Free Practice Questions for Isaca CISA Exam

The greatest concern with the lack of structure for technology risk governance is C. Key decision-making entities for technology risk have not been identified. Technology risk governance is the process of establishing and maintaining the policies, roles, responsibilities, and accountabilities for managing technology risks within an organization1. Technology risk governance requires a clear organizational structure that defines who has the authority and responsibility to make decisions, set objectives, allocate resources, monitor performance, and ensure compliance for technology risk management2. Without such a structure, an organization may face the following challenges:

Lack of alignment and integration between technology and business strategies, leading to suboptimal outcomes and missed opportunities.

Lack of clarity and consistency in technology risk identification, assessment, mitigation, and reporting, leading to gaps and overlaps in risk coverage and exposure.

Lack of communication and collaboration among different stakeholders involved in technology risk management, leading to conflicts and inefficiencies.

Lack of oversight and accountability for technology risk management activities and results, leading to poor quality and reliability.

A full interruption test is the most realistic and reliable way to ensure that recovery time objectives (RTOs) are met for an organization’s disaster recovery plan (DRP). RTOs are the maximum amount of time that a business can tolerate being offline after a disaster. A full interruption test involves shutting down the primary site and switching over to the backup site, simulating a real disaster scenario. This test can measure the actual time it takes to restore the systems, applications, and functions that are critical for the business continuity. A full interruption test can also reveal any issues or gaps in the DRP that might affect the recovery process.

The other options are not as effective as a full interruption test for ensuring RTOs are met. A cyber resilience test is a type of DR test that focuses on the ability to withstand and recover from cyberattacks. It does not necessarily cover other types of disasters or test the entire DRP. A tabletop test is a low-impact DR test that involves a walkthrough of the DRP with the key stakeholders and staff. It does not involve any actual switching over or testing of the backup systems. A parallel test is a type of DR test that involves running the backup systems alongside the primary systems, without disrupting the normal operations. It does not measure the time it takes to switch over or resume operations at the backup site.

The most significant impact to an organization that does not use an IT governance framework is inadequate alignment of IT plans and business objectives. IT governance is a framework for the governance and management of enterprise information and technology (I&T) that supports enterprise goal achievement1. IT governance helps to ensure that IT investments and activities are aligned with the business strategy, vision, and values of the organization. IT governance also helps to optimize the value of IT, manage IT-related risks, and measure and monitor IT performance1.

Without an IT governance framework, an organization may face challenges such as:

Lack of clarity and direction for IT decision making

Inconsistent or conflicting IT priorities and demands

Inefficient or ineffective use of IT resources and capabilities

Poor quality or delivery of IT services and products

Increased exposure to IT-related threats and vulnerabilities

Reduced customer satisfaction and trust in IT

Missed opportunities for innovation and competitive advantage

Therefore, an organization that does not use an IT governance framework may fail to achieve its business objectives and may lose its competitive edge in the market.

Real-time replication to a second data center means that any changes made to the primary data center are immediately copied to the secondary data center. This can improve data availability and performance, but also introduces the risk of propagating malicious or erroneous changes to the backup data center. If a cybersecurity attack compromises the primary data center, it may also affect the secondary data center, making it difficult or impossible to recover from the attack using the replicated data. Therefore, option C is the greatest risk associated with this change.

Option A is not correct because version control issues are more likely to occur with batch processing backup, which may create inconsistencies between different versions of the data. Option B is not correct because real-time replication may reduce system performance at the primary data center, but it may also improve system performance at the secondary data center by reducing latency and network traffic. Option D is not correct because although real-time replication may increase IT investment cost, this is not a risk but a trade-off that the organization has to consider.

To detect unauthorized disclosure of confidential documents sent over corporate email, monitoring all emails based on pre-defined criteria is the best approach. This involves setting up automated monitoring systems that analyze email content, attachments, and metadata to identify any potential unauthorized disclosures. By defining specific criteria (such as keywords related to confidential information), organizations can proactively detect and prevent leaks. Requiring encryption before sending documents (option A) is important but does not address monitoring for unauthorized disclosures. Firewalls (option B) protect the network but do not specifically focus on email content. Reporting outgoing emails marked as confidential (option C) relies onuser self-reporting and may not catch all incidents12. References: 1(https://www.isaca.org/resources/isaca-journal/past-issues/2010/data-governance-for-privacy-confidentiality-and-compliance-a-holistic-approach) 2(https://www.isaca.org/resources/news-and-trends/newsletters/atisaca/2020/volume-6/best-practices-for-privacy-audits)

The first thing that an IS auditor should evaluate when reviewing an organization’s response to new privacy legislation is the analysis of systems that contain privacy components. Privacy components are elements of a system that collect, process, store, or transmit personal information that is subject to privacy legislation. An analysis of systems that contain privacy components should identify what types of personal information are involved, where they are located, how they are used, who has access to them, and what risks or threats they face. An analysis of systems that contain privacy components is essential for determining the scope and impact of the new privacy legislation on the organization’s systems and processes.

