Isaca  CISA Certified Information Systems Auditor Exam  Dumps and Practice Test Questions Set 9 Q 161- 180

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Question 161

During an audit, the IS auditor finds that password complexity requirements are not enforced. Which risk is MOST significant?

A) Users may experience minor inconvenience
B) Weak passwords may be easily guessed or cracked, leading to unauthorized access to systems and data
C) IT staff may spend more time resetting passwords
D) System performance may slightly degrade

Answer: B)

Explanation

Weak passwords being easily guessed or cracked, leading to unauthorized access to systems and data, is the most significant risk when password complexity requirements are not enforced. Passwords are the first line of defense for authentication, and without adequate complexity, they are highly susceptible to attacks such as brute force, dictionary attacks, and credential stuffing.

A) Minor inconvenience is operational. While enforcing complex passwords may require users to remember longer or more complicated credentials, this inconvenience is minimal compared to the threat posed by weak passwords.

B) Unauthorized access due to weak passwords represents a direct threat to confidentiality, integrity, and availability. Auditors review password policies, authentication mechanisms, and compliance with organizational and regulatory standards. Regulatory frameworks such as ISO 27001, NIST, PCI DSS, and HIPAA require enforcement of strong password policies to reduce the likelihood of unauthorized access. Weak passwords can be exploited to gain access to sensitive systems, financial data, personal information, and intellectual property. Attackers may leverage password reuse, social engineering, or automated tools to compromise accounts, resulting in data breaches, operational disruption, or reputational damage. Implementing password complexity requirements, such as minimum length, inclusion of uppercase, lowercase, numeric, and special characters, along with periodic password changes and account lockout policies, significantly reduces the risk of compromise. Additionally, multifactor authentication can further mitigate risk by adding an additional layer of security even if passwords are weak. Organizations that fail to enforce strong password policies expose themselves to increased likelihood of breaches, regulatory penalties, and operational impact.

C) IT staff spending more time resetting passwords is operational. While administrative workload may increase, the primary risk is unauthorized access due to weak authentication.

D) Slight system performance degradation is operational. Enforcing password complexity has negligible impact on system performance; the critical concern is security.

Enforcing strong password complexity requirements is essential for preventing unauthorized access. The most significant risk is that weak passwords may be easily compromised, resulting in unauthorized access to systems and sensitive data.

Question 162

During an audit, the IS auditor finds that data backup procedures are not tested regularly. Which risk is MOST significant?

A) Users may experience minor inconvenience
B) Backups may fail or be incomplete during a disaster, leading to permanent data loss or operational disruption
C) IT staff may spend more time restoring data
D) System performance may slightly degrade

Answer: B)

Explanation

Backups failing or being incomplete during a disaster, leading to permanent data loss or operational disruption, is the most significant risk when data backup procedures are not tested regularly. Backups are critical for business continuity, disaster recovery, and data integrity, and testing ensures that backup processes are reliable and recoverable.

A) Minor inconvenience is operational. Testing backups may involve temporary disruptions or additional administrative effort, but this is minor compared to the risk of data loss.

B) Backup failure represents a direct threat to availability, integrity, and operational continuity. Auditors evaluate backup schedules, storage locations, testing procedures, retention policies, and recovery capabilities to ensure data can be restored when needed. Regulatory frameworks such as ISO 27001, NIST, PCI DSS, and HIPAA require organizations to implement reliable backup and recovery processes to protect sensitive and critical information. Without regular testing, organizations cannot verify that backups are complete, correctly stored, or recoverable. Failures may occur due to media corruption, configuration errors, network issues, or human error, resulting in permanent loss of data, downtime, and operational disruption. Effective backup strategies include automated backups, offsite storage, redundancy, and periodic restoration tests. Testing ensures that recovery procedures are effective, minimizes downtime, and confirms that critical data can be restored in the event of hardware failures, ransomware attacks, or other incidents. Organizations that neglect testing expose themselves to operational, financial, and reputational risks. Regular verification of backup integrity and restoration capabilities is essential to ensure continuity and compliance with regulatory requirements.

C) IT staff spending more time restoring data is operational. While manual restoration may increase workload, the primary risk is the inability to recover data when needed.

D) Slight system performance degradation is operational. Performance is minimally affected by backup procedures; the critical concern is recoverability.

Regularly testing backup procedures is crucial for business continuity. The most significant risk is that backups may fail or be incomplete, resulting in permanent data loss or operational disruption.

Question 163

During an audit, the IS auditor finds that endpoint devices do not have device encryption enabled. Which risk is MOST significant?

A) Users may experience minor inconvenience
B) Loss or theft of endpoint devices may result in exposure of sensitive data
C) IT staff may spend more time managing devices
D) System performance may slightly degrade

Answer: B)

Explanation

Loss or theft of endpoint devices resulting in exposure of sensitive data is the most significant risk when device encryption is not enabled. Endpoint devices such as laptops, tablets, and external drives often contain sensitive corporate or personal information. Without encryption, lost or stolen devices can be easily accessed by unauthorized individuals.

A) Minor inconvenience is operational. Encrypting devices may require passwords or PINs, but this is negligible compared to the potential exposure of sensitive data.

