Isaca  CISA Certified Information Systems Auditor Exam  Dumps and Practice Test Questions Set 3 Q 41- 60

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Question 41

During an audit of an organization’s network security, the IS auditor discovers that remote access connections do not require multifactor authentication. Which risk is MOST significant?

A) Users may forget their passwords
B) Unauthorized access to critical systems and data
C) Remote connections may experience performance issues
D) IT staff may spend more time troubleshooting remote access problems

Answer: B)

Explanation

Unauthorized access to critical systems and data is the most significant risk when multifactor authentication (MFA) is not enforced for remote access. Remote access creates a potential attack vector, and without strong authentication, malicious actors can exploit compromised credentials to gain access to sensitive corporate networks, applications, or data. MFA significantly strengthens authentication by requiring multiple factors (something the user knows, has, or is), which reduces the likelihood that compromised passwords alone will result in unauthorized access.

A) Users forgetting passwords is an inconvenience rather than a critical security threat. While password resets may cause minor delays or increased IT support workload, it does not directly compromise system security or sensitive data. Security controls such as MFA are intended to protect against threats far more impactful than occasional password forgetfulness.

B) Unauthorized access is a direct threat to confidentiality, integrity, and availability (CIA) of critical resources. Remote access without MFA exposes the organization to password-based attacks, credential stuffing, phishing, and other unauthorized access attempts. If attackers succeed, they could exfiltrate confidential data, modify or delete records, deploy malware, or disrupt operations. Regulatory compliance may also be jeopardized if sensitive information is compromised, resulting in fines, legal exposure, or reputational damage. Among the listed risks, this represents the highest potential impact and likelihood, making it the most significant concern for auditors.

C) Remote connection performance issues may affect user productivity, but they do not directly threaten system security or data protection. While performance degradation may lead to frustration, operational delays, or temporary inefficiencies, the associated risk is significantly lower than the possibility of unauthorized access.

D) IT staff spending more time troubleshooting remote access is a minor operational concern. Troubleshooting efforts are typically manageable and do not result in immediate security breaches or regulatory violations. The underlying risk of unauthorized access remains the primary threat when MFA is absent.

Implementing MFA is a critical control for remote access. It mitigates the risk of compromised credentials being used to gain unauthorized access, protects sensitive data, and ensures compliance with industry best practices and regulatory standards. Directly addressing access security is the most effective way to prevent potentially severe operational and reputational consequences.

Question 42

During an audit, the IS auditor notes that the organization lacks a formal IT asset management process. Which risk is MOST significant?

A) IT staff may spend excessive time locating hardware and software
B) Unauthorized software or hardware may be deployed
C) Asset depreciation schedules may be inaccurate
D) IT asset inventory reports may require additional formatting

Answer: B)

Explanation

Unauthorized software or hardware deployment is the most significant risk when an organization lacks a formal IT asset management (ITAM) process. Proper ITAM ensures that all hardware and software assets are tracked, approved, and managed throughout their lifecycle. Without formal processes, unauthorized or unapproved assets can be introduced, creating security vulnerabilities, compliance gaps, or operational inefficiencies.

A) IT staff spending excessive time locating hardware or software is an operational inefficiency. While it may affect productivity and resource utilization, it does not pose an immediate threat to security or compliance. Operational delays are less critical than potential security risks arising from unmanaged assets.

B) Unauthorized deployment is a direct risk to system security and regulatory compliance. Untracked software may introduce malware, vulnerabilities, or licensing violations. Unauthorized hardware can bypass network security controls, expose sensitive data, or interfere with established processes. These uncontrolled assets increase the likelihood of data breaches, regulatory violations, and operational disruption. For auditors, the presence of untracked or unmanaged assets represents a critical gap because it undermines the organization’s ability to enforce security policies, monitor system configurations, and respond effectively to incidents.

C) Inaccurate asset depreciation schedules are an accounting concern. While this may affect financial reporting or asset valuation, it does not directly compromise security, system integrity, or operational continuity. This risk is secondary to the security implications of unmanaged assets.

D) Additional formatting of asset inventory reports is an administrative task. While accurate reporting is important for management visibility, it does not constitute a primary operational or security risk. The core concern is the potential introduction of unauthorized or unmanaged assets that could create vulnerabilities.

Formal ITAM processes establish accountability, visibility, and control over all hardware and software assets. By ensuring that only approved and managed assets are deployed, organizations can mitigate the risk of unauthorized introduction, maintain compliance, and strengthen overall IT governance.

Question 43

During an audit of business continuity planning (BCP), the IS auditor finds that critical business processes have not been prioritized for recovery. Which risk is MOST significant?

