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CISA Practice Exam 1
Take your exam preparation to the next level with fully simulated online practice tests designed to replicate the real exam experience. These exams feature realistic questions, timed conditions, and detailed explanations to help you assess your knowledge, identify weak areas, and build confidence before test day.
1. During the evaluation of an IT service provider, the selection committee identifies a potential conflict of interest. The service provider has a subsidiary that offers similar services to one of the organization's competitors. How should the organization address this conflict to ensure fair and unbiased service delivery?
Including a conflict of interest clause in the contract that outlines disclosure and mitigation steps ensures that any potential conflicts are identified and addressed proactively. This clause requires the service provider to disclose any conflicts and take necessary steps to mitigate their impact, ensuring fair and unbiased service delivery. Disqualifying the provider outright might not be necessary if the conflict can be managed. Negotiating a discount or conducting a background check does not address the need for ongoing management of the conflict of interest.
2. An IS auditor is assessing the IT resource management practices of a healthcare organization to ensure they align with its strategic objectives. Which of the following should be the auditor’s primary focus?
The auditor’s primary focus should be the alignment of IT projects with patient care improvement goals. In a healthcare organization, improving patient care is typically a core strategic objective, and IT resources should be managed to support this goal. While compliance with regulations, cost-effectiveness, and service delivery efficiency are important, the most critical aspect is ensuring that IT initiatives directly contribute to enhancing patient care. This alignment demonstrates that IT resources are being effectively used to support the organization’s mission and strategic objectives, ultimately benefiting patient outcomes.
3. An IS auditor is preparing to audit an organization’s compliance with data protection regulations. According to ISACA guidelines, which of the following steps should the auditor take FIRST during the planning phase?
The first step in planning an audit for compliance with data protection regulations is to identify and understand the relevant regulations that apply to the organization. This step is crucial because it defines the regulatory framework within which the audit will be conducted. Understanding these regulations helps the auditor determine the specific requirements that the organization must comply with and sets the foundation for assessing the adequacy of the organization’s data protection policies, procedures, and controls. Reviewing policies, conducting interviews, and assessing controls are subsequent steps that rely on a clear understanding of the regulatory requirements.
4. During a database audit, the auditor discovers that several critical tables lack primary keys. What is the primary risk associated with this finding?
The primary risk associated with critical tables lacking primary keys is the inability to enforce data integrity. Primary keys uniquely identify each record in a table and are essential for establishing relationships between tables. Without primary keys, the database cannot enforce entity integrity, leading to potential data duplication, inconsistencies, and difficulty in maintaining accurate records. While degraded performance, unauthorized access, and increased redundancy are concerns, the lack of primary keys directly impacts the database's ability to maintain data integrity and relational consistency.
5. An IS auditor is assessing an organization’s readiness for handling prolonged disruptions. Which of the following aspects should be prioritized to ensure long-term operational resilience?
The redundancy of critical IT infrastructure should be prioritized to ensure long-term operational resilience. Redundancy ensures that there are backup systems and components available to take over in the event of a failure, minimizing the impact of prolonged disruptions. Multiple communication channels, off-site backup storage, and vendor support agreements are important, but having redundant infrastructure is crucial for maintaining continuous operations and reducing the risk of prolonged outages. Redundancy in IT infrastructure provides the necessary failover capabilities to ensure that critical services remain available.
6. A company is looking to align its IT architecture with its business strategy and needs a framework that supports this alignment. Which of the following frameworks should the company implement?
TOGAF (The Open Group Architecture Framework) is the most appropriate framework for aligning IT architecture with business strategy. TOGAF provides a comprehensive approach to designing, planning, implementing, and governing enterprise information architecture. It ensures that IT architecture aligns with the business strategy, enabling the organization to achieve its goals efficiently. TOGAF includes methods and tools for developing an enterprise architecture that meets the needs of the business. While COBIT focuses on IT governance, ITIL on IT service management, and ISO/IEC 20000 on IT service management standards, TOGAF specifically addresses the alignment of IT architecture with business strategy.
7. An IS auditor is reviewing the effectiveness of data governance practices in an organization. Which of the following metrics would best indicate the success of these practices?
The best metric to indicate the success of data governance practices is the reduction in data-related incidents and breaches. This metric directly reflects the effectiveness of data governance controls and policies in protecting data integrity, confidentiality, and availability. While the number of policies, employee training, and compliance with storage policies are important, the primary indicator of successful data governance is the tangible reduction in incidents that threaten data security and quality.
8. During a review of problem management practices, an IS auditor notes that there is no formal process for communicating problem resolutions to affected users. What is the most significant impact of this deficiency?
The most significant impact of not having a formal process for communicating problem resolutions to affected users is that users may continue to experience the same issues. Without proper communication, users may not be aware that a resolution has been implemented or how to avoid recurring problems, leading to continued disruptions and dissatisfaction. While increased IT workload, tracking difficulties, and security risks are concerns, the primary issue is ensuring users are informed and can benefit from the solutions implemented to resolve their problems.
9. An IS auditor is reviewing the organization's IT asset management practices and finds that there is no process for tracking software licenses. What is the primary risk associated with this deficiency?
The primary risk associated with not having a process for tracking software licenses is non-compliance with software licensing agreements. Without proper tracking, the organization may inadvertently use software beyond its licensed capacity, leading to legal penalties, fines, and reputational damage. While managing updates, resource efficiency, and administrative workload are important considerations, the main risk is the potential legal and financial consequences of non-compliance with licensing agreements.
10. An IS auditor is evaluating an organization's IT policies related to compliance with the Sarbanes-Oxley Act (SOX). Which of the following controls is most important for ensuring compliance with SOX Section 404?
Regular testing of internal control over financial reporting is most important for ensuring compliance with SOX Section 404. This section requires management and external auditors to assess and report on the effectiveness of an organization's internal control over financial reporting. Regular testing helps identify and address control deficiencies, ensuring the reliability of financial reporting. While implementing automated systems, segregation of duties, and continuous monitoring are important controls, regular testing directly addresses the requirement to evaluate the effectiveness of internal controls as mandated by SOX Section 404.
11. During a forensic investigation of a malware incident, it is critical to identify the initial vector of the attack. Which forensic technique would be most effective in determining how the malware was introduced into the organization’s network?
Examining email logs for phishing attempts is often the most effective technique to determine the initial vector of a malware attack, especially since phishing is a common method used to deliver malware. Email logs can reveal suspicious emails with malicious attachments or links that were the entry point for the malware. While analyzing firewall logs, reviewing system event logs, and conducting memory analysis are important and can provide valuable information, they are more likely to help in understanding the attack's progression rather than identifying the initial entry point.
12. During an audit of the information security program, an IS auditor observes that the organization does not perform regular vulnerability assessments. What is the most significant risk associated with this practice?
The most significant risk associated with not performing regular vulnerability assessments is the increased risk of undetected security vulnerabilities. Vulnerability assessments identify weaknesses in systems and applications that could be exploited by attackers. Without regular assessments, vulnerabilities may go unnoticed and unaddressed, leaving the organization exposed to potential attacks. While compliance, operational costs, and visibility are concerns, the primary risk is the presence of unmitigated security weaknesses that could be exploited.
13. After completing an IS audit, the auditor needs to ensure that the recommendations are implemented by the organization. What is the most effective way to communicate this follow-up requirement to the stakeholders?
