. Updates should maintain procedure accuracy as systems and configurations change. Documentation should be stored in locations accessible during disasters, recognizing that primary data centers may be unavailable, suggesting offsite storage, cloud repositories, or printed copies kept at recovery sites. Auditors reviewing disaster recovery documentation should assess whether procedures provide sufficient detail for execution by appropriately skilled personnel, cover critical systems and common disaster scenarios, reflect current system configurations, have been validated through testing, and are accessible at alternate locations.
Why other options are incorrect: B is incorrect because document length does not correlate with recovery effectiveness; concise accurate procedures are better than voluminous unclear documentation. C is incorrect because physical binding is irrelevant to recovery effectiveness; content quality and accessibility matter, not presentation format. D is incorrect because while readability is somewhat important, font size is a minor formatting concern compared to having detailed accurate recovery procedures.
Question 51.
What is the PRIMARY purpose of conducting a business impact analysis (BIA)?
A) To identify critical business processes and determine recovery priorities and requirements
B) To calculate the total IT budget for the next fiscal year
C) To determine employee satisfaction levels
D) To assess the organization’s marketing effectiveness
Answer: A
Explanation:
The primary purpose of conducting a business impact analysis is to identify critical business processes, assess the impact of disruptions to those processes, and determine recovery priorities including recovery time objectives and recovery point objectives that guide business continuity and disaster recovery planning. The BIA provides essential foundation for resilience by identifying which processes are most critical to operations, survival, and revenue generation, what financial and operational impacts result from process disruptions measured over time, how quickly processes must be restored to avoid unacceptable consequences, what dependencies exist between processes and supporting IT systems and resources, and what resource requirements are needed for recovery. The BIA methodology involves identifying all business processes and functions, interviewing process owners and stakeholders to understand criticality and time sensitivity, analyzing financial impacts including lost revenue, regulatory penalties, and recovery costs, assessing operational impacts such as customer service degradation and reputation damage, documenting dependencies on technology, personnel, facilities, and third parties, and determining maximum tolerable downtime before impacts become catastrophic. Results enable prioritizing recovery efforts to restore most critical processes first, allocating budgets appropriately for recovery capabilities, designing recovery strategies that meet identified requirements, and justifying investments in continuity measures to senior management. Without comprehensive BIA, organizations risk recovering less critical systems before vital ones, investing inadequately in critical process protection, establishing unrealistic recovery objectives, and experiencing greater impacts during actual disruptions. The BIA should be updated regularly as business priorities evolve.
Why other options are incorrect: B is incorrect because BIA focuses on continuity requirements, not budget planning which is a separate financial process. C is incorrect because employee satisfaction is measured through surveys, not business impact analysis. D is incorrect because BIA assesses business resilience needs, not marketing performance.
Question 52.
Which of the following is the MOST important control to prevent unauthorized changes to application source code?
A) Version control system with access restrictions and change logging
B) Weekly meetings with development team
C) Comfortable office furniture for developers
D) Free snacks in the break room
Answer: A
Explanation:
A version control system with proper access restrictions and comprehensive change logging is the most important control to prevent unauthorized changes to application source code by maintaining authoritative repositories of code, controlling who can make changes, tracking all modifications with attribution, and enabling detection of unauthorized alterations. Version control systems like Git, Subversion, or similar platforms serve as central repositories where authorized versions of source code are stored, providing single source of truth for application code. Access controls restrict code modification rights to authorized developers while allowing read access for review purposes, preventing unauthorized personnel from altering code. Check-in and commit procedures require developers to authenticate before making changes, provide comments explaining modifications, and associate changes with approved work items or change requests. The system maintains complete history of all code changes including who made each change, when it occurred, what was modified, and why through commit messages. This audit trail enables detecting unauthorized changes, investigating suspicious modifications, rolling back problematic changes, and holding individuals accountable for their actions. Branch and merge controls prevent direct modification of production code, requiring changes to go through development and testing branches before merging to production. Code review workflows can be enforced where changes require approval from other developers before acceptance. Automated integration with issue tracking links code changes to approved requirements or defect fixes, ensuring all changes are authorized. Alerts can notify security teams of suspicious activities like commits from unexpected accounts or modifications to sensitive code sections. Without version control, source code management becomes chaotic with no reliable way to track changes, prevent unauthorized modifications, or recover from errors.
