[2024年05月]更新のCTPRP試験問題集、CTPRP練習テスト問題 [Q50-Q69]

[2024年05月]更新のCTPRP試験問題集、CTPRP練習テスト問題

検証済みCTPRP問題集PDF資料 [2024]

質問 # 50
Which statement is FALSE regarding problem or issue management?

• A. Problems or issues typically lead to systemic failures
• B. Problem or issue management involves managing workarounds or known errors
• C. Problem or issue management may reduce the likelihood and impact of incidents
• D. Problems or issues are the root cause of an actual or potential incident

正解：A

解説：
In the context of Third-Party Risk Management (TPRM), problems or issues do not inherently lead to systemic failures but are indicative of underlying faults within processes or systems that could potentially result in incidents. Problem or issue management is a critical component of TPRM, focusing on identifying, classifying, and managing the root causes of incidents to prevent their recurrence and mitigate their impact.
Effective problem management involves not just managing workarounds or known errors, but also implementing permanent fixes to eliminate the root causes of problems. By addressing the underlying issues, organizations can enhance their operational resilience and reduce the likelihood and impact of future incidents.
This approach aligns with best practices in TPRM, emphasizing proactive risk identification, assessment, and mitigation to safeguard against potential disruptions in the supply chain and third-party ecosystems.
References:
* Best practices in TPRM suggest a structured approach to problem and issue management, including identification, assessment, prioritization, and resolution of root causes, as outlined in frameworks such as ISO 31000 (Risk Management) and NIST SP 800-53 (Security and Privacy Controls for Federal Information Systems and Organizations).
* Learning resources such as the "Third Party Risk Management Program Playbook" from Shared Assessments and the "Third-Party Risk Management Guide" from ISACA provide comprehensive guidelines on implementing effective problem and issue management processes within a TPRM program.

質問 # 51
Which factor is the LEAST important attribute when classifying personal data?

• A. The volume of data records processed or retained
• B. The data subject category that identifies the data owner
• C. The assignment of a confidentiality level that differentiates public or non-public information
• D. The sensitivity level of specific data elements that could identify an individual

正解：A

解説：
According to the GDPR, personal data is any information relating to an identified or identifiable natural person (data subject). The GDPR does not consider the volume of data records as a relevant factor for classifying personal data, but rather the nature and context of the data. The GDPR requires data controllers and processors to apply appropriate technical and organizational measures to ensure a level of security appropriate to the risk of processing personal data, taking into account factors such as the state of the art, the costs of implementation, the nature, scope, context and purposes of processing, and the risks of varying likelihood and severity for the rights and freedoms of natural persons. Therefore, the volume of data records is not a decisive attribute for classifying personal data, but rather an indicator of the potential impact of a data breach or misuse.
The other factors listed in the question are more important attributes for classifying personal data, as they relate to the identification, protection, and rights of the data subjects. The data subject category that identifies the data owner refers to the type of natural person whose personal data is processed, such as customers, employees, patients, students, etc. This factor is important for determining the purpose and legal basis of processing, as well as the data subject's rights and expectations1. The sensitivity level of specific data elements that could identify an individual refers to the degree of harm or discrimination that could result from the disclosure or misuse of such data, such as racial or ethnic origin, political opinions, religious or philosophical beliefs, trade union membership, genetic or biometric data, health data, sex life or sexual orientation, or criminal convictions or offenses2. The GDPR imposes stricter rules and obligations for the processing of such special categories of personal data, as they pose a higher risk to the data subject's fundamental rights and freedoms. The assignment of a confidentiality level that differentiates public or non-public information refers to the degree of access and disclosure that is permitted or required for the personal data, depending on the data subject's consent, the legitimate interests of the data controller or processor, or the applicable laws and regulations1. The GDPR requires data controllers and processors to implement data protection by design and by default, meaning that they should only process the personal data that is necessary for the specific purpose and limit the access to those who need to know.
References:
* 4: 5 Types of Data Classification (With Examples) | Indeed.com
* 7: Special Categories of Personal Data - GDPR EU
* [8]: Data Classification for GDPR Explained [Full Breakdown] - DataGrail

質問 # 52
Which of the following BEST reflects the risk of a 'shadow IT" function?

