CISA-KR 문제 596
RAO 모델에서 다음 역할 중 어느 것을 한 명의 개인에게만 할당해야 합니까?
정답: D
In a RAO model, which stands for Responsible, Accountable, Consulted, and Informed, the accountable role must be assigned to only one individual. The accountable role is the person who has the ultimate authority and responsibility for the outcome of the project or task, and who approves or rejects the work done by the responsible role. The accountable role cannot be delegated or shared, as it is essential to have a clear and single point of accountability for each project or task.
The other roles can be assigned to more than one individual:
* Responsible. This is the person who does the work or performs the task. There can be multiple responsible roles for different aspects or phases of a project or task, as long as they are coordinated and supervised by the accountable role.
* Informed. This is the person who needs to be notified or updated about the progress or results of the project or task. There can be multiple informed roles who have an interest or stake in the project or task, but who do not need to be consulted or involved in the decision-making process.
* Consulted. This is the person who provides input, feedback, or advice on the project or task. There can be multiple consulted roles who have expertise or experience relevant to the project or task, but who do not have the authority or responsibility to approve or reject the work done by the responsible role.
The other roles can be assigned to more than one individual:
* Responsible. This is the person who does the work or performs the task. There can be multiple responsible roles for different aspects or phases of a project or task, as long as they are coordinated and supervised by the accountable role.
* Informed. This is the person who needs to be notified or updated about the progress or results of the project or task. There can be multiple informed roles who have an interest or stake in the project or task, but who do not need to be consulted or involved in the decision-making process.
* Consulted. This is the person who provides input, feedback, or advice on the project or task. There can be multiple consulted roles who have expertise or experience relevant to the project or task, but who do not have the authority or responsibility to approve or reject the work done by the responsible role.
CISA-KR 문제 597
다음 중 새롭게 등장하는 위협으로부터 가장 많은 보호를 제공하는 것은 무엇입니까?
정답: B
A heuristic intrusion detection system (IDS) provides the most protection against emerging threats, as it uses behavioral analysis and anomaly detection to identify unknown or zero-day attacks. A heuristic IDS can adapt to changing patterns and learn from previous incidents, making it more effective than a signature-based IDS, which relies on predefined rules and signatures to detect known attacks. A demilitarized zone (DMZ) is a network segment that separates the internal network from the external network, and it can provide some protection against external threats, but not against internal or emerging threats. Real-time updating of antivirus software is important to protect against malware, but it may not be sufficient to prevent new or sophisticated attacks that exploit unknown vulnerabilities. References: CISA Review Manual (Digital Version) 1, page 452-453.
CISA-KR 문제 598
새로운 애플리케이션 시스템을 구현하는 동안 데이터 변환 및 마이그레이션을 검토하는 IS 감사자가 가장 우려해야 할 사항은 무엇입니까?
정답: C
The greatest concern for an IS auditor reviewing data conversion and migration during the implementation of a new application system is unauthorized data modifications occurred during conversion. Unauthorized data modifications are changes or alterations to data that are not authorized, intended, or expected, such as due to errors, fraud, or sabotage. Unauthorized data modifications occurred during conversion can compromise the accuracy, completeness, andintegrity of the data being converted and migrated to the new application system, and may result in data loss, corruption, or inconsistency. The other options are not as concerning as unauthorized data modifications occurred during conversion in reviewing data conversion and migration during the implementation of a new application system, as they do not affect the accuracy, completeness, or integrity of the data being converted and migrated. Data conversion was performed using manual processes is a possible factor that may increase the risk or complexity of data conversion and migration, but it does not necessarily imply that unauthorized data modifications occurred during conversion. Backups of the old system and data are not available online is a possible factor that may affect the availability or accessibility of the old system and data for backup or recovery purposes, but it does not imply that unauthorized data modifications occurred during conversion. The change management process was not formally documented is a possible factor that may affect the quality or consistency of the change management process for implementing the new application system, but it does not imply that unauthorized data modifications occurred during conversion. References: CISA Review Manual (Digital Version), Chapter 3, Section 3.3
CISA-KR 문제 599
IS 감사자가 조직의 데이터 유출 방지(DLP) 제어의 운영적 효과를 평가하는 가장 신뢰할 수 있는 방법은 다음 중 무엇입니까?
정답: D
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.
References:
What is Data Loss Prevention (DLP)? [Guide] - CrowdStrike
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.
