Isaca  CISA Certified Information Systems Auditor Exam  Dumps and Practice Test Questions Set 10 Q 181-200

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Question 181

During an audit, the IS auditor finds that there is no formal process for user account termination. Which risk is MOST significant?

A) Users may experience minor inconvenience
B) Former employees may retain access to systems, leading to unauthorized access, data leakage, or fraud
C) IT staff may spend more time managing accounts
D) System performance may slightly degrade

Answer: B)

Explanation

Former employees retaining access to systems, leading to unauthorized access, data leakage, or fraud, is the most significant risk when there is no formal process for user account termination. User accounts should be promptly disabled or removed upon employee departure, role change, or termination to ensure that access to corporate resources is strictly controlled.

A) Minor inconvenience is operational. Employees may face small disruptions if access is terminated incorrectly or accounts are deactivated, but this is negligible compared to the security risks associated with inactive accounts remaining active.

B) Security and operational risks from inactive or improperly terminated accounts are critical. Auditors evaluate account management policies, onboarding and offboarding procedures, access reviews, and compliance with internal and regulatory standards. Frameworks such as ISO 27001, NIST, PCI DSS, and HIPAA emphasize strict access controls to prevent unauthorized use of information systems. Accounts left active after termination may be exploited by former employees, insiders, or external attackers to gain unauthorized access, modify data, or exfiltrate sensitive information. The risk is exacerbated if the accounts have elevated privileges or access to critical systems. Effective controls include formal offboarding procedures, timely account deactivation, periodic access reviews, multi-factor authentication, logging of account activity, and auditing of terminated user accounts. Neglecting account termination increases the likelihood of insider threats, fraud, data breaches, operational disruption, and regulatory violations. Timely and documented termination procedures maintain system security, support audit requirements, and minimize organizational exposure to potential attacks.

C) IT staff spending more time managing accounts is operational. While administrative workload may increase, the primary risk lies in unauthorized access and potential misuse of accounts.

D) Slight system performance degradation is operational. Performance is minimally affected; the critical concern is controlling access and mitigating security risks.

Implementing a formal process for user account termination is essential for securing systems. The most significant risk is that former employees may retain access, leading to unauthorized access, data leakage, or fraud.

Question 182

During an audit, the IS auditor finds that security patches are applied inconsistently across servers. Which risk is MOST significant?

A) Users may experience minor inconvenience
B) Unpatched servers are vulnerable to attacks, malware, or exploitation of known security flaws
C) IT staff may spend more time updating servers
D) System performance may slightly degrade

Answer: B)

Explanation

Unpatched servers being vulnerable to attacks, malware, or exploitation of known security flaws is the most significant risk when security patches are applied inconsistently. Patch management ensures that known vulnerabilities are remediated in a timely manner, reducing the potential for exploitation by attackers.

A) Minor inconvenience is operational. Users may experience temporary disruptions during patch installation, but this is negligible compared to the risks associated with unpatched servers.

B) Security risks from inconsistent patching are critical. Auditors assess patch management policies, testing and deployment procedures, vulnerability management programs, and compliance with industry standards. Frameworks such as ISO 27001, NIST, PCI DSS, and HIPAA mandate timely application of security patches to maintain system integrity and prevent exploitation of vulnerabilities. Inconsistent patching can leave servers exposed to malware, ransomware, or unauthorized access. Attackers frequently target unpatched systems to gain control, escalate privileges, or disrupt operations. Effective patch management includes vulnerability assessment, risk prioritization, testing, scheduling deployments, verification of patch installation, and documentation of activities. Organizations that fail to consistently apply patches risk data breaches, financial loss, operational downtime, reputational damage, and regulatory non-compliance. Regular patch management ensures systems remain secure, reduces the attack surface, and supports business continuity.

C) IT staff spending more time updating servers is operational. While administrative effort increases, the main risk is exposure to cyberattacks due to unpatched vulnerabilities.

D) Slight system performance degradation is operational. The critical concern is securing servers against exploitation rather than minor performance impacts.

Consistently applying security patches across servers is essential for maintaining security. The most significant risk is that unpatched servers may be exploited, leading to attacks, malware infections, or operational disruptions.

Question 183

During an audit, the IS auditor finds that encryption keys are not rotated regularly. Which risk is MOST significant?

A) Users may experience minor inconvenience
B) Compromised or outdated keys may allow attackers to decrypt sensitive data, leading to data breaches
C) IT staff may spend more time managing keys
D) System performance may slightly degrade

Answer: B)

Explanation

Compromised or outdated encryption keys allowing attackers to decrypt sensitive data, leading to data breaches, is the most significant risk when encryption keys are not rotated regularly. Encryption protects the confidentiality and integrity of data both at rest and in transit. Failure to rotate keys can result in prolonged exposure if a key is compromised.

A) Minor inconvenience is operational. Users may need to reconnect or re-encrypt data during key rotation, but this is negligible compared to the risk of a compromised key.