Holding a meeting with stakeholders to discuss the follow-up actions and timelines is the most effective way to ensure that the recommendations are implemented. This meeting allows for clear communication of the follow-up requirements, discussion of any challenges or constraints, and agreement on the timelines and responsibilities. Including a follow-up schedule in the final report, sending separate plans, and requesting periodic updates are important supplementary actions, but they may not ensure the same level of commitment and understanding as a dedicated meeting. The interactive nature of a meeting ensures that stakeholders are fully aware of their responsibilities and the importance of the follow-up actions.
14. During an audit of IT KPI management, an IS auditor finds that KPI performance trends are not analyzed over time. What is the most significant impact of this deficiency?
The most significant impact of not analyzing KPI performance trends over time is the inability to identify long-term performance issues. Trend analysis helps to reveal patterns and systemic issues that may not be apparent from short-term data. This insight is crucial for proactive management and continuous improvement. While difficulty in setting targets, evaluating recent initiatives, and benchmarking are concerns, the primary issue is the loss of visibility into persistent performance trends that could affect strategic decision-making and overall IT effectiveness.
15. An IS auditor is evaluating the effectiveness of an organization's preventive maintenance program for its IT infrastructure. Which of the following metrics would best indicate the success of the preventive maintenance program?
The best metric to indicate the success of a preventive maintenance program is the reduction in the number of unplanned system outages. This metric directly reflects the program’s effectiveness in maintaining system reliability and preventing unexpected failures. While the number of tasks completed, cost savings, and user satisfaction are important indicators, the primary measure of success for preventive maintenance is its ability to minimize disruptions and ensure continuous system availability, which supports the organization’s operational objectives.
16. An IT auditor is assessing the effectiveness of an organization’s enterprise risk management framework. Which of the following indicators would most strongly suggest that the framework is effectively managing IT risks?
Regular updates to the IT risk register based on emerging threats most strongly suggest that the enterprise risk management framework is effectively managing IT risks. This indicates that the organization is actively monitoring the risk environment, identifying new risks as they arise, and adjusting its risk management strategies accordingly. A dynamic and up-to-date risk register reflects a proactive approach to risk management, ensuring that the organization remains prepared to address new and evolving risks. While the number of identified risks, an inventory of IT assets, and incident frequency are relevant, they do not provide as clear an indication of an effective, adaptive risk management process as regular updates to the risk register.
17. An auditor is tasked with evaluating the effectiveness of a company's marketing campaigns using data analytics. Which of the following techniques would best help in determining the return on investment (ROI) of these campaigns?
Regression analysis is the best technique for determining the return on investment (ROI) of marketing campaigns. It models the relationship between dependent and independent variables, allowing the auditor to assess the impact of marketing spend on sales and other performance metrics. Cluster analysis (Option A) groups similar data points, cohort analysis (Option B) studies groups with shared characteristics over time, and frequency analysis (Option D) examines the occurrence of data points, but none are as directly focused on quantifying the financial return from marketing investments as regression analysis.
18. A company is experiencing frequent misalignment between its IT initiatives and business objectives, leading to wasted resources and unmet goals. As an IT auditor, what would you recommend as the first step to address this issue?
Establishing a formal IT governance committee should be the first step to address the misalignment between IT initiatives and business objectives. A governance committee ensures that IT decisions are made with input from both IT and business leaders, fostering better alignment and communication. This committee will also prioritize IT projects based on their strategic importance, ensuring resources are allocated to initiatives that support business goals. While implementing an ERP system, conducting a skills assessment, and revising policies are important actions, they do not directly address the need for a structured governance body that can oversee and align IT initiatives with business objectives.
19. An organization's web application was recently compromised through an SQL injection attack. To enhance the security event management capabilities and prevent similar attacks in the future, what should the organization implement?
Installing a web application firewall (WAF) to filter malicious traffic is the most effective measure. A WAF specifically protects web applications by monitoring, filtering, and blocking HTTP traffic to and from a web application, effectively preventing attacks like SQL injection. While updating the codebase, conducting code reviews and DAST, and training developers on secure coding practices are important, they do not provide the immediate and continuous protection that a WAF offers. A WAF can detect and block malicious inputs in real-time, significantly reducing the risk of successful SQL injection attacks.
20. A company uses virtual machines (VMs) for its development and production environments. During a security audit, the CISA finds that there is no separation between the development and production VMs. What is the primary risk associated with this lack of separation?
The primary risk associated with not separating development and production VMs is the potential for unauthorized access to production data (Option B). Without proper separation, developers may have access to sensitive production data, increasing the risk of accidental or intentional data breaches. This lack of separation can also lead to an increased attack surface, where vulnerabilities in the development environment could be exploited to gain access to the production environment. Difficulty in managing VM licenses (Option A), increased complexity in VM backup procedures (Option C), and reduced performance (Option D) are concerns but do not present the same level of risk as unauthorized access to production data.
21. An IS auditor is evaluating the organization’s incident management process related to IT control failures. Which of the following elements is most critical for ensuring that IT control failures are effectively managed and mitigated?
Timely reporting and escalation of incidents are most critical for ensuring that IT control failures are effectively managed and mitigated. Prompt reporting and escalation enable the organization to respond quickly to control failures, minimizing potential damage and addressing issues before they escalate. While detailed response procedures, regular training, and root cause analysis are important components of incident management, the ability to detect and act upon control failures quickly is essential for maintaining control effectiveness and minimizing risk exposure.
22. A healthcare organization uses wireless medical devices to monitor patient vitals. What is the most effective measure to ensure the confidentiality and integrity of patient data transmitted by these devices?
The most effective measure to ensure the confidentiality and integrity of patient data transmitted by wireless medical devices is to apply end-to-end encryption for device communications (Option D). End-to-end encryption ensures that data is encrypted at the source and remains encrypted throughout its transmission, preventing unauthorized access and tampering. Implementing a captive portal (Option A) and enabling MAC address filtering (Option C) provide some security benefits but do not offer the same level of data protection. Using HTTPS (Option B) secures web traffic but may not cover all communication protocols used by medical devices.
23. During the readiness evaluation of an information system for production, an IS auditor identifies that the incident response plan has not been tested. What is the most significant impact of this oversight?
The most significant impact of not testing the incident response plan is delays in incident resolution due to untested procedures. Testing the incident response plan ensures that the procedures are effective and that the team is prepared to handle incidents promptly and efficiently. Untested procedures can lead to confusion and delays during actual incidents, exacerbating the impact on business operations. While data breaches, operational costs, and user confidence are concerns, the primary issue is ensuring rapid and effective incident response to minimize disruption and damage.
24. An IS auditor has completed a follow-up audit and determined that most risks have been addressed, but a few remain unresolved. Which of the following is the most effective way to communicate this situation to senior management?
Scheduling a meeting with senior management to discuss the unresolved risks and their implications is the most effective way to communicate this situation. This approach ensures that senior management fully understands the significance of the unresolved risks and can take immediate and informed actions to address them. Preparing a detailed report or summarizing the findings in a memo are important steps, but they might not convey the urgency or provide the necessary context as effectively as a direct discussion. Including the unresolved risks in the final report and waiting for a response can delay necessary actions. A meeting ensures clarity, immediate feedback, and prompt decision-making.
25. An organization utilizes identity federation to allow employees to access external applications using their corporate credentials. As a CISA, what is the main concern when assessing the security of the identity federation implementation?
The main concern when assessing the security of the identity federation implementation is the strength of the trust relationships between the federated parties (Option C). Trust relationships determine how identities and credentials are verified and accepted across different organizations or domains. Strong, well-defined trust relationships are essential to prevent unauthorized access and ensure that the federated authentication process is secure. User experience and convenience (Option A), interoperability with different identity providers (Option B), and the cost of maintaining the federation infrastructure (Option D) are important factors but do not directly impact the security of the trust relationships, which are critical for the integrity of the identity federation.
