Isaca CISA Practice Test - Questions Answers, Page 22

The best way for an organization to mitigate the risk associated with third-party application performance is to utilize performance monitoring tools to verify service level agreements (SLAs). Performance monitoring tools are software or hardware devices that measure and report the performance of an application or system, such as speed, availability, reliability, etc. Performance monitoring tools can help mitigate the risk associated with third-party application performance, by allowing the organization to verify whether the third-party provider is meeting the SLAs, which are contracts or agreements that define the expected level and quality of service for an application or system. Performance monitoring tools can also help identify and resolve any performance issues or problems that may arise from the third-party application. Ensuring the third party allocates adequate resources to meet requirements is a possible way to mitigate the risk associated with third-party application performance, but it is not the best one, as it may not be feasible or effective depending on the availability, cost, and suitability of the resources. Using analytics within the internal audit function is a possible way to mitigate the risk associated with third-party application performance, but it is not the best one, as it may not be timely or relevant depending on the frequency, scope, and quality of the analytics. Conducting a capacity planning exercise is a possible way to mitigate the risk associated with third-party application performance, but it is not the best one, as it may not be accurate or reliable depending on the assumptions, methods, and data used for the capacity planning.

The major advantage of moving from many desktop PCs to a thin client architecture is that desktop application software will never have to be upgraded. A thin client architecture is a type of client-server architecture that uses lightweight or minimal devices (thin clients) as clients that connect to a central server that provides most of the processing and storage functions. A thin client architecture can offer several benefits over a traditional desktop PC architecture, such as lower cost, higher security, easier maintenance, etc. One of these benefits is that desktop application software will never have to be upgraded on thin clients, as all the applications are installed and updated on the server, and accessed by thin clients through a network connection. This can save time and money for installing and upgrading software on individual devices, and ensure consistency and compatibility among different devices. The security of the desktop PC is enhanced is a possible advantage of moving from many desktop PCs to a thin client architecture, but it is not the major one. A thin client architecture can enhance the security of desktop PCs by reducing the exposure or vulnerability of data and applications on individual devices, and centralizing the security management and control on the server. However, this advantage may depend on other factors such as network security, server security, user authentication, etc. Administrative security can be provided for the client is a possible advantage of moving from many desktop PCs to a thin client architecture, but it is not the major one. A thin client architecture can provide administrative security for clients by allowing administrators to configure and manage client devices remotely from the server, and enforce policies and restrictions on client access or usage. However, this advantage may depend on other factors such as network reliability, server availability, user compliance, etc. System administration can be better managed is a possible advantage of moving from many desktop PCs to a thin client architecture, but it is not the major one. A thin client architecture can improve system administration by simplifying and streamlining the tasks and activities involved in maintaining and supporting client devices, such as backup, recovery, troubleshooting, etc., and consolidating them on the server. However, this advantage may depend on other factors such as network bandwidth, server capacity, user satisfaction

The observation that should be of most concern to the auditor when reviewing security controls related to collaboration tools for a business unit responsible for intellectual property and patents is that employees can share files with users outside the company through collaboration tools. Collaboration tools are software or hardware devices that enable users to communicate, cooperate, and coordinate with each other on a common task or project. Collaboration tools can facilitate information sharing and knowledge exchange among users, but they can also pose security risks if not properly controlled or managed. Employees can share files with users outside the company through collaboration tools, as this can compromise the security and confidentiality of intellectual property and patents, which are valuable and sensitive assets of the organization. Employees may share files with unauthorized or untrusted users who may misuse or disclose the intellectual property and patents, either intentionally or unintentionally. This can cause harm or damage to the organization, such as loss of competitive advantage, reputation, revenue, or legal rights. Training was not provided to the department that handles intellectual property and patents is a possible observation that could indicate a security issue related to collaboration tools for a business unit responsible for intellectual property and patents, but it is not the most concerning one. Training is an activity that educates and instructs users on how to use collaboration tools effectively and securely, such as how to access, share, store, and protect information using collaboration tools. Training was not provided to the department that handles intellectual property and patents, as this can affect the awareness and competence of users on collaboration tools, and increase the likelihood of errors or mistakes that may compromise the security or quality of information. However, this observation may not be directly related to collaboration tools, as it may apply to any information system or resource used by the department. Logging and monitoring for content filtering is not enabled is a possible observation that could indicate a security issue related to collaboration tools for a business unit responsible for intellectual property and patents, but it is not the most concerning one. Logging and monitoring are processes that record and analyze the events or activities that occur on an information system or network, such as user actions, system operations, data changes, errors, alerts, etc. Content filtering is a technique that blocks or allows access to certain types of information based on predefined criteria or rules, such as keywords, categories, sources, etc. Logging and monitoring for content filtering is not enabled, as this can affect the auditability, accountability, and visibility of collaboration tools, and prevent detection or investigation of security incidents or violations related to information sharing using collaboration tools. However, this observation may not be specific to collaboration tools, as it may affect any information system or network that uses content filtering. The collaboration tool is hosted and can only be accessed via an Internet browser is a possible observation that could indicate a security issue related to collaboration tools for a business unit responsible for intellectual property and patents, but it is not the most concerning one. A hosted collaboration tool is a type of cloud-based service that provides collaboration functionality over the Internet without requiring installation or maintenance on local devices. An Internet browser is a software application that enables users to access and interact with web-based content or services. The collaboration tool is hosted and can only be accessed via an Internet browser, as this can affect the availability and reliability of collaboration tools, and introduce security or privacy risks for information sharing using collaboration tools. However, this observation may not be unique to collaboration tools, as it may apply to any cloud-based service that uses an Internet browser.