A) Recovery testing may take longer than expected
B) Resources may be misallocated during a disruption
C) Employees may be unable to access office facilities
D) Management may receive incomplete reports

Answer: B)

Explanation

Resources being misallocated during a disruption is the most significant risk when critical business processes are not prioritized for recovery. Business continuity planning relies on identifying essential processes, determining recovery time objectives (RTOs), and allocating resources accordingly. Without prioritization, non-critical functions may consume limited recovery resources, delaying restoration of essential operations and increasing operational, financial, and reputational impact.

A) Recovery testing taking longer is a procedural inconvenience. While inefficient testing may delay validation, it does not directly affect operational continuity in the event of a real disruption. The lack of prioritization impacts the effectiveness of actual recovery more severely than test duration.

B) Misallocation of resources has immediate operational and strategic consequences. Critical processes may be delayed, leaving essential services unavailable, causing financial losses, regulatory non-compliance, and customer dissatisfaction. Non-essential processes may receive resources, compounding delays for critical functions. For example, if IT systems supporting financial transactions are not prioritized, payroll, billing, or revenue-generating operations could be disrupted, directly affecting business continuity. Auditors emphasize process prioritization because it enables efficient, effective allocation of resources to protect the organization’s most vital functions during incidents.

C) Employees being unable to access office facilities is a logistical concern. While significant for operational continuity, the primary risk lies in the inability to recover or maintain critical processes, which is more strategically damaging than physical access limitations.

D) Management receiving incomplete reports is a secondary concern. While reporting is necessary for decision-making during disruptions, it does not directly threaten the organization’s ability to recover critical operations.

Prioritizing critical business processes ensures that recovery efforts focus on functions that are essential to organizational survival. This reduces downtime, protects revenue streams, and maintains regulatory compliance. Misallocation of recovery resources is therefore the most significant risk associated with unprioritized BCP.

Question 44

During an audit, the IS auditor finds that the organization does not perform regular penetration testing. Which risk is MOST significant?

A) IT staff may miss system performance issues
B) Security vulnerabilities may remain undetected, leading to exploitation
C) Network diagrams may be outdated
D) Security policies may not be reviewed

Answer: B)

Explanation

Security vulnerabilities remaining undetected, leading to exploitation, represent the most significant risk when regular penetration testing is not performed. Penetration testing simulates attacks to identify weaknesses in systems, applications, or networks before malicious actors can exploit them. Without testing, vulnerabilities may persist undetected, increasing the likelihood of unauthorized access, data breaches, or operational disruption.

A) IT staff missing system performance issues is an operational concern. While important, performance issues do not inherently compromise security or expose sensitive information. Regular penetration testing primarily addresses security risks rather than system efficiency.

B) Undetected vulnerabilities are a direct threat to confidentiality, integrity, and availability. Exploitable weaknesses may include software flaws, misconfigurations, weak authentication, or network vulnerabilities. Attackers leveraging these vulnerabilities could gain unauthorized access, exfiltrate data, disrupt operations, or compromise critical systems. Regular penetration testing is a proactive control to identify and remediate weaknesses before they are exploited. Without it, the organization remains exposed to internal or external threats, regulatory penalties, and reputational damage. For auditors, the absence of penetration testing is a significant gap in proactive security management, as it leaves unknown risks unaddressed.

C) Outdated network diagrams are an administrative issue. While accuracy is important for planning, troubleshooting, and incident response, it does not directly expose systems to exploitation. The absence of penetration testing poses a more immediate and impactful risk to security.

D) Security policies not being reviewed is a governance concern. Policies should be current and aligned with best practices, but policy review alone does not identify operational vulnerabilities. Penetration testing addresses real-world threats that policy reviews may not detect.

Performing regular penetration testing provides empirical evidence of system vulnerabilities and validates the effectiveness of existing security controls. Failure to conduct such testing leaves the organization exposed to undetected risks, making exploitation the most significant threat.

Question 45

During an audit, the IS auditor finds that employees are using personal devices to access corporate email and data without mobile device management (MDM) controls. Which risk is MOST significant?

A) Employees may forget login credentials
B) Data leakage or unauthorized access to sensitive information
C) Personal devices may have slower performance
D) IT staff may need to provide additional support

Answer: B)

Explanation

Data leakage or unauthorized access to sensitive information is the most significant risk when employees use personal devices without MDM controls. Personal devices may lack encryption, remote wipe, secure authentication, or malware protection. Without centralized control, confidential corporate data can be exposed through lost, stolen, or compromised devices.

A) Employees forgetting login credentials is a minor operational inconvenience. While it may temporarily delay access, it does not compromise security or data protection.

B) Data leakage and unauthorized access directly threaten confidentiality, integrity, and availability. Personal devices may be shared, unsecured, or infected with malware. If these devices access corporate email, documents, or applications without MDM controls, sensitive information can be exfiltrated, modified, or lost. Regulatory compliance may be breached if personal devices are used to store or transmit protected data without adequate security controls. This risk is especially significant because mobile devices are easily lost or stolen, increasing exposure to malicious actors. The absence of MDM controls removes key safeguards such as remote wipe, encryption enforcement, and access management. For auditors, this represents a critical vulnerability in mobile security governance.