• A. "Shadow IT" functions often lack governance and security oversight
• B. "Shadow IT" functions often fail to detect unauthorized use of information assets
• C. inability to prevent "shadow IT' functions from using unauthorized software solutions
• D. Failure to implement strong security controls because IT is executed remotely

正解：A

解説：
Shadow IT refers to the use of IT systems, services, or devices that are not authorized, approved, or supported by the official IT department. Shadow IT can pose significant risks to an organization's data security, compliance, performance, and reputation. One of the main risks of shadow IT is that it often lacks governance and security oversight. This means that the shadow IT functions may not follow the established policies, standards, and best practices for IT management, such as data protection, access control, encryption, backup, patching, auditing, and reporting. This can expose the organization to various threats, such as data breaches, cyberattacks, malware infections, legal liabilities, regulatory fines, and reputational damage. Additionally, shadow IT can create operational inefficiencies, compatibility issues, duplication of efforts, and increased costs for the organization.
According to the web search results from the search_web tool, shadow IT is a common and growing phenomenon in many organizations, especially with the proliferation of cloud-based services and applications. Some of the articles suggest the following best practices for managing and mitigating shadow IT risks123:
* Performing SaaS assessments to proactively detect shadow IT
* Prioritizing user experience (UX) and providing support for integrating tools
* Streamlining user account and identity management
* Using operating systems and devices with which employees are comfortable
* Compromising and collaborating with users to minimize shadow IT risks
* Educating and training users on the security risks and consequences of shadow IT
* Establishing clear policies and guidelines for IT procurement and usage
* Creating a culture of trust and transparency between IT and business units Therefore, the verified answer to the question is B. "Shadow IT" functions often lack governance and security oversight.
References:
* Shadow IT Explained: Risks & Opportunities - BMC Software
* Start reducing your organization's Shadow IT risk in 3 steps
* What is shadow IT? - Article | SailPoint

質問 # 53
When conducting an assessment of a third party's physical security controls, which of the following represents the innermost layer in a 'Defense in Depth' model?

• A. Public external
• B. Public internal
• C. Restricted entry
• D. Private internal

正解：D

解説：
In the 'Defense in Depth' security model, the innermost layer typically focuses on protecting the most sensitive and critical assets, which are often categorized as 'Private internal'. This layer includes security controls and measures that are designed to safeguard the core, confidential aspects of an organization's infrastructure and data. It encompasses controls such as access controls, encryption, and monitoring of sensitive systems and data to prevent unauthorized access and ensure data integrity and confidentiality. The
'Private internal' layer is crucial for maintaining the security of critical information and systems that are essential to the organization's operations and could have the most significant impact if compromised.
Implementing robust security measures at this layer is vital for mitigating risks associated with physical access to critical infrastructure and sensitive information.
References:
* Security frameworks and standards, including NIST SP 800-53 (Security and Privacy Controls for Federal Information Systems and Organizations) and the SANS Institute's guidelines on implementing
'Defense in Depth', provide detailed recommendations on securing the innermost layers of an organization's information systems.
* Publications such as "Physical Security Principles" by ASIS International offer insights into best practices for securing the private internal layer, including access control systems, surveillance, and intrusion detection mechanisms.

質問 # 54
Information classification of personal information may trigger specific regulatory obligations. Which statement is the BEST response from a privacy perspective:

• A. Personally identifiable financial information includes only consumer report information
• B. Personally identifiable information and personal data are similar in context, but may have different legal definitions based upon jurisdiction
• C. Public personal information includes only web or online identifiers
• D. Personally Identifiable Information and Protected Healthcare Information require the exact same data protection safequards

正解：B

解説：
Personal information is any information that can be used to identify an individual, either directly or indirectly, such as name, address, email, phone number, ID number, etc. Personal data is a term used in some jurisdictions, such as the European Union, to refer to personal information that is subject to data protection laws and regulations. However, the scope and definition of personal data may vary depending on the jurisdiction and the context. For example, the GDPR defines personal data as "any information relating to an identified or identifiable natural person" and includes online identifiers, such as IP addresses, cookies, or device IDs, as well as special categories of data, such as biometric, genetic, health, or political data. On the other hand, the US does not have a single federal law that regulates personal data, but rather a patchwork of sector-specific and state-level laws that may have different definitions and requirements. For example, the California Consumer Privacy Act (CCPA) defines personal information as "information that identifies, relates to, describes, is reasonably capable of being associated with, or could reasonably be linked, directly or indirectly, with a particular consumer or household" and excludes publicly available information from its scope. Therefore, from a privacy perspective, it is important to understand the different legal definitions and obligations that may apply to personal information or personal data depending on the jurisdiction and the context of the data processing activity. References:
* GDPR personal data - what information does this cover?
* Personal Information, Data Classification, Life Cycle and Best Practices
* 5 Types of Data Classification (With Examples)

質問 # 55
You are updating program requirements due to shift in use of technologies by vendors to enable hybrid work.
Which statement is LEAST likely to represent components of an Asset
Management Program?

