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Question #241

Which of the following is the BEST control to mitigate the malware risk associated with an instant messaging (IM) system?

A . Blocking attachments in IM
B . Blocking external IM traffic
C . Allowing only corporate IM solutions
D . Encrypting IM traffic

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Question #242

Which of the following is a PRIMARY responsibility of a quality assurance (QA) team?

A . Creating test data to facilitate the user acceptance testing (IJAT) process
B . Managing employee onboarding processes and background checks
C . Advising the steering committee on quality management issues and remediation efforts
D . Implementing procedures to facilitate adoption of quality management best practices

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Richtige Antwort: D
D

Explanation:

A quality assurance (QA) team is a group of professionals who are responsible for ensuring that the products or services of an organization meet the quality standards and expectations of customers and

stakeholders1. A QA team performs various activities, such as:

Planning, designing, and executing quality tests and audits to verify the quality of the products or services1

Identifying, analyzing, and reporting quality issues, defects, or non-conformities1

Recommending and implementing corrective and preventive actions to resolve quality problems and prevent recurrence1

Monitoring and measuring the effectiveness and efficiency of the quality processes and improvements1

Establishing and maintaining quality documentation, records, and reports1 Providing quality training, guidance, and support to the staff and management1

One of the primary responsibilities of a QA team is to implement procedures to facilitate adoption of quality management best practices. Quality management best practices are the methods, techniques, or tools that have been proven to be effective in achieving and maintaining high-quality standards in an organization2. Some examples of quality management best practices are:

Adopting a customer-focused approach that aims to meet or exceed customer requirements and satisfaction2

Implementing a process approach that manages the interrelated activities as a coherent system2

Applying continuous improvement methods that seek to enhance the performance and value of the products or services2

Using evidence-based decision making that relies on factual data and information2

Developing a culture of engagement and empowerment that involves and motivates the people in the organization2

By implementing procedures to facilitate adoption of quality management best practices, a QA team can help the organization achieve the following benefits:

Improve the quality and reliability of the products or services2

Reduce the costs and risks associated with poor quality or non-compliance2

Increase the customer loyalty and retention2

Enhance the reputation and competitiveness of the organization2

Foster a culture of excellence and innovation in the organization2

The other options are not primary responsibilities of a QA team. Creating test data to facilitate the user acceptance testing (UAT) process is a task that can be performed by a QA team, but it is not their main duty. UAT is a process in which the end users test the product or service to ensure that it meets their needs and expectations before it is released or deployed3. A QA team can create test data to simulate real-world scenarios and conditions for UAT, but they are not directly involved in conducting UAT. Managing employee onboarding processes and background checks is not a responsibility of a QA team. Employee onboarding is a process in which new hires are integrated into the organization, while background checks are screenings that verify the identity, credentials, and history of potential employees4. These processes are usually handled by the human resources department or an external agency, not by a QA team. Advising the steering committee on quality management issues and remediation efforts is not a primary responsibility of a QA team. A steering committee is a group of senior executives or managers who provide strategic direction, oversight, and support for a project or program5. A QA team can advise the steering committee on quality management issues and remediation efforts, but they are not accountable for making decisions or implementing actions. Therefore, option D is the correct answer.

References:

Quality Assurance Team: Roles & Responsibilities What are the Best Practices in Quality Management? User Acceptance Testing (UAT): A Complete Guide Employee Onboarding Process: Definition & Best Practices What Is A Steering Committee? – The Basics

Question #243

Which of the following should be of GREATEST concern to an IS auditor reviewing project documentation for a client relationship management (CRM) system migration project?

A . The technical migration is planned for a holiday weekend and end users may not be available.
B . Five weeks prior to the target date, there are still numerous defects in the printing functionality.
C . A single implementation phase is planned and the legacy system will be immediately decommissioned.
D . Employees are concerned that data representation in the new system is completely different from the old system.

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Question #244

An IS audit review identifies inconsistencies in privacy requirements across third-party service provider contracts.

Which of the following is the BEST

recommendation to address this situation?

A . Suspend contracts with third-party providers that handle sensitive data.
B . Prioritize contract amendments for third-party providers.
C . Review privacy requirements when contracts come up for renewal.
D . Require third-party providers to sign nondisclosure agreements (NDAs).