C) Slower performance of personal devices is an operational inconvenience. While it may affect productivity, it does not threaten data confidentiality, integrity, or organizational compliance.

D) IT staff providing additional support is an administrative burden but not a critical security threat. While support requirements may increase, the core risk lies in uncontrolled access to corporate resources.

Implementing MDM controls ensures secure access, data protection, and policy enforcement across all devices. The lack of such controls creates high exposure to data leakage and unauthorized access, making this the most significant risk.

Question 46

During an audit, the IS auditor finds that database backups are stored in the same physical location as the production servers. Which risk is MOST significant?

A) Backup operations may take longer to complete
B) Both production and backup data may be lost in the event of a disaster
C) Database performance may be reduced during backup operations
D) IT staff may require additional training on backup procedures

Answer: B)

Explanation

Both production and backup data being lost in the event of a disaster represents the most significant risk when backups are stored in the same physical location as production servers. The primary purpose of backups is to ensure data availability and recoverability in case of system failure, hardware damage, natural disaster, or malicious activity. When backups reside in the same location, they are vulnerable to the same threats that could affect production systems. This significantly undermines the organization’s ability to recover and maintain business continuity.

A) Backup operations taking longer to complete is an operational concern related to system performance and scheduling. While prolonged backup windows may impact daily operations or delay data protection, the risk is less severe compared to the potential total loss of both production and backup data in a catastrophic event.

B) Data loss from simultaneous destruction of production and backup systems is a direct threat to confidentiality, integrity, and availability. Critical business operations could be disrupted, regulatory compliance may be violated, and financial loss could result. For instance, in the event of a fire, flood, or regional power failure, both sets of data would be inaccessible, preventing timely recovery. This represents the most serious consequence because it compromises the core objective of backup systems, which is to provide redundancy and continuity. Auditors prioritize evaluating backup storage locations and recommend geographic separation, offsite storage, or cloud-based solutions to mitigate this risk.

C) Database performance reduction during backup operations is a temporary operational issue. While it may affect system responsiveness, it does not pose a long-term threat to data integrity or availability. Performance concerns are secondary to the potential catastrophic loss of data.

D) IT staff requiring additional training on backup procedures is an administrative concern. While proper training is important for effective backup management, it is not as critical as the risk of simultaneous data loss. Even well-trained staff cannot recover data if both production and backup copies are destroyed in the same event.

Storing backups in a separate physical location or offsite ensures redundancy and mitigates the risk of simultaneous data loss. This control is essential for business continuity planning, disaster recovery, and regulatory compliance, making the loss of both production and backup data the most significant risk.

Question 47

An organization has implemented network segmentation to protect sensitive data. During an audit, the IS auditor finds that segmentation rules are inconsistently applied. Which risk is MOST significant?

A) Network performance may be inconsistent
B) Sensitive data may be exposed to unauthorized users
C) IT staff may need additional training on network configuration
D) Security logs may contain excessive entries

Answer: B)

Explanation

Sensitive data being exposed to unauthorized users is the most significant risk when network segmentation rules are inconsistently applied. Network segmentation is a critical security control that limits access between different areas of the network, isolates sensitive systems, and reduces the attack surface. Inconsistent rule enforcement allows users or systems to bypass intended boundaries, potentially granting access to confidential or critical information.

A) Inconsistent network performance is an operational concern. While inefficient segmentation may affect throughput or latency, it does not directly compromise the confidentiality or integrity of sensitive data. Performance issues are secondary to the security implications of access control failures.

B) Exposure of sensitive data is a direct threat to confidentiality and regulatory compliance. Misapplied segmentation rules may allow unauthorized users, including internal employees or external attackers, to access financial records, personal data, intellectual property, or other protected information. This can result in data breaches, loss of trust, financial penalties, and reputational damage. For auditors, verifying consistent segmentation and proper firewall or ACL enforcement is crucial because improper segmentation negates the purpose of this control. In addition, inconsistent rules may facilitate lateral movement for attackers, enabling escalation of privileges or access to additional sensitive resources, further increasing risk.

C) IT staff requiring additional training on network configuration is an operational concern. While inadequate staff knowledge can contribute to misconfiguration, the core risk is the unauthorized access itself. Training alone does not eliminate the risk if inconsistent rules already exist.

D) Excessive security log entries are an administrative issue. While high volume may complicate monitoring or analysis, it does not represent a direct threat to sensitive data. The primary concern is the ability of attackers to exploit misconfigured network segmentation.

Properly enforced network segmentation isolates sensitive resources, limits attack paths, and enforces access policies. Inconsistent application directly undermines security, making the exposure of sensitive data the most significant risk.