B) Data exposure represents a direct threat to confidentiality and compliance. Auditors review endpoint security policies, encryption requirements, and mobile device management practices to ensure sensitive information is protected. Regulatory frameworks such as ISO 27001, GDPR, HIPAA, and PCI DSS mandate encryption of sensitive data at rest to prevent unauthorized access in case of device loss. Unencrypted endpoints increase the risk of unauthorized access, data breaches, and regulatory violations. Effective controls include full-disk encryption, strong authentication, remote wipe capabilities, and device tracking. Encrypting endpoint devices ensures that even if a device is lost or stolen, the data remains unreadable and protected. Organizations failing to implement encryption expose themselves to financial losses, regulatory penalties, and reputational harm. Endpoint encryption is a foundational component of an effective data protection strategy and reduces the risk of sensitive data exposure from portable devices.

C) IT staff spending more time managing devices is operational. While administrative workload may increase, the primary risk is exposure of sensitive information.

D) Slight system performance degradation is operational. Encryption may minimally impact performance, but the main concern is safeguarding data.

Enabling encryption on endpoint devices is critical for protecting sensitive information. The most significant risk is that lost or stolen devices may expose data, leading to breaches and compliance issues.

Question 164

During an audit, the IS auditor finds that there is no formal policy for secure remote access. Which risk is MOST significant?

A) Users may experience minor inconvenience
B) Remote access may be insecure, increasing the risk of unauthorized access, data breaches, or malware propagation
C) IT staff may spend more time managing remote connections
D) System performance may slightly degrade

Answer: B)

Explanation

Remote access being insecure, increasing the risk of unauthorized access, data breaches, or malware propagation, is the most significant risk when no formal policy exists. Remote access introduces potential attack vectors and must be governed by strict security requirements to protect corporate systems.

A) Minor inconvenience is operational. Implementing secure access measures may involve additional authentication steps or VPN configurations, but this is negligible compared to security risks.

B) Insecure remote access represents a direct threat to confidentiality, integrity, and availability. Auditors evaluate remote access controls, VPN configurations, multi-factor authentication, endpoint compliance checks, and monitoring procedures. Regulatory frameworks such as ISO 27001, NIST, PCI DSS, and HIPAA require secure remote access policies to prevent unauthorized access and maintain system integrity. Without formal policies, employees may use unsecured networks, weak credentials, or unauthorized devices to access corporate systems. This increases exposure to credential theft, man-in-the-middle attacks, malware infections, and data exfiltration. Effective remote access policies include authentication controls, encrypted channels, device compliance checks, user training, and monitoring of remote activity. Organizations that fail to enforce secure remote access are vulnerable to breaches, operational disruptions, and regulatory penalties. Documented policies also support incident response, auditing, and user accountability. Secure remote access is a cornerstone of modern IT security, especially with increasing remote work and mobile connectivity.

C) IT staff spending more time managing remote connections is operational. Administrative effort is secondary to the primary risk of insecure access and potential compromise.

D) Slight system performance degradation is operational. Performance impact is minimal compared to the threat of unauthorized remote access.

Implementing a formal policy for secure remote access is essential for protecting corporate systems. The most significant risk is that insecure remote connections may lead to unauthorized access, data breaches, or malware propagation.

Question 165

During an audit, the IS auditor finds that database activity is not logged or monitored. Which risk is MOST significant?

A) Users may experience minor inconvenience
B) Unauthorized database activity may go undetected, resulting in data breaches, fraud, or regulatory non-compliance
C) IT staff may spend more time manually reviewing databases
D) System performance may slightly degrade

Answer: B)

Explanation

Unauthorized database activity going undetected, resulting in data breaches, fraud, or regulatory non-compliance, is the most significant risk when database activity is not logged or monitored. Databases often store critical and sensitive information, making monitoring essential for detecting anomalies and unauthorized operations.

A) Minor inconvenience is operational. Logging and monitoring may introduce administrative steps, but this is negligible compared to the risk of undetected unauthorized activity.

B) Undetected activity represents a direct threat to confidentiality, integrity, and compliance. Auditors review logging and monitoring controls, access privileges, database auditing tools, and reporting mechanisms to ensure database security. Regulatory frameworks such as ISO 27001, NIST, PCI DSS, HIPAA, and SOX mandate monitoring of database activity to detect unauthorized access or modifications. Without logging, malicious actors can manipulate data, extract sensitive information, or commit fraud without detection. Effective controls include logging user activity, monitoring for abnormal patterns, implementing role-based access, and alerting on suspicious behavior. Regular review and analysis of database logs enable early detection of attacks, insider threats, or policy violations. Failure to implement database monitoring increases the likelihood of data breaches, operational disruption, regulatory penalties, and reputational harm. Comprehensive database auditing ensures accountability, supports incident response, and reduces organizational exposure to threats.

C) IT staff spending more time manually reviewing databases is operational. While review requires effort, the primary risk lies in undetected unauthorized activity.

D) Slight system performance degradation is operational. Logging has minimal impact, whereas the critical concern is monitoring and protecting database integrity and confidentiality.

Logging and monitoring database activity is essential for security and compliance. The most significant risk is that unauthorized activity may go undetected, leading to data breaches, fraud, or regulatory non-compliance.