B) Security risks from static or compromised keys are critical. Auditors evaluate encryption policies, key management procedures, access controls, and compliance with regulatory standards. Frameworks such as ISO 27001, NIST, PCI DSS, and HIPAA emphasize proper key management, including generation, storage, rotation, and revocation. Without regular key rotation, attackers who gain access to a key can decrypt sensitive information for extended periods. Effective key management includes defining rotation intervals, secure storage, controlled access, logging, and auditing of key usage. Key rotation mitigates risks associated with exposure, accidental disclosure, and cryptographic vulnerabilities. Organizations that neglect key rotation risk data breaches, regulatory violations, financial losses, and reputational harm. Encryption key management is a critical component of an overall information security strategy and supports compliance, confidentiality, and integrity.

C) IT staff spending more time managing keys is operational. While key rotation may require effort, the primary risk is exposure of sensitive data due to compromised encryption keys.

D) Slight system performance degradation is operational. The critical concern is protecting data confidentiality and integrity, not minor performance changes.

Regular encryption key rotation is essential for protecting sensitive data. The most significant risk is that compromised or outdated keys may allow attackers to decrypt information, leading to data breaches.

Question 184

During an audit, the IS auditor finds that intrusion detection system (IDS) alerts are not investigated promptly. Which risk is MOST significant?

A) Users may experience minor inconvenience
B) Security incidents may go undetected or unmitigated, leading to breaches, data loss, or operational disruption
C) IT staff may spend more time analyzing alerts
D) System performance may slightly degrade

Answer: B)

Explanation

Security incidents going undetected or unmitigated, leading to breaches, data loss, or operational disruption, is the most significant risk when IDS alerts are not investigated promptly. IDS systems detect potential attacks, malware, unauthorized access, and anomalous network activity, serving as a critical component of the organization’s security monitoring program.

A) Minor inconvenience is operational. Users may face minor disruptions if false positives are investigated, but this is negligible compared to the risk of unmitigated security incidents.

B) Risks from uninvestigated alerts are critical. Auditors assess IDS configuration, alert management processes, incident response integration, and monitoring compliance with regulatory standards. Frameworks such as ISO 27001, NIST, PCI DSS, and HIPAA require timely investigation of security alerts to prevent escalation of incidents. Failure to investigate alerts can allow attackers to maintain undetected access, exfiltrate data, compromise systems, or disrupt operations. Effective processes include prioritizing alerts, integrating IDS with security information and event management (SIEM) systems, documenting investigations, and escalating incidents to the incident response team. Organizations that fail to investigate alerts promptly risk prolonged breaches, operational downtime, regulatory penalties, financial losses, and reputational harm. Continuous monitoring, alert investigation, and incident response integration are essential to maintaining security posture and minimizing damage from attacks.

C) IT staff spending more time analyzing alerts is operational. Administrative effort is secondary; the primary risk is unmitigated security incidents.

D) Slight system performance degradation is operational. Performance impact is minimal; the main concern is timely detection and response to potential threats.

Prompt investigation of IDS alerts is essential for effective security monitoring. The most significant risk is that security incidents may go undetected or unmitigated, leading to breaches, data loss, or operational disruption.

Question 185

During an audit, the IS auditor finds that user access reviews are not performed periodically. Which risk is MOST significant?

A) Users may experience minor inconvenience
B) Unauthorized users may retain access to systems and sensitive data, increasing the risk of data breaches, fraud, or policy violations
C) IT staff may spend more time managing access rights
D) System performance may slightly degrade

Answer: B)

Explanation

Unauthorized users retaining access to systems and sensitive data, increasing the risk of data breaches, fraud, or policy violations, is the most significant risk when user access reviews are not performed periodically. Periodic access reviews ensure that permissions remain aligned with job responsibilities and that obsolete or unnecessary access is revoked.

A) Minor inconvenience is operational. Users may experience minor interruptions if access rights are adjusted, but this is negligible compared to the security and compliance risks.

B) Security and compliance risks from obsolete or excessive access are critical. Auditors evaluate access management policies, periodic review procedures, segregation of duties, and adherence to regulatory standards. Frameworks such as ISO 27001, NIST, PCI DSS, HIPAA, and SOX require periodic access reviews to prevent unauthorized use of information systems. Without regular reviews, users may retain elevated privileges after role changes, terminations, or transfers, enabling them to access sensitive data or perform unauthorized actions. Effective controls include defining review frequency, verifying access against job responsibilities, documenting findings, and revoking unnecessary privileges. Regular access reviews reduce the likelihood of insider threats, fraud, policy violations, data breaches, and regulatory penalties. Organizations that fail to perform access reviews risk increased exposure to security incidents and compliance failures. Systematic access management supports accountability, auditability, and continuous security assurance.

C) IT staff spending more time managing access rights is operational. Administrative effort may increase, but the primary risk lies in unauthorized access and potential security breaches.

D) Slight system performance degradation is operational. Performance impact is minimal; the critical concern is maintaining proper access control and security.

Performing periodic user access reviews is essential for information security and regulatory compliance. The most significant risk is that unauthorized users may retain access, increasing the likelihood of data breaches, fraud, or policy violations.

