Isaca CISA Exam Dumps & Practice Test Questions
Question 1:
An IS auditor is assessing the procedures for importing market price data from external sources into the organization’s systems. Which of the following issues should the auditor consider as the most critical concerning data security and integrity?
A. There is no monitoring of data quality.
B. The transfer protocol does not enforce authentication.
C. The imported data is not regularly disposed of.
D. The transfer protocol lacks encryption.
Answer: B
Explanation:
When assessing the procedures for importing market price data into an organization’s systems, data security and integrity are of utmost importance. Among the options provided, the most critical issue concerns the transfer protocol not enforcing authentication (Option B). Here's why:
B. The transfer protocol does not enforce authentication:
This is the most critical issue in terms of security because authentication ensures that only authorized sources can send data into the system. Without proper authentication, the organization is at risk of accepting data from untrusted or malicious sources, which could lead to data manipulation or introduction of false data. This undermines the integrity of the market price data and compromises the entire system’s reliability.
Let's discuss why the other options are less critical:
A. There is no monitoring of data quality:
While monitoring data quality is important to ensure the accuracy and reliability of the imported market price data, it does not directly impact data security or integrity as much as authentication. Poor data quality could lead to incorrect decisions but does not necessarily allow for unauthorized or malicious data manipulation.
C. The imported data is not regularly disposed of:
This is more related to data retention policies and compliance with privacy or regulatory requirements. It is important for managing data storage but is not directly a security concern that affects the integrity or security of the data being imported in real-time.
D. The transfer protocol lacks encryption:
While the lack of encryption is a significant concern because it exposes data to potential interception during transmission, authentication is typically considered more critical for ensuring that the data originates from a trusted source. Without authentication, even if the data is encrypted, it could still come from an unauthorized or malicious source.
Thus, the most critical concern regarding data security and integrity is the lack of authentication in the transfer protocol, which makes Option B the correct answer.
Question 2:
In a controlled application development environment, what is the most crucial segregation of duties to ensure a proper separation between the individual responsible for deploying changes and another key role?
A. Application Developer
B. Quality Assurance (QA) Staff
C. System Operator
D. System Administrator
Answer: D
Explanation:
In a controlled application development environment, segregation of duties is crucial to ensure that the deployment of changes is done in a secure and controlled manner. Among the roles listed, the System Administrator (Option D) is the most crucial for ensuring the proper segregation of duties. Here's why:
D. System Administrator:
The System Administrator has the highest level of control over the system's configuration and infrastructure. Allowing a System Administrator to also deploy changes could present a significant security risk, as they may bypass controls or have the ability to execute unauthorized changes directly. To ensure proper segregation of duties, the person deploying the changes should not be the same person responsible for maintaining the underlying systems. By separating these roles, the organization mitigates the risk of unauthorized changes or configurations that could affect the integrity and security of the application environment.
Let’s explain why the other options are less critical:
A. Application Developer:
While the Application Developer is responsible for creating and modifying the application code, they should not have the same level of access to deploy the changes directly to the live environment. However, the System Administrator still holds more control over the system's infrastructure, which makes their role more important in terms of segregation of duties.
B. Quality Assurance (QA) Staff:
The QA Staff is responsible for testing the application and ensuring that it meets functional and quality requirements. However, they are not typically involved in the deployment of the application, so segregating the deployment function from the QA function is important but not as critical as ensuring a clear separation between the individual deploying changes and the System Administrator who controls the system's infrastructure.
C. System Operator:
A System Operator typically manages the hardware and operational aspects of the system, but their role is generally more focused on day-to-day operations rather than controlling or deploying application changes. While they do need a separation of duties from others involved in the system, their role is less central to deployment controls than the System Administrator.
Therefore, System Administrator (Option D) is the most critical role in ensuring proper segregation of duties to mitigate risks associated with unauthorized changes or security vulnerabilities.
Question 3:
For a small startup with limited staff and inadequate segregation of duties, what would be the most effective compensating control to mitigate the associated risks?