The type of firewall that provides the greatest degree of control against hacker intrusion is an application level gateway. A firewall is a device or software that filters or blocks network traffic based on predefined rules or policies. A firewall can help protect an information system or network from unauthorized access or attack by hackers or other malicious entities. An application level gateway is a type of firewall that operates at the application layer of the network model (layer 7), which is where user applications communicate with each other over the network. An application level gateway provides the greatest degree of control against hacker intrusion, by inspecting and analyzing the content and context of each network packet at the application level, such as protocols, commands, requests, responses, etc., and allowing or denying access based on specific criteria or conditions. An application level gateway can also perform additional functions such as authentication, encryption, caching, logging, etc., to enhance the security and performance of network traffic. A circuit gateway is a type of firewall that operates at the transport layer of the network model (layer 4), which is where data are transferred between end points over the network. A circuit gateway provides a moderate degree of control against hacker intrusion by establishing a secure connection between two end points (such as client and server) and relaying network packets between them without inspecting or analyzing their content. A circuit gateway can also perform functions such as encryption, authentication, or address translation to improve the security and privacy of network traffic. A packet filtering router is a type of firewall that operates at the network layer of the network model (layer 3), which is where data are routed between different networks or subnets. A packet filtering router provides a low degree of control against hacker intrusion by examining the header of each network packet and allowing or denying access based on basic criteria such as source address, destination address, port number, protocol, etc. A packet filtering router can also perform functions such as routing, forwarding, or address translation to optimize the delivery and efficiency of network traffic. A screening router is a type of firewall that operates at the network layer of the network model (layer 3), which is where data are routed between different networks or subnets. A screening router provides a low degree of control against hacker intrusion by examining the header of each network packet and allowing or denying access based on basic criteria such as source address, destination address, port number, protocol, etc. A screening router can also perform functions such as routing, forwarding, or address translation to optimize the delivery and efficiency of network traffic.

The most helpful thing to ensure the integrity of the system throughout the change when moving from one database management system (DBMS) to another is preserving the same data structure. A DBMS is a software system that manages and manipulates data stored in a database, such as creating, updating, querying, deleting, etc. A database is a collection of structured or organized data that can be accessed or manipulated by a DBMS. A data structure is a way of organizing or arranging data in a database, such as tables, columns, rows, keys, indexes, etc. Preserving the same data structure when moving from one DBMS to another can help ensure the integrity of the system throughout the change, by maintaining the consistency and accuracy of data in the database, and avoiding any errors or issues that may arise from incompatible or inconsistent data structures between different DBMSs. Preserving the same data classifications is a possible thing to ensure the integrity of the system throughout the change when moving from one DBMS to another, but it is not the most helpful one. Data classifications are categories or labels that define the level of sensitivity or importance of data in a database, such as public, confidential, secret, etc. Data classifications can help protect the security and privacy of data in the database by applying appropriate controls or restrictions on data access or use based on their classifications. Preserving the same data classifications when moving from one DBMS to another can help ensure the integrity of the system throughout the change by preventing unauthorized or inappropriate access or use of data in the database. However, this may not be directly related to the DBMS change, as it may apply to any data migration or transfer process. Preserving the same data inputs is a possible thing to ensure the integrity of the system throughout the change when moving from one DBMS to another, but it is not the most helpful one. Data inputs are sources or methods that provide data to a database, such as user inputs, sensors, files, etc. Data inputs can affect the quality and validity of data in the database by introducing errors or inconsistencies in data entry or collection. Preserving the same data inputs when moving from one DBMS to another can help ensure the integrity of the system throughout the change by reducing errors or inconsistencies in data input or collection.