Question 186

During an audit, the IS auditor finds that database administrators have excessive privileges without monitoring. Which risk is MOST significant?

A) Users may experience minor inconvenience
B) Database administrators could misuse their privileges, leading to unauthorized data modification, deletion, or leakage
C) IT staff may spend more time managing database access
D) System performance may slightly degrade

Answer: B)

Explanation

Database administrators (DBAs) having excessive privileges without monitoring poses a significant risk because they have access to critical data and system configurations. Unauthorized or accidental misuse can lead to severe data breaches, loss of integrity, or operational disruption.

A) Minor inconvenience is operational. Users may notice changes or temporary disruptions if access is limited or monitored, but this is negligible compared to the potential for data misuse.

B) Security risks from unmonitored DBAs are critical. Auditors evaluate access management, role-based permissions, monitoring procedures, and compliance with internal and regulatory standards. Frameworks such as ISO 27001, NIST, PCI DSS, and HIPAA emphasize controlling privileged access to prevent data compromise. Excessive privileges without monitoring enable DBAs to create, delete, or modify data arbitrarily. This could result in data corruption, financial misstatement, loss of sensitive information, or regulatory non-compliance. Effective controls include least privilege principles, role-based access, separation of duties, activity logging, periodic access reviews, and automated alerts for unusual activity. Monitoring ensures that any suspicious or unauthorized actions are detected and investigated promptly. Organizations failing to restrict or monitor DBA access risk insider threats, fraud, compliance violations, reputational damage, and operational disruptions. Strong oversight of privileged accounts protects data confidentiality, integrity, and availability.

C) IT staff spending more time managing database access is operational. While administrative effort may increase, the main risk lies in misuse or compromise of privileged data.

D) Slight system performance degradation is operational. Performance is minimally affected; the critical concern is controlling privileged access and preventing unauthorized data manipulation.

Implementing privilege control and monitoring for database administrators is essential for securing critical information. The most significant risk is that excessive, unmonitored privileges could lead to unauthorized data modification, deletion, or leakage.

Question 187

During an audit, the IS auditor finds that network segmentation is not implemented. Which risk is MOST significant?

A) Users may experience minor inconvenience
B) A security breach in one segment could propagate across the entire network, increasing exposure and impact
C) IT staff may spend more time configuring network devices
D) System performance may slightly degrade

Answer: B)

Explanation

Lack of network segmentation poses a significant risk because a compromise in one part of the network can spread laterally, impacting multiple systems and sensitive data. Network segmentation divides the network into separate zones to contain attacks, enforce access controls, and protect critical systems.

A) Minor inconvenience is operational. Users may experience minor delays or restrictions if segmentation is applied, but this is negligible compared to the security implications of a flat network.

B) Security and operational risks from unsegmented networks are critical. Auditors evaluate network architecture, firewall policies, access controls, and compliance with regulatory standards. Frameworks such as ISO 27001, NIST, PCI DSS, and HIPAA emphasize segmentation to isolate sensitive systems and minimize the attack surface. Without segmentation, malware, ransomware, or unauthorized users can move freely across the network, compromising critical assets and increasing the potential damage. Effective segmentation includes creating VLANs, implementing firewalls and ACLs between zones, enforcing least privilege access, monitoring traffic, and testing segmentation effectiveness. Organizations lacking segmentation are at higher risk of widespread compromise, data breaches, operational downtime, regulatory violations, and financial losses. Proper network segmentation also facilitates compliance audits, incident response, and security monitoring by isolating critical workloads and containing potential threats.

C) IT staff spending more time configuring network devices is operational. While administrative effort may increase, the primary risk is the uncontrolled propagation of attacks.

D) Slight system performance degradation is operational. Minimal performance impact occurs; the critical concern is network security and containment of threats.

Implementing network segmentation is essential for minimizing attack exposure. The most significant risk is that a breach in one area could spread across the entire network, amplifying the impact.

Question 188

During an audit, the IS auditor finds that security awareness training is not conducted regularly. Which risk is MOST significant?

A) Users may experience minor inconvenience
B) Employees may fall victim to phishing, social engineering, or accidental data breaches due to lack of knowledge
C) IT staff may spend more time supporting users
D) System performance may slightly degrade

Answer: B)

Explanation

The lack of regular security awareness training increases the risk of employees being targeted by phishing, social engineering, or making errors that result in data breaches. Human error remains a leading cause of security incidents, and training reduces susceptibility to these threats.

A) Minor inconvenience is operational. Regular training may require employee time, but this is negligible compared to the risk of security incidents caused by uninformed staff.

B) Security risks from untrained employees are significant. Auditors assess security awareness programs, frequency of training, content relevance, testing of knowledge, and alignment with regulatory requirements. Frameworks such as ISO 27001, NIST, PCI DSS, and HIPAA mandate employee training to enhance awareness of security threats and organizational policies. Without training, employees may inadvertently click malicious links, share credentials, download malware, or mishandle sensitive information. Effective programs include mandatory sessions, simulations (like phishing tests), updates on emerging threats, and tracking employee participation. Organizations without consistent security awareness training are more prone to social engineering attacks, insider threats, accidental data leaks, operational disruption, financial losses, and regulatory non-compliance. Training empowers staff to recognize and respond to threats, reinforcing technical controls and reducing organizational risk.