References:
What is Data Loss Prevention (DLP)? [Guide] - CrowdStrike
CISA-KR 문제 600
다음 중 조직의 보안 정보 및 이벤트 관리(SIEM) 시스템에 있는 로그의 유효성과 무결성을 입증하는 가장 적절한 증거는 무엇입니까?
정답: C
Substantive testing provides the best evidence of the validity and integrity of logs in an organization's security information and event management (SIEM) system, because it is a type of audit testing that directly examines the accuracy, completeness, and reliability of the data and transactions recorded in the logs. Substantive testing can involve various methods, such as re-performance, inspection, observation, inquiry, or computer-assisted audit techniques (CAATs), to verify the existence, occurrence, valuation, ownership, presentation, and disclosure of the log data1. Substantive testing canalso detect any errors, omissions, alterations, or manipulations of the log data that may indicate fraud or misstatement2.
Compliance testing (A) is not the best evidence of the validity and integrity of logs in an organization's SIEM system, because it is a type of audit testing that evaluates the design and effectiveness of the internal controls that are implemented to ensure compliance with laws, regulations, policies, and procedures. Compliance testing can involve various methods, such as walkthroughs, questionnaires, checklists, or flowcharts, to assess the adequacy, consistency, and operation of the internal controls1. Compliance testing can provide assurance that the log data are generated and processed in accordance with the established rules and standards, but it does not directly verify the accuracy and reliability of the log data itself2.
Stop-or-go sampling (B) is not a type of audit testing, but a type of sampling technique that auditors use to select a sample from a population for testing. Stop-or-go sampling is a sequential sampling technique that allows auditors to stop testing before reaching the predetermined sample size if the results are satisfactory or conclusive. Stop-or-go sampling can reduce the audit cost and time by avoiding unnecessary testing, but it can also increase the sampling risk and uncertainty by relying on a smaller sample3. Stop-or-go sampling does not provide any evidence of the validity and integrity of logs in an organization's SIEM system by itself; it depends on the type and quality of the audit tests performed on the selected sample.
Variable sampling (D) is not a type of audit testing, but a type of sampling technique that auditors use to estimate a numerical characteristic of a population for testing. Variable sampling is a statistical sampling technique that allows auditors to measure the amount or rate of error or deviation in a population by using quantitative methods. Variable sampling can provide precise and objective results by using mathematical formulas and confidence intervals4. Variable sampling does not provide any evidence of the validity and integrity of logs in an organization's SIEM system by itself; it depends on the type and quality of the audit tests performed on the selected sample.
References:
Audit Testing Procedures - 5 Types and Their Use Cases
5 Types of Testing Methods Used During Audit Procedures | I.S. Partners Stop-or-Go Sampling Definition Variable Sampling Definition
Compliance testing (A) is not the best evidence of the validity and integrity of logs in an organization's SIEM system, because it is a type of audit testing that evaluates the design and effectiveness of the internal controls that are implemented to ensure compliance with laws, regulations, policies, and procedures. Compliance testing can involve various methods, such as walkthroughs, questionnaires, checklists, or flowcharts, to assess the adequacy, consistency, and operation of the internal controls1. Compliance testing can provide assurance that the log data are generated and processed in accordance with the established rules and standards, but it does not directly verify the accuracy and reliability of the log data itself2.
Stop-or-go sampling (B) is not a type of audit testing, but a type of sampling technique that auditors use to select a sample from a population for testing. Stop-or-go sampling is a sequential sampling technique that allows auditors to stop testing before reaching the predetermined sample size if the results are satisfactory or conclusive. Stop-or-go sampling can reduce the audit cost and time by avoiding unnecessary testing, but it can also increase the sampling risk and uncertainty by relying on a smaller sample3. Stop-or-go sampling does not provide any evidence of the validity and integrity of logs in an organization's SIEM system by itself; it depends on the type and quality of the audit tests performed on the selected sample.
Variable sampling (D) is not a type of audit testing, but a type of sampling technique that auditors use to estimate a numerical characteristic of a population for testing. Variable sampling is a statistical sampling technique that allows auditors to measure the amount or rate of error or deviation in a population by using quantitative methods. Variable sampling can provide precise and objective results by using mathematical formulas and confidence intervals4. Variable sampling does not provide any evidence of the validity and integrity of logs in an organization's SIEM system by itself; it depends on the type and quality of the audit tests performed on the selected sample.
References:
Audit Testing Procedures - 5 Types and Their Use Cases
5 Types of Testing Methods Used During Audit Procedures | I.S. Partners Stop-or-Go Sampling Definition Variable Sampling Definition
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