26. During an audit of the IT governance structure, an IS auditor finds that the IT strategy is reviewed and updated annually. However, the audit reveals that the IT governance framework does not include a mechanism for monitoring IT performance metrics regularly. What is the most significant risk associated with this finding?
The most significant risk associated with not having a mechanism for regularly monitoring IT performance metrics is the inability to promptly identify and address IT performance issues. Without regular monitoring, the organization may not be aware of declining performance, inefficiencies, or emerging problems until the annual review, potentially allowing issues to escalate and impact business operations. While an outdated IT strategy, misalignment with changing business needs, and increased non-compliance are valid concerns, the primary risk is the lack of timely detection and resolution of performance issues, which is critical for maintaining effective IT governance and operational resilience.
27. A manufacturing company uses a job scheduling system to automate its production line. Due to recent system updates, several jobs have been failing unexpectedly. What immediate action should the IT department take to diagnose and resolve the issue?
Analyzing job logs for error patterns is the immediate action to take when diagnosing and resolving unexpected job failures after system updates. Job logs provide detailed information on the errors and can help identify the root cause of the failures. Rolling back system updates might be necessary if the updates are found to be the cause, but analysis should come first. Increasing job retries and scheduling jobs manually are temporary solutions that do not address the underlying issue. Proper log analysis will guide the IT department in implementing a permanent fix.
28. An organization wants to improve the security and accountability of its IT asset management process. Which of the following practices would be most effective in achieving this goal?
Implementing role-based access controls (RBAC) is most effective in improving security and accountability in IT asset management. RBAC ensures that only authorized personnel have access to specific assets and management functions based on their roles and responsibilities. This minimizes the risk of unauthorized access and enhances accountability. Regularly updating firmware and software, automating asset discovery, and conducting periodic training for IT staff are important for maintaining security and operational efficiency, but RBAC directly enhances security and accountability by controlling access based on roles.
29. An organization has recently installed smart locks on all server room doors, which can be controlled remotely via a central management system. As a CISA, what should be the primary focus when auditing these smart locks?
When auditing smart locks controlled remotely via a central management system, the primary focus should be on the strength of the encryption used in the smart lock system (Option B). Strong encryption ensures that communications between the smart locks and the central management system are secure and cannot be easily intercepted or tampered with by unauthorized individuals. The convenience of remote access control (Option A), cost savings (Option C), and ease of use (Option D) are secondary considerations that do not directly impact the security and integrity of the access control system. Ensuring robust encryption is critical to preventing unauthorized access and maintaining the security of the data center.
30. An organization is revising its disaster recovery plan (DRP) and needs to ensure that critical applications can be restored in priority order. What is the best approach to achieve this?
Creating a detailed application dependency map is the best approach to ensure that critical applications can be restored in priority order. This map outlines the dependencies between applications and their respective components, allowing the disaster recovery team to understand the sequence in which systems must be restored to ensure smooth and prioritized recovery. A single comprehensive backup strategy and regular full system restores are valuable, but they do not address the need for prioritizing the restoration order based on dependencies. Scheduling backups based on usage patterns is beneficial for data protection but does not ensure prioritized recovery.
31. An organization frequently experiences issues after deploying patches to its systems. To improve the patch management process, what practice should be implemented?
Testing patches in a controlled environment should be implemented to improve the patch management process. Controlled testing allows the organization to evaluate the impact of patches on systems and applications before deploying them to the production environment. This practice helps identify and resolve potential issues, ensuring that patches do not cause disruptions or conflicts. While scheduling during non-business hours, prioritizing based on severity, and communicating schedules are important practices, controlled testing directly addresses the need to validate patches and prevent post-deployment issues.
32. In the maintenance phase of the SDLC, an IS auditor is evaluating the effectiveness of ongoing support and system updates. Which of the following controls is most critical for maintaining system security and functionality?
During the maintenance phase, periodic vulnerability assessments and patch management are most critical for maintaining system security and functionality. Regularly assessing the system for vulnerabilities and applying patches ensures that security flaws are addressed promptly, reducing the risk of exploitation. While system backups, incident response plans, and user feedback mechanisms are important for overall system health, periodic vulnerability assessments and patch management directly impact the system's ability to resist attacks and function securely over time. This proactive approach helps keep the system robust and secure.
33. An IS auditor is assessing the organization’s data breach response capabilities. Which of the following measures is most important to minimize the impact of a data breach?
Establishing a data breach response plan is the most important measure to minimize the impact of a data breach. A well-defined response plan outlines the steps to be taken immediately following a breach, including containment, notification, investigation, and remediation. This ensures a swift and effective response, reducing the potential damage. While penetration tests, data backups, and firewalls are important for overall security, a specific response plan is crucial for managing the immediate aftermath of a data breach and mitigating its impact on the organization.
34. During a security audit, a CISA finds that the organization’s incident response plan (IRP) is based on outdated frameworks and does not align with the current ISO/IEC 27035 standard for incident management. What should be the auditor’s primary recommendation to address this issue?
The auditor’s primary recommendation should be to perform a comprehensive review and update of the IRP (Option C). This ensures that the plan is thoroughly examined and brought up to date with the current ISO/IEC 27035 standard, which provides detailed guidelines for incident management. Implementing the latest standard (Option A) without a review could result in gaps or misalignments. Training the incident response team (Option B) and conducting a tabletop exercise (Option D) are valuable actions but should follow the update of the IRP to ensure that the training and exercises are based on the latest, most effective practices. The comprehensive review and update will ensure the organization’s incident management processes are robust and in compliance with current standards.
35. A multinational corporation needs to ensure compliance with the principle of accountability as part of its privacy framework. Which of the following actions would best demonstrate adherence to this principle?
Establishing a data protection officer (DPO) role to oversee compliance (Option D) best demonstrates adherence to the principle of accountability. The DPO is responsible for ensuring that the organization complies with data protection laws and regulations, and for implementing and monitoring privacy policies and practices. This role is critical in demonstrating that the organization is taking proactive steps to manage and protect personal data. Implementing regular data protection impact assessments (Option A), restricting access to personal data (Option B), and encrypting personal data (Option C) are all important practices for protecting personal data, but they do not alone ensure accountability. The DPO role encapsulates these activities and provides a central point of responsibility for data protection compliance.
36. An organization is reviewing its audit processes to enhance quality and efficiency. Which of the following practices is most likely to improve both quality and efficiency?
Automating routine audit tasks with audit management software can significantly enhance both quality and efficiency by reducing manual errors, speeding up data processing, and allowing auditors to focus on more complex and value-added activities. Conducting post-audit surveys (Option A) can improve quality through feedback but does not directly address efficiency. Extending audit timelines (Option B) may improve thoroughness but can decrease efficiency. Rotating team members (Option D) can enhance cross-functional knowledge but may disrupt continuity and focus.
37. An IS auditor is evaluating the organization’s practices for asset lifecycle management. Which of the following practices is most effective in ensuring the organization can accurately forecast future asset needs?
Maintaining historical data on asset usage and performance is most effective in ensuring the organization can accurately forecast future asset needs. Historical data provides insights into trends and patterns, helping to predict when assets will need replacement or upgrades. While tracking systems, condition assessments, and dedicated teams are important, historical data allows for data-driven forecasting and informed decision-making, ensuring that asset management aligns with future organizational requirements.