Why other options are incorrect: B is incorrect because meetings are coordination activities that do not technically prevent unauthorized code changes. C is incorrect because furniture comfort is unrelated to preventing unauthorized code modifications. D is incorrect because snacks are amenities that do not provide access control or change tracking for source code.
Question 53.
An IS auditor finds that database administrators have the ability to modify application data directly. What is the BEST recommendation?
A) Implement compensating controls such as logging and regular review of DBA activities
B) Eliminate all database administrator positions
C) Move the database to a different location
D) Change the database software vendor
Answer: A
Explanation:
When database administrators have the technical ability to modify application data directly, which is often unavoidable because DBAs need privileged access to perform their legitimate duties, the best recommendation is implementing compensating controls such as comprehensive activity logging, regular review of DBA activities, and separation of duties where possible to detect and deter inappropriate use of privileges. Complete prevention of DBA data access is typically impractical because DBAs require elevated privileges to perform essential functions including database installation and configuration, performance tuning and optimization, backup and recovery operations, applying security patches, troubleshooting production issues, and responding to emergencies. However, unrestricted DBA access creates risks including DBAs could commit fraud by altering financial data, modify audit logs to cover tracks, steal sensitive information like customer data or intellectual property, make unauthorized changes causing data corruption, or accidentally damage data through errors. Compensating controls mitigate these risks through database activity monitoring capturing all privileged operations including data modifications, access to sensitive tables, and configuration changes, with logs stored securely where DBAs cannot alter them. Regular review of DBA activity logs by information security or internal audit identifies anomalous behavior such as after-hours access, unexpected data modifications, or access to inappropriate systems. Separation of duties assigns different DBAs to development versus production, preventing individuals from having unrestricted access across environments. Break-glass procedures require explicit approval and justification before DBAs can access production data, with activities logged and reviewed afterward. Dual controls may require two DBAs to approve sensitive operations. Technical controls can include read-only replicas for reporting and analysis, reducing need for production access, and privileged access management systems controlling and monitoring administrative sessions. Organizations should document legitimate reasons for DBA data access and investigate deviations.
Why other options are incorrect: B is incorrect because eliminating DBAs is impractical as these roles are essential for database operations and management. C is incorrect because relocating databases does not address the fundamental issue of DBA privileges. D is incorrect because changing vendors does not solve the inherent need for DBAs to have elevated access regardless of database platform.
Question 54.
Which of the following BEST describes the purpose of a penetration test?
A) To simulate real-world attacks and identify exploitable vulnerabilities before malicious actors do
B) To test employee typing speed
C) To measure internet bandwidth capacity
D) To evaluate printer performance
Answer: A
Explanation:
The purpose of penetration testing is to simulate real-world cyberattacks against the organization’s systems, networks, and applications to identify exploitable vulnerabilities, assess security control effectiveness, and provide actionable findings for remediation before malicious actors can exploit these weaknesses. Penetration testing goes beyond automated vulnerability scanning by having skilled security professionals attempt to actually exploit identified vulnerabilities using the same techniques real attackers would employ, demonstrating whether theoretical vulnerabilities can be weaponized for unauthorized access, privilege escalation, data theft, or system compromise. Penetration tests validate whether security controls function as intended under attack conditions, revealing defense gaps that vulnerability scans miss. Various penetration testing approaches include black box testing where testers have no prior knowledge simulating external attackers, white box testing with full system knowledge simulating insider threats or providing comprehensive assessment, and gray box testing with limited information representing compromised users. Testing scope might focus on external perimeter defenses, internal network security, web applications, wireless networks, social engineering susceptibility, or physical security. Engagement rules of engagement define what targets are in scope, what testing methods are permitted, timeframes, communication protocols, and conditions requiring test suspension. Professional penetration testers document their methodology, findings with risk ratings, evidence of successful exploits, and remediation recommendations. Post-test reports help organizations prioritize security improvements based on actual exploitability rather than theoretical risk scores. Retesting verifies that identified vulnerabilities have been properly remediated. Penetration testing should occur regularly on schedules based on risk, after major system changes, and before deploying new applications. Organizations must carefully select qualified testing providers, ensure appropriate insurance coverage, and maintain executive awareness during testing to manage risks.
Why other options are incorrect: B is incorrect because penetration testing assesses security vulnerabilities through simulated attacks, not employee skills like typing. C is incorrect because bandwidth measurement is network performance testing, not security penetration testing. D is incorrect because printer performance is unrelated to penetration testing which focuses on identifying security vulnerabilities.