Question 166

During an audit, the IS auditor finds that multi-factor authentication (MFA) is not required for privileged users. Which risk is MOST significant?

A) Users may experience minor inconvenience
B) Privileged accounts may be compromised, leading to unauthorized access and potential system-wide control loss
C) IT staff may spend more time managing passwords
D) System performance may slightly degrade

Answer: B)

Explanation

Privileged accounts being compromised, leading to unauthorized access and potential system-wide control loss, is the most significant risk when multi-factor authentication is not required. Privileged accounts have elevated access rights and can modify system configurations, access sensitive data, and control critical IT infrastructure. Without MFA, attackers can leverage stolen credentials or social engineering attacks to gain control of these high-value accounts.

A) Minor inconvenience is operational. While MFA may add extra steps to the login process, the inconvenience is negligible compared to the security threat posed by compromised privileged accounts.

B) Compromise of privileged accounts represents a direct threat to confidentiality, integrity, and availability. Auditors evaluate authentication mechanisms, access control policies, and compliance with industry standards to ensure privileged users are adequately protected. Regulatory frameworks such as ISO 27001, NIST, PCI DSS, and HIPAA emphasize MFA for high-risk accounts to mitigate credential theft. Without MFA, an attacker who gains access to a privileged user’s password can perform unauthorized operations, potentially altering critical system configurations, exfiltrating sensitive information, or disrupting business operations. MFA requires multiple verification methods—such as a password plus a hardware token, OTP, or biometric factor—which makes unauthorized access considerably more difficult. Failure to enforce MFA for privileged accounts exposes organizations to insider threats, external attacks, compliance violations, and operational disruptions. Effective controls include role-based access, segregation of duties, logging and monitoring of privileged activity, and enforcing MFA as part of access management policies. Regular testing and verification of privileged account security ensure that critical assets remain protected against evolving threats.

C) IT staff spending more time managing passwords is operational. While MFA reduces dependency on passwords and may require administrative setup, the critical risk lies in potential account compromise without MFA.

D) Slight system performance degradation is operational. Performance impact from MFA is minimal; the main concern is preventing unauthorized privileged access.

Implementing MFA for privileged users is essential for securing high-risk accounts. The most significant risk is that privileged accounts may be compromised, leading to unauthorized access and potential system-wide control loss.

Question 167

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

A) Users may experience minor inconvenience
B) Inconsistent logs may hinder detection of security incidents, delaying response and increasing damage
C) IT staff may spend more time reviewing logs
D) System performance may slightly degrade

Answer: B)

Explanation

Inconsistent logs hindering detection of security incidents, delaying response and increasing damage, is the most significant risk when system logs are not synchronized across servers. Log synchronization ensures accurate correlation and timely detection of potential threats or anomalies across multiple systems.

A) Minor inconvenience is operational. Users may not be directly impacted by log synchronization issues, making this concern less significant than security risks.

B) Failure to synchronize logs represents a direct threat to integrity, availability, and security monitoring. Auditors review log management practices, centralized logging systems, and correlation mechanisms to ensure effective incident detection. Regulatory frameworks like ISO 27001, NIST, PCI DSS, and HIPAA emphasize comprehensive log management to support audit trails, accountability, and rapid response to security incidents. Without synchronization, analyzing logs from disparate servers may result in incomplete or misleading information, preventing timely identification of security breaches, malware propagation, or unauthorized access. Delays in incident detection increase the likelihood of further system compromise, data loss, or operational disruption. Effective controls include centralizing log collection, implementing time synchronization protocols, consistent logging standards, and automated alerting mechanisms. Maintaining synchronized logs also supports forensic investigations, compliance reporting, and vulnerability assessments. Organizations that fail to synchronize logs are at increased risk of undetected threats, delayed response, and exacerbated damage.

C) IT staff spending more time reviewing logs is operational. While decentralized logs may require additional manual effort, the critical risk lies in delayed detection and response to security incidents.

D) Slight system performance degradation is operational. Synchronization has minimal performance impact; the main concern is maintaining accurate and correlated log information for incident response.

Synchronizing system logs across servers is essential for effective security monitoring. The most significant risk is that inconsistent logs may hinder detection of security incidents, delaying response and increasing potential damage.

Question 168

During an audit, the IS auditor finds that employees are sharing login credentials for convenience. Which risk is MOST significant?

A) Users may experience minor inconvenience
B) Shared credentials may allow unauthorized access, hinder accountability, and increase the likelihood of data breaches
C) IT staff may spend more time managing accounts
D) System performance may slightly degrade

Answer: B)

Explanation

Shared credentials allowing unauthorized access, hindering accountability, and increasing the likelihood of data breaches is the most significant risk when employees share login credentials. Credential sharing undermines security controls, prevents traceability of actions, and exposes systems to potential compromise.

A) Minor inconvenience is operational. Users may perceive strict login policies as slightly inconvenient, but this is negligible compared to the security implications of credential sharing.