The other options are not as important as option D. An implementation plan for restricting the collection of personal information is a possible action, but not the first thing to evaluate, when reviewing an organization’s response to new privacy legislation. An implementation plan for restricting the collection of personal information is a document that outlines how an organization will comply with the principle of data minimization, which states that personal information should be collected only for specific and legitimate purposes and only to the extent necessary for those purposes. An implementation plan for restricting the collection of personal information should be based on an analysis of systems that contain privacy components. Privacy legislation in other countries that may contain similar requirements is a possible source of reference, but not the first thing to evaluate, when reviewing an organization’s response to new privacy legislation. Privacy legislation in other countries that may contain similar requirements is a set of laws or regulations that governs the protection of personal information in other jurisdictions that may have comparable or compatible standards or expectations as the new privacy legislation. Privacy legislation in other countries that may contain similar requirements may provide guidance or best practices for complying with the new privacy legislation. However, privacy legislation in other countries that may contain similar requirements should not be used as a substitute foran analysis of systems that contain privacy components. An operational plan for achieving compliance with the legislation is a possible deliverable, but not the first thing to evaluate, when reviewing an organization’s response to new privacy legislation. An operational plan for achieving compliance with the legislation is a document that describes how an organization will implement and maintain the necessary policies, procedures, controls, and measures to comply with the new privacy legislation. An operational plan for achieving compliance with the legislation should be derived from an analysis of systems that contain privacy components. References: Privacy law - Wikipedia, Data Protection and Privacy Legislation Worldwide | UNCTAD, Data minimization - Wikipedia

The effectiveness of a security awareness training program is best indicated by a reduction in unintentional violations. When employees are well-trained and aware of security practices, they are less likely to inadvertently violate security policies or make mistakes that could lead to breaches. While other factors (such as third-party social engineering tests, employee satisfaction, and completion rates) provide valuable insights, the ultimate goal of security awareness training is to minimize unintentional errors and improve overall security posture12. References: 1(https://www.isaca.org/resources/isaca-journal/issues/2023/volume-2/considerations-for-developing-cybersecurity-awareness-training) 2(https://www.isaca.org/resources/news-and-trends/isaca-now-blog/2023/security-awareness-training-a-critical-success-factor-for-organizations)

This is because the business processes are the core activities and functions that enable the organization to achieve its objectives and create value for its stakeholders. The business processes are also the sources and drivers of various risks that may affect the organization’s performance, compliance, and reputation. Therefore, the IS auditor should focus on understanding, assessing, and prioritizing the business processes that are most critical, complex, or vulnerable to the organization’s success, and align the audit objectives, scope, and resources accordingly12.

Critical business applications (A) are not the most important area of focus for an IS auditor when developing a risk-based audit strategy, but rather a specific aspect of the business processes that may require attention. Critical business applications are the software systems that support the execution and automation of the business processes, such as enterprise resource planning (ERP), customer relationship management (CRM), or accounting systems. Critical business applications may pose significant risks to the organization if they are not reliable, secure, or efficient. Therefore, the IS auditor should consider the criticality, functionality, and dependency of the business applications when planning the audit, but not as the primary focus12.

Existing IT controls © are not the most important area of focus for an IS auditor when developing a risk-based audit strategy, but rather an outcome or output of the risk assessment process. Existing IT controls are the policies, procedures, practices, and technologies that are implemented to manage and mitigate the IT-related risks that may affect the organization’s business processes and objectives. Existing IT controls may vary in their design, effectiveness, and maturity. Therefore, the IS auditor should evaluate and testthe existing IT controls as part of the audit execution and reporting process, but not as the main focus12.

Recent audit results (D) are not the most important area of focus for an IS auditor when developing a risk-based audit strategy, but rather an input or source of information for the risk assessment process. Recent audit results are the findings, recommendations, and opinions of previous audits that may provide insights or feedback on the organization’s business processes, risks, and controls. Recent audit results may also indicate any changes or trends in the organization’s risk profile or environment. Therefore, the IS auditor should review and consider the recent audit results as part of the audit planning and scoping process, but not as the main focus12.