• A. Each asset should include an organizational owner who is responsible for the asset throughout its life cycle
• B. Assets should be classified based on criticality or data sensitivity
• C. Asset inventories should track the flow or distribution of items used to fulfill products and Services across production lines
• D. Asset inventories should include connections to external parties, networks, or systems that process data

正解：C

解説：
Asset management is the process of identifying, tracking, and managing the physical and digital assets of an organization. An asset management program is a set of policies, procedures, and tools that help to ensure the optimal use, security, and disposal of assets. According to the Shared Assessments CTPRP Study Guide1, an asset management program should include the following components:
* Asset inventories: A comprehensive and accurate list of all assets owned, leased, or used by the organization, including hardware, software, data, and services. Asset inventories should include connections to external parties, networks, or systems that process data, as this may introduce additional risks and dependencies12.
* Asset owners: A clear assignment of roles and responsibilities for each asset, including an organizational owner who is accountable for the asset throughout its life cycle. Asset owners should ensure that assets are properly maintained, updated, secured, and disposed of in accordance with the organization's policies and standards13.
* Asset classification: A consistent and objective method of categorizing assets based on their criticality or data sensitivity. Asset classification helps to determine the appropriate level of protection, monitoring, and testing for each asset, as well as the potential impact of asset loss or compromise1 .
* Asset controls: A set of measures and mechanisms that help to safeguard assets from unauthorized access, use, modification, disclosure, or destruction. Asset controls may include physical, technical, administrative, or contractual means, such as locks, encryption, passwords, policies, or agreements1 .
The statement that is least likely to represent a component of an asset management program is D. Asset inventories should track the flow or distribution of items used to fulfill products and Services across production lines. This statement describes a supply chain management function, not an asset management function. Supply chain management is the process of planning, coordinating, and controlling the flow of materials, information, and services from suppliers to customers. Supply chain management may involve some aspects of asset management, such as inventory control, quality assurance, or vendor risk management, but it is not the same as asset management . Asset management focuses on the assets that the organization owns or uses, not the assets that the organization produces or delivers.
References:
* 1: Shared Assessments. (2020). Certified Third Party Risk Professional (CTPRP) Study Guide.
* 2: ISACA. (2019). COBIT 2019 Framework: Governance and Management Objectives. APO03 Manage enterprise architecture.
* 3: ISO. (2018). ISO/IEC 27001:2018 Information technology - Security techniques - Information security management systems - Requirements. Clause 8.1.2 Asset management roles and responsibilities.
* : NIST. (2013). NIST Special Publication 800-53 Revision 4 Security and Privacy Controls for Federal Information Systems and Organizations. RA-2 Security Categorization.
* : NIST. (2013). NIST Special Publication 800-53 Revision 4 Security and Privacy Controls for Federal Information Systems and Organizations. CM-8 Information System Component Inventory.
* : APICS. (2018). APICS Dictionary, 16th edition. Supply chain management.
* : ISACA. (2019). COBIT 2019 Framework: Governance and Management Objectives. APO13 Manage security.

質問 # 56
For services with system-to-system access, which change management requirement MOST effectively reduces the risk of business disruption to the outsourcer?

• A. Documenting sufficient time for quality assurance testing
• B. Communicating the change to customers prior ta deployment to enable external acceptance testing
• C. Documenting and legging change approvals
• D. Approval of the change by the information security department

正解：A

解説：
For services with system-to-system access, ensuring sufficient time for quality assurance (QA) testing before implementing changes is crucial to reducing the risk of business disruption to the outsourcer. This requirement ensures that any modifications to the system are thoroughly vetted for potential issues that could impact the outsourcer's operations. QA testing allows for the identification and remediation of bugs, compatibility issues, and other potential problems that could lead to operational disruptions or security vulnerabilities. By allocating adequate time for QA testing, organizations can ensure that changes are fully functional and secure, thereby maintaining the integrity and availability of services provided to the outsourcer. This practice is aligned with industry standards for change management, which advocate for comprehensive testing and validation processes to ensure the reliability and stability of system changes.
References:
* Industry standards such as ITIL (Information Technology Infrastructure Library) emphasize the importance of thorough testing and validation within the change management process to minimize the risk of disruptions and ensure the smooth operation of services.
* Guides like "Managing Change in IT Outsourcing Arrangements: The TPRM Perspective" provide insights into best practices for change management in third-party relationships, including the critical role
* of QA testing in mitigating risks associated with system changes.

質問 # 57
Which of the following data types would be classified as low risk data?