38. An organization is implementing a bring-your-own-device (BYOD) policy and needs to ensure the encryption of sensitive data on employees' personal devices. What is the most effective approach to achieve this?
The most effective approach to ensure the encryption of sensitive data on employees' personal devices under a BYOD policy is to encrypt the entire device using full disk encryption (Option A). Full disk encryption protects all data on the device, ensuring that sensitive information is secure even if the device is lost or stolen. Encrypting only the sensitive files and folders (Option B) leaves other data on the device vulnerable. Using SSL/TLS for encrypting data in transit (Option C) protects data during transmission but does not secure data at rest on the device. Implementing strict password policies (Option D) enhances access control but does not encrypt the data itself.
39. An IT service provider wants to enhance its problem management process to reduce the number of recurring incidents. Which of the following actions should be prioritized to achieve this goal?
Conducting regular root cause analysis (RCA) sessions should be prioritized to reduce the number of recurring incidents. RCA sessions involve systematically investigating the underlying causes of problems to identify and eliminate the root issues. This proactive approach helps prevent similar incidents from occurring in the future. While proactive monitoring, a dedicated team, and advanced diagnostic tools are valuable, regular RCA sessions provide the structured process needed to understand and resolve the fundamental causes of recurring incidents.
40. An auditor is assessing the effectiveness of controls over a company's financial reporting system. Which evidence collection technique would best help the auditor determine whether the controls are functioning as intended?
Reperformance of control activities involves the auditor independently executing the control processes to verify their effectiveness. This technique provides direct evidence of whether the controls are operating as intended. Observation (Option B) and inquiry (Option C) provide valuable insights but may not fully demonstrate control effectiveness. Reviewing documentation (Option D) helps understand the design and intended operation of controls but does not confirm their practical execution and effectiveness.
41. During an IT governance maturity assessment, an organization discovers that its processes are well-documented, standardized, and consistently followed, but lacks advanced analytics for process improvement. According to the COBIT maturity model, what is the likely maturity level of this organization?
The organization is likely at Level 3 - Defined in the COBIT maturity model. At this level, processes are well-documented, standardized, and consistently followed across the organization. However, Level 3 does not yet involve the advanced analytics and quantitative management that are characteristic of Level 4 (Managed and Measurable). At Level 4, organizations use metrics and statistical analysis to control and improve processes, which is a step beyond the standardized and documented processes of Level 3. Therefore, the lack of advanced analytics indicates that the organization has not yet reached Level 4.
42. During an audit, an IS auditor notes that the organization does not have a formal policy for the use and management of EUC applications. What is the most significant consequence of this deficiency?
The most significant consequence of not having a formal policy for the use and management of EUC applications is the inability to enforce consistent security measures. Without a formal policy, there may be a lack of standardized practices for securing and managing EUC applications, leading to vulnerabilities and increased risk of data breaches. While unauthorized applications, inventory maintenance, and user interface standardization are concerns, the primary issue is the lack of consistent security controls, which can compromise the overall security posture of the organization.
43. A healthcare organization uses a web-based portal for patient data management. To comply with regulatory requirements and ensure data security, what measure should the organization prioritize?
To comply with regulatory requirements and ensure data security, the healthcare organization should prioritize encrypting patient data stored in the database (Option B). Encryption protects sensitive patient information from unauthorized access and ensures compliance with data protection regulations, such as HIPAA. Implementing CAPTCHA on login pages (Option A) helps prevent automated attacks but does not secure stored data. Enabling HTTP (Option C) is insecure and does not protect data in transit or at rest. Using minimal password complexity requirements (Option D) weakens authentication security and does not meet regulatory standards for protecting sensitive data.
44. An organization is developing a new e-commerce platform. The CISA auditor must review the system's design to ensure it includes adequate transaction processing controls. Which of the following controls is MOST critical for ensuring the accuracy and completeness of transactions?
Establishing automated validation checks for transaction inputs (B) is crucial for ensuring the accuracy and completeness of transactions. These checks can automatically verify data consistency and correctness, reducing the risk of errors. Implementing SSL/TLS encryption (A) ensures secure transmission but does not validate transaction data. Manual reviews of transactions (C) are labor-intensive and not as efficient as automated controls. Restricting access (D) is necessary for security but does not address transaction accuracy and completeness directly.
45. An IS auditor is assessing the controls over a critical financial application. Which type of control is a reconciliation process between the financial application and the general ledger, and what is its purpose?
A reconciliation process between a financial application and the general ledger is a detective control. Its purpose is to identify discrepancies between the two systems. By regularly reconciling data, the organization can detect any inconsistencies or errors that may have occurred during data processing. This allows the organization to investigate and resolve these discrepancies, ensuring the accuracy and reliability of financial records. While preventive controls aim to avoid discrepancies, and corrective controls address and rectify issues after detection, detective controls are specifically designed to uncover issues that have already occurred, enabling the organization to take appropriate action.
46. In an effort to improve audit efficiency, an IS auditor uses data analytics to automate certain audit procedures. Which of the following benefits is most likely to result from this approach?
The primary benefit of using data analytics to automate audit procedures is improved accuracy and speed of analysis. Automated tools can quickly process large volumes of data, reducing the potential for human error and enabling auditors to identify issues more efficiently. Increased manual review, reduced fraud detection, and limited audit scope are not benefits of automation; rather, automation enhances the auditor's ability to conduct thorough and accurate analyses, ultimately leading to more effective audits.
47. During an audit of an organization’s patch management process, an IS auditor notes that there is no formal process for prioritizing patches based on risk. What is the most significant consequence of this deficiency?
The most significant consequence of not having a formal process for prioritizing patches based on risk is the failure to address critical vulnerabilities promptly. Without prioritization, patches may be applied in an ad-hoc manner, potentially leaving high-risk vulnerabilities unpatched for extended periods. This increases the risk of security breaches and other serious incidents. While delays, costs, and tracking issues are concerns, the primary issue is ensuring that the most critical vulnerabilities are addressed as quickly as possible to protect the organization’s IT environment.
48. An organization's security monitoring tools are generating large volumes of data, making it difficult for the security team to identify critical events. Which approach would best help in prioritizing and managing these security events?
Implementing a centralized logging and analysis platform with automated alert prioritization is the best approach to managing large volumes of data. Such a platform consolidates log data from various sources and uses advanced algorithms to prioritize alerts based on their severity and relevance. This helps the security team focus on the most critical events and respond more effectively. Reducing data sources, adding staff for manual review, or increasing storage capacity do not address the core issue of efficiently prioritizing and managing security events amidst large data volumes.
49. In a post-implementation review, an IS auditor discovers that the system documentation is incomplete. What is the most significant risk associated with this finding?
The most significant risk associated with incomplete system documentation is that future maintenance efforts may be hampered. Accurate and comprehensive documentation is essential for understanding the system’s functionality, troubleshooting issues, and making necessary updates. Without complete documentation, maintenance tasks become more challenging, potentially leading to increased downtime, errors, and higher costs. While performance issues, user resistance, and training difficulties are concerns, the primary risk is the long-term impact on system maintenance and support.
50. An IT auditor is assessing the alignment of an organization's IT procedures with its IT policies. Which of the following steps should the auditor take first to conduct this assessment effectively?
The first step the auditor should take to assess the alignment of IT procedures with IT policies is to review the organization's documented IT policies and procedures. This provides a baseline understanding of the expected standards and practices that should be followed. By thoroughly understanding the documented policies and procedures, the auditor can then compare these against the actual practices observed during interviews, risk assessments, and control testing. This approach ensures that the assessment is comprehensive and that any discrepancies between policy and practice are accurately identified and addressed.
