Isaca CISA Practice Test - Questions Answers, Page 102

The first step when developing a DLP solution for a large organization is to conduct a data inventory and classification exercise.This step involves identifying and locating all the data assets that the organization owns, generates, or handles, and assigning them to different categories based on their sensitivity, value, and regulatory requirements1.Data inventory and classification is essential for DLP because it helps to determine the scope and objectives of the DLP solution, as well as the appropriate level of protection and monitoring for each data category2.Data inventory and classification also enables the organization to prioritize its DLP efforts based on the risk and impact of data loss or leakage3.

Option B is not correct because identifying approved data workflows across the enterprise is a subsequent step after conducting data inventory and classification.Data workflows are the processes and channels through which data are created, stored, accessed, shared, or transmitted within or outside the organization4.Identifying approved data workflows helps to define the normal and legitimate use of data, as well as to detect and prevent unauthorized or anomalous data activities5. However, before identifying approved data workflows, the organization needs to know what data it has and how it should be classified.

Option C is not correct because conducting a threat analysis against sensitive data usage is another subsequent step after conducting data inventory and classification. Threat analysis is the process of identifying and assessing the potential sources, methods, and impacts of data loss or leakage incidents. Threat analysis helps to design and implement effective DLP controls and countermeasures based on the risk profile of each data category. However, before conducting threat analysis, the organization needs to know what data it has and how it should be classified.

Option D is not correct because creating the DLP policies and templates is the final step after conducting data inventory and classification, identifying approved data workflows, and conducting threat analysis. DLP policies and templates are the rules and configurations that specify how the DLP solution should monitor, detect, report, and respond to data loss or leakage events. DLP policies and templates should be aligned with the organization's business needs, regulatory obligations, and risk appetite. However, before creating the DLP policies and templates, the organization needs to know what data it has, how it should be classified, how it should be used, and what threats it faces.

Data Inventory & Classification: The First Step in Data Protection1

Data Classification: What It Is And Why You Need It2

How to Prioritize Your Data Loss Prevention Strategy in 20203

What Is Data Workflow?Definition & Examples4

How to Identify Data Workflows for Your Business5

Threat Analysis: A Comprehensive Guide for Beginners

How to Conduct a Threat Assessment for Your Business

What Is Data Loss Prevention (DLP)? Definition & Examples

How to Create Effective Data Loss Prevention Policies

Data analytics is the process of collecting, transforming, analyzing, and visualizing data to gain insights and support decision making1. Data analytics can be used to facilitate the testing of a new account creation process by applying various techniques and methods to evaluate the quality, functionality, performance, and security of the process. One of the approaches that would utilize data analytics to test the new account creation process is to review new account applications submitted in the past month for invalid dates of birth. This approach would involve the following steps:

Extract the data of new account applications from the source system, such as a database or a web service, using appropriate tools and methods.

Transform and clean the data to ensure its accuracy, completeness, consistency, and validity, using techniques such as data profiling, data cleansing, data mapping, and data validation2.

Analyze the data to identify any anomalies, errors, or outliers in the date of birth field, using methods such as descriptive statistics, exploratory data analysis, hypothesis testing, or anomaly detection3.

Visualize the data to present the findings and insights in a clear and understandable way, using tools and techniques such as charts, graphs, dashboards, or reports.

By reviewing new account applications submitted in the past month for invalid dates of birth, the tester can use data analytics to:

Verify if the new account creation process is working as expected and meets the business requirements and specifications for the date of birth field.

Detect any defects or issues in the new account creation process that may cause invalid dates of birth to be accepted or rejected incorrectly.

Measure and monitor the performance and reliability of the new account creation process in terms of data quality, accuracy, and completeness.

Evaluate and improve the test coverage and effectiveness of the new account creation process by identifying any gaps or risks in the test cases or scenarios.

Therefore, option C is the correct answer.

Option A is not correct because attempting to submit new account applications with invalid dates of birth is not a data analytics approach, but a functional testing approach that involves executing test cases or scenarios manually or automatically to validate the behavior and functionality of the new account creation process. Option B is not correct because reviewing the business requirements document for date of birth field requirements is not a data analytics approach, but a requirements analysis approach that involves examining and understanding the needs and expectations of the stakeholders for the new account creation process. Option D is not correct because evaluating configuration settings for date of birth field requirements is not a data analytics approach, but a configuration testing approach that involves verifying if the settings and parameters of the new account creation process are correct and consistent with the requirements.