B) Shared credentials represent a direct threat to confidentiality, integrity, and accountability. Auditors assess user authentication practices, access control policies, and enforcement of unique credentials to ensure proper accountability. Regulatory frameworks such as ISO 27001, NIST, PCI DSS, and HIPAA mandate that individual users maintain unique credentials to provide clear audit trails and accountability. Shared credentials prevent organizations from attributing specific actions to individual users, complicating incident investigation, regulatory compliance, and legal accountability. Additionally, if credentials are shared and compromised, attackers may gain broader access than intended, potentially exfiltrating sensitive data or performing unauthorized system modifications. Effective controls include enforcing unique user accounts, multi-factor authentication, logging and monitoring user activity, and employee training on secure authentication practices. Organizations that tolerate shared credentials increase their vulnerability to insider threats, data breaches, fraud, and regulatory penalties. Implementing strict access controls and discouraging credential sharing is crucial for maintaining security and accountability.

C) IT staff spending more time managing accounts is operational. While additional administration may be required to enforce unique credentials, the main risk lies in unauthorized access and compromised accountability.

D) Slight system performance degradation is operational. Performance is minimally affected; the primary concern is preventing unauthorized access and maintaining accountability.

Enforcing individual login credentials is critical for security and accountability. The most significant risk is that shared credentials may allow unauthorized access, hinder accountability, and increase the likelihood of data breaches.

Question 169

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

A) Users may experience minor inconvenience
B) Outdated or misconfigured firewall rules may allow unauthorized access, malware propagation, or data exfiltration
C) IT staff may spend more time managing the firewall
D) System performance may slightly degrade

Answer: B)

Explanation

Outdated or misconfigured firewall rules allowing unauthorized access, malware propagation, or data exfiltration is the most significant risk when firewall rules are not reviewed regularly. Firewalls enforce network segmentation and access controls, and outdated rules can create security gaps.

A) Minor inconvenience is operational. While reviewing firewall rules may involve temporary changes or coordination, this is negligible compared to security risks associated with misconfigured rules.

B) Misconfigured firewall rules represent a direct threat to confidentiality, integrity, and availability. Auditors evaluate firewall policies, rule sets, change management procedures, and periodic review practices. Regulatory frameworks such as ISO 27001, NIST, PCI DSS, and HIPAA emphasize periodic assessment of network security controls to prevent unauthorized access. Without regular review, rules may become outdated due to changes in business requirements, application deployments, or security threats. Attackers can exploit overly permissive or unnecessary rules to gain unauthorized access, move laterally within the network, exfiltrate sensitive data, or deploy malware. Effective firewall management includes regular rule review, removal of redundant or outdated rules, testing for unintended access, logging, and alignment with organizational security policies. Organizations that neglect firewall rule reviews risk breaches, compliance violations, and operational disruption. Proactive management of firewall rules ensures a secure network posture and minimizes exposure to evolving threats.

C) IT staff spending more time managing the firewall is operational. While administrative effort may increase, the main risk lies in the potential exploitation of outdated rules.

D) Slight system performance degradation is operational. Firewall review minimally impacts performance; the critical concern is network security and preventing unauthorized access.

Regular review of firewall rules is essential for maintaining network security. The most significant risk is that outdated or misconfigured rules may allow unauthorized access, malware propagation, or data exfiltration.

Question 170

During an audit, the IS auditor finds that users can access corporate applications from personal devices without endpoint security controls. Which risk is MOST significant?

A) Users may experience minor inconvenience
B) Personal devices may introduce malware, unauthorized access, or data leakage to corporate systems
C) IT staff may spend more time supporting personal devices
D) System performance may slightly degrade

Answer: B)

Explanation

Personal devices introducing malware, unauthorized access, or data leakage to corporate systems is the most significant risk when endpoint security controls are not enforced. Personal devices are often outside the organization’s security perimeter, may lack security updates, and can be compromised with malware or unauthorized applications.

A) Minor inconvenience is operational. Requiring endpoint security on personal devices may involve additional configuration steps, but the inconvenience is minimal compared to the risk of introducing threats to corporate systems.

B) Security risks from unmanaged devices represent a direct threat to confidentiality, integrity, and availability. Auditors evaluate bring-your-own-device (BYOD) policies, endpoint management solutions, access controls, and security monitoring. Regulatory frameworks such as ISO 27001, NIST, PCI DSS, and HIPAA mandate protection of corporate data, even on personal devices. Without proper controls such as mobile device management, endpoint encryption, antivirus protection, and compliance checks, personal devices can become vectors for malware, data exfiltration, unauthorized access, or credential compromise. Organizations face increased risk of data breaches, intellectual property theft, regulatory penalties, and operational disruption. Effective BYOD management includes defining acceptable use policies, enforcing security configurations, monitoring device compliance, and controlling access to sensitive applications. Failure to implement endpoint security for personal devices can undermine corporate security posture and increase organizational exposure to cyber threats.

C) IT staff spending more time supporting personal devices is operational. While support demands may increase, the primary risk lies in the security vulnerabilities introduced by unmanaged endpoints.

D) Slight system performance degradation is operational. The main concern is protecting corporate applications and data from threats originating from personal devices.

Implementing endpoint security controls for personal devices is essential for protecting corporate systems. The most significant risk is that unmanaged devices may introduce malware, unauthorized access, or data leakage.

Question 171

During an audit, the IS auditor finds that system configuration standards are not documented. Which risk is MOST significant?