Question 48

During an audit, the IS auditor finds that patches for critical systems are applied manually and irregularly. Which risk is MOST significant?

A) System downtime may increase during patch application
B) Systems may remain vulnerable to known exploits
C) IT staff may spend excessive time monitoring patches
D) Hardware may experience minor performance degradation

Answer: B)

Explanation

Systems remaining vulnerable to known exploits is the most significant risk when patches are applied manually and irregularly. Patching is a critical security control that addresses software vulnerabilities, mitigates potential attacks, and ensures system stability. Irregular patching leaves systems exposed to threats, enabling attackers to exploit known weaknesses to gain unauthorized access, steal data, or disrupt operations.

A) System downtime during patching is an operational concern. While downtime may temporarily affect productivity or services, it is typically planned and manageable. This risk is less severe compared to leaving vulnerabilities unaddressed, which may result in security breaches.

B) Unpatched vulnerabilities are a direct threat to confidentiality, integrity, and availability. Attackers actively target known vulnerabilities, and delays in patching increase the attack window. For example, vulnerabilities with publicly available exploits can be rapidly leveraged, potentially leading to ransomware attacks, data theft, or service disruptions. Auditors prioritize evaluating patch management processes because timely patching is essential for minimizing exposure to threats. Manual patching processes are prone to delays, human error, and oversight, further exacerbating the risk. Inconsistent patch application undermines the organization’s ability to maintain secure and compliant systems, increasing regulatory and operational exposure.

C) IT staff spending excessive time monitoring patches is a resource efficiency concern. While automation can reduce workload, the primary risk is not operational inefficiency but vulnerability exposure. Extended monitoring does not prevent exploitation if patches are applied inconsistently.

D) Minor performance degradation due to patching is a temporary operational concern. It does not pose a lasting threat to security or system integrity. The most critical risk is the potential for attackers to exploit unpatched systems.

Regular, automated patching ensures vulnerabilities are mitigated promptly, reducing the likelihood of exploitation. The absence of consistent patch management makes remaining vulnerabilities the most significant risk.

Question 49

During an audit, the IS auditor finds that data encryption is not consistently applied to sensitive information in transit. Which risk is MOST significant?

A) Network performance may degrade
B) Sensitive data may be intercepted and compromised
C) IT staff may require additional training on encryption
D) End-user devices may experience minor delays

Answer: B)

Explanation

Sensitive data being intercepted and compromised is the most significant risk when encryption is not consistently applied to data in transit. Encryption protects data confidentiality by ensuring that even if communication channels are intercepted, the information cannot be read by unauthorized parties. Without consistent encryption, sensitive information, including financial, personal, or proprietary data, may be exposed to attackers, leading to breaches, regulatory non-compliance, and reputational damage.

A) Network performance degradation is an operational concern. Encryption may slightly impact throughput or latency, but performance is secondary to the security risk associated with data exposure.

B) Interception of unencrypted data is a direct threat to confidentiality. Attackers can perform man-in-the-middle attacks, packet sniffing, or eavesdropping to access sensitive information. Compromised data can lead to identity theft, financial loss, corporate espionage, or regulatory violations. Auditors focus on encryption of sensitive communications, including email, file transfers, and web traffic, because unencrypted transit exposes the organization to high-impact security threats. Inconsistent encryption creates vulnerabilities even if some transmissions are protected, as attackers may target unprotected channels to access critical data.

C) IT staff requiring additional encryption training is a procedural concern. While training enhances proper implementation, the fundamental risk arises from the absence of enforced encryption. Knowledge alone does not mitigate actual exposure.

D) End-user device delays are a minor inconvenience. Performance impacts from encryption are usually minimal compared to the potential consequences of data interception and compromise.

Consistent encryption of sensitive data in transit ensures confidentiality, compliance, and protection against interception. Failure to implement it consistently makes unauthorized access and data compromise the most significant risk.

Question 50

During an audit, the IS auditor finds that the organization does not monitor third-party access to critical systems. Which risk is MOST significant?

A) Third-party access may consume excess network bandwidth
B) Unauthorized actions by third parties may compromise security and data integrity
C) IT staff may spend more time supporting third-party users
D) Vendor contracts may require renegotiation

Answer: B)

Explanation

Unauthorized actions by third parties compromising security and data integrity represent the most significant risk when third-party access is not monitored. Third parties, including vendors, contractors, or service providers, often require privileged access to critical systems. Without monitoring, unauthorized or malicious activities may go undetected, potentially leading to data breaches, fraud, or system disruptions. Auditors evaluate access controls, activity logging, and monitoring mechanisms to ensure that third-party activities are accountable and aligned with security policies.

A) Excessive network bandwidth consumption by third parties is an operational concern. While it may affect performance or resource allocation, it does not directly threaten system security, data integrity, or confidentiality.