Question 55.
An IS auditor is reviewing system access logs. What is the PRIMARY reason for this review?
A) To detect unauthorized access attempts, policy violations, and suspicious activities
B) To count the total number of log entries
C) To determine the file size of log files
D) To check the color coding of log messages
Answer: A
Explanation:
The primary reason for reviewing system access logs is to detect unauthorized access attempts, policy violations, suspicious activities, and security incidents that may indicate compromised accounts, insider threats, or external attacks. Access logs provide audit trails documenting who accessed what systems and data, when access occurred, what actions were performed, and whether access was successful or denied, creating essential evidence for security monitoring, incident investigation, and compliance verification. Log review serves multiple security purposes including identifying failed login attempts suggesting password guessing or brute force attacks, detecting successful logins from unusual locations or times indicating compromised credentials, discovering privilege escalation attempts where users try accessing unauthorized resources, finding evidence of data exfiltration through unusual large file transfers or database queries, revealing policy violations such as accessing prohibited websites or applications, and providing forensic evidence for investigating confirmed security incidents. Effective log monitoring requires defining what events should be logged based on security requirements, ensuring logs capture sufficient detail for investigation without overwhelming storage, implementing automated log analysis using security information and event management systems that correlate events across multiple sources and generate alerts for suspicious patterns, establishing baseline normal behavior to identify anomalies, and conducting regular manual reviews of high-risk activities and SIEM alerts. Common challenges include log volume overwhelming manual review capacity, requiring automation and prioritization, false positives generating excessive alerts that cause fatigue, distributed systems producing logs in multiple locations and formats complicating analysis, and attackers attempting to cover tracks by deleting or modifying logs. Organizations should protect log integrity through write-once storage or centralized logging where source systems cannot alter logs after generation, retain logs for periods meeting investigation and compliance needs, and ensure adequate resources for log analysis. Auditors reviewing log management should verify that critical systems generate appropriate logs, logs are protected from tampering and retained adequately, automated monitoring alerts on suspicious activities, and investigation of alerts occurs timely with appropriate documentation.
Why other options are incorrect: B is incorrect because simply counting log entries provides no security value; analysis of log content for suspicious activities is what matters. C is incorrect because file size is a storage consideration but not the security purpose of log review. D is incorrect because log message color is a display preference, not a security analysis objective for log review.
Question 56.
Which of the following is the GREATEST risk of using public Wi-Fi networks for business purposes?
A) Interception of sensitive data through man-in-the-middle attacks and network sniffing
B) Slower internet speeds compared to office networks
C) Having to accept terms and conditions
D) Limited selection of coffee at the café providing Wi-Fi
Answer: A
Explanation:
The greatest risk of using public Wi-Fi networks is interception of sensitive data through man-in-the-middle attacks, network packet sniffing, and evil twin access points that compromise confidentiality of business communications, credentials, and proprietary information. Public Wi-Fi in airports, hotels, coffee shops, and similar locations presents significant security risks because the networks are open or use shared passwords accessible to all patrons, traffic is typically unencrypted at the network layer allowing anyone on the network to capture packets, users cannot verify the legitimacy of access points enabling attackers to set up rogue networks with legitimate-sounding names, and network operators may have unclear security practices or malicious intent. Attackers exploit public Wi-Fi through various techniques including passive sniffing where attackers capture all traffic visible on the network using readily available tools to intercept passwords, emails, and other sensitive data transmitted unencrypted, man-in-the-middle attacks where attackers position themselves between victims and legitimate services to intercept and potentially modify communications, evil twin attacks using rogue access points with names mimicking legitimate networks to lure users into connecting, session hijacking where attackers steal session cookies to impersonate authenticated users, and malware distribution through compromised network infrastructure. Organizations should implement protections for employees using public Wi-Fi including requiring VPN connections that encrypt all traffic before it reaches the public network, enforcing use of websites and applications with end-to-end encryption like HTTPS, prohibiting access to sensitive systems from public networks, providing mobile hotspots for high-risk users, and training employees on public Wi-Fi risks and safe practices. Technical controls include certificate pinning to prevent man-in-the-middle attacks, disabling automatic Wi-Fi connection, and using personal firewalls. Despite these protections, highly sensitive work should not be conducted over public Wi-Fi when possible. Organizations should establish clear policies regarding acceptable use of public networks balanced against business needs for mobile work.