A) Users may experience minor inconvenience
B) Inconsistent configurations may lead to vulnerabilities, unauthorized access, or system failures
C) IT staff may spend more time configuring systems
D) System performance may slightly degrade

Answer: B)

Explanation

Inconsistent configurations leading to vulnerabilities, unauthorized access, or system failures is the most significant risk when system configuration standards are not documented. Configuration standards define baseline settings for operating systems, applications, network devices, and security controls to ensure uniformity, security, and stability across the IT environment. Without these standards, systems may be configured inconsistently, exposing them to security gaps and operational failures.

A) Minor inconvenience is operational. Users may notice small differences in system behavior, but this is negligible compared to the potential security and operational risks.

B) Security and operational risks from inconsistent configurations are significant. Auditors review configuration management processes, baseline documentation, and compliance with organizational policies and regulatory standards. Regulatory frameworks such as ISO 27001, NIST, PCI DSS, and HIPAA require organizations to implement and maintain secure configuration baselines to reduce vulnerabilities and ensure consistent system behavior. Inconsistent configurations can lead to unpatched services, weak security settings, unnecessary open ports, or misconfigured permissions, creating opportunities for attackers to exploit vulnerabilities. Additionally, operational failures may occur if systems behave unpredictably due to different configurations, impacting business continuity. Effective configuration management includes defining, documenting, implementing, and periodically reviewing baseline settings. Automated tools can enforce standards and detect deviations to reduce human error. Without documented configuration standards, organizations cannot consistently apply security controls, increasing the likelihood of breaches, system downtime, regulatory non-compliance, and reputational damage. Standardized configurations also simplify incident response, patch management, auditing, and forensic investigations. Organizations that neglect configuration documentation may struggle to maintain control over their IT environment and may be exposed to avoidable risks.

C) IT staff spending more time configuring systems is operational. While administrative effort increases without standards, the primary concern is vulnerability to attacks or operational disruptions caused by inconsistent configurations.

D) Slight system performance degradation is operational. Configuration inconsistencies may indirectly affect performance, but the main risk is security vulnerabilities and operational instability.

Documenting system configuration standards is essential for secure and consistent IT operations. The most significant risk is that inconsistent configurations may lead to vulnerabilities, unauthorized access, or system failures.

Question 172

During an audit, the IS auditor finds that system development projects do not follow a formal testing process. Which risk is MOST significant?

A) Users may experience minor inconvenience
B) Defects, security vulnerabilities, or functional failures may be deployed, resulting in operational disruption or data loss
C) IT staff may spend more time troubleshooting applications
D) System performance may slightly degrade

Answer: B)

Explanation

Defects, security vulnerabilities, or functional failures being deployed, resulting in operational disruption or data loss, is the most significant risk when system development projects do not follow a formal testing process. Testing ensures that software behaves as intended, meets business requirements, and does not introduce vulnerabilities into production systems.

A) Minor inconvenience is operational. Users may face temporary confusion or minor issues, but this is negligible compared to the risk of deploying defective or insecure software.

B) Risk from defective or vulnerable software is significant. Auditors evaluate software development lifecycle processes, testing methodologies, quality assurance practices, and change management controls. Regulatory frameworks such as ISO 27001, NIST, PCI DSS, and HIPAA require organizations to implement rigorous testing and validation to ensure secure and reliable applications. Without a formal testing process, software may contain bugs, security flaws, or integration issues that compromise functionality, data integrity, or system availability. Vulnerabilities may allow unauthorized access, data exfiltration, malware introduction, or denial of service attacks. Effective testing includes unit testing, system testing, integration testing, user acceptance testing, and security testing. Additionally, automated testing tools and continuous integration pipelines help identify defects early in development, reducing risk. Organizations that neglect formal testing may face increased operational disruptions, regulatory violations, reputational damage, and financial loss due to defective or insecure software. Testing also ensures compliance with internal policies and industry standards, providing assurance to management and stakeholders that systems operate reliably and securely.

C) IT staff spending more time troubleshooting applications is operational. While additional effort may be required to fix issues, the primary risk lies in deploying defective or insecure software that impacts operations or security.

D) Slight system performance degradation is operational. The main concern is reliability and security, not minor performance differences.

Implementing a formal testing process for system development projects is essential. The most significant risk is that defects, security vulnerabilities, or functional failures may be deployed, resulting in operational disruption or data loss.

Question 173

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

A) Users may experience minor inconvenience
B) Unauthorized physical access may go undetected, leading to theft, sabotage, or unauthorized system access
C) Security staff may spend more time monitoring logs
D) System performance may slightly degrade

Answer: B)

Explanation

Unauthorized physical access going undetected, leading to theft, sabotage, or unauthorized system access, is the most significant risk when physical access logs are not reviewed regularly. Physical security is foundational to protecting IT assets, sensitive information, and business continuity. Logging and reviewing access ensures that only authorized personnel enter secure areas and that any anomalies or breaches are promptly detected.

A) Minor inconvenience is operational. Reviewing access logs may require administrative effort, but this is negligible compared to the risks associated with unauthorized physical access.