B) Security and data integrity compromise is a direct threat. Unmonitored third-party access can result in intentional misuse, accidental misconfigurations, or exploitation by malicious insiders. For example, a contractor with elevated privileges could modify financial records, access sensitive customer data, or introduce malware. Lack of monitoring prevents timely detection and response, exacerbating the potential impact. Regulatory compliance may also be violated if third-party actions affect protected data. This risk represents the highest potential impact and is therefore the most significant concern for auditors.

C) IT staff spending more time supporting third-party users is a resource management concern. While it may affect operational efficiency, it does not directly compromise security.

D) Vendor contract renegotiation is an administrative concern. While contract terms may influence access rights and responsibilities, the primary risk is operational and security-related exposure due to unmonitored activities.

Monitoring third-party access ensures accountability, minimizes security threats, and maintains data integrity. The absence of such controls exposes the organization to the most significant risk: unauthorized or harmful actions affecting critical systems.

Question 51

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

A) Server performance may degrade
B) Security incidents may go undetected
C) IT staff may spend more time troubleshooting
D) Server backups may be incomplete

Answer: B)

Explanation

Security incidents going undetected represent the most significant risk when system logs for critical servers are not regularly reviewed. System logs provide detailed information about activities, events, and potential anomalies within servers and networks. These logs are a primary source for detecting unauthorized access, system errors, configuration changes, and suspicious behavior. Without routine log monitoring, malicious activities may remain unnoticed, allowing attackers to exploit vulnerabilities, exfiltrate data, or disrupt operations.

A) Server performance degradation is an operational concern. While poorly configured logging may consume resources and affect server performance, this issue is generally manageable and does not pose the immediate threat of security compromise. Operational issues can be addressed with capacity planning, system optimization, or load balancing.

B) Undetected security incidents are a direct threat to confidentiality, integrity, and availability (CIA). Attackers may gain unauthorized access, install malware, escalate privileges, or perform reconnaissance without triggering alerts if logs are not monitored. Critical activities such as failed login attempts, privilege escalations, or unusual network connections could indicate active attacks. The lack of review reduces the organization’s ability to detect, respond, and mitigate security events promptly. Regulatory frameworks, such as ISO 27001, PCI DSS, or GDPR, emphasize monitoring and analysis of logs to ensure timely detection and response. Auditors prioritize log review as a key control for identifying security threats before they escalate into major incidents.

C) IT staff spending more time troubleshooting is an operational burden. While monitoring can reduce troubleshooting time, the primary concern is that unmonitored logs leave the organization exposed to undetected malicious activities. Staff workload is secondary compared to the security risk of undetected incidents.

D) Incomplete server backups are a data protection concern. While backups are essential for recovery, they do not directly address the detection of ongoing threats. Even with robust backups, undetected attacks may compromise sensitive data, alter configurations, or leave backdoors for future exploitation.

Regular log review provides timely evidence of anomalies, policy violations, and operational irregularities. Without it, organizations cannot ensure proactive detection or containment of security incidents, making undetected threats the most significant risk.

 

Question 52

During an audit, the IS auditor finds that the organization lacks formal policies for remote work security. Which risk is MOST significant?

A) Employees may use personal devices for work
B) Sensitive data may be exposed through unsecured remote connections
C) Employees may experience reduced productivity
D) IT staff may require additional training

Answer: B)

Explanation

Sensitive data being exposed through unsecured remote connections is the most significant risk when formal remote work security policies are absent. Remote work often involves accessing corporate systems over potentially insecure networks, including home Wi-Fi or public hotspots. Without formal policies, employees may not use secure authentication, encrypted communication, or virtual private networks (VPNs), leaving sensitive data vulnerable to interception or unauthorized access.

A) Employees using personal devices for work is an operational concern. While device management is important, the critical issue arises when personal devices access sensitive systems without proper security controls. Unsecured devices can lead to data breaches or malware infections.

B) Data exposure through unsecured remote connections is a direct threat to confidentiality and integrity. Attackers may exploit weak network connections, unencrypted communications, or misconfigured endpoints to access emails, financial records, intellectual property, or customer information. Remote work policies typically mandate VPN use, endpoint security, multifactor authentication, and secure configuration standards. The absence of such policies increases the likelihood of unauthorized access, regulatory non-compliance, and potential reputational damage. Auditors emphasize formal remote work policies because they define responsibilities, security requirements, and technical controls necessary to protect organizational information.

C) Reduced employee productivity is a secondary operational concern. While inefficient work processes may impact timelines, it does not compromise data security directly. Security threats arising from unsecured remote connections pose a higher risk than productivity issues.

D) IT staff requiring additional training is an administrative concern. While training improves security awareness, the most significant risk is uncontrolled exposure of sensitive data due to lack of formal policies. Training alone does not mitigate actual technical vulnerabilities or policy gaps.