A. Rotation of responsibilities for log monitoring and analysis
B. Additional management reviews and reconciliations
C. Mandatory employee vacations
D. Third-party assessments
Answer: B
Explanation:
In a small startup, segregation of duties may be difficult to implement due to limited staff. When segregation of duties cannot be effectively enforced, compensating controls are put in place to help mitigate risks that arise from this lack of segregation. The goal of compensating controls is to provide alternative measures to minimize potential fraud, errors, or unauthorized activities.
Option B—additional management reviews and reconciliations—is the most effective compensating control in this scenario. Management reviews and reconciliations serve as a critical safeguard by introducing oversight, which helps detect irregularities or suspicious activities. Since the staff is limited, management can focus on more frequent and detailed reviews of critical processes. This ensures that issues like fraud or errors are identified, even if segregation of duties is not possible. The reviews and reconciliations should be done by someone with sufficient authority and knowledge, providing an additional layer of checks and balances that compensate for the lack of segregation.
Option A, the rotation of responsibilities for log monitoring and analysis, is also a good practice in environments with segregation issues, but it may not be as immediately effective as management reviews and reconciliations. It requires careful planning and time to ensure that the rotation does not introduce additional risks or complexity, especially in a small organization with limited staff. Moreover, log monitoring and analysis are reactive rather than proactive controls and are typically less effective at preventing problems before they occur.
Option C, mandatory employee vacations, while useful as a way to detect fraudulent activities (since the absence of an employee may reveal irregularities), is not a practical or immediate compensating control. It also relies on the assumption that fraud or mismanagement will only be detected during an employee's absence, which is not guaranteed or timely enough for small startups.
Option D, third-party assessments, though important for an overall security posture, would not be the most effective compensating control in this scenario. While external assessments can help improve security and compliance, they are typically periodic and do not provide the immediate, ongoing oversight needed to mitigate risks in a startup environment with limited resources.
In conclusion, B (additional management reviews and reconciliations) is the most practical and immediate compensating control to mitigate risks related to inadequate segregation of duties in a small startup.
Question 4:
When conducting an audit of a cloud-based system’s application controls, which of the following factors should an IS auditor prioritize the most?
A. Availability reports for the cloud-based system
B. Architecture and cloud infrastructure of the system
C. Policies and procedures of the relevant business area
D. Business processes supported by the system
Answer: D
Explanation:
When auditing a cloud-based system's application controls, the auditor's primary concern should be the business processes supported by the system. This is because the purpose of the cloud-based application is to enable business processes, and any deficiencies in application controls can have a direct impact on those processes, leading to inefficiencies, errors, or security vulnerabilities. The IS auditor needs to ensure that the system is effectively supporting the business's operational needs while mitigating risks associated with confidentiality, integrity, and availability.
Option D—business processes supported by the system—is the most critical factor to prioritize because it directly aligns with the core purpose of the system. The auditor should evaluate whether the application controls are designed to adequately safeguard the business processes, such as ensuring that financial transactions, customer data, or other sensitive business activities are processed securely and accurately. The auditor should look for gaps in controls that could compromise the system’s ability to support key business processes effectively.
Option A, availability reports for the cloud-based system, is important, but it focuses more on system uptime rather than the specific application controls that govern business processes. While availability is essential for business continuity, it is just one aspect of the broader application control environment.
Option B, the architecture and cloud infrastructure of the system, is important but primarily concerns the underlying technical infrastructure rather than the application layer. While the architecture supports the system’s functionality, an IS auditor auditing application controls would focus more on how well the application controls are designed and implemented to support business operations, not just the infrastructure on which the application runs.
Option C, policies and procedures of the relevant business area, are also important, but they tend to focus more on the governance and operational procedures surrounding the system, rather than the specific application controls within the system itself. While policies and procedures set the framework for how the system should be managed, application controls directly impact how the system operates on a day-to-day basis.