B) Security risks from undetected physical access are significant. Auditors evaluate physical access controls, logging procedures, monitoring systems, and compliance with organizational and regulatory requirements. Regulatory frameworks such as ISO 27001, NIST, PCI DSS, HIPAA, and SOX mandate regular monitoring of physical access to prevent unauthorized entry and protect sensitive information. Failure to review access logs allows malicious actors or unauthorized personnel to gain undetected entry into data centers, server rooms, or other sensitive areas, potentially leading to theft of equipment, destruction of assets, installation of malicious hardware, or data compromise. Effective controls include access cards, biometric authentication, surveillance cameras, alarm systems, and regular log review. Periodic audits of physical access logs help detect anomalies, investigate security incidents, and ensure accountability. Organizations that neglect reviewing logs increase the likelihood of insider threats, unauthorized access, operational disruption, and financial or reputational damage. Monitoring physical access is integral to a comprehensive security program, complementing IT and network controls.

C) Security staff spending more time monitoring logs is operational. While review requires administrative effort, the primary risk is undetected unauthorized physical access.

D) Slight system performance degradation is operational. Performance is not affected; the critical concern is maintaining physical security and accountability.

Regularly reviewing physical access logs is essential for security. The most significant risk is that unauthorized access may go undetected, leading to theft, sabotage, or unauthorized system access.

Question 174

During an audit, the IS auditor finds that software licenses are not tracked or monitored. Which risk is MOST significant?

A) Users may experience minor inconvenience
B) The organization may face legal penalties, fines, or reputational damage due to non-compliance with licensing agreements
C) IT staff may spend more time managing software installations
D) System performance may slightly degrade

Answer: B)

Explanation

Legal penalties, fines, or reputational damage due to non-compliance with licensing agreements is the most significant risk when software licenses are not tracked or monitored. Software licensing ensures that organizations legally acquire and use software according to vendor agreements, protecting against intellectual property infringement claims.

A) Minor inconvenience is operational. Users may experience restrictions if software is removed or access is limited, but this is negligible compared to the legal and financial risks of non-compliance.

B) Compliance risks are significant. Auditors assess software asset management processes, license inventories, procurement practices, and adherence to vendor agreements. Regulatory and legal frameworks such as ISO 19770 (IT asset management standard) and software licensing laws require proper tracking of software usage to prevent unauthorized deployment. Non-compliance can lead to audits by vendors, legal disputes, financial penalties, and reputational harm. Failure to monitor licenses may result in accidental over-deployment, unlicensed software use, or expired license usage. Effective controls include maintaining an up-to-date license inventory, implementing automated tracking tools, enforcing software installation policies, conducting periodic audits, and reconciling usage with licensing agreements. Proactive license management ensures that software usage remains legal, cost-effective, and compliant. Organizations that neglect license monitoring may face litigation, fines, and negative publicity, impacting operations and stakeholder trust. Maintaining proper software license governance supports legal compliance, budgeting, and IT operational efficiency.

C) IT staff spending more time managing software installations is operational. Administrative burden is secondary to the primary risk of legal non-compliance and financial penalties.

D) Slight system performance degradation is operational. Performance is minimally affected; the critical concern is compliance and legal exposure.

Tracking and monitoring software licenses is essential for legal compliance. The most significant risk is that the organization may face penalties, fines, or reputational damage due to non-compliance.

Question 175

During an audit, the IS auditor finds that incident response procedures are not documented. Which risk is MOST significant?

A) Users may experience minor inconvenience
B) Security incidents may not be handled effectively, leading to increased damage, longer downtime, and regulatory non-compliance
C) IT staff may spend more time coordinating responses
D) System performance may slightly degrade

Answer: B)

Explanation

Security incidents not being handled effectively, leading to increased damage, longer downtime, and regulatory non-compliance, is the most significant risk when incident response procedures are not documented. Incident response ensures that security events are detected, contained, analyzed, and remediated in a structured manner to minimize impact.

A) Minor inconvenience is operational. Users may experience temporary disruption during incident handling, but this is negligible compared to the risks of unstructured incident response.

B) Risk from ineffective incident handling is significant. Auditors evaluate incident response policies, procedures, team responsibilities, communication plans, and alignment with regulatory requirements. Frameworks such as ISO 27001, NIST, PCI DSS, and HIPAA mandate documented incident response procedures to ensure timely and effective mitigation of security events. Without documented procedures, staff may not know how to respond, leading to delayed containment, incomplete evidence collection, prolonged downtime, and potential escalation of incidents. Regulatory violations may occur if incidents are not reported or remediated according to prescribed timelines. Effective incident response includes preparation, detection and analysis, containment, eradication, recovery, and lessons learned. Testing and updating incident response plans ensures readiness for various attack scenarios. Organizations without documented procedures are vulnerable to higher impact incidents, compliance breaches, and reputational damage. Structured incident response enables consistent actions, accountability, and continuous improvement in handling security threats.

C) IT staff spending more time coordinating responses is operational. While manual effort increases, the primary risk is ineffective handling leading to increased damage or regulatory issues.

D) Slight system performance degradation is operational. Performance is minimally affected; the critical concern is timely and effective incident response.

Documenting incident response procedures is essential for managing security events. The most significant risk is that incidents may not be handled effectively, leading to increased damage, longer downtime, and regulatory non-compliance.

Question 176

During an audit, the IS auditor finds that system administrators have permanent access to production systems without oversight. Which risk is MOST significant?