Why other options are incorrect: B is incorrect because while public Wi-Fi may be slower, performance is a convenience issue not a security risk comparable to data interception. C is incorrect because accepting terms is a minor inconvenience, not a security risk. D is incorrect because coffee selection is completely unrelated to security risks of network usage.
Question 57.
What is the PRIMARY objective of performing a risk assessment?
A) To identify, analyze, and prioritize risks to support informed risk management decisions
B) To eliminate all risks from the organization
C) To create lengthy documentation for auditors
D) To justify hiring more staff
Answer: A
Explanation:
The primary objective of performing risk assessment is to systematically identify, analyze, and prioritize risks facing the organization to support informed risk management decisions about which risks require treatment, what controls should be implemented, and how resources should be allocated. Risk assessment provides structured methodology for understanding the threat landscape, vulnerabilities, potential impacts, and likelihood of adverse events affecting organizational objectives. The process involves identifying risks through interviews, workshops, historical analysis, and threat intelligence to catalog potential events that could impact confidentiality, integrity, availability, or business operations, analyzing identified risks by assessing likelihood of occurrence and potential impact magnitude considering existing controls, evaluating risk significance by combining likelihood and impact to produce risk ratings, and prioritizing risks to focus management attention and resources on the most significant threats. Risk assessment considers various risk types including strategic risks affecting business objectives, operational risks disrupting processes, technology risks from system failures or cyberattacks, compliance risks from regulatory violations, and third-party risks from vendors and partners. Analysis should be both qualitative using descriptive scales and expert judgment and quantitative using metrics like annual loss expectancy where feasible. Risk assessment results inform risk treatment decisions including accepting risks when mitigation costs exceed benefits, mitigating through control implementation, transferring via insurance or outsourcing, or avoiding by eliminating activities creating risks. Effective risk assessment requires management engagement to ensure business context is understood, independence to provide objective analysis, and regular updates as threat landscape and business environment evolve. The goal is not eliminating all risks which is impossible and potentially harmful by eliminating opportunities, but rather understanding risks sufficiently to make conscious informed decisions about which to accept and which to address.
Why other options are incorrect: B is incorrect because eliminating all risks is neither possible nor desirable as risk-taking is inherent to business; the goal is informed risk management. C is incorrect because documentation supports the process but is not the primary objective; the goal is enabling risk-based decisions. D is incorrect because while risk assessment might identify resource needs, justifying hiring is not the primary objective of identifying and analyzing risks.
Question 58.
Which of the following BEST describes the concept of defense in depth?
A) Implementing multiple layers of security controls so that failure of one control does not compromise overall security
B) Deploying only one very strong security control
C) Relying exclusively on perimeter firewalls
D) Using only antivirus software for all security needs
Answer: A
Explanation:
Defense in depth is a security strategy that implements multiple layers of overlapping security controls throughout an information system so that if one control fails, others continue providing protection, reducing the likelihood that attackers can fully compromise systems or data. This approach recognizes that no single security control is perfect and that determined attackers may defeat individual defenses, so multiple independent barriers create comprehensive protection. Defense in depth applies across various dimensions including network layers where firewalls, intrusion prevention systems, network segmentation, and access controls each provide partial protection, host protections through endpoint security software, operating system hardening, and application whitelisting, data protections via encryption, access controls, and data loss prevention, and administrative controls including policies, training, and security awareness. The principle suggests that attackers must defeat multiple different control types to succeed, with each layer using different security mechanisms that are not vulnerable to the same attacks. For example, perimeter firewall might block external attacks, but endpoint protection defends against malware from email, while data encryption protects information even if systems are compromised. Defense in depth also addresses insider threats, human error, and zero-day vulnerabilities that might bypass specific controls. Implementation requires balancing security with usability and cost, as excessive layers may impede productivity or exceed budgets. Organizations should identify critical assets, assess threat landscape, and implement layered controls appropriate to risk levels. Controls should be diverse using different technologies and vendors to avoid common mode failures where single vulnerability affects multiple controls. Regular testing validates that layers function as intended and that bypassing one layer does not trivially defeat others. Defense in depth represents security best practice recognized across frameworks and standards.
Why other options are incorrect: B is incorrect because relying on single control, even if strong, violates defense in depth principles by creating single point of failure. C is incorrect because depending exclusively on perimeter firewalls is insufficient; defense in depth requires multiple control layers. D is incorrect because antivirus alone provides only one control type; comprehensive security requires multiple complementary controls.
