CISA Exam Dumps - Certified Information Systems Auditor

The best recommendation to prevent unauthorized access to a highly sensitive data center by piggybacking or tailgating is to use an airlock entrance. An airlock entrance is a type of access control system that consists of two doors that are interlocked, so that only one door can be opened at a time. This prevents an unauthorized person from following an authorized person into the data center without being detected. An airlock entrance can also be integrated with other security measures, such as biometrics, card readers, or PIN pads, to verify the identity and authorization of each person entering the data center.

Biometrics (option A) is a method of verifying the identity of a person based on their physical or behavioral characteristics, such as fingerprints, iris scans, or voice recognition. Biometrics can provide a high level of security, but they are not sufficient to prevent piggybacking or tailgating, as an unauthorized person can still follow an authorized person who has been authenticated by the biometric system.

Procedures for escorting visitors (option B) is a policy that requires all visitors to the data center to be accompanied by an authorized employee at all times. This can help prevent unauthorized access by visitors, but it does not address the risk of piggybacking or tailgating by other employees or contractors who may have legitimate access to the building but not to the data center.

Intruder alarms (option D) are devices that detect and alert when an unauthorized person enters a restricted area. Intruder alarms can provide a deterrent and a response mechanism for unauthorized access, but they are not effective in preventing piggybacking or tailgating, as they rely on the detection of the intruder after they have already entered the data center.

References: 1: CISA Certification | Certified Information Systems Auditor | ISACA 2: CISA Certified Information Systems Auditor Study Guide, 4th Edition 3: CISA - Certified Information Systems Auditor Study Guide [Book]

The answer B is correct because a system-generated list of staff and their project assignments, roles, and responsibilities is the most useful to an IS auditor performing a review of access controls for a document management system. A document management system is a software that helps organizations store, manage, and share documents electronically. Access controls are the mechanisms that restrict or allow access to the documents based on predefined criteria, such as user identity, role, or project. An IS auditor needs to verify that the access controls are properly configured and implemented to ensure the security, confidentiality, and integrity of the documents.

A system-generated list of staff and their project assignments, roles, and responsibilities can help the IS auditor to perform the following tasks:

Identify the users who have access to the document management system and their level of access (e.g., read-only, edit, delete, etc.).

Compare the actual access rights of the users with their expected or authorized access rights based on their roles and responsibilities.

Detect any anomalies, discrepancies, or violations in the access rights of the users, such as excessive or unauthorized access, segregation of duties conflicts, or dormant or inactive accounts.

Evaluate the effectiveness and efficiency of the access control policies and procedures, such as user provisioning, deprovisioning, authentication, authorization, auditing, etc.

The other options are not as useful as option B. Policies and procedures for managing documents provided by department heads (option A) are not reliable sources of information for an IS auditor because they may not reflect the actual practices or compliance status of the document management system. Previous audit reports related to other departments’ use of the same system (option C) are not relevant for an IS auditor because they may not address the specific issues or risks associated with the current department’s use of the document management system. Information provided by the audit team lead on the authentication systems used by the department (option D) is not sufficient for an IS auditor because authentication is only one aspect of access control and it does not provide information on the authorization or auditing of the document access.

References:

Overview of document management in SharePoint

Setting Up a Document Control System: 6 Basic Steps

Access Control Management: Purpose, Types, Tools, & Benefits

9 Best Document Management Systems of 2023

 An IT risk assessment is the process of identifying and assessing the threats facing an organization’s information systems, networks, and data. An IT risk assessment helps an organization to understand its current risk profile, prioritize its risks, and implement appropriate controls to mitigate them. An IT risk assessment also helps an organization to comply with relevant laws and standards, such as ISO 27001 or CMMC.