Implementing formal remote work security policies ensures secure access, consistent enforcement of technical controls, and protection of sensitive information. The risk of exposure through unsecured connections is the primary threat without such policies.

Question 53

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

A) Users may forget their passwords
B) Unauthorized users may retain access to critical systems
C) IT staff may spend excessive time managing accounts
D) Password reset requests may increase

Answer: B)

Explanation

Unauthorized users retaining access to critical systems is the most significant risk when user access rights are not periodically reviewed. Access rights should align with job responsibilities and change when roles are modified, employees depart, or projects end. Failure to perform regular access reviews allows former employees, contractors, or staff with role changes to retain access, increasing the risk of data breaches, fraud, or operational disruption.

A) Users forgetting passwords is an operational inconvenience. While it may temporarily affect productivity, it does not directly threaten security or system integrity.

B) Retained unauthorized access is a direct threat to confidentiality, integrity, and availability. Ex-employees or users with excessive privileges may intentionally or inadvertently access sensitive systems or data. This can result in data theft, unauthorized modification of records, or disruption of business processes. Auditors prioritize periodic access reviews because they provide assurance that privileges are appropriate, align with current responsibilities, and comply with least privilege principles. Without reviews, the organization cannot enforce accountability or prevent unauthorized access, significantly increasing exposure to internal and external threats.

C) IT staff spending excessive time managing accounts is an operational burden. While inefficient account management affects workflow, it does not pose a security risk as severe as unauthorized access.

D) Increased password reset requests is a minor operational concern. It is largely a user convenience issue and does not threaten organizational security or compliance.

Periodic access reviews are critical for maintaining control over user privileges, detecting unauthorized accounts, and ensuring compliance with policies and regulatory requirements. Failure to conduct these reviews makes retained unauthorized access the most significant risk.

Question 54

During an audit, the IS auditor finds that antivirus signatures are updated irregularly on critical systems. Which risk is MOST significant?

A) System performance may be affected
B) Systems may remain vulnerable to malware and cyberattacks
C) IT staff may spend more time managing antivirus software
D) Reporting of antivirus status may be delayed

Answer: B)

Explanation

Systems remaining vulnerable to malware and cyberattacks is the most significant risk when antivirus signatures are updated irregularly. Antivirus software relies on up-to-date signatures to detect known threats effectively. Without timely updates, malware may bypass defenses, compromise systems, exfiltrate data, or disrupt operations. Critical systems with outdated signatures are especially high-risk because they often contain sensitive information, provide essential services, or support operational continuity.

A) System performance may be affected by antivirus processes. While scanning and updates can consume resources, the primary concern is the effectiveness of malware detection. Performance degradation is secondary to the security threat posed by outdated signatures.

B) Vulnerability to malware and cyberattacks is a direct threat to confidentiality, integrity, and availability. Malware can include ransomware, spyware, trojans, or worms capable of encrypting files, stealing credentials, or disrupting services. Irregular signature updates create windows of opportunity for attackers to exploit known vulnerabilities. Auditors focus on patching, antivirus management, and proactive threat mitigation because outdated defenses increase the likelihood of successful attacks. This risk is particularly significant for critical systems supporting financial, operational, or customer-facing processes.

C) IT staff spending more time managing antivirus software is an operational concern. While inefficient processes may increase workload, the critical threat arises from inadequate protection rather than staff effort.

D) Delayed reporting of antivirus status is a procedural issue. While timely reporting aids monitoring, the absence of up-to-date signatures directly affects system security.

Regular antivirus updates are essential for defending against evolving malware threats. Failure to maintain current signatures exposes systems to attacks, making vulnerability to malware the most significant risk.

Question 55

During an audit, the IS auditor finds that sensitive documents are printed and left unsecured in shared office areas. Which risk is MOST significant?

A) Paper may be wasted
B) Sensitive information may be exposed to unauthorized individuals
C) Employees may take longer to find documents
D) Printers may experience minor maintenance issues

Answer: B)

Explanation

Sensitive information being exposed to unauthorized individuals is the most significant risk when printed documents are left unsecured in shared office areas. Physical security of information is as important as digital security. Unattended documents containing confidential, financial, or personal information can be accessed by unauthorized employees, visitors, or contractors, resulting in data breaches, regulatory non-compliance, and reputational damage.

A) Paper waste is an operational inefficiency. While it may increase costs or impact environmental sustainability, it does not compromise data confidentiality or integrity.

B) Exposure of sensitive information is a direct threat to confidentiality and regulatory compliance. Unauthorized access to printed documents can lead to intellectual property theft, leakage of personal data, financial fraud, or competitive disadvantage. For auditors, assessing physical security measures, secure storage, and employee awareness is critical to ensuring protection of information throughout its lifecycle. The risk is especially high in shared spaces without monitoring or access restrictions, as it creates opportunities for casual or intentional data breaches. Policies requiring secure printing, shredding, or controlled access reduce this exposure significantly.