Therefore, the most important factor to prioritize when auditing a cloud-based system’s application controls is D, the business processes supported by the system, as this directly impacts the effectiveness of the controls and the overall success of the system in meeting business needs.
Question 5:
Which type of data is most relevant when conducting a Business Impact Analysis (BIA)?
A. Projected impact of current operations on future business
B. Expected costs for business recovery
C. Regulatory compliance costs
D. Cost-benefit analysis of continuing current business operations
Answer: B
Explanation:
When conducting a Business Impact Analysis (BIA), the primary objective is to assess and understand the potential impacts of disruptions on business operations and to determine the most critical processes and assets that need to be prioritized for recovery. The expected costs for business recovery (Option B) are the most relevant type of data for a BIA because they directly inform decisions about how to plan for recovery strategies, allocate resources, and minimize financial and operational losses in the event of an incident.
Now, let's look at the other options and why they are less relevant for BIA:
A. Projected impact of current operations on future business:
This is important for long-term strategic planning but is not the core focus of a Business Impact Analysis. BIA is more concerned with identifying critical business processes and their recovery needs, rather than forecasting the long-term impact of operations on future business.
C. Regulatory compliance costs:
While regulatory compliance is important for many business activities, the costs associated with compliance are not the central focus of a BIA. The BIA focuses more on understanding the consequences of business disruptions and recovery costs, not just the financial impact of regulatory requirements.
D. Cost-benefit analysis of continuing current business operations:
A cost-benefit analysis is useful for business decision-making but is not the primary focus of the BIA. The BIA evaluates the criticality of business functions and the associated recovery costs, rather than evaluating whether current operations are cost-effective in the long term.
Thus, the correct answer is B, as expected costs for business recovery are central to the BIA process.
Question 6:
Which of the following is the most reliable indicator of an organization’s incident response program effectiveness?
A. Number of successful penetration tests performed
B. Percentage of business applications protected
C. Number of security vulnerability patches applied
D. Financial loss associated with each security event
Answer: D
Explanation:
The most reliable indicator of an organization’s incident response program effectiveness is the financial loss associated with each security event (Option D). The goal of an incident response program is to mitigate damage from security incidents by responding quickly and efficiently. The financial loss is a key outcome measure of how well the organization can recover from a security event. A low financial loss indicates that the organization responded effectively and minimized the impact of the incident, while a high loss may suggest the response was ineffective or the mitigation strategies were insufficient.
Let’s examine why the other options are less reliable indicators:
A. Number of successful penetration tests performed:
While penetration tests are valuable for identifying vulnerabilities in systems, the number of tests conducted does not directly indicate the effectiveness of the incident response program. Effective incident response is more about how well the organization manages and recovers from actual incidents, not just identifying vulnerabilities beforehand.
B. Percentage of business applications protected:
While it's important to protect critical business applications, the percentage of applications protected does not directly reflect how well the organization can handle incidents when they occur. An incident response program focuses on the actual response to security events, not just the protection status of business applications.
C. Number of security vulnerability patches applied:
Applying security patches is an important proactive measure, but the patching process alone does not indicate the effectiveness of an incident response program. Patching is a preventive measure, while an incident response program deals with the aftermath of a security incident. The number of patches applied does not necessarily reflect the organization's ability to handle or recover from incidents.
Thus, the correct answer is D, as financial loss associated with security events provides a direct measure of the incident response program’s effectiveness in minimizing damage and restoring business operations.
Question 7:
An organization has recently transitioned to a cloud-based document storage solution and has disabled the option for users to save data locally. In light of this change, which of the following concerns should an IS auditor prioritize the most?
A. Mobile devices are not encrypted
B. Users have not signed the updated acceptable use policy
C. The business continuity plan (BCP) is not updated
D. Users have not been trained on the new system
Answer: D
Explanation:
When transitioning to a cloud-based document storage solution and disabling the option for users to save data locally, an IS auditor's priority should focus on ensuring that users are properly trained to use the new system effectively and securely.