The most assurance over the completeness and accuracy of loan application processing with respect to the implementation of a new system can be obtained by running historical transactions through the new system. Historical transactions are transactions that have been processed and recorded by the old system in the past. Running historical transactions through the new system can provide the most assurance over the completeness and accuracy of loan application processing, by comparing the results and outputs of the new system with those of the old system, and verifying whether they match or differ. This can help identify and resolve any errors or issues that may arise from the new system, such as data conversion, functionality, compatibility, etc. Comparing code between old and new systems is a possible way to obtain some assurance over the completeness and accuracy of loan application processing with respect to the implementation of a new system, but it is not the most effective one. Code is a set of instructions or commands that define how a system operates or functions. Comparing code between old and new systems can provide some assurance over the completeness and accuracy of loan application processing, by checking whether the logic, algorithms, or functions of the new system are consistent or equivalent with those of the old system. However, this may not be sufficient or reliable, as code may not reflect the actual performance or outcomes of the system, and may not detect any errors or issues that may occur at the data or user level. Reviewing quality assurance (QA) procedures is a possible way to obtain some assurance over the completeness and accuracy of loan application processing with respect to the implementation of a new system, but it is not the most effective one. QA procedures are steps or activities that ensure that a system meets its quality standards and requirements, such as testing, verification, validation, etc. Reviewing QA procedures can provide some assurance over the completeness and accuracy of loan application processing, by evaluating whether the new system has been properly tested and verified before implementation. However, this may not be adequate or accurate, as QA procedures may not cover all aspects or scenarios of loan application processing, and may not reveal any errors or issues that may arise after implementation. Loading balance and transaction data to the new system is a possible way to obtain some assurance over the completeness and accuracy of loan application processing with respect to the implementation of a new system, but it is not the most effective one. Balance and transaction data are data that reflect the status and history of loan applications in a system, such as amounts, dates, payments, etc. Loading balance and transaction data to the new system can provide some assurance over the completeness and accuracy of loan application processing, by transferring data from the old system to the new system and ensuring that they are consistent and correct. However, this may not be enough or valid, as balance and transaction data may not represent all aspects or features of loan application processing, and may not indicate any errors or issues that may arise

Changes to the job scheduler application's parameters are not approved and reviewed by an operations supervisor. This is a serious control weakness that could compromise the integrity, availability, and security of the IT operations. An IS auditor should be concerned about the lack of oversight and accountability for such changes, which could result in unauthorized, erroneous, or malicious modifications that affect the processing environment. The other options are less critical issues that may not have a significant impact on the IT operations.Reference:

CISA Review Manual (Digital Version), Chapter 4, Section 4.2.3.11

CISA Review Questions, Answers & Explanations Database, Question ID 202

A service level agreement (SLA) is a contract between a service provider and a customer that defines the expected level of performance, risks, and capabilities of an IT infrastructure. An IS auditor can use an SLA to measure how well the IT infrastructure meets the business needs and objectives, as well as to identify any gaps or issues that need to be addressed. The other options are not directly related to measuring the performance, risks, and capabilities of an IT infrastructure.Reference:

CISA Review Manual (Digital Version), Chapter 5, Section 5.2.11

CISA Review Questions, Answers & Explanations Database, Question ID 203

Access rights provisioned according to scheme would best help to support an auditor's conclusion about the effectiveness of an implemented data classification program. This would indicate that the data classification program has been properly implemented and enforced, and that the data is protected according to its sensitivity and value. The other options are not sufficient to demonstrate the effectiveness of a data classification program, as they do not show how the data is actually accessed and used by authorized users.Reference:

CISA Review Manual (Digital Version), Chapter 6, Section 6.2.31

CISA Review Questions, Answers & Explanations Database, Question ID 2042