C) Employees taking longer to find documents is an operational inefficiency. While it may impact productivity, it does not threaten the confidentiality or integrity of sensitive information.

D) Printer maintenance issues are minor operational concerns. While printer functionality is important, it is unrelated to the exposure of sensitive data.

Proper physical security controls for printed documents ensure that sensitive information is protected from unauthorized viewing or removal. The most significant risk is the potential exposure of sensitive information, which can have severe legal, financial, and reputational consequences.

Question 56

During an audit, the IS auditor finds that system administrators share privileged accounts. Which risk is MOST significant?

A) Increased administrative workload
B) Unauthorized or untraceable actions by administrators
C) System performance may degrade
D) Password complexity may be reduced

Answer: B)

Explanation

Unauthorized or untraceable actions by administrators represent the most significant risk when system administrators share privileged accounts. Privileged accounts provide extensive access to systems, applications, and databases, enabling configuration changes, user management, and access control modifications. Sharing these accounts eliminates accountability, making it impossible to determine who performed a specific action. This increases the likelihood of unauthorized or malicious activities going undetected, including data breaches, system misconfigurations, or policy violations.

A) Increased administrative workload may occur if multiple administrators must coordinate changes, but it does not directly compromise security. Operational inefficiency is secondary compared to the risk of untraceable malicious actions.

B) Untraceable or unauthorized activities are a direct threat to confidentiality, integrity, and availability. Without unique user identification, auditing and monitoring controls become ineffective. If a security incident occurs, investigators cannot attribute actions accurately, making it difficult to identify the perpetrator, remediate the issue, or enforce accountability. Shared accounts may also facilitate intentional fraud or accidental misconfiguration, as actions are anonymous. For auditors, this control gap is critical because the absence of traceability undermines overall IT governance, weakens segregation of duties, and increases regulatory exposure. Mitigating this risk requires each administrator to have unique credentials and the use of privileged access management solutions to log and monitor actions.

C) System performance degradation is an operational concern. While simultaneous access using shared accounts might create minor load, it is not a critical security threat compared to the potential for unauthorized or untraceable actions.

D) Password complexity reduction may occur if shared accounts use simple passwords for convenience. Although weak passwords contribute to security risk, the fundamental issue is that account sharing removes accountability, which is more significant than password strength alone.

Implementing unique privileged accounts and monitoring their use ensures accountability, facilitates incident investigation, and reduces the risk of unauthorized or malicious activities. Therefore, untraceable actions by administrators are the most critical risk in this scenario.

Question 57

During an audit, the IS auditor finds that system developers have direct access to production environments. Which risk is MOST significant?

A) Developers may accidentally delete production data
B) Developers may introduce unauthorized changes or malicious code
C) Developers may require additional training on production systems
D) System performance may be temporarily affected

Answer: B)

Explanation

Introducing unauthorized changes or malicious code is the most significant risk when system developers have direct access to production environments. Developers are responsible for creating and testing software, not managing production operations. Unrestricted access allows them to bypass change management controls, implement untested features, or insert malicious code, potentially causing data breaches, service disruptions, or compliance violations.

A) Accidental deletion of production data is a potential operational concern. While mistakes can occur, they are generally less harmful than intentional malicious changes or unauthorized deployments, especially when proper backup and recovery procedures exist.

B) Unauthorized changes or malicious code pose a direct threat to confidentiality, integrity, and availability. Developers with access to production can modify configurations, alter data, or introduce vulnerabilities without oversight. This compromises operational continuity and increases risk of fraud or cyberattacks. For auditors, segregation of duties is a key control to prevent developers from accessing production environments directly. Access should be limited, and all changes should follow formal change management procedures with proper approval and testing. Failure to enforce these controls exposes organizations to significant regulatory, financial, and reputational risks.

C) Developers requiring additional training is an operational concern. While training can reduce errors, it does not mitigate the fundamental risk of unauthorized or malicious access to production systems.

D) Temporary system performance impact may occur during changes, but it is secondary to the security implications of unauthorized or malicious modifications.

Enforcing segregation of duties, controlled access, and adherence to change management ensures that production systems remain secure. The most critical risk is the introduction of unauthorized or malicious code that can compromise production operations.

Question 58

During an audit, the IS auditor finds that the organization does not have a formal incident response communication plan. Which risk is MOST significant?

A) Employees may not know how to report incidents
B) Security incidents may escalate due to delayed or uncoordinated communication
C) IT staff may receive excessive calls from management
D) Incident reports may be formatted inconsistently

Answer: B)

Explanation

Security incidents escalating due to delayed or uncoordinated communication represents the most significant risk when a formal incident response communication plan is absent. Effective incident response relies on timely notification, coordination between IT, management, legal, and external parties, and structured communication to contain, mitigate, and resolve threats. Without a communication plan, critical information may not reach the right stakeholders promptly, allowing incidents to grow in severity, impact more systems, or result in regulatory violations.