51. A company needs to monitor the performance of interfaces between its e-commerce platform and payment gateway to ensure seamless transactions. Which tool or method should the IT team use to achieve this objective?
Application performance monitoring (APM) is the appropriate tool for monitoring the performance of interfaces between the e-commerce platform and the payment gateway. APM tools provide detailed insights into the performance and health of applications, including transaction processing times, error rates, and user experiences. This allows the IT team to detect and address performance issues proactively, ensuring seamless transactions. Network sniffers are useful for analyzing network traffic but do not provide comprehensive application-level insights. Database query optimization and regular software updates are important for overall performance and security but do not specifically monitor interface performance.
52. A large-scale IT project is being managed using agile methodologies. The CISA auditor is evaluating the project's governance framework. Which of the following aspects of agile governance is MOST critical to ensuring successful project outcomes?
Ensuring frequent delivery of small, functional increments (B) is a fundamental aspect of agile methodologies that contributes to successful project outcomes. This practice allows for continuous feedback, early detection of issues, and the ability to make adjustments based on stakeholder input. It helps ensure that the project stays aligned with business needs and can adapt to changing requirements. Maintaining a comprehensive project plan (A) and conducting detailed upfront requirements gathering (C) are more aligned with traditional project management approaches. Establishing a formalized approval process for each iteration (D) can be beneficial, but it should not hinder the flexibility and responsiveness that are core to agile methodologies.
53. During a cloud migration project, an organization needs to ensure that its information systems maintain performance and availability. Which technology component should be primarily evaluated to achieve these objectives?
Service Level Agreements (SLAs) from the Cloud Service Provider (CSP) outline the performance and availability guarantees for cloud services. Evaluating and ensuring that the SLAs meet the organization’s requirements is critical to maintaining performance and availability during and after migration. SLAs define the terms of service, including uptime, response times, and remediation steps for service failures. While encryption mechanisms, end-user training, and application firewalls are important for security and user readiness, SLAs directly address the performance and availability of cloud-based information systems.
54. A company is updating its Business Continuity Plan (BCP) to include pandemic response protocols. Which of the following actions is most important to enhance the resilience of business operations during a pandemic?
Identifying critical employees and cross-training them for key roles is the most important action to enhance the resilience of business operations during a pandemic. Cross-training ensures that there are multiple employees capable of performing essential functions, reducing the risk of operational disruptions if key staff are unavailable due to illness. Stockpiling supplies, establishing communication plans, and increasing health inspections are important measures but do not directly address the continuity of critical business functions as effectively as cross-training. Ensuring that multiple employees can perform critical tasks is vital for maintaining operations during a pandemic when workforce availability may be significantly impacted.
55. A financial services firm has conducted a BIA and identified that its online trading platform has a Recovery Point Objective (RPO) of 15 minutes. During the review of the current backup strategy, it was found that data backups are performed every hour. What should be recommended to align the backup strategy with the RPO?
To align the backup strategy with the RPO of 15 minutes, implementing a Continuous Data Protection (CDP) solution is the most effective recommendation. CDP continuously captures and records data changes, allowing for nearly real-time recovery and ensuring that data can be restored to any point in time within the RPO. This approach is more efficient and reliable than increasing the frequency of traditional backups or scheduling manual backups, which may still result in data loss and require significant manual intervention. Upgrading backup software for faster speeds does not address the need for frequent, near-real-time data capture and recovery that CDP provides.
56. An IS auditor is asked to provide recommendations to improve the organization's software development lifecycle (SDLC) processes. Which of the following practices is most effective for detecting and fixing vulnerabilities early in the development process?
Conducting code reviews and static code analysis is the most effective practice for detecting and fixing vulnerabilities early in the development process. Code reviews involve manually examining the code to identify security flaws, while static code analysis uses automated tools to scan the code for vulnerabilities without executing it. These practices help ensure that security issues are identified and addressed during the coding phase, reducing the risk of vulnerabilities being introduced into production. While CI/CD, security audits, and automated testing are important practices, early detection and remediation through code reviews and static analysis are crucial for building secure software.
57. An IS auditor is reviewing a critical IT project that has experienced significant delays. Which of the following project management deficiencies is most likely to have contributed to these delays?
The most likely project management deficiency contributing to significant delays is poorly defined project scope. A clear and well-defined scope is essential for setting expectations, planning activities, and managing changes. Without it, projects are prone to scope creep, unclear deliverables, and misaligned efforts, all of which can cause delays. While insufficient documentation, inadequate communication, and lack of project management software can impact project success, the primary issue affecting timelines is often scope-related, as it directly influences all aspects of project planning and execution.
58. An organization is drafting SLAs for a new IT service. To ensure that the SLAs are effective and enforceable, which element is most critical to include?
Including detailed service descriptions and deliverables is most critical to ensure that the SLAs are effective and enforceable. Clear and specific descriptions of the services provided, expected performance levels, and deliverables help both the service provider and the client understand their responsibilities and expectations. This level of detail reduces ambiguity and facilitates accurate performance measurement. High-level objectives, general terms, and penalty clauses are important but do not provide the necessary specificity to ensure clear understanding and enforceability of the SLAs.
59. An IT auditor is evaluating the effectiveness of the testing methodologies used for a newly implemented e-commerce platform. The auditor finds that exploratory testing was extensively used. What is the primary advantage of using exploratory testing in this context?
Exploratory testing is an approach where testers actively explore the system without predefined test cases, allowing them to identify unexpected issues and behaviors. This method is particularly effective for discovering unforeseen issues that scripted tests might miss. In the context of an e-commerce platform, exploratory testing helps uncover defects related to user interactions, edge cases, and unusual scenarios that were not considered during the requirement phase. Unlike performance testing, which focuses on identifying bottlenecks, or compliance testing, which verifies adherence to specifications, exploratory testing emphasizes tester creativity and experience to find hidden issues. It complements other testing methodologies by providing additional assurance of the system's robustness.
60. During an IS audit of a financial institution’s transaction processing system, the auditor decides to use a risk-based audit strategy. Which of the following actions best demonstrates this approach?
Focusing audit efforts on high-value transactions and their controls demonstrates a risk-based audit strategy. This approach prioritizes areas that could have the most significant impact on the organization if controls were to fail, ensuring the audit addresses the most critical risks. Auditing all transaction types, ensuring team familiarity, and reviewing policies and procedures are important, but they do not necessarily prioritize the areas of highest risk. By concentrating on high-value transactions, the auditor can effectively assess the controls that protect the organization's most valuable assets, ensuring compliance with IS audit standards and mitigating significant risks.
61. An IT auditor is assessing the effectiveness of an organization's data governance framework. Which metric is most indicative of a successful data governance program?
The percentage of data classified according to policy is a key metric indicative of a successful data governance program. Proper data classification ensures that data is managed according to its sensitivity, value, and regulatory requirements, which is fundamental to effective data governance. This metric reflects the organization's ability to apply governance policies consistently across its data assets. While the number of data breaches, volume of data processed, and frequency of backups are important indicators of security and operational efficiency, they do not directly measure the effectiveness of governance practices as accurately as data classification compliance.
62. An IS auditor is assessing a business case for migrating to a cloud-based system. Which of the following should be the auditor’s primary concern to ensure the migration aligns with business objectives?
The auditor’s primary concern should be the impact of the migration on current business processes to ensure the migration aligns with business objectives. Understanding how the migration will affect existing operations, workflows, and efficiency is crucial for determining if the move to the cloud will support or hinder the organization’s goals. While cost savings, security measures, and scalability are important considerations, the primary focus should be on ensuring that the migration will enhance, rather than disrupt, critical business processes and align with strategic objectives.