C) IT staff spending more time supporting users is operational. While support may increase if users encounter problems, the primary risk lies in human error compromising security.

D) Slight system performance degradation is operational. Training does not impact system performance; the main concern is reducing risk from uninformed employees.

Regular security awareness training is critical for maintaining organizational security. The most significant risk is that employees may fall victim to phishing, social engineering, or accidental breaches due to lack of knowledge.

Question 189

During an audit, the IS auditor finds that mobile applications are not tested for security vulnerabilities before deployment. Which risk is MOST significant?

A) Users may experience minor inconvenience
B) Applications may contain exploitable vulnerabilities, leading to data leaks, unauthorized access, or malware infection
C) IT staff may spend more time troubleshooting applications
D) System performance may slightly degrade

Answer: B)

Explanation

Deploying mobile applications without security testing poses a significant risk because vulnerabilities can be exploited by attackers to compromise sensitive data, gain unauthorized access, or introduce malware. Mobile applications often interact with corporate systems and handle sensitive user information.

A) Minor inconvenience is operational. Users may experience minor delays or additional verification steps if testing is enforced, but this is negligible compared to the risk of insecure applications.

B) Security risks from untested applications are critical. Auditors assess secure development practices, code review processes, penetration testing, vulnerability scanning, and compliance with regulatory standards. Frameworks such as ISO 27001, NIST, PCI DSS, and OWASP Mobile Security Guidelines emphasize security testing before deployment. Without testing, mobile apps may include weak authentication, insecure data storage, code injection vulnerabilities, or communication flaws. Attackers can exploit these weaknesses to exfiltrate data, compromise devices, or escalate privileges. Effective controls include implementing secure coding practices, automated vulnerability scanning, penetration testing, and approval processes before release. Organizations failing to test mobile applications risk data breaches, malware infection, operational disruption, regulatory violations, and reputational damage. Security testing ensures that applications meet functional, privacy, and security requirements, reducing the attack surface and protecting corporate and user data.

C) IT staff spending more time troubleshooting applications is operational. While administrative effort increases, the primary risk is exploitation of untested vulnerabilities.

D) Slight system performance degradation is operational. Performance impact is minimal; the critical concern is application security.

Testing mobile applications for vulnerabilities is essential to protect sensitive data. The most significant risk is that untested applications may contain exploitable flaws, leading to data leaks, unauthorized access, or malware infection.

Question 190

During an audit, the IS auditor finds that privileged user activity is not logged. Which risk is MOST significant?

A) Users may experience minor inconvenience
B) Malicious or accidental actions by privileged users may go undetected, leading to unauthorized changes, data loss, or security breaches
C) IT staff may spend more time monitoring systems
D) System performance may slightly degrade

Answer: B)

Explanation

Not logging privileged user activity poses a significant risk because it prevents detection of malicious or accidental actions. Privileged users can make changes that impact critical systems, sensitive data, or security controls. Without logging, accountability is lost, and investigations are hindered.

A) Minor inconvenience is operational. Users may experience additional verification steps if logging is enforced, but this is negligible compared to the risks posed by unmonitored privileged activity.

B) Security risks from unlogged privileged activity are critical. Auditors review access control, logging, monitoring, alerting, and compliance with regulatory standards. Frameworks such as ISO 27001, NIST, PCI DSS, and HIPAA require logging and monitoring of privileged activity to maintain accountability and detect misuse. Without logs, malicious insiders or attackers exploiting privileged credentials can make unauthorized modifications, delete critical data, or bypass controls without detection. Effective controls include detailed audit trails, real-time monitoring, alerting on suspicious activity, regular log reviews, and integrating logs into SIEM systems. Organizations that fail to log privileged activity are at increased risk of data breaches, operational disruptions, regulatory penalties, and reputational harm. Logging ensures transparency, accountability, and the ability to perform forensic analysis in case of incidents.

C) IT staff spending more time monitoring systems is operational. While effort increases, the primary risk is the undetected misuse of privileges.

D) Slight system performance degradation is operational. Performance impact is minimal; the critical concern is detecting and preventing unauthorized actions by privileged users.

Logging and monitoring privileged user activity is essential for maintaining accountability and security. The most significant risk is that malicious or accidental actions may go undetected, leading to unauthorized changes, data loss, or security breaches.

Question 191

During an audit, the IS auditor finds that email filtering rules are not regularly updated. Which risk is MOST significant?