The issue seems to stem from a breakdown in the workflow or process for handling assets that are due for destruction12. By examining the workflow, the IS auditor can identify where the process failed, such as why the vendor was not notified about the hard drives12. This could involve reviewing procedures for inventory management, communication with vendors, and tracking of assets due for destruction12. The findings can then be used to improve the workflow and prevent similar issues in the future12.

 The best point in time to conduct a post-implementation review is after a full processing cycle. A post-implementation review is a process to evaluate whether the objectives of the project were met, how effective the project was managed, what benefits were realized, and what lessons were learned. A post-implementation review should be conducted after a full processing cycle, which is the period of time required for a system or process to complete all its functions and produce its outputs. This allows for a more accurate and comprehensive assessment of the project’s performance, outcomes, impacts, and issues.

The other options are not as good as option A. Conducting a post-implementation review immediately after deployment is too soon, because it does not allow enough time for the project’s product or service to operate in the real world and generate measurable results. Conducting a post-implementation review after the warranty period is too late, because it may miss some important feedback or opportunities for improvement that could have been addressed earlier. Conducting a post-implementation review prior to the annual performance review is irrelevant, because it does not align with the project’s life cycle or objectives. References: What is Post-Implementation Review in Project Management?, What Is the Post-Implementation Review (PIR) Process?, Post-implementation review in project management?

 The best recommendation to address the situation of inconsistencies in privacy requirements across third-party service provider contracts is to prioritize contract amendments for third-party providers. This is because:

Privacy requirements are essential to ensure the protection of personal information and compliance with relevant laws and regulations, such as the GDPR and the CCPA123.

Inconsistencies in privacy requirements can create risks of data breaches, legal liabilities, reputational damage, and consumer distrust for the organization that outsources its data processing to third-party providers123.

Suspending contracts with third-party providers that handle sensitive data (option A) is not a feasible or effective solution, as it may disrupt the business operations and cause contractual penalties or disputes4.

Reviewing privacy requirements when contracts come up for renewal (option C) is not a proactive or timely approach, as it may leave the organization exposed to privacy risks for a long period of time until the contracts expire4.

Requiring third-party providers to sign nondisclosure agreements (NDAs) (option D) is not a sufficient measure, as NDAs only cover the confidentiality of information, but not other aspects of privacy, such as data minimization, retention, access, deletion, and security4.

Therefore, the best recommendation is to prioritize contract amendments for third-party providers (option B), as this would allow the organization to align the privacy requirements with its own policies and standards, as well as with the applicable laws and regulations. This would also enable the organization to monitor and audit the compliance of third-party providers with the privacy requirements and enforce appropriate remedies or sanctions in case of noncompliance45.

 The most effective control over visitor access to highly secured areas is to require visitors to be escorted by authorized personnel. This control ensures that visitors are supervised at all times and do not enter any restricted or sensitive areas without permission. It also allows authorized personnel to verify the identity, purpose, and clearance of the visitors, and to monitor their behavior and activities. Escorting visitors also reduces the risk of tailgating, piggybacking, or unauthorized duplication of access credentials.

Requiring visitors to use biometric authentication, monitoring visitors online by security cameras, and requiring visitors to enter through dead-man doors are all examples of technical controls that can enhance visitor access control, but they are not as effective as escorting visitors. Biometric authentication can provide a high level of identity verification, but it does not prevent visitors from accessing unauthorized areas or compromising security in other ways. Security cameras can provide a record of visitor movements and actions, but they may not deter or detect security breaches in real time. Dead-man doors can prevent unauthorized entry by requiring two-factor authentication, but they do not ensure that visitors are accompanied by authorized personnel.

The role of a document owner when implementing a data classification policy in an organization is to classify documents to correctly reflect the level of sensitivity of information they contain. A document owner is the person who is ultimately responsible for the creation, maintenance, and protection of a document, usually a member of senior management or a business unit1. A data classification policy is a plan that defines how the organization categorizesits data based on its value, risk, and regulatory requirements, and how it handles and secures each data category2.

According to the data classification policy template by Netwrix3, one of the roles and responsibilities of the document owner is to assign data classification labels based on the data’s potential impact level. Data classification labels are tags or markings that indicate the sensitivity level of the data, such as public, internal, confidential, or restricted. The document owner should apply the data classification labels to the documents that contain the data, either manually or automatically, using tools and methods such as metadata, watermarks, headers, footers, or encryption. The document owner should also review and update the data classification labels periodically or whenever there is a change in the data’s sensitivity level.

By classifying documents to correctly reflect the level of sensitivity of information they contain, the document owner can help to ensure that the documents are handled in accordance with the data classification policy. This means that the documents are stored, accessed, shared, transmitted, and disposed of in a secure and appropriate manner, based on the rules and controls defined for each data category. This can also help to prevent data loss, leakage, or breach incidents that may cause harm or damage to the organization or its stakeholders.