63. A company is integrating PKI with its network access control system. During the audit, a CISA should verify which aspect to ensure that only authenticated devices are allowed network access?
To ensure that only authenticated devices are allowed network access, the CISA should verify the implementation of certificate-based authentication for network access (Option C). Certificate-based authentication uses digital certificates to verify the identity of devices attempting to access the network, ensuring that only trusted devices are granted access. The length of the private keys (Option A) and the frequency of certificate renewals (Option B) are important for the overall security of the PKI but do not directly ensure authenticated network access. Symmetric encryption (Option D) is not used for authentication purposes in this context.
64. During an audit of an organization's database management practices, an IS auditor notes that there are no controls in place to prevent SQL injection attacks. What is the most effective control to mitigate this risk?
The most effective control to mitigate the risk of SQL injection attacks is implementing input validation on user inputs. Input validation ensures that user-provided data is checked for validity before being processed by the database, preventing malicious code from being executed. While updating DBMS software, conducting security training, and using a WAF are important security measures, input validation directly addresses the vulnerability exploited by SQL injection attacks, making it the most effective control in this context.
65. An audit project manager is overseeing a team conducting an information systems audit. Midway through the project, a key team member resigns. What is the most critical immediate step the project manager should take?
Conducting a risk assessment is the most critical immediate step to understand the impact of the resignation on the project. This assessment helps in identifying areas that may be affected and planning for appropriate mitigations. Redistributing tasks (Option A) or informing senior management (Option B) are important follow-up actions but should be based on the findings of the risk assessment. Pausing the project (Option D) is typically not practical and could lead to further delays; it should be considered only if the risk assessment indicates significant issues that cannot be mitigated promptly.
66. During a periodic review of an organization's information systems, an IS auditor identifies that the systems do not support mobile access. What is the most significant business impact of this limitation?
The most significant business impact of information systems not supporting mobile access is reduced employee productivity. In today's business environment, employees often need to access systems and perform tasks remotely. Lack of mobile access can hinder their ability to work efficiently and flexibly, leading to decreased productivity. While increased IT support costs, lower user satisfaction, and limited competitive advantage are important considerations, the primary issue is the direct impact on employees’ ability to perform their work effectively, which can have a significant negative effect on overall business performance.
67. During a wireless network security assessment, an IS auditor finds an unsecured wireless access point within the organization's premises. What is the most significant risk associated with this finding?
The most significant risk associated with an unsecured wireless access point is unauthorized access to the internal network. An unsecured access point can allow attackers to connect to the organization's network without proper authentication, potentially leading to data breaches, malware infections, and other security incidents. While increased traffic, signal interference, and management difficulties are concerns, the primary risk is the potential for unauthorized access, which can compromise the security and integrity of the organization's information systems.
68. During an evaluation of IT operations, an IS auditor finds that performance monitoring tools are not fully utilized. What is the most significant risk posed by this deficiency?
The most significant risk posed by not fully utilizing performance monitoring tools is the inability to detect and address performance issues promptly. Performance monitoring tools provide real-time insights into system health and functionality, enabling IT operations to identify and resolve issues before they impact business processes. Without these tools, performance problems may go unnoticed, leading to disruptions and reduced operational effectiveness. While operational costs, complexity, and compliance are concerns, the primary risk is the failure to maintain optimal system performance, which directly affects the organization's ability to achieve its objectives.
69. An IS auditor is reviewing an IT contract to ensure it meets business requirements. Which of the following clauses is most critical to include in the contract?
A clause allowing for periodic performance reviews is most critical to include in the contract to ensure it meets business requirements. Periodic reviews enable the organization to assess the supplier’s performance regularly, ensuring that service levels are maintained and any issues are addressed promptly. While penalties for non-compliance, payment terms, and dispute resolution processes are important, periodic performance reviews provide an ongoing mechanism to ensure that the supplier continues to meet the organization’s needs and that the relationship remains aligned with business objectives.
70. A company has implemented an IT quality management system (QMS) but is struggling with ensuring continuous improvement. What key practice should be incorporated into the QMS to facilitate ongoing quality enhancement?
Establishing a CAPA process is crucial for ensuring continuous improvement within a QMS. The CAPA process identifies root causes of quality issues and implements measures to correct and prevent recurrence, leading to sustained improvements over time. Customer surveys, internal audits, and reward systems are valuable practices but do not directly address the root cause analysis and preventive measures needed for continuous quality enhancement.
71. In the process of developing a business case for a new data analytics platform, the project team must perform a feasibility analysis. As the CISA auditor, which of the following steps should be prioritized to ensure a thorough feasibility analysis?
Conducting a cost-benefit analysis (A) is a crucial step in the feasibility analysis as it provides a clear comparison of the expected benefits against the estimated costs. This analysis helps determine whether the investment in the new data analytics platform is justified and aligns with the organization's financial goals. Developing a risk management plan (B) is important for project management but secondary to understanding the financial feasibility. Regular stakeholder meetings (C) are essential for communication but do not directly address feasibility. Benchmarking against industry standards (D) provides useful insights but does not offer a comprehensive evaluation of costs and benefits.
72. An IS auditor is reviewing the organization's data classification policy. Which of the following elements is most critical to include in the policy to ensure it aligns with both internal and external requirements?
The most critical element to include in the data classification policy is detailed procedures for data handling based on classification. These procedures ensure that data is managed and protected according to its sensitivity and classification, aligning with both internal security policies and external regulatory requirements. While a list of data types, review schedules, and roles and responsibilities are important, the primary focus should be on providing clear and actionable procedures that guide how classified data should be handled to maintain compliance and protect sensitive information.
73. During an audit of a company’s cybersecurity controls, the auditor identifies several areas for improvement. To ensure these recommendations are implemented, what is the most effective follow-up communication technique?
Scheduling a follow-up meeting to discuss the implementation progress ensures that the recommendations are being addressed and provides a forum for discussing any challenges or needed adjustments. This technique fosters accountability and allows the auditor to offer additional guidance if needed. Sending a reminder email (Option A) and relying on internal tracking systems (Option D) may not provide the same level of engagement and oversight. Including a follow-up section in the report (Option C) is important but does not actively facilitate ongoing communication and progress tracking.
74. During an evaluation of the organization's IT procurement practices, an IS auditor identifies that there is no formal policy governing software acquisitions. What is the most likely consequence of this gap?
The most likely consequence of not having a formal policy governing software acquisitions is difficulty in tracking software licenses and ensuring compliance. Without a formal policy, there is a higher risk of untracked software installations, leading to potential non-compliance with licensing agreements and legal issues. While delays in the procurement process, increased costs, and a fragmented IT infrastructure are also potential consequences, the primary risk is the lack of control and oversight over software licenses. A formal policy helps manage software assets, ensuring compliance and efficient use of resources.
75. An IT auditor is conducting a post-implementation review of a newly implemented data warehouse system. What key activity should the auditor perform to evaluate the system's impact on business decision-making?
Assessing the quality and accuracy of reports generated by the data warehouse system is critical to evaluating its impact on business decision-making. Accurate and high-quality reports provide reliable data insights, enabling informed decisions. This involves validating the data sources, transformation processes, and report outputs to ensure they meet business requirements and standards. Reviewing system access controls, verifying data backup procedures, and checking for compliance with data privacy regulations are important for system security and integrity but do not directly measure the system's effectiveness in supporting decision-making.