A) Employees not knowing how to report incidents is a procedural concern. While it may affect initial detection, the most significant risk arises when the organization fails to respond in a coordinated manner once an incident is identified.

B) Escalation of incidents due to delayed or uncoordinated communication is a direct threat to operational continuity, regulatory compliance, and organizational reputation. Without clear communication channels and roles, containment and mitigation efforts may be slow or ineffective. For example, a malware outbreak may spread across networks before IT is aware, or a data breach may go unreported to regulators within required timeframes. Auditors evaluate communication plans as part of incident response because structured reporting ensures timely and appropriate response, minimizes operational impact, and maintains compliance. Lack of coordination increases the risk of widespread disruption, financial loss, and reputational damage.

C) IT staff receiving excessive calls is an operational burden, but it does not pose a direct threat to security or incident resolution.

D) Inconsistent formatting of incident reports is a documentation issue. While standardized reports aid analysis and regulatory reporting, the primary risk is escalation of incidents due to poor communication.

A formal communication plan ensures rapid information flow, accountability, and coordinated response, minimizing the likelihood that incidents escalate. The most critical risk is therefore uncontained incidents causing greater damage.

Question 59

During an audit, the IS auditor finds that encryption keys are stored in the same location as encrypted data. Which risk is MOST significant?

A) System performance may be slightly reduced during encryption
B) Encrypted data may be compromised if keys are accessed by unauthorized parties
C) IT staff may require additional training on key management
D) Data backup processes may be slower

Answer: B)

Explanation

Encrypted data being compromised if keys are accessed by unauthorized parties is the most significant risk when encryption keys are stored with the data they protect. Encryption is intended to secure sensitive information against unauthorized access. If attackers gain access to both the encrypted data and the encryption keys, the protective value of encryption is nullified. This can result in data breaches, regulatory non-compliance, financial loss, and reputational damage.

A) System performance reduction during encryption is a minor operational concern. While encryption may consume processing resources, it does not compromise the security of the data itself.

B) Compromise of encrypted data due to accessible keys is a direct threat to confidentiality and integrity. The strength of encryption relies not only on algorithm robustness but also on secure key management. Storing keys alongside encrypted data makes it trivial for attackers to decrypt the information if they gain access to the storage medium. Auditors focus on proper key management practices, such as segregated key storage, hardware security modules (HSMs), periodic key rotation, and access controls. Inadequate key management nullifies the security benefits of encryption, making it the most critical risk.

C) IT staff requiring additional training is an operational concern. While proper knowledge of key management practices is important, the immediate risk is the potential compromise of data due to inadequate segregation of keys.

D) Slower backup processes are an operational consideration. Although key management may impact backup efficiency, the main risk is not performance but the potential for unauthorized data access.

Proper separation and secure storage of encryption keys are fundamental to maintaining confidentiality. Without this control, sensitive information is vulnerable, making data compromise the most significant risk.

Question 60

During an audit, the IS auditor finds that mobile applications used for corporate access do not require strong authentication. Which risk is MOST significant?

A) Employees may experience login difficulties
B) Unauthorized access to corporate resources via mobile applications
C) Mobile applications may consume more bandwidth
D) IT staff may need to provide additional support

Answer: B)

Explanation

Unauthorized access to corporate resources via mobile applications is the most significant risk when strong authentication is not enforced. Mobile devices are often used remotely and may connect over untrusted networks, making them susceptible to interception, credential theft, or device compromise. Weak authentication increases the likelihood that attackers can gain access to sensitive systems, applications, or data, leading to potential data breaches, service disruptions, or regulatory violations.

A) Employee login difficulties are a minor operational inconvenience. While usability affects productivity, it does not pose a direct security threat.

B) Unauthorized access is a direct threat to confidentiality, integrity, and availability. Attackers may exploit weak authentication mechanisms to access email, internal applications, cloud services, or confidential data. This could result in financial loss, data exfiltration, or reputational damage. Auditors emphasize enforcing strong authentication, including multifactor authentication, password complexity, and session management, to protect corporate resources accessed via mobile applications. Failure to enforce these controls exposes the organization to high-impact security incidents, regulatory non-compliance, and operational disruption.

C) Increased bandwidth consumption is an operational concern. While it may affect performance, it is not as critical as the risk of unauthorized access.

D) IT staff providing additional support is an administrative burden. Resource allocation does not mitigate the critical risk associated with weak authentication.

Strong authentication ensures that only authorized users can access corporate resources, especially on potentially insecure mobile devices. The most significant risk is therefore unauthorized access and the potential compromise of sensitive systems or data.