A) Users may experience minor inconvenience
B) Malicious emails, spam, or phishing attacks may bypass filters, exposing the organization to data breaches, malware, or social engineering
C) IT staff may spend more time reviewing emails
D) System performance may slightly degrade

Answer: B)

Explanation

Malicious emails, spam, or phishing attacks bypassing filters and exposing the organization to data breaches, malware, or social engineering is the most significant risk when email filtering rules are not regularly updated. Email is one of the primary vectors for cyberattacks, including ransomware, phishing, and malware delivery. Effective filtering rules help detect and prevent threats before they reach end users.

A) Minor inconvenience is operational. Users may encounter delays in receiving legitimate emails if filtering is overly aggressive, but this is negligible compared to the risks of email-borne attacks.

B) Security risks from outdated filtering rules are critical. Auditors evaluate email security policies, filtering technologies, monitoring procedures, and compliance with regulatory requirements. Frameworks such as ISO 27001, NIST, PCI DSS, and HIPAA emphasize email security as part of overall cybersecurity posture. Without updated rules, attackers can exploit vulnerabilities, bypass detection, and deliver malicious content. This can lead to credential theft, data exfiltration, malware infections, ransomware attacks, and social engineering exploits. Effective controls include continuously updating filtering rules, maintaining threat intelligence feeds, configuring spam and malware detection, monitoring filter performance, and training users to identify suspicious emails. Organizations that neglect updates risk operational disruption, financial loss, reputational damage, and regulatory penalties. Keeping email filters current ensures that evolving threats are mitigated, reducing the likelihood of successful attacks and enhancing overall organizational security.

C) IT staff spending more time reviewing emails is operational. While administrative effort may increase, the primary risk is the exposure to malicious emails and potential security incidents.

D) Slight system performance degradation is operational. Performance impact is minimal; the critical concern is preventing email-borne threats.

Regularly updating email filtering rules is essential for cybersecurity. The most significant risk is that malicious emails may bypass filters, leading to data breaches, malware infection, or social engineering attacks.

Question 192

During an audit, the IS auditor finds that cloud resources are provisioned without centralized approval. Which risk is MOST significant?

A) Users may experience minor inconvenience
B) Unauthorized or uncontrolled provisioning may lead to excessive costs, data exposure, or regulatory non-compliance
C) IT staff may spend more time managing cloud resources
D) System performance may slightly degrade

Answer: B)

Explanation

Unauthorized or uncontrolled provisioning of cloud resources leading to excessive costs, data exposure, or regulatory non-compliance is the most significant risk when centralized approval is not enforced. Cloud environments offer rapid scalability, but without governance, organizations lose visibility and control over resource allocation, security, and compliance.

A) Minor inconvenience is operational. Users may experience delays if centralized approvals are required, but this is negligible compared to financial, security, and compliance risks.

B) Risks from uncontrolled cloud provisioning are critical. Auditors assess cloud governance policies, approval workflows, cost management procedures, and regulatory compliance. Frameworks such as ISO 27017, NIST, PCI DSS, GDPR, and HIPAA require control over cloud resource allocation to ensure security and compliance. Uncontrolled provisioning may result in unauthorized storage of sensitive data, misconfigured access controls, increased attack surfaces, and cost overruns. Additionally, failure to centralize approvals may violate contractual or legal obligations regarding data protection. Effective controls include establishing centralized approval processes, implementing automated provisioning workflows, monitoring resource usage, and periodically auditing cloud assets. Organizations that fail to control cloud provisioning are at risk of data breaches, operational inefficiencies, financial loss, and regulatory penalties. Proper cloud governance ensures alignment with organizational policies, cost optimization, and secure management of cloud resources.

C) IT staff spending more time managing cloud resources is operational. While administrative effort may increase, the primary risk lies in uncontrolled access, security gaps, and non-compliance.

D) Slight system performance degradation is operational. Performance impact is minimal; the critical concern is governance, security, and cost control.

Centralized approval for cloud resource provisioning is essential. The most significant risk is that unauthorized or uncontrolled provisioning may result in excessive costs, data exposure, or regulatory non-compliance.

Question 193

During an audit, the IS auditor finds that multifactor authentication (MFA) is not implemented for remote access. Which risk is MOST significant?

A) Users may experience minor inconvenience
B) Unauthorized remote access may occur, leading to data breaches, malware introduction, or system compromise
C) IT staff may spend more time supporting remote users
D) System performance may slightly degrade

Answer: B)

Explanation

Unauthorized remote access leading to data breaches, malware introduction, or system compromise is the most significant risk when MFA is not implemented for remote access. Remote access is a high-risk vector because it often bypasses network perimeter controls. MFA adds an additional layer of security beyond username and password.

A) Minor inconvenience is operational. Users may face extra steps during login, but this is negligible compared to the risk of unauthorized access.

B) Security risks from lack of MFA are critical. Auditors assess authentication mechanisms, remote access policies, access controls, and regulatory compliance. Frameworks such as ISO 27001, NIST, PCI DSS, and HIPAA recommend MFA to strengthen identity verification and prevent unauthorized access. Without MFA, attackers can exploit weak or stolen credentials to access corporate systems remotely, potentially exfiltrating data, installing malware, or manipulating critical systems. Effective controls include implementing MFA using tokens, biometrics, or mobile applications, enforcing strong password policies, monitoring authentication attempts, and integrating with centralized identity management systems. Organizations that fail to implement MFA for remote access are at higher risk of account compromise, ransomware attacks, data breaches, regulatory penalties, and reputational damage. MFA enhances access security, reduces reliance on passwords alone, and mitigates risks associated with credential theft or phishing attacks.