What is Data Analytics?Definition & Examples1

Data Transformation: Definition & Examples2

Data Analysis: Definition & Examples3

Data Visualization: Definition & Examples

Functional Testing: Definition & Examples

Requirements Analysis: Definition & Examples

Configuration Testing: Definition & Examples

Compared to developing a system in-house, acquiring a software package means that the need for testing by end users is unchanged. This is because end users are still the ultimate customers and beneficiaries of the system, and they need to ensure that the software package meets their requirements, expectations, and satisfaction.End user testing, also known as user acceptance testing (UAT) or beta testing, is the final stage of testing performed by the user or client to determine whether the software can be accepted or not1.End user testing is important for both in-house developed and acquired software packages, as it helps to verify the functionality, usability, performance, and reliability of the system2.End user testing also helps to identify and resolve any defects, errors, or issues that may not have been detected by the developers or vendors3.

Therefore, option B is the correct answer.

Option A is not correct because end user testing is not eliminated by acquiring a software package.Even though the software package may have been tested by the vendor or supplier, it may still have bugs, compatibility issues, or configuration problems that need to be fixed before deployment4. Option C is not correct because end user testing is not increased by acquiring a software package. The scope and extent of end user testing depend on various factors, such as the complexity, criticality, and customization of the system, and not on whether it is developed in-house or acquired. Option D is not correct because end user testing is not reduced by acquiring a software package. The software package may still require modifications or integrations to suit the specific needs and environment of the organization, and these changes need to be tested by the end users.

Chapter 4 Methods of Software Acquisition5

What is User Acceptance Testing (UAT): A Complete Guide1

What Is End-to-End Testing?(With How-To and Example)3

How to Evaluate New Software in 5 Steps4

User Acceptance Testing (UAT) in ERP Projects

User Acceptance Testing for Packaged Software

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 categorizes its 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.

Data Classification Policy: Definition, Examples, & Free Template2

Data Classification Policy Template - Netwrix3

Data Classification and Handling Policy - University of Hull1

Post-implementation testing is the process of verifying and validating the functionality, performance, and security of a system after it has been deployed to the production environment1. Post-implementation testing is important for ensuring that the system meets the user requirements and expectations, as well as the operational and business objectives.Post-implementation testing also helps to identify and resolve any defects, errors, or issues that may have occurred during the deployment process or that may have been missed during the previous testing stages2.

Therefore, the observation that post-implementation testing is not conducted for all system releases should be of greatest concern to an IS auditor performing an audit of change and release management controls for a new complex system developed by a small in-house IT team. This observation indicates that the system may have quality, reliability, or security problems that could affect the user satisfaction, system performance, or data integrity. This observation also suggests that the change and release management controls are not adequate or effective, as they do not ensure that all system releases are properly tested and validated before and after deployment.

Option A is not correct because access to change testing strategy and results is not restricted to staff outside the IT team is not a major concern for an IS auditor. While it is good practice to limit access to sensitive or confidential information, such as test data or test cases, to authorized personnel only, access to change testing strategy and results may not pose a significant risk to the system or the organization. Moreover, access to change testing strategy and results may be beneficial for some stakeholders outside the IT team, such as business users, project managers, or auditors, who may need to review or evaluate the testing process or outcomes.

Option B is not correct because some user acceptance testing (UAT) was completed by members of the IT team is not a major concern for an IS auditor.User acceptance testing is the process of verifying and validating that the system meets the user requirements and expectations by involving actual or representative users in the testing process3. While it is preferable to have independent and unbiased users perform UAT, it may not be feasible or practical for some organizations, especially those with small or limited resources. Therefore, some UAT may be completed by members of the IT team, as long as they have sufficient knowledge and experience of the user needs and expectations, and as long as they follow the UAT plan and criteria.