76. An IS auditor is conducting a risk assessment as part of the risk-based audit planning process. Which of the following techniques is MOST effective for identifying emerging risks?
Reviewing industry reports and publications is the most effective technique for identifying emerging risks. These reports provide insights into new threats, trends, and best practices within the industry, helping the auditor stay informed about potential risks that may not yet have manifested within the organization. Emerging risks can often be identified through the analysis of industry data and developments, which may indicate vulnerabilities that could affect the organization in the future. While reviewing past audit reports, interviewing senior management, and analyzing internal audit results are valuable for understanding existing risks, they may not fully capture new and emerging threats.
77. An IT auditor is reviewing the compliance of an organization with the Gramm-Leach-Bliley Act (GLBA). Which of the following practices is essential to meet the requirements of the GLBA’s Safeguards Rule?
Implementing a comprehensive information security program is essential to meet the requirements of the Gramm-Leach-Bliley Act (GLBA)’s Safeguards Rule. The Safeguards Rule mandates that financial institutions develop, implement, and maintain a robust information security program to protect customer information. This program must include administrative, technical, and physical safeguards to ensure the security, confidentiality, and integrity of customer data. While encrypting financial transactions, conducting penetration testing, and developing a business continuity plan are important security practices, they are components of the broader information security program required by the GLBA’s Safeguards Rule.
78. A multinational corporation is converting its data from various regional systems to a centralized global system. The IT auditor must ensure that the conversion process complies with local data protection regulations. What is the most effective approach to achieve this compliance?
Conducting a regulatory compliance review for each region is the most effective approach to ensure that the data conversion process complies with local data protection regulations. This review involves assessing the specific legal and regulatory requirements in each region and ensuring that the conversion process adheres to these requirements. While implementing encryption, standardizing data formats, and limiting data access are important security measures, they do not specifically address the need to comply with varied regional regulations. A thorough compliance review ensures that the organization avoids legal and regulatory pitfalls during the data conversion process.
79. An IS auditor is engaged in a security audit of an organization’s IT infrastructure. Which of the following should be the primary focus of this audit?
The primary focus of a security audit is reviewing user access controls and authentication mechanisms. These controls are critical in protecting sensitive information and ensuring that only authorized users have access to IT systems and data. The audit assesses whether access controls are properly implemented, managed, and monitored to prevent unauthorized access, data breaches, and other security incidents. While evaluating disaster recovery plans, aligning IT and business strategies, and analyzing IT investment cost-effectiveness are important, they fall outside the main scope of a security audit, which is centered on safeguarding the organization’s information assets through robust security controls.
80. An organization is using a balanced scorecard approach to monitor IT performance. Which of the following perspectives should be included in the balanced scorecard to provide a comprehensive view of IT performance?
The balanced scorecard approach includes four perspectives: financial, customer, internal processes, and learning and growth. This comprehensive framework ensures that IT performance is assessed from multiple angles, providing a holistic view of how IT supports business objectives. The other options focus on specific aspects of performance but do not cover all critical areas that a balanced scorecard addresses.
81. An organization has implemented a network access control (NAC) solution to enhance its network security. As a CISA, which of the following should be the main objective when auditing the NAC implementation?
The main objective when auditing a NAC implementation should be verifying that unauthorized devices are effectively blocked from accessing the network (Option B). NAC solutions enforce security policies at the network access level, ensuring that only authorized and compliant devices can connect. This is crucial for preventing unauthorized access and potential security breaches. While ease of navigation (Option A), compatibility with other security tools (Option C), and cost savings (Option D) are important factors, they do not directly address the primary security function of NAC, which is to control and secure network access. Ensuring effective blocking of unauthorized devices is essential for the success of the NAC solution.
82. During an audit, an IS auditor finds that the IT strategy is closely aligned with the organization's current strategic objectives but has not been reviewed or updated in several years. What is the most appropriate recommendation for the auditor to make?
The most appropriate recommendation is to conduct a comprehensive review of the IT strategy to ensure continued alignment with the organization's strategic objectives. This review should consider any changes in the business environment, new strategic priorities, and emerging technologies to ensure the IT strategy remains relevant and effective. Increasing the IT budget, implementing a new IT governance framework, and enhancing existing IT capabilities are actions that might be considered based on the review, but the primary recommendation should be to perform a thorough review to confirm the IT strategy's ongoing alignment with organizational goals.
83. An organization uses vulnerability assessment tools to scan its network and systems regularly. However, the security team is overwhelmed by the volume of alerts and struggles to prioritize them effectively. What should the organization implement to enhance its security event management?
Utilizing a risk-based approach to prioritize vulnerabilities based on their potential impact is the best solution. This approach allows the security team to focus on addressing the most critical vulnerabilities that pose the highest risk to the organization, ensuring that resources are used efficiently and effectively. Automating patch management, outsourcing the process, or increasing scan frequency may help in some respects, but they do not address the core issue of prioritization, which is essential for managing the high volume of alerts and ensuring that the most significant threats are mitigated first.
84. An IS auditor is evaluating the service desk function as part of an IT service management review. Which of the following is the most important metric to assess to ensure the service desk is meeting business requirements?
The most important metric to assess to ensure the service desk is meeting business requirements is customer satisfaction ratings. High customer satisfaction indicates that the service desk is effectively addressing user needs and providing a level of service that meets or exceeds expectations. While average resolution time, incident volume, and escalation rates are important operational metrics, customer satisfaction directly reflects the service desk’s success in meeting the business requirement of delivering high-quality support to users.
85. An organization has identified a persistent cyber threat that has evaded detection for several months. What should be the primary focus of the incident response team when dealing with this advanced persistent threat (APT)?
The primary focus when dealing with an advanced persistent threat (APT) should be eradicating the threat from all affected systems and networks. APTs are sophisticated and can cause long-term damage if not completely removed. Ensuring thorough eradication prevents the attacker from maintaining a foothold in the organization’s environment. While monitoring the attacker, disclosing the breach, and implementing upgrades and patches are important actions, they should follow the primary task of removing the threat to ensure the organization’s security and integrity.
86. After a security breach, an organization wants to reinforce its security awareness training program to prevent future incidents. Which strategy should be prioritized to enhance employees' ability to respond to security events?
Developing a comprehensive incident response plan and conducting regular training on its implementation should be prioritized. This strategy ensures that employees are not only aware of the procedures for responding to security events but also practiced in their application. Regular training on the incident response plan helps employees to internalize their roles and responsibilities, leading to a more coordinated and effective response to security breaches. While increasing training frequency, introducing rewards, or providing lectures on security threats can be beneficial, they do not provide the same level of practical, actionable guidance as a well-developed incident response plan.
87. An IS auditor is reviewing the impact of adopting a new industry practice of continuous integration and continuous deployment (CI/CD) in software development. What is the most significant opportunity provided by this practice?
The most significant opportunity provided by adopting continuous integration and continuous deployment (CI/CD) in software development is the reduced time to market for new features. CI/CD practices streamline the development and deployment processes, allowing organizations to release new features and updates more quickly and efficiently. While increased frequency of updates, higher risk of bugs, and dependency on automation tools are considerations, the primary benefit is the ability to deliver new functionality to users faster, enhancing competitive advantage and responsiveness to market demands.
88. An organization is evaluating its system architecture to enhance resiliency. It plans to use a microservices architecture instead of a monolithic one. What is the primary resiliency benefit of adopting a microservices architecture?