C) IT staff spending more time supporting remote users is operational. While administrative effort may increase, the main risk is unauthorized access and security compromise.

D) Slight system performance degradation is operational. Performance impact is minimal; the critical concern is securing remote access against unauthorized use.

Implementing MFA for remote access is essential for preventing unauthorized access. The most significant risk is that remote access could be compromised, resulting in data breaches, malware, or system compromise.

Question 194

During an audit, the IS auditor finds that sensitive data is transmitted over unencrypted channels. Which risk is MOST significant?

A) Users may experience minor inconvenience
B) Data may be intercepted, modified, or exfiltrated, leading to breaches of confidentiality and regulatory violations
C) IT staff may spend more time managing transmissions
D) System performance may slightly degrade

Answer: B)

Explanation

Sensitive data transmitted over unencrypted channels being intercepted, modified, or exfiltrated is the most significant risk. Unencrypted communication exposes data to eavesdropping, man-in-the-middle attacks, and unauthorized access, compromising confidentiality and integrity.

A) Minor inconvenience is operational. Users may need to use encrypted channels or VPNs, but this is negligible compared to the risk of data compromise.

B) Security risks from unencrypted transmission are critical. Auditors review encryption policies, communication protocols, secure channel usage, and regulatory compliance. Frameworks such as ISO 27001, NIST, PCI DSS, HIPAA, and GDPR mandate encryption to protect sensitive data in transit. Unencrypted channels allow attackers to intercept financial records, personal information, intellectual property, or other confidential data. Effective controls include using HTTPS, TLS, VPNs, SSH, and secure APIs for data transmission. Regular audits, monitoring, and testing ensure compliance with encryption standards. Organizations failing to encrypt sensitive data risk data breaches, financial loss, reputational damage, and regulatory penalties. Encryption ensures data confidentiality, integrity, and compliance with privacy laws and industry standards.

C) IT staff spending more time managing transmissions is operational. Administrative effort may increase, but the primary risk is unauthorized interception of sensitive data.

D) Slight system performance degradation is operational. Performance impact is minimal; the critical concern is protecting data during transmission.

Encrypting sensitive data during transmission is essential. The most significant risk is that unencrypted data may be intercepted or altered, leading to breaches and regulatory violations.

Question 195

During an audit, the IS auditor finds that third-party vendors have access to critical systems without formal agreements. Which risk is MOST significant?

A) Users may experience minor inconvenience
B) Vendors may misuse access or fail to follow security policies, resulting in unauthorized changes, data breaches, or compliance violations
C) IT staff may spend more time coordinating with vendors
D) System performance may slightly degrade

Answer: B)

Explanation

Vendors misusing access or failing to follow security policies, resulting in unauthorized changes, data breaches, or compliance violations, is the most significant risk when third-party vendors have access to critical systems without formal agreements. Formal agreements, such as contracts and SLAs, define responsibilities, access limitations, and security obligations.

A) Minor inconvenience is operational. Users may experience minor delays due to vendor management processes, but this is negligible compared to the security and compliance risks.

B) Security and compliance risks from unmanaged third-party access are critical. Auditors assess vendor management policies, access control procedures, contracts, monitoring practices, and regulatory compliance. Frameworks such as ISO 27001, NIST, PCI DSS, and HIPAA require third-party risk management to prevent breaches and ensure accountability. Uncontrolled access may lead to data exfiltration, unauthorized system modifications, installation of malware, or violation of data protection regulations. Effective controls include formal contracts, defined roles and responsibilities, background checks, limited access rights, logging and monitoring of vendor activity, and periodic audits. Organizations that fail to formalize third-party access risk operational disruption, financial loss, reputational damage, and regulatory penalties. Formal agreements enforce compliance, mitigate risks, and maintain control over critical systems.

C) IT staff spending more time coordinating with vendors is operational. While administrative effort increases, the main risk lies in unauthorized access or misuse.

D) Slight system performance degradation is operational. Performance impact is minimal; the critical concern is managing third-party access securely and in compliance with policies.

Formal agreements for third-party access are essential. The most significant risk is that vendors may misuse access or fail to follow policies, leading to unauthorized changes, data breaches, or compliance violations.

Question 196

During an audit, the IS auditor finds that system logs are not reviewed regularly. Which risk is MOST significant?

A) Users may experience minor inconvenience
B) Unauthorized or malicious activity may go undetected, leading to data breaches, system compromise, or operational disruption
C) IT staff may spend more time investigating issues
D) System performance may slightly degrade

Answer: B)

Explanation

Unauthorized or malicious activity going undetected, leading to data breaches, system compromise, or operational disruption, is the most significant risk when system logs are not reviewed regularly. System logs record critical events, including login attempts, configuration changes, access to sensitive data, and system errors. They serve as a primary source of evidence for detecting suspicious activity, investigating incidents, and supporting audit and compliance requirements.