A) Users may experience minor inconvenience
B) Unmonitored access may allow administrators to make unauthorized changes, leading to data corruption, operational disruption, or security breaches
C) IT staff may spend more time documenting changes
D) System performance may slightly degrade

Answer: B)

Explanation

Unmonitored access allowing administrators to make unauthorized changes, leading to data corruption, operational disruption, or security breaches, is the most significant risk when system administrators have permanent access to production systems without oversight. System administrators possess extensive privileges that can affect critical business applications, databases, and infrastructure components. Without oversight, they can inadvertently or intentionally alter configurations, bypass controls, or delete data.

A) Minor inconvenience is operational. Users might notice temporary delays if access controls were modified, but this is insignificant compared to the potential for deliberate or accidental system compromise.

B) The security and operational risks posed by unmonitored administrator access are critical. Auditors assess access control policies, segregation of duties, activity monitoring, logging mechanisms, and compliance with internal policies and regulatory standards. Frameworks such as ISO 27001, NIST, PCI DSS, and HIPAA emphasize accountability and oversight of privileged accounts. Without oversight, system administrators can make untracked changes that compromise system integrity, alter sensitive data, disable security controls, or introduce vulnerabilities. This can result in unauthorized access, data loss, operational downtime, financial loss, or regulatory violations. Effective controls include role-based access, temporary elevated privileges through just-in-time access, activity logging, automated alerts, and periodic reviews of administrator actions. Segregation of duties ensures no single individual has unrestricted control over critical processes, minimizing the risk of intentional or accidental misuse. Unmonitored access undermines internal control, weakens audit trails, and increases exposure to insider threats. Organizations that fail to implement oversight measures for administrators expose themselves to operational, financial, and reputational damage. Regular auditing, monitoring, and enforcement of access policies are essential to maintain system integrity and reduce the likelihood of unauthorized actions.

C) IT staff spending more time documenting changes is operational. Administrative effort may increase, but the primary risk is untracked and potentially unauthorized system changes.

D) Slight system performance degradation is operational. Performance is minimally impacted; the critical concern is the security and integrity of production systems.

Implementing oversight mechanisms for system administrators is essential to protect critical systems. The most significant risk is that unmonitored access may lead to unauthorized changes, resulting in data corruption, operational disruption, or security breaches.

Question 177

During an audit, the IS auditor finds that change management procedures are not consistently followed. Which risk is MOST significant?

A) Users may experience minor inconvenience
B) Unauthorized or improper changes may be implemented, leading to system failures, security vulnerabilities, or data loss
C) IT staff may spend more time coordinating changes
D) System performance may slightly degrade

Answer: B)

Explanation

Unauthorized or improper changes leading to system failures, security vulnerabilities, or data loss is the most significant risk when change management procedures are not consistently followed. Change management ensures that modifications to applications, systems, and infrastructure are reviewed, tested, approved, and documented before deployment to production environments.

A) Minor inconvenience is operational. Users may experience brief disruptions if change procedures are strictly enforced, but this is negligible compared to the risk of unauthorized or faulty changes.

B) Security and operational risks from improper changes are critical. Auditors evaluate change management policies, approval workflows, testing procedures, and compliance with regulatory standards. Frameworks such as ISO 27001, NIST, PCI DSS, and HIPAA require formalized change management to maintain system integrity and security. Without consistent adherence, untested or unauthorized changes may introduce software bugs, misconfigurations, security vulnerabilities, or downtime. These can lead to data corruption, operational disruptions, system outages, or breaches. Effective change management includes impact assessment, testing in controlled environments, documented approvals, rollback plans, and post-implementation reviews. Organizations that fail to enforce change management are at higher risk of operational failures, compliance violations, financial loss, and reputational damage. Consistent procedures reduce the likelihood of errors, ensure accountability, and provide traceability for auditing and forensic investigations. Change management also helps in maintaining alignment with business objectives, IT policies, and security frameworks.

C) IT staff spending more time coordinating changes is operational. While administrative workload may increase, the primary risk lies in the consequences of improperly implemented changes.

D) Slight system performance degradation is operational. Performance impact is minimal; the main concern is maintaining system integrity and security during changes.

Consistently following change management procedures is essential to prevent unauthorized or improper changes. The most significant risk is system failures, security vulnerabilities, or data loss.

Question 178

During an audit, the IS auditor finds that backup media is stored on-site without encryption. Which risk is MOST significant?

A) Users may experience minor inconvenience
B) Backup data may be stolen or accessed by unauthorized individuals, leading to exposure of sensitive information
C) IT staff may spend more time managing backups
D) System performance may slightly degrade

Answer: B)

Explanation

Backup data being stolen or accessed by unauthorized individuals, leading to exposure of sensitive information, is the most significant risk when backup media is stored on-site without encryption. Backups often contain sensitive corporate information, financial data, customer records, and intellectual property. Unencrypted backups are easily readable if accessed by unauthorized individuals.

A) Minor inconvenience is operational. Users may face slight delays or procedural changes if encryption is applied, but this is negligible compared to the security risk.