The primary resiliency benefit of adopting a microservices architecture is the isolation of failures to individual services, preventing system-wide outages. In a microservices architecture, applications are composed of small, independent services that communicate through APIs. This design allows each service to fail or be updated independently without affecting the entire system, significantly enhancing overall resiliency. Easier management of updates and improved scalability are additional benefits, but the isolation of failures is the key advantage in terms of resiliency. Contrary to reducing complexity, microservices can increase complexity due to the need for managing multiple services and their interactions.
89. During an evaluation of the organization’s risk management practices, an IS auditor finds that risk management responsibilities are not clearly assigned. What is the most significant consequence of this finding?
The most significant consequence of not clearly assigning risk management responsibilities is the lack of accountability for managing specific risks. When responsibilities are not clearly defined, it becomes unclear who is responsible for identifying, assessing, and mitigating specific risks, leading to gaps in the risk management process. While ineffective communication, inconsistent application, and delays in implementation are important issues, they all stem from the fundamental problem of unclear accountability. Clear assignment of responsibilities ensures that all aspects of risk management are effectively managed and that there is accountability for addressing specific risks.
90. An IT manager is tasked with improving the utilization of IT resources in a rapidly growing organization. The current approach lacks visibility into resource usage, leading to inefficiencies. Which of the following actions should the IT manager prioritize to enhance resource utilization?
Implementing a resource tracking and monitoring system provides continuous visibility into the usage of IT resources. This system helps identify underutilized or overutilized resources, enabling the IT manager to make informed decisions to optimize resource allocation. Hiring additional staff or conducting a one-time audit might offer temporary relief but do not provide ongoing insights into resource utilization. Outsourcing management can be beneficial but might not address the internal need for visibility and control over resource usage.
91. An organization performs nightly full backups and hourly incremental backups of its critical data. During an audit, it was suggested that this backup strategy might be inefficient. What modification would most likely improve both efficiency and resiliency?
Implementing Continuous Data Protection (CDP) would most likely improve both efficiency and resiliency. CDP continuously captures and replicates data changes in real-time, ensuring minimal data loss and faster recovery times. This method eliminates the need for frequent full and incremental backups, reducing the backup window and improving overall efficiency. Switching to differential backups, performing more frequent full backups, or reducing the frequency of incremental backups can enhance certain aspects but do not provide the comprehensive benefits of CDP.
92. An organization has implemented several performance management tools but still experiences slow application response times. What is the most effective step to diagnose and resolve this issue?
Conducting a comprehensive performance baseline analysis is the most effective step to diagnose and resolve the issue of slow application response times. A baseline analysis involves measuring and documenting the current performance levels of the system under normal operating conditions. This helps identify any deviations from expected performance and pinpoint specific areas causing delays. Increasing memory and processing power, scheduling more frequent reviews, and implementing stricter access controls can be beneficial, but a baseline analysis provides the necessary data to understand the root causes of performance issues and guide targeted improvements.
93. A multinational corporation is evaluating the use of the Spiral model for a high-risk software development project. As the CISA auditor, what key aspect should you emphasize to ensure the effective implementation of the Spiral model?
The Spiral model is designed to manage high-risk projects by incorporating regular risk assessments and iterative refinement (B) at each phase. This approach allows for continuous evaluation and mitigation of risks, adapting the project based on findings from each iteration. Emphasizing early and detailed planning (A) and developing comprehensive requirements (C) are more suited to traditional methodologies. Strict phase-gate reviews (D) may limit the flexibility needed for the iterative nature of the Spiral model.
94. An IS auditor is evaluating the availability controls of an organization's IT infrastructure. Which of the following controls is most critical to ensure high availability of critical systems?
Implementing a robust disaster recovery plan is the most critical control to ensure high availability of critical systems. A disaster recovery plan outlines the procedures for recovering and restoring IT systems and data in the event of a disruption, ensuring minimal downtime and continuity of operations. While updating antivirus software, enforcing access controls, and conducting training sessions are important for overall security, a disaster recovery plan specifically addresses the availability aspect by providing a structured approach to respond to and recover from incidents that could impact system availability.
95. An organization wants to ensure that its IT governance framework promotes accountability and transparency. Which of the following actions is most effective in achieving this objective?
Establishing clear reporting lines and regular performance reviews is the most effective action for promoting accountability and transparency within an IT governance framework. Clear reporting lines ensure that responsibilities are well-defined and that employees understand their roles and to whom they report. Regular performance reviews provide opportunities to assess progress, address issues, and hold individuals accountable for their performance. While centralizing decision-making, outsourcing IT functions, and implementing a decentralized structure might have certain benefits, they do not directly address the need for accountability and transparency as effectively as clear reporting structures and performance evaluations.
96. An IT auditor is assessing the controls over EUC applications in a manufacturing company. Which of the following would be the most effective control to ensure data security in EUC applications?
Implementing role-based access controls (RBAC) is the most effective control for ensuring data security in EUC applications. RBAC ensures that users have access only to the data and functions necessary for their roles, minimizing the risk of unauthorized access and data breaches. Quarterly user access reviews, data encryption, and strict password policies are important security measures, but RBAC provides a granular and proactive approach to managing access rights and protecting sensitive data.
97. An auditor is evaluating the effectiveness of an organization's incident response process. To select a sample of incident reports for review, the auditor uses judgmental sampling. What is a key risk associated with using judgmental sampling in this scenario?
Judgmental sampling involves the auditor's judgment to select specific items for review based on certain criteria. This method can introduce bias because the selection is influenced by the auditor's subjective criteria, which may not accurately represent the entire population. As a result, the findings from the sample may not be generalizable to the whole population, affecting the reliability of the audit conclusions. While judgmental sampling can sometimes be quicker (Option C) and more targeted, it risks overlooking important elements that a more systematic approach might capture. It is also not necessarily tied to larger sample sizes (Option A) or overall population size (Option D) in the same way statistical methods are.
98. An IS auditor is assessing the physical security of a remote office location. Which of the following controls is most critical to ensure that information assets are adequately safeguarded?
The installation of an advanced intrusion detection system is the most critical control to ensure that information assets are adequately safeguarded at a remote office location. An intrusion detection system monitors and detects unauthorized access attempts in real-time, providing immediate alerts and allowing for a swift response to potential security breaches. While security patrols, physical locks, and alarm systems are important components of physical security, an advanced intrusion detection system provides continuous monitoring and the ability to detect and respond to threats proactively.
99. During a security review, a CISA finds that an organization has not included backup data in its data classification scheme. What is the most significant risk associated with this omission?
The most significant risk associated with not including backup data in the data classification scheme is the inadequate protection of sensitive data in backups (Option C). Without classification, backups containing sensitive data may not receive the appropriate security controls, leaving them vulnerable to unauthorized access, data breaches, or loss. While increased cost of backup storage (Option A), difficulty in managing backup schedules (Option B), and reduced efficiency in data retrieval processes (Option D) are potential issues, they do not present the same level of risk as failing to protect sensitive data in backups according to its classification.
100. When planning an IS audit, an auditor decides to focus on the organization's procurement process. Which of the following risks is MOST likely to be a primary concern in this audit?
Inefficiencies in the procurement process leading to increased costs are a primary concern when auditing the procurement process. The procurement process involves acquiring goods and services needed for the organization’s operations, and inefficiencies can result in higher costs, delays, and potential supply chain disruptions. These inefficiencies can significantly impact the organization's profitability and operational effectiveness. While unauthorized access to information, disaster recovery planning, and regulatory compliance are important considerations, the primary focus of auditing the procurement process is to ensure that it is efficient, cost-effective, and well-controlled.
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