One of the key steps in an IT risk assessment is the identification of vulnerabilities. Vulnerabilities are the weaknesses or gaps in an organization’s information security that could be exploited by internal or external threats. Vulnerabilities can exist in various aspects of an organization’s information security, such as:

Hardware: The physical devices and components that store or process information

Software: The applications and programs that run on hardware devices

Network: The communication channels and protocols that connect hardware devices

Data: The information that is stored or transmitted by hardware devices or software applications

People: The users or personnel who access or manage information systems or data

Processes: The procedures or workflows that govern how information systems or data are used or maintained

By identifying vulnerabilities in each of these aspects, an organization can assess its exposure to potential threats, such as hackers, malware, natural disasters, human errors, or sabotage. By identifying vulnerabilities, an organization can also determine its risk level for each threat scenario, based on the likelihood and impact of a successful attack. By identifying vulnerabilities, an organization can also identify the existing or required controls to prevent or reduce the impact of an attack.

Therefore, an IT risk assessment should include the identification of vulnerabilities as a crucial component.

References:

4: What Is an IT Risk Assessment? (Plus Benefits and Components) | Indeed.com

5: How to Perform a Successful IT Risk Assessment - Hyperproof

6: IT Risk Resources | ISACA

A concern associated with virtualization is that performance issues with the host could impact the guest operating systems, which are the operating systems that run on virtual machines within the host. For example, if the host has insufficient memory, CPU, disk space, or network bandwidth, it could affect the performance and availability of the guest operating systems and the applications running on them. The physical footprint of servers could decrease within the data center, processing capacity may be shared across multiple operating systems, and one host may have multiple versions of the same operating system are not concerns associated with virtualization, but rather benefits or features of virtualization that can help reduce costs, improve efficiency, and enhance flexibility. References: CISA Review Manual (Digital Version), Chapter 4: Information Systems Operations and Business Resilience, Section 4.2: IT Service Delivery and Support

The IS auditor’s best course of action when preparing the final report is to include the position supported by senior management in the final engagement report. The IS auditor should communicate the audit findings and recommendations to senior management and obtain their feedback and approval before issuing the final report. If there is a disagreement between the auditee and the IS auditor regarding a recommendation for corrective action, the IS auditor should present both sides of the argument and the supporting evidence, and seek senior management’s opinion and decision. The IS auditor should respect and follow senior management’s position, and include it in the final engagement report, along with the auditee’s comments if applicable. The other options are not the best course of action, because they either do not resolve the disagreement, do not reflect senior management’s authority, or do not report the audit results accurately and completely. References: CISA Review Manual (Digital Version)1, Chapter 2, Section 2.2.5

 The greatest impact as a result of the ongoing deterioration of a detective control is an increased number of false negatives in security logs. A detective control is a control that monitors and identifies any deviations or anomalies from the expected or normal behavior or performance of a system or process. A security log is a record of events or activities that occur within a system or network, such as user access, file changes, system errors, or security incidents. A false negative is a situation where a security log fails to detect or report an actual deviation or anomaly that has occurred, such as an unauthorized access, a malicious modification, or a security breach. An increased number of false negatives in security logs can have a significant impact on the organization’s security posture and risk management, because it can prevent timely detection and response to security threats, compromise the accuracy and reliability of security monitoring and reporting, and undermine the accountability and auditability of user actions and transactions. The other options are not as impactful as an increased number of false negatives in security logs, because they either do not affect the detection capability of a detective control, or they have less severe consequences for security management. References: CISA Review Manual (Digital Version)1, Chapter 5, Section 5.2.1

The type of IS audit that would provide the greatest level of assurance that the department’s objectives have been met after implementing new technologies and processes is an integrated audit. An integrated audit is an audit that combines financial, operational, compliance, and IT auditing aspects to provide a holistic view of the organization’s performance and risks. An integrated audit can evaluate whether the new technologies and processes are aligned with the organization’s goals, strategies, policies, and controls, and whether they are delivering value, efficiency, effectiveness, and reliability. The other types of IS audits (A, C and D) would not provide the same level of assurance, as they would only focus on specific aspects of the organization’s activities, such as performance, cyber security, or financial reporting, which may not capture the full impact of the new technologies and processes. References: CISA Certification | Certified Information Systems Auditor | ISACA, CISA Review Manual (Digital Version), Chapter 1: The Process of Auditing Information Systems, Section 1.2: Types of IS Audit Engagements