Option D, users have not been trained on the new system, is the most critical concern. Training is essential in any significant transition, especially when new systems or processes are introduced. Users must understand the cloud-based system's capabilities, limitations, and security protocols. If users are not familiar with the new system, they may inadvertently misuse it, leading to inefficiencies, data loss, or security breaches. A lack of training could also result in users trying to find workarounds to save documents locally, undermining the organization’s efforts to ensure secure cloud storage usage.
Option A, mobile devices are not encrypted, is an important security concern, especially when users may still access cloud-based systems from personal or mobile devices. However, encryption on mobile devices is an ongoing security concern, and while it is critical, it is not the immediate priority during a system transition. It could be addressed as part of a larger security strategy, but user training on how to use the new cloud storage effectively takes precedence.
Option B, users have not signed the updated acceptable use policy, is also important, but it typically concerns formal governance and compliance rather than day-to-day functionality. Ensuring that users are aware of and sign updated policies is essential for legal and organizational reasons but is secondary to ensuring they are proficient in using the new system. If users don't understand how to properly use the system, even the best policies won't be effective.
Option C, the business continuity plan (BCP) is not updated, is a concern in terms of long-term planning, but it doesn't immediately impact the day-to-day operations of users transitioning to the cloud-based system. While it's essential to ensure the BCP is updated to reflect changes in IT infrastructure, the training of users is the more pressing issue to ensure smooth, secure operations and mitigate the risks associated with improper use of the cloud storage system.
In conclusion, the most immediate concern for the IS auditor is to ensure that users have been trained on the new system, as it directly impacts the effective and secure use of the cloud-based document storage solution.
Question 8:
Which of the following security measures is most effective in preventing the spread of a cyberattack across systems and networks?
A. Data Loss Prevention (DLP) System
B. Perimeter Firewall
C. Network Segmentation
D. Web Application Firewall
Answer: C
Explanation:
The most effective security measure to prevent the spread of a cyberattack across systems and networks is network segmentation.
Option C, network segmentation, involves dividing a network into smaller, isolated segments. By doing so, even if one segment is compromised, the attack is contained within that segment and has limited ability to spread to other parts of the network. This strategy helps mitigate the lateral movement of attackers within the network. Network segmentation also allows organizations to apply stricter security controls, such as access controls and monitoring, to critical or sensitive parts of the network. This containment approach reduces the overall impact of a cyberattack, making it more challenging for an attacker to move freely across the entire network.
Option A, Data Loss Prevention (DLP) System, is designed to prevent sensitive data from leaving the organization or being accessed improperly. While important for protecting data confidentiality and preventing data breaches, DLP systems do not directly control or limit the movement of attacks across systems or networks. They focus more on data protection rather than network containment in the event of a cyberattack.
Option B, perimeter firewall, is critical for controlling access to the network by filtering incoming and outgoing traffic based on established security rules. It is an essential security control that helps block unauthorized access to a network, but once an attacker bypasses the firewall (e.g., through phishing or exploiting a vulnerability), the firewall does not prevent the spread of the attack within the network. It primarily focuses on protecting the network perimeter rather than containing threats that have already gained access.
Option D, web application firewall, is designed to protect web applications by filtering and monitoring HTTP traffic to and from web servers. It helps defend against web-based attacks, such as SQL injection, cross-site scripting (XSS), and other application-layer vulnerabilities. While it is an important tool for protecting web applications, it is not designed to limit the spread of an attack within the broader network once the initial perimeter defenses have been bypassed.
In conclusion, network segmentation is the most effective measure to contain and prevent the spread of a cyberattack across systems and networks. By isolating different parts of the network, it reduces the attack surface and limits the lateral movement of attackers. Therefore, C is the correct answer.
Question 9:
During an audit of an organization's security policies, the IS auditor notices that the encryption of sensitive data is not enforced for all communications within the internal network. What should the auditor highlight as the most critical risk?