Therefore, option A is the correct answer.

 A SQL injection attack is a type of attack that targets security vulnerabilities in web applications to gain access to data sets. A SQL injection attack exploits a flaw in the web application code that allows an attacker to inject malicious SQL statements into the input fields or parameters of the web application. These SQL statements can then execute on the underlying database server and manipulate or retrieve sensitive data from the database. A SQL injection attack can result in data theft, data corruption, unauthorized access, denial of service or even complete takeover of the database server. A denial of service (DOS) attack is a type of attack that aims to disrupt the availability or functionality of a web application or a network service by overwhelming it with excessive requests or traffic. A phishing attack is a type of attack that uses deceptive emails or websites to trick users into revealing their personal or financial information or credentials. A rootkit is a type of malware that hides itself from detection and grants unauthorized access or control over a compromised system. References: IS Audit and Assurance Tools and Techniques, CISA Certification | Certified Information Systems Auditor | ISACA

A mirror backup is a type of backup that creates an exact copy of the source data to the destination, without using any compression or encryption. A mirror backup is the best backup scheme to recommend given the need for a shorter restoration time in the event of a disruption, because it allows for the fastest and easiest recovery of data. A mirror backup does not store any previous versions of the files, so it only reflects the current state of the source data. Therefore, a mirror backup requires less storage space than a full backup, but more than an incremental or differential backup.

A differential backup is a type of backup that stores the changes made to the source data since the last full backup. A differential backup requires less storage space and time than a full backup, but more than an incremental backup. However, a differential backup also requires more time and resources to restore than a mirror or full backup, because it needs to combine the last full backup and the latest differential backup to recover the data.

A full backup is a type of backup that copies all the files and folders from the source data to the destination, regardless of whether they have changed or not. A full backup provides the most complete protection of data and the simplest recovery process, but it also requires the most storage space and time to perform. A full backup is usually done periodically, such as weekly or monthly, and followed by incremental or differential backups.

An incremental backup is a type of backup that stores the changes made to the source data since the last backup, whether it was a full or an incremental backup. An incremental backup requires the least storage space and time to perform, but it also requires the most time and resources to restore, because it needs to combine all the previous backups in chronological order to recover the data.

The correct answer is B. Management’s commitment to information security. Management’s commitment to information security is the most critical factor for the success of an information security program, as it provides the leadership, support, and resources needed to establish and maintain a secure environment. Management’s commitment to information security can be demonstrated by:

Setting the vision, mission, and goals for information security, and aligning them with the organization’s strategies and objectives1.

Establishing and enforcing the policies, standards, and procedures for information security, and ensuring compliance with relevant laws and regulations1.

Allocating sufficient budget, staff, and technology for information security, and investing in training and awareness programs2.

Promoting a culture of security within the organization, and engaging with stakeholders and partners to foster trust and collaboration2.

The best indicator of the performance of a web application is the average response time. This metric measures how long it takes for the web server to process and deliver a request from the client. It reflects the user’s perception of how fast or slow the web application is, and it affects the user’s satisfaction, engagement, and conversion. A low average response time means that the web application is responsive and efficient, while a high average response time means that the web application is sluggish and unreliable.

HTTP server error rate, server thread count, and server uptime are not as good indicators of the performance of a web application as the average response time. HTTP server error rate measures how often the web server fails to handle a request and returns an error code, such as 404 (Not Found) or 500 (Internal Server Error). This metric indicates the reliability and availability of the web application, but it does not capture how fast or slow the web application is. Server thread count measures how many concurrent requests the web server can handle at a given time. This metric indicates the scalability and capacity of the web application, but it does not capture how long each request takes to process. Server uptime measures how long the web server has been running without interruption. This metric indicates the stability and resilience of the web application, but it does not capture how well the web application performs during that time.

Given the large volume of data transactions, continuous monitoring is the best testing strategy for auditing the inventory control process. Continuous monitoring involves the automated review of operational and financial data to identify anomalies or areas of concern12. This approach allows for real-time identification and resolution of issues, making it particularly effective for large organizations with high transaction volumes12.

 The most reliable way for an IS auditor to evaluate the operational effectiveness of an organization’s data loss prevention (DLP) controls is to verify that confidential files cannot be transmitted to a personal USB device. This is because DLP controls are designed to prevent the loss, leakage or misuse of sensitive data through breaches, ex-filtration transmissions and unauthorized use1. A personal USB device is a common way for data to be stolen or compromised, as it can bypass network security measures and allow unauthorized access to confidential files. Therefore, testing the DLP controls by attempting to copy or transfer confidential files to a personal USB device can provide a direct and objective evidence of whether the DLP controls are working as intended or not.