A) Minor inconvenience is operational. Users may notice minor delays or restrictions if logging or monitoring policies are enforced, but this is negligible compared to the risks associated with undetected malicious activity.

B) Security risks from unreviewed system logs are critical. Auditors assess log collection, retention, review procedures, and integration with security monitoring systems. Frameworks such as ISO 27001, NIST, PCI DSS, and HIPAA require that system logs are maintained and reviewed to detect anomalies and potential security incidents. Without regular review, unauthorized users or insiders may exploit systems without detection, perform fraudulent activities, or bypass security controls. Unreviewed logs impede incident response and forensic analysis, making it difficult to trace the source and impact of attacks. Effective log management includes centralized logging, automated monitoring, alerting on suspicious activity, retention policies, and periodic audit of logs. Organizations that fail to review logs risk data breaches, financial losses, reputational damage, and regulatory penalties. Proper log review provides visibility, accountability, and assurance that systems are operating securely and in compliance with policies.

C) IT staff spending more time investigating issues is operational. Administrative workload may increase if anomalies are detected, but the main risk is the inability to detect malicious or unauthorized activity promptly.

D) Slight system performance degradation is operational. Logging can have a minor impact on performance, but this is far less significant than the risk of undetected attacks compromising systems or sensitive data.

Regular review of system logs is essential for maintaining security and operational integrity. The most significant risk is that unauthorized or malicious activity may go undetected, leading to breaches, system compromise, or operational disruption.

Question 197

During an audit, the IS auditor finds that endpoint protection software is not updated regularly. Which risk is MOST significant?

A) Users may experience minor inconvenience
B) Endpoints may be vulnerable to malware, ransomware, or other exploits, leading to data breaches or operational disruption
C) IT staff may spend more time managing software
D) System performance may slightly degrade

Answer: B)

Explanation

Endpoints being vulnerable to malware, ransomware, or other exploits, leading to data breaches or operational disruption, is the most significant risk when endpoint protection software is not updated regularly. Endpoint protection software is critical for defending devices against evolving cyber threats, and regular updates ensure the latest virus definitions, patches, and threat intelligence are applied.

A) Minor inconvenience is operational. Users may face slight delays during updates or scans, but this is negligible compared to the security risks posed by unprotected endpoints.

B) Security risks from outdated endpoint protection are critical. Auditors assess antivirus, anti-malware, and endpoint detection and response (EDR) solutions, update procedures, compliance with security policies, and monitoring effectiveness. Frameworks such as ISO 27001, NIST, PCI DSS, and HIPAA emphasize proactive threat management, including keeping endpoint protection current to reduce attack surfaces. Without timely updates, endpoints are susceptible to malware infections, ransomware attacks, credential theft, and unauthorized access. These incidents can lead to data loss, financial impact, operational downtime, and reputational damage. Effective controls include automated updates, centralized management of endpoints, monitoring of update status, periodic testing, and incident response planning. Organizations that fail to maintain updated endpoint protection risk widespread compromise of devices, propagation of malware across networks, and regulatory non-compliance. Ensuring timely updates strengthens overall cybersecurity posture and reduces the likelihood of breaches caused by known vulnerabilities.

C) IT staff spending more time managing software is operational. While administrative workload increases with frequent updates, the primary risk is that endpoints become vulnerable and compromise organizational security.

D) Slight system performance degradation is operational. Minor performance issues may occur during scanning or updates, but the main concern is maintaining up-to-date protection against malware and cyber threats.

Keeping endpoint protection software updated is essential for cybersecurity. The most significant risk is that unprotected endpoints may be exploited by malware, ransomware, or other threats, leading to data breaches or operational disruption.

Question 198

During an audit, the IS auditor finds that disaster recovery (DR) plans are not tested regularly. Which risk is MOST significant?

A) Users may experience minor inconvenience
B) The organization may be unable to recover critical systems and data during a disaster, resulting in prolonged downtime, financial loss, or regulatory non-compliance
C) IT staff may spend more time preparing recovery procedures
D) System performance may slightly degrade

Answer: B)

Explanation

The organization being unable to recover critical systems and data during a disaster, resulting in prolonged downtime, financial loss, or regulatory non-compliance, is the most significant risk when disaster recovery plans are not tested regularly. DR plans provide structured procedures for restoring systems and data following disruptions caused by natural disasters, cyberattacks, system failures, or human error.

A) Minor inconvenience is operational. Users may experience temporary disruptions during testing or training exercises, but this is negligible compared to the potential impact of an untested DR plan during an actual disaster.