Option C is not correct because IT administrators have access to the production and development environment is not a major concern for an IS auditor.IT administrators are responsible for managing and maintaining the IT infrastructure, including the production and development environments4. Therefore, it is reasonable and necessary for them to have access to both environments, as long as they follow the appropriate policies and procedures for accessing, using, and securing them. Moreover, IT administrators may need to perform tasks such as backup, restore, patching, or troubleshooting in both environments.

What Is Post Implementation Testing?1

Post Implementation Review (PIR) - Definition & Process2

User Acceptance Testing (UAT): Definition & Examples3

What Is an IT Administrator?Definition & Examples4

The most important action before the audit work begins is to establish control objectives.Control objectives are the specific goals or outcomes that the audit intends to achieve or verify in relation to the information protection in the application1.Control objectives provide the basis for designing and performing the audit procedures, evaluating the audit evidence, and reporting the audit findings and recommendations2.Control objectives also help to align the audit scope and criteria with the business needs and expectations, and to ensure that the audit is relevant, reliable, and efficient3.

Some examples of control objectives for an information protection audit are:

To ensure that the information stored in the application is classified according to its sensitivity, value, and regulatory requirements

To ensure that the information stored in the application is encrypted, masked, or anonymized as appropriate

To ensure that the information stored in the application is accessible only by authorized users and processes

To ensure that the information stored in the application is backed up, restored, and retained according to the business continuity and retention policies

To ensure that the information stored in the application is monitored, logged, and audited for any unauthorized or anomalous activities

Therefore, option B is the correct answer.

Option A is not correct because reviewing remediation reports is not the most important action before the audit work begins.Remediation reports are documents that describe how previous audit findings or issues have been resolved or addressed by the auditee4. While reviewing remediation reports may be useful for understanding the current state of information protection in the application, it is not a prerequisite for defining the control objectives of the audit.

Option C is not correct because assessing the threat landscape is not the most important action before the audit work begins.The threat landscape is the set of potential sources, methods, and impacts of cyberattacks or data breaches that may affect the information stored in the application5. While assessing the threat landscape may be helpful for identifying and prioritizing the risks and vulnerabilities of information protection in the application, it is not a prerequisite for defining the control objectives of the audit.

Option D is not correct because performing penetration testing is not the most important action before the audit work begins. Penetration testing is a technique that simulates real-world cyberattacks or data breaches to test the security and resilience of information systems or applications.

Support should be given the greatest consideration when implementing the use of an open-source product, as open-source software may not have the same level of technical support, maintenance, and updates as proprietary software1.Open-source software users may have to rely on the community of developers and users, online forums, or third-party vendors for support, which may not be timely, reliable, or consistent2.Therefore, before implementing an open-source product, users should evaluate the availability and quality of support options, such as documentation, forums, mailing lists, bug trackers, chat channels, etc.3

A benefits realization process is a systematic way of identifying, defining, planning, tracking and realizing the benefits from a project or program. Benefits are the measurable improvements that result from the delivery of project outputs and outcomes. Benefits realization management (BRM) is the practice of ensuring that benefits are derived from outputs and outcomes.

One of the best practices for BRM is to select metrics for the project before it begins. Metrics are the indicators that measure the performance and value of the project and its benefits. By selecting metrics in advance, the project team can align the project objectives with the expected benefits, establish a baseline for comparison, and monitor and evaluate the progress and results of the project. Metrics also help to communicate the value of the project to stakeholders and justify the investment.

The other options are not as effective as selecting metrics before the project begins. Project budget is an important factor for BRM, but it does not enable the benefits realization process by itself. It only reflects the costs of executing the project and delivering the solution, not the benefits or value that are expected from them. Estimates of business benefits are useful for planning and forecasting, but they are not sufficient for BRM. They need to be validated by actual data and evidence from similar projects or other sources. Metrics are evaluated after the project has been implemented, but this is only one part of the benefits realization process. BRM requires continuous monitoring and evaluation throughout the project life cycle and beyond, to ensure that benefits are sustained and optimized.

ISACA, CISA Review Manual, 27th Edition, 2019, p.3261

PMI, Benefits Realization Management: A Practice Guide, 20192

APM, What is benefits management and project success?, 20213

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.

Best Practices For Disaster Recovery Testing

Disaster recovery testing

Disaster Recovery Testing: Everything to Know