The other options are less reliable ways for an IS auditor to evaluate the operational effectiveness of an organization’s DLP controls. Reviewing data classification levels based on industry best practice is a way to assess the adequacy of the organization’s data protection policies, but it does not measure how well the DLP controls are implemented or enforced in practice. Verifying that current DLP software is installed on all computer systems is a way to check the technical configuration of the DLP solution, but it does not test how well the DLP software detects and prevents data loss incidents in real scenarios. Conducting interviews to identify possible data protection vulnerabilities is a way to gather qualitative information from stakeholders, but it does not provide quantitative or empirical data on the actual performance of the DLP controls.

The correct answer is A. Overwriting multiple times. Overwriting is a method of securely erasing data from a hard disk by replacing the existing data with random or meaningless data, making it difficult or impossible to recover the original data1. Overwriting multiple times, also known as multiple-pass overwriting, is a more effective way of disposing of sensitive data than overwriting once, as it reduces the possibility of residual traces of data that could be recovered by advanced techniques2. Overwriting multiple times can be done by using specialized software tools that follow certain standards or algorithms, such as the US Department of Defense’s DoD 5220.22-M or the Gutmann method3.

Reviewing the application implementation documents is the best way for an IS auditor to assess the design of an automated application control. An automated application control is a control that is embedded in the application software and is executed by the system without human intervention. An automated application control is designed to ensure the accuracy, completeness, validity, and authorization of transactions and data processed by the application. Examples of automated application controls are input validation, edit checks, calculations, reconciliations, and exception reports.

The application implementation documents are the documents that describe the design specifications, logic, and functionality of the application and its controls. The application implementation documents may include:

Business requirements document - a document that defines the business objectives, needs, and expectations of the application.

Functional specifications document - a document that describes the features, functions, and interfaces of the application and its controls.

Technical specifications document - a document that details the technical architecture, design, and configuration of the application and its controls.

Test plan and test cases - a document that outlines the testing strategy, methodology, and scenarios for verifying the functionality and performance of the application and its controls.

User manual and training material - a document that provides instructions and guidance on how to use the application and its controls.

By reviewing the application implementation documents, an IS auditor can:

Gain an understanding of the purpose, scope, and nature of the application and its controls.

Evaluate whether the application and its controls are designed to meet the business requirements and objectives.

Identify any gaps, inconsistencies, or errors in the design of the application and its controls.

Compare the design of the application and its controls with the best practices and standards in the industry.

Determine whether the application and its controls are adequately tested and documented.

Interviewing the application developer is not the best way for an IS auditor to assess the design of an automated application control. An interview is a verbal communication technique that involves asking questions and listening to responses. An interview can be useful for obtaining general information or clarifying specific issues related to the application and its controls. However, an interview alone cannot provide sufficient evidence or documentation to support the auditor’s assessment of the design of an automated application control. An interview may also be subject to bias, misunderstanding, or misinterpretation by either party.

Obtaining management attestation and sign-off is not the best way for an IS auditor to assess the design of an automated application control. Management attestation and sign-off is a formal process that involves obtaining written confirmation from management that they have reviewed and approved the design of the application and its controls. Management attestation and sign-off can indicate management’s commitment and accountability for the quality and effectiveness of the application and its controls. However, management attestation and sign-off cannot substitute for an independent and objective evaluation by an IS auditor. Management attestation and sign-off may also be influenced by pressure, conflict of interest, or fraud.

Reviewing system configuration parameters and output is not the best way for an IS auditor to assess the design of an automated application control. System configuration parameters are settings that define how the system operates or interacts with other components. System output is data or information that is produced by the system as a result of processing transactions or performing functions. Reviewing system configuration parameters and output can help an IS auditor to verify whether the system is configured correctly and whether it produces accurate and reliable output. However, reviewing system configuration parameters and output cannot provide a comprehensive view of how the application and its controls are designed to achieve their objectives. Reviewing system configuration parameters and output may also require technical expertise or access rights that may not be available to an IS auditor.

Effective governance over IT infrastructure is indicated by the ability to deliver continuous, reliable performance12. This is because good governance ensures that IT investments support business objectives and produce measurable results towards achieving their strategies2. It involves implementing management and internal controls, strengthening security, financial controls, risk mitigation, and inspection and compliance obligations3. While security awareness programs, the number of servers, and the number of security incidents can be aspects of IT governance, they are not the best indicators of its effectiveness.