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Richtige Antwort: B
B

Explanation:

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.

References: 1: Understanding CPRA service provider contract requirements – Transcend 2: What you

must know about ‘third parties’ under GDPR and CCPA 3: Data Privacy Implications for Service

Provider & Third-Party Contracts 4: Privacy and outsourcing for businesses – Office of the Privacy Commissioner of Canada 5: Data Security Guidelines for outsourcing and third party compliance – European Union Agency for Network and Information Security

Question #245

An organization is enhancing the security of a client-facing web application following a proposal to acquire personal information for a business purpose.

Which of the following is MOST important to review before implementing this initiative?

A . Regulatory compliance requirements
B . Data ownership assignments
C . Encryption capabilities
D . Customer notification procedures

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Question #246

Which of the following is the MOST important success factor for implementing a data loss prevention (DLP) tool?

A . Implementing the tool in monitor mode to avoid unnecessary blocking of communication
B . Defining and configuring policies and tool rule sets to monitor sensitive data movement
C . Testing the tool in a test environment before moving to the production environment
D . Assigning responsibilities for maintaining the tool to applicable data owners and stakeholders

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Question #247

Which of the following would BEST ensure that a backup copy is available for restoration of mission critical data after a disaster“

A . Use an electronic vault for incremental backups
B . Deploy a fully automated backup maintenance system.
C . Periodically test backups stored in a remote location
D . Use both tape and disk backup systems

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Question #248

Which of the following is a threat to IS auditor independence?

A . Internal auditors share the audit plan and control test plans with management prior to audit commencement.
B . Internal auditors design remediation plans to address control gaps identified by internal audit.
C . Internal auditors attend IT steering committee meetings.
D . Internal auditors recommend appropriate controls for systems in development.

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Question #249

An internal audit team is deciding whether to use an audit management application hosted by a third party in a different country.

What should be the MOST important consideration related to the uploading of payroll audit documentation in the hosted application?

A . Financial regulations affecting the organization
B . Data center physical access controls whore the application is hosted
C . Privacy regulations affecting the organization
D . Per-unit cost charged by the hosting services provider for storage

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Richtige Antwort: C
C

Explanation:

This is because privacy regulations are laws or rules that protect the personal information of individuals from unauthorized access, use, disclosure, or transfer by third parties. Payroll audit documentation may contain sensitive and confidential data, such as employee names, salaries, benefits, taxes, deductions, and bank accounts. If the audit management application is hosted by a third party in a different country, the organization may need to comply with the privacy regulations of both its own country and the host country, as well as any international or regional agreements or frameworks that apply. Privacy regulations may impose various requirements and obligations on the organization, such as obtaining consent from the data subjects, implementing appropriate security measures, notifying data breaches, and ensuring data quality and accuracy. Privacy regulations may also grant various rights to the data subjects, such as accessing, correcting, deleting, or transferring their data. Failing to comply with privacy regulations may expose the organization to significant risks and consequences, such as legal actions, fines, sanctions, reputational damage, or loss of trust.

Some examples of privacy regulations affecting the organization are:

The General Data Protection Regulation (GDPR), which is a comprehensive and strict privacy regulation that applies to any organization that processes personal data of individuals in the European Union (EU) or offers goods or services to them, regardless of where the organization or the data is located1.

The California Consumer Privacy Act (CCPA), which is a broad and influential privacy regulation that applies to any organization that collects personal information of California residents and meets certain thresholds of revenue, data volume, or data sharing2.

The Health Insurance Portability and Accountability Act (HIPAA), which is a sector-specific privacy regulation that applies to any organization that handles protected health information (PHI) of individuals in the United States, such as health care providers, health plans, or health care clearinghouses3.

Therefore, before using an audit management application hosted by a third party in a different country, the internal audit team should conduct a thorough assessment of the privacy regulations affecting the organization and ensure that they have adequate policies, procedures, and controls in place to comply with them.

Question #250

During an audit, the IS auditor finds that in many cases excessive rights were not removed from a system.

Which of the following is the auditor’s BEST recommendation?

A . System administrators should ensure consistency of assigned rights.
B . IT security should regularly revoke excessive system rights.
C . Human resources (HR) should delete access rights of terminated employees.
D . Line management should regularly review and request modification of access rights

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