Question 59.
An organization is implementing multi-factor authentication. Which combination provides the STRONGEST authentication?
A) Something you know (password) and something you have (hardware token)
B) Two different passwords
C) Username and password
D) Security question and password
Answer: A
Explanation:
The strongest authentication combines factors from different categories, specifically something you know like a password and something you have like a hardware token or smartphone, because compromising authentication requires attackers to defeat multiple independent mechanisms. Multi-factor authentication significantly strengthens security over single-factor approaches by requiring users to provide two or more authentication factors from different categories including knowledge factors like passwords, PINs, or security questions that users memorize, possession factors like hardware tokens, smart cards, or smartphones that users physically possess, and inherence factors like fingerprints, facial recognition, or other biometrics that are physical user characteristics. Combining factors from different categories provides strong authentication because attackers cannot succeed by compromising just one factor; stealing a password does not help without the hardware token, and stealing the token is useless without knowing the password. The independence of factors is critical, as combining two passwords or password plus security question only uses knowledge factors that attackers might obtain through phishing, social engineering, or database breaches. True multi-factor requires crossing factor boundaries. Hardware tokens generating one-time passwords provide strong possession factors because the token is separate physical device that attackers must physically steal, the generated codes change frequently making them useless after short periods, and attackers cannot remotely compromise tokens as easily as software. Smartphone-based authentication via apps like authenticators or push notifications provides similar benefits, though smartphones may be more vulnerable than dedicated hardware tokens. Biometric authentication adds convenience and strong security through characteristics that are difficult to steal or replicate. Organizations should consider authentication strength requirements based on risk, mandating multi-factor for accessing sensitive systems, remote access, privileged accounts, and financial transactions. Implementation must address usability, providing backup authentication methods when primary factors are unavailable, and protecting against attacks targeting authentication mechanisms themselves.
Why other options are incorrect: B is incorrect because two passwords are both knowledge factors providing no additional security against attackers who compromise one password through keystroke logging or phishing. C is incorrect because username and password together constitute single-factor authentication; usernames identify users but are not secret factors. D is incorrect because security questions are knowledge factors like passwords, so combining them does not achieve multi-factor authentication across different factor categories.
Question 60.
What is the PRIMARY purpose of conducting a post-implementation review after a system goes live?
A) To evaluate whether the system meets business requirements and identify lessons learned for future projects
B) To celebrate project completion with a party
C) To assign blame for project delays
D) To immediately start planning the next system replacement
Answer: A
Explanation:
The primary purpose of a post-implementation review is to evaluate whether the newly implemented system meets its intended business requirements and objectives, assess the success of the implementation process, identify problems requiring correction, and capture lessons learned to improve future projects. This review provides critical feedback loop enabling organizations to learn from experience and continuously improve their system development and implementation practices. Post-implementation reviews should occur after systems have been operational long enough for meaningful assessment, typically within three to six months of go-live, allowing time for initial issues to surface and users to gain experience but conducting review while project details remain fresh. The review examines multiple dimensions including whether the system delivers expected business benefits such as efficiency improvements, cost reductions, or revenue enhancements, whether functionality meets user requirements and specifications, whether system performance meets established standards for response time, availability, and capacity, whether the project was delivered on time and within budget, what problems occurred during implementation and how they were resolved, whether adequate training and documentation were provided, what worked well that should be repeated in future projects, and what problems or mistakes should be avoided going forward. The review process involves gathering input from stakeholders including business users, technical staff, project managers, and sponsors through surveys, interviews, or workshops. Findings should be documented with specific recommendations for system improvements, process enhancements for future projects, and corrective actions for identified deficiencies. Management should review findings and ensure that lessons learned are incorporated into organizational practices, system improvements are prioritized and implemented, and successful practices are recognized and replicated. Post-implementation reviews provide accountability by comparing actual results to project objectives and help justify future IT investments by demonstrating realized benefits. Organizations that skip post-implementation reviews miss opportunities for improvement and may repeat mistakes across multiple projects.
Why other options are incorrect: B is incorrect because while celebrating success has value for morale, the primary purpose of post-implementation review is assessing system effectiveness and learning. C is incorrect because the review should focus on learning and improvement, not assigning blame which creates defensive culture hindering honest assessment. D is incorrect because immediately planning replacement would be premature; the review assesses current system to inform improvements and future decisions, not replace immediately.