B) Risks from untested DR plans are critical. Auditors assess DR policies, recovery objectives, test procedures, and alignment with business continuity requirements. Frameworks such as ISO 22301, ISO 27001, NIST, and PCI DSS emphasize regular testing and validation of DR plans to ensure effectiveness. Without testing, the organization cannot validate recovery procedures, system dependencies, or staff readiness. During a real disaster, this can result in extended downtime, loss of critical data, operational disruption, financial losses, reputational damage, and regulatory penalties. Effective DR testing includes scenario-based simulations, backup validation, recovery time objective (RTO) and recovery point objective (RPO) assessments, and post-test evaluation to identify gaps and implement improvements. Organizations that neglect regular DR testing risk operational failure during unexpected events and may not meet regulatory or contractual obligations. Testing ensures readiness, minimizes downtime, and supports continuous business operations even in adverse conditions.

C) IT staff spending more time preparing recovery procedures is operational. While testing increases workload, the primary risk is organizational inability to recover systems and data during a disaster.

D) Slight system performance degradation is operational. Performance impact may occur during testing, but the critical concern is ensuring DR plan effectiveness and operational resilience.

Regular testing of disaster recovery plans is essential for organizational continuity. The most significant risk is that the organization may be unable to recover critical systems and data during a disaster, resulting in prolonged downtime, financial loss, or non-compliance.

Question 199

During an audit, the IS auditor finds that web application firewalls (WAFs) are not deployed for internet-facing applications. Which risk is MOST significant?

A) Users may experience minor inconvenience
B) Internet-facing applications may be exposed to attacks such as SQL injection, cross-site scripting, or other web-based threats, resulting in data breaches or system compromise
C) IT staff may spend more time troubleshooting applications
D) System performance may slightly degrade

Answer: B)

Explanation

Internet-facing applications being exposed to attacks such as SQL injection, cross-site scripting, or other web-based threats, resulting in data breaches or system compromise, is the most significant risk when WAFs are not deployed. WAFs provide a protective layer that monitors, filters, and blocks malicious HTTP traffic targeting web applications.

A) Minor inconvenience is operational. Users may experience additional verification or monitoring steps if WAF rules are enforced, but this is negligible compared to the risk of web-based attacks.

B) Security risks from the absence of WAFs are critical. Auditors review application security controls, web firewall policies, threat monitoring, and regulatory compliance. Frameworks such as ISO 27001, NIST, PCI DSS, and OWASP recommend WAFs to prevent exploitation of application vulnerabilities. Without a WAF, attackers can exploit input validation flaws, misconfigurations, and coding errors to compromise web applications, steal data, deface websites, or disrupt services. Effective controls include deploying WAFs with updated rules, monitoring logs, integrating with SIEM systems, and performing regular application security assessments. Organizations without WAFs risk data breaches, malware injection, ransomware propagation, financial losses, operational disruption, regulatory penalties, and reputational damage. WAFs serve as a critical defense-in-depth control to protect web applications and sensitive information from external threats.

C) IT staff spending more time troubleshooting applications is operational. While administrative workload may increase, the main risk is unprotected applications being exploited.

D) Slight system performance degradation is operational. Performance impact is minimal; the critical concern is protecting web applications from attack.

Deploying WAFs for internet-facing applications is essential for cybersecurity. The most significant risk is that applications may be exposed to web-based attacks, resulting in data breaches or system compromise.

Question 200

During an audit, the IS auditor finds that data classification policies are not enforced. Which risk is MOST significant?

A) Users may experience minor inconvenience
B) Sensitive data may be mishandled, improperly stored, or shared, resulting in data breaches, regulatory violations, or financial loss
C) IT staff may spend more time managing data
D) System performance may slightly degrade

Answer: B)

Explanation

Sensitive data being mishandled, improperly stored, or shared, resulting in data breaches, regulatory violations, or financial loss, is the most significant risk when data classification policies are not enforced. Data classification identifies the sensitivity and criticality of information, guiding handling, storage, transmission, and access controls.

A) Minor inconvenience is operational. Users may experience additional steps or restrictions when handling classified data, but this is negligible compared to the potential impact of mishandled information.

B) Security and compliance risks from unclassified or misclassified data are critical. Auditors evaluate data classification policies, enforcement mechanisms, access controls, data handling procedures, and regulatory compliance. Frameworks such as ISO 27001, NIST, GDPR, HIPAA, and PCI DSS require organizations to classify sensitive information and apply controls accordingly. Without proper classification, confidential or sensitive data may be stored in unprotected locations, transmitted insecurely, or shared with unauthorized personnel. This increases the likelihood of data breaches, financial losses, legal penalties, and reputational damage. Effective controls include defining classification levels, implementing technical and procedural controls for each classification, user training, monitoring compliance, and regular audits. Enforcing data classification ensures proper handling of sensitive information, supports regulatory compliance, and reduces the risk of unauthorized disclosure or misuse.

C) IT staff spending more time managing data is operational. While administrative effort increases, the primary risk is exposure and mishandling of sensitive information.

D) Slight system performance degradation is operational. Performance impact is minimal; the critical concern is safeguarding classified information and maintaining compliance.

Enforcing data classification policies is essential for protecting sensitive information. The most significant risk is that mishandled or improperly stored data may result in breaches, regulatory violations, or financial loss.