CISA Exam Dumps - Certified Information Systems Auditor

The first thing that an IS auditor should recommend when an organization is made aware of a new regulation that is likely to impact IT security requirements is to determine which systems and IT-related processes may be impacted. This is because the impact assessment is a crucial step to understand the scope and magnitude of the changes that the new regulation may entail, as well as the potential risks and gaps that need to be addressed. The impact assessment can help the organization to prioritize and plan the necessary actions and resourcesto comply with the new regulation in a timely and effective manner12.

Updating security policies based on the new regulation is not the first thing to do, because it requires a clear understanding of the impact and implications of the new regulation, which can only be obtained after conducting an impact assessment. Updating security policies without an impact assessment may result in incomplete, inconsistent, or ineffective policies that may not meet the regulatory requirements or the organizational needs12.

Evaluating how security awareness and training content may be impacted is not the first thing to do, because it is a secondary or supporting activity that depends on the results of the impact assessment and the policy updates. Evaluating security awareness and training content without an impact assessment or policy updates may result in inaccurate, outdated, or irrelevant content that may not reflect the regulatory requirements or the organizational expectations34.

Reviewing the design and effectiveness of existing IT controls is not the first thing to do, because it is a monitoring or assurance activity that follows the implementation of the changes based on the impact assessment and the policy updates. Reviewing IT controls without an impact assessment or policy updates may result in misleading, incomplete, or invalidfindings that may not capture the regulatory requirements or the organizational performance

 A primary responsibility of an IT steering committee is prioritizing IT projects in accordance with business requirements, as this ensures that IT resources are allocated to support the strategic objectives and needs of the organization. Reviewing periodic IT risk assessments, validating and monitoring the skill sets of IT department staff, and establishing IT budgets for the business are important activities, but they are not the primary responsibility of an IT steering committee. They may be delegated to other IT governance bodies or functions within the organization. References: CISA Review Manual (Digital Version), Chapter 1: Information Systems Auditing Process, Section 1.2: IT Governance

 Recounting the transaction records to ensure no records are missing provides assurance that the best transactions were recovered successfully from a snapshot copy. This is because recounting the transaction records can verify that the number of records in the restored database matches the number of records in the snapshot copy, which represents the state of the database before the deletion occurred. Recounting the transaction records can also detect any data corruption or inconsistency that may have occurred during the restore process1.

Reviewing transaction recovery logs to ensure no errors were recorded is not the best answer, because transaction recovery logs may not capture all the details or issues that may affect the data quality or integrity. Transaction recovery logs are mainly used to monitor and troubleshoot the restore process, but they may not reflect the actual content or accuracy of the restored data2.

Rerunning the process on a backup machine to verify the results are the same is not the best answer, because rerunning the process may introduce additional errors or inconsistencies that may affect the data quality or integrity. Rerunning theprocess may also consume more time and resources than necessary, and it may not guarantee that the results are identical to the original data3.

Comparing transaction values against external statements to verify accuracy is not the best answer, because external statements may not be available or reliable for all transactions. External statements are documents or reports that provide information about transactions from a third-party source, such as a bank, a vendor, or a customer. However, external statements may not cover all transactions, or they may have differentformats, standards, or timeliness than the internal data

 Information security policies and procedures are the foundation of an organization’s information security program. They define the roles, responsibilities, rules, and standards for protecting information assets from unauthorized access, use, disclosure, modification, or destruction. The most important factor when developing information security policies and procedures is to align them with an information security framework that provides a comprehensive and consistent approach to managing information security risks. An information security framework can also help ensure compliance with relevant regulations, inclusion of mission and objectives, and consultation with security staff. However, these factors are secondary to alignment with an information security framework. References: CISA Certification | Certified Information Systems Auditor | ISACA, CISA Review Manual (Digital Version)

 The greatest concern with this situation is that a business-critical application does not currently have any level of fault tolerance and thus has a single point of failure. A single point of failure is a component or element of a system that, if it fails, will cause the entire system to stop functioning. Fault tolerance is the ability of a system to continue operating without interruption or degradation in the event of a failure of one or more of its components or elements. Fault tolerance can be achieved by using techniques such as redundancy, replication, backup, or failover. A business-critical application should have a high level of fault tolerance to ensure its availability, reliability, and continuity. References:

CISA Review Manual (Digital Version), Chapter 5, Section 5.51

CISA Online Review Course,Domain 3, Module 3, Lesson 22

The answer B is correct because Software as a Service (SaaS) provider is the most efficient solution for a multi-location healthcare organization that wants to be able to access patient data wherever patients present themselves for care. SaaS is a cloud computing model that allows users to access software applications over the internet, without having to install, maintain, or update them on their own devices or servers. SaaS providers host and manage the software applications and the underlying infrastructure, and handle any issues such as security, availability, and performance.