A. The lack of a formal data retention policy.
B. The absence of proper access controls for sensitive data.
C. The failure to implement end-to-end encryption for internal communications.
D. The lack of regular user access reviews.
Answer: C
Explanation:
The most critical risk highlighted in this scenario is the failure to implement end-to-end encryption for internal communications (Option C). When sensitive data is transmitted across a network, it is essential that the data is protected from unauthorized access, alteration, or interception. Encryption provides this protection by ensuring that only authorized individuals or systems can decrypt and access the data.
The absence of encryption exposes the sensitive data to risks, including data breaches, man-in-the-middle attacks, and eavesdropping. Even though the data may be within the internal network, it is still vulnerable to attacks from malicious insiders or external attackers who manage to breach the internal network perimeter.
Now, let’s explain why the other options are less critical:
A. The lack of a formal data retention policy:
While having a data retention policy is important to ensure that data is managed and disposed of appropriately, this issue does not have the same immediate impact on the security of sensitive communications as the lack of encryption. The failure to enforce encryption directly affects the confidentiality and integrity of the data in transit.
B. The absence of proper access controls for sensitive data:
This is an important risk, but it focuses more on data access management rather than data protection during transmission. While access controls are critical for ensuring that only authorized individuals can access sensitive data, the risk in this scenario is related to data being transmitted across the network without encryption, making it more vulnerable to unauthorized interception.
D. The lack of regular user access reviews:
Although regular user access reviews are necessary to ensure that users have appropriate permissions, this issue pertains to access management and does not directly relate to the risk of sensitive data being exposed during transmission due to the absence of encryption.
Thus, the most critical risk is the failure to implement end-to-end encryption (Option C), which protects sensitive data during internal communications.
Question 10:
An IS auditor is reviewing an organization’s disaster recovery plan and notices that there is no clear documentation on the recovery point objectives (RPO) or recovery time objectives (RTO) for critical systems. What is the most significant concern?
A. The absence of detailed documentation for third-party service providers.
B. The inability to identify essential business functions for recovery.
C. The lack of defined RPO and RTO for critical systems.
D. The failure to regularly update the disaster recovery plan.
Answer: C
Explanation:
The lack of defined RPO (Recovery Point Objective) and RTO (Recovery Time Objective) for critical systems (Option C) is the most significant concern in this scenario. The RPO refers to the maximum amount of data loss an organization is willing to tolerate during a disaster, while the RTO specifies the maximum amount of time that can elapse before a system or application must be restored after an outage. These objectives are critical to disaster recovery planning because they provide clear targets for recovery efforts and resource allocation.
Without clearly defined RPO and RTO values, the organization lacks the necessary framework to prioritize recovery efforts effectively. It also makes it difficult to evaluate the adequacy of the disaster recovery plan and the resources required to meet recovery goals. The absence of these objectives can lead to delays in recovery, excessive downtime, and potential data loss, all of which can severely impact business operations.
Now, let’s explore the other options:
A. The absence of detailed documentation for third-party service providers:
While it is essential to document third-party service provider dependencies in a disaster recovery plan, the lack of RPO and RTO for critical systems is a more urgent concern because it directly impacts the organization’s ability to recover critical systems and data.
B. The inability to identify essential business functions for recovery:
While identifying essential business functions is vital for disaster recovery, the lack of RPO and RTO is a more immediate concern. RPO and RTO are specific metrics that help prioritize the recovery of business functions. Without these metrics, even if business functions are identified, there is no clear guideline on how quickly they must be recovered.
D. The failure to regularly update the disaster recovery plan:
Regular updates to the disaster recovery plan are important to ensure it remains relevant and effective. However, the lack of RPO and RTO values for critical systems is a more significant concern because it directly impacts the effectiveness of the recovery efforts in case of an incident.
Thus, the most significant concern is the lack of defined RPO and RTO for critical systems (Option C), as these objectives are crucial for guiding recovery efforts and ensuring that business continuity is maintained.
