CISA Exam Dumps - Certified Information Systems Auditor

Validation of rules by the business is the most helpful in establishing a baseline for measuring data quality because it ensures that the rules reflect the business needs and expectations. Validation of rules by the business also helps to identify and resolve any inconsistencies or conflicts among different data sources or stakeholders. Input from customers, industry standard business definitions and built-in data error prevention application controlsare useful for improving data quality, but they are not sufficient for establishing a baseline. References: CISA Review Manual (Digital Version) 1, Chapter 5, Section 5.4.1

The IS auditor should notify audit management of the finding first, as this is a significant issue that may affect the audit scope and objectives. The IS auditor should not notify law enforcement or require the third party to notify customers without consulting audit management first. The audit report with a significant finding should be issued after the audit is completed and the findings are validated. References: ISACA, CISA Review Manual, 27th Edition, 2018, page 247

The best recommendation to help prevent the situation where IT support staff were put in a position to make decisions beyond their level of authority during the review of a system disruption incident is to introduce escalation protocols. Escalation protocols are policies and procedures that define who should be notified, involved, or consulted when an incident occurs, how the communication and handover should take place, and what criteria or triggers should be used to escalate the incident to a higher level of authority or expertise2. Escalation protocols help to ensure that:

Incidents are handled by the appropriate staff with the required skills, knowledge, and experience

Incidents are resolved in a timely and effective manner

Incidents are escalated to senior management or specialized teams when necessary

Incidents are documented and reported accurately and transparently

Incidents are analyzed and learned from to prevent recurrence or mitigate impact

Therefore, by introducing escalation protocols, an organization can improve its incident management process and avoid putting IT support staff in a position to make decisions beyond their level of authority.

 The effectiveness of a risk management program can be measured by how well it reduces the residual risk, which is the risk that remains after applying controls, to an acceptable level. Inherent risk is the risk that exists before applying any controls, and it cannot be eliminated completely. Control risk is the risk that the controls fail to prevent or detect a risk event, and it is a component of residual risk. Overall risk is not a meaningful metric for assessing the effectiveness of a risk management program, as it does not account for the impact and likelihood of different risk events. References: CISA Review Manual (Digital Version), Chapter 1, Section 1.2.2

 Validating that assets are protected according to assigned classification is the primary role of the IS auditor in an organization’s information classification process. An IS auditor should evaluate whether the information security controls are adequate and effective in safeguarding the information assets based on their classification levels. The other options are not the primary role of the IS auditor, but rather the responsibilities of the information owners, custodians, or security managers. References:

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

CISA Review Questions, Answers and Explanations Database, Question ID 206

The best way for an IS auditor to understand the software benefits to the organization would be to review the business case, which is a document that provides the justification and rationale for acquiring a software solution based on its expected costs, benefits, risks, and alignment with the organization’s goals and strategies. The business case helps to evaluate the feasibility and viability of the software acquisition and to support the decision-making process. A feasibility study is a document that analyzes the technical, operational, economic, legal, and social aspects of a software solution to determine its feasibility and suitability for the organization’s needs, but it does not necessarily provide a clear indication of the software benefits to the organization. A request for proposal (RFP) is a document that solicits proposals from potential vendors or suppliers for a software solution based on the organization’s requirements and specifications, but it does not necessarily provide a clear indication of the software benefits to the organization. The alignment with IT strategy is a factor that influences the software acquisition processand ensures that the software solution supports and enables the organization’s IT strategy, but it is not a document that can be reviewed by an IS auditor to understand the software benefits to the organization. References: CISA Review Manual(Digital Version), Chapter 3: Information Systems Acquisition, Development and Implementation, Section 3.1: Business Case Development

When implementing Internet Protocol security (IPsec) architecture, the servers involved in application delivery communicate via Transport Layer Security (TLS), which is a protocol that provides encryption and authentication for data transmitted over a network. IPsec operates at the network layer and provides security for IP packets, while TLS operates at the transport layer and provides security for TCP connections. Blocking authorized users from unauthorized activities, channeling access only through the public-facing firewall, and channeling access through authentication are not functions of IPsec architecture. References: CISA Review Manual (Digital Version), Chapter 5, Section 5.4.2