SaaS can offer several benefits for a multi-location healthcare organization, such as:

Accessibility: SaaS applications can be accessed from any device and location that has an internet connection, which enables the healthcare organization to access patient data across different facilities and regions, and provide seamless and coordinated care to the patients.

Scalability: SaaS applications can scale up or down according to the demand and usage of the healthcare organization, which allows the organization to accommodate fluctuations in patient volume, data volume, or service requirements.

Cost-effectiveness: SaaS applications are usually offered on a subscription or pay-per-use basis, which reduces the upfront and ongoing costs of purchasing, installing, and maintaining software licenses, hardware, and IT staff.

Security: SaaS providers are responsible for ensuring the security and privacy of the software applications and the data they store, which can help the healthcare organization comply with the relevant regulations and standards, such as HIPAA (Health Insurance Portability and Accountability Act) or GDPR (General Data Protection Regulation).

Some examples of SaaS providers that offer solutions for healthcare organizations are:

Epic: Epic is a leading provider of electronic health record (EHR) systems that enable healthcare organizations to store, manage, and share patient data across different settingsand specialties. Epic also offers cloud-based solutions that allow healthcare organizations to access Epic’s software applications over the internet, without having to host them on their own servers.

Salesforce Health Cloud: Salesforce Health Cloud is a cloud-based platform that helps healthcare organizations connect with patients, providers, payers, and partners. Salesforce Health Cloud enables healthcare organizations to manage patient relationships, coordinate care teams, engage patients through personalized journeys, and leverage data and analytics to improve outcomes and efficiency.

DocuSign: DocuSign is a cloud-based platform that enables users to sign, send, and manage documents electronically. DocuSign can help healthcare organizations streamline workflows, reduce errors, and enhance compliance by automating the process of obtaining signatures for consent forms, contracts, prescriptions, referrals, and other documents.

The other options are not as efficient as option B. Infrastructure as a Service (IaaS) provider (option A) is a cloud computing model that provides users with access to computing resources such as servers, storage, network, and operating systems over the internet. IaaS can offer some benefits such as flexibility, scalability, and cost-effectiveness for a multi-location healthcare organization, but it also requires more technical expertise and management from the organization than SaaS. The organization would still need to install, configure, update, and secure the software applications that run on the IaaS infrastructure. Network segmentation (option C) is a technique that divides a network into smaller subnetworks based on criteria such as function, location, or security level. Network segmentation can improve the performance, security, and manageability of a network by reducing congestion, isolating threats, and enforcing policies. However, network segmentation alone does not enable a multi-location healthcare organization to access patient data wherever patients present themselves for care. The organization would still need a software solution that can store, manage, and share patient data across different segments of the network. Dynamic localization (option D) is a process that adapts the content and functionality of a software application to suit the preferences and needs of users in different locations or regions. Dynamic localization can enhance the user experience and satisfaction by providing relevant information in local languages, currencies, formats, and regulations. However, dynamic localization does not address the core issue of accessing patient data wherever patients present themselves for care. The organization would still need a software solution that can store, manage, and share patient data across different locations or regions.

The best recommendation to prevent unauthorized access to cloud-based applications and data is to implement multi-factor authentication (MFA). MFA is a method of verifying the identity of a user by requiring two or more pieces of evidence, such as a password, a code sent to a phone, or a biometric factor. MFA adds an extra layer of security to prevent unauthorized access, even if the user’s password is compromised or stolen. MFA can also help comply with data privacy and security regulations, such as the General Data Protection Regulation (GDPR) and the Health Insurance Portability and Accountability Act (HIPAA).

The other options are not as effective as MFA in preventing unauthorized access. An intrusion detection system (IDS) is a tool that monitors network traffic and alerts administrators of suspicious or malicious activity, but it does not prevent access by itself. Updating security policies and procedures is a good practice, but it does not ensure that users follow them or that they are enforced. Utilizing strong anti-malware controls on all computing devices can help protect against malware infections, but it does not prevent users from accessing cloud-based applications and data from any Internet-connected web browser.

 The best way to help ensure new IT implementations align with enterprise architecture (EA) principles and requirements is to conduct EA reviews as part of the change advisory board (CAB). A CAB is a committee that evaluates and authorizes changes to IT services, such as new IT implementations. By conducting EA reviews as part of the CAB process, the organization can ensure that the proposed changes are consistent with the EA vision, goals, standards, and guidelines. This can help avoid potential conflicts, risks, or inefficiencies that may arise from misaligned IT implementations. Additionally, EA reviews can help identify opportunities for improvement, optimization, or innovation in the IT services.

The other options are not the best ways to help ensure new IT implementations align with EA principles and requirements. Documenting the security view as part of the EA is important, but it does not guarantee that new IT implementations will follow the security requirements or best practices. Considering stakeholder concerns when defining the EA is also essential, but it does not ensure that new IT implementations will meet the stakeholder expectations or needs. Performing mandatory post-implementation reviews of IT implementations is a good practice, but it does not prevent potential issues or problems that may arise from misaligned IT implementations.