B) Unauthorized access to unencrypted backups is a direct threat to confidentiality. Auditors review backup storage policies, encryption practices, physical security, and compliance with regulatory requirements. Frameworks such as ISO 27001, NIST, PCI DSS, and HIPAA require protection of backup data to prevent unauthorized disclosure. On-site backups without encryption are vulnerable to theft, insider threats, or accidental exposure. Effective controls include encrypting backup media, restricting physical access, monitoring access, and securely transporting backups to off-site or cloud locations. Encryption ensures that even if backup media is stolen or lost, data remains unreadable and protected. Organizations that fail to secure backup media expose themselves to data breaches, regulatory penalties, operational risk, and reputational damage. Regular testing of encryption and backup restoration ensures that sensitive data is protected and recoverable. Protecting backups is an essential component of data security and business continuity strategies.

C) IT staff spending more time managing backups is operational. While encryption may increase administrative effort, the primary risk is exposure of sensitive information.

D) Slight system performance degradation is operational. Performance is minimally affected; the critical concern is safeguarding sensitive backup data.

Encrypting and securing backup media is essential for data protection. The most significant risk is that unencrypted backups may be stolen or accessed, leading to sensitive information exposure.

 

Question 179

During an audit, the IS auditor finds that employees are using unauthorized cloud storage services. Which risk is MOST significant?

A) Users may experience minor inconvenience
B) Sensitive data may be stored outside the organization’s control, increasing the risk of data breaches, loss, or regulatory non-compliance
C) IT staff may spend more time managing data
D) System performance may slightly degrade

Answer: B)

Explanation

Sensitive data being stored outside the organization’s control, increasing the risk of data breaches, loss, or regulatory non-compliance, is the most significant risk when employees use unauthorized cloud storage services. Shadow IT introduces security and compliance gaps because these services often bypass organizational security controls, monitoring, and data protection policies.

A) Minor inconvenience is operational. Users may prefer unauthorized services for convenience, but this is negligible compared to security and compliance risks.

B) Unauthorized cloud usage represents a direct threat to confidentiality, integrity, and regulatory compliance. Auditors review cloud governance policies, acceptable use policies, data classification standards, and monitoring procedures. Frameworks such as ISO 27001, NIST, PCI DSS, GDPR, and HIPAA require organizations to control where and how sensitive data is stored. Using unauthorized services may expose sensitive information to weak security practices, third-party vulnerabilities, and non-compliant jurisdictions. Data stored in cloud services without proper encryption, access controls, and monitoring can be exfiltrated, modified, or lost. Effective controls include restricting cloud storage usage to approved services, enforcing encryption, implementing access controls, monitoring for unauthorized services, and providing secure alternatives. Organizations that fail to manage shadow IT face potential regulatory penalties, operational disruptions, data breaches, and reputational damage. Shadow IT undermines governance, increases attack surface, and hinders incident response. Establishing policies, awareness programs, and technical controls is critical to minimize unauthorized cloud storage usage.

C) IT staff spending more time managing data is operational. While additional effort may be required to address unauthorized cloud storage, the primary risk is loss or exposure of sensitive information.

D) Slight system performance degradation is operational. The main concern is security and regulatory compliance, not performance.

Controlling the use of cloud storage services is essential to protect sensitive data. The most significant risk is that unauthorized cloud storage may result in data breaches, loss, or regulatory non-compliance.

Question 180

During an audit, the IS auditor finds that mobile devices are not enrolled in a mobile device management (MDM) system. Which risk is MOST significant?

A) Users may experience minor inconvenience
B) Devices may be lost, stolen, or compromised, leading to unauthorized access, data leakage, or malware infection
C) IT staff may spend more time managing devices
D) System performance may slightly degrade

Answer: B)

Explanation

Mobile devices being lost, stolen, or compromised, leading to unauthorized access, data leakage, or malware infection, is the most significant risk when devices are not enrolled in an MDM system. Mobile devices often access corporate applications, email, and sensitive information, making them high-risk endpoints.

A) Minor inconvenience is operational. Users may need to comply with enrollment procedures, passcodes, or security policies, but this is negligible compared to the risk of data compromise.

B) Security risks from unmanaged mobile devices are substantial. Auditors review MDM policies, enrollment procedures, security configurations, and monitoring controls. Frameworks such as ISO 27001, NIST, PCI DSS, and HIPAA require endpoint management to protect corporate information. Without MDM, devices may lack encryption, passcode protection, remote wipe capability, malware protection, or secure configuration. Lost or stolen devices can expose sensitive data, allow unauthorized access to corporate systems, or serve as a vector for malware propagation. MDM solutions enable centralized enforcement of security policies, device compliance monitoring, remote locking/wiping, application control, and reporting. Organizations that fail to implement MDM risk data breaches, operational disruption, regulatory penalties, and reputational damage. Proactive mobile device management ensures that endpoints accessing corporate resources remain secure, controlled, and auditable.

C) IT staff spending more time managing devices is operational. Administrative effort is secondary; the primary risk is unauthorized access, data leakage, or malware infection.

D) Slight system performance degradation is operational. The critical concern is securing mobile devices and protecting corporate data.

Implementing MDM for mobile devices is essential for corporate security. The most significant risk is that unmanaged devices may be lost, stolen, or compromised, leading to unauthorized access, data leakage, or malware infection.