• A. Government-issued number, credit card number or bank account information
• B. Personally identifiable data but stored in a test environment cloud container
• C. Sanitized customer data used for aggregated profiling
• D. Non personally identifiable, but sensitive to an organizations significant process

正解：C

解説：
Data classification is the process of categorizing data according to its type, sensitivity, and value to the organization if altered, stolen, or destroyed1. Data classification helps an organization understand the risk level of its data and implement appropriate controls to protect it. Data can be classified into three risk levels: low, moderate, and high23. Low risk data are data that are intended for public disclosure or have no adverse impact on the organization's mission, safety, finances, or reputation if compromised23. Sanitized customer data used for aggregated profiling are an example of low risk data, as they do not contain any personally identifiable or sensitive information that could be exploited for criminal or other wrongful purposes. Sanitized data are data that have been modified to remove or obscure any confidential or identifying information, such as names, addresses, phone numbers, etc. Aggregated data are data that have been combined or summarized from multiple sources to provide statistical or analytical insights, such as trends, patterns, averages, etc. Sanitized and aggregated data are often used for research, marketing, or business intelligence purposes, and do not pose a significant threat to the organization or the customers if exposed. References:
* 1: What is Data Classification? | Best Practices & Data Types | Imperva
* 2: Data Classification Guideline (1604 GD.01) - Yale University
* 3: Risk Classifications | University IT
* : Data Classification Policy - Shared Assessments
* : What is Data Sanitization? | Definition and Examples | Imperva
* : What is Data Aggregation? | Definition and Examples | Imperva

質問 # 58
All of the following processes are components of controls evaluation in the Third Party Risk Assessment process EXCEPT:

• A. Analyzing assessment results to identify and report risk
• B. Scoping the assessment based on identified risk factors
• C. Reviewing compliance artifacts for the presence of control attributes
• D. Negotiating contract terms for the right to audit

正解：D

解説：
Controls evaluation is the process of verifying and validating the effectiveness of the controls implemented by the third party to mitigate the identified risks. It involves reviewing the evidence provided by the third party, such as policies, procedures, certifications, attestations, or test results, to determine if the controls are adequate, consistent, and compliant with the requirements and standards of the organization. Controls evaluation also involves analyzing the assessment results to identify any gaps, weaknesses, or issues in the third party's controls, and reporting the findings and recommendations to the relevant stakeholders.
Negotiating contract terms for the right to audit is not a component of controls evaluation, but rather a component of contract management. Contract management is the process of establishing, maintaining, and enforcing the contractual agreements between the organization and the third party. It involves defining the roles, responsibilities, expectations, and obligations of both parties, as well as the terms and conditions for service delivery, performance measurement, risk management, dispute resolution, and termination.
Negotiating contract terms for the right to audit is a key aspect of contract management, as it allows the organization to monitor and verify the third party's compliance with the contract and the applicable regulations and standards. It also enables the organization to conduct independent audits or assessments of the third party's controls, processes, and performance, and to request remediation actions if necessary. References:
* 1: Shared Assessments, a leading provider of third party risk management solutions, offers a comprehensive guide for Certified Third Party Risk Professional (CTPRP) candidates, which covers the core concepts and best practices of third party risk management, including controls evaluation and contract management.
* 2: UpGuard, a platform for cybersecurity and third party risk management, provides a detailed overview of the best practices for third party risk assessment, which includes the steps and criteria for evaluating the controls of third parties.
* 3: Deloitte, a global professional services firm, offers an end-to-end managed service for third party risk management, which includes controls evaluation and contract management as key components of the service.

質問 # 59
When evaluating remote access risk, which of the following is LEAST applicable to your analysis?

• A. Requiring application whitelisting
• B. Limiting access by job role of business justification
• C. Monitoring device activity usage volumes
• D. Logging of remote access authentication attempts

正解：A

解説：
Application whitelisting is a security technique that allows only authorized applications to run on a device or network, preventing malware or unauthorized software from executing. While this can be a useful security measure, it is not directly related to remote access risk evaluation, which focuses on the security of the connection and the access rights of the remote users. The other options are more relevant to remote access risk evaluation, as they help to monitor, control, and audit the remote access activities and prevent unauthorized or malicious access. References:
* 1: Secure Remote Access: Risks, Auditing, and Best Practices
* 2: 5 Common Vulnerabilities Associated With Remote Access

質問 # 60
Which of the following components are typically NOT part of a cloud hosting vendor assessment program?

• A. Requiring security services documentation and audit attestation reports
• B. Requiring compliance evidence that provides the definition of patching responsibilities
• C. Reviewing the entity's image snapshot approval and management process
• D. Conducting customer performed penetration tests

正解：D

解説：
A cloud hosting vendor assessment program is a process of evaluating the security, compliance, and performance of a cloud service provider (CSP) that hosts an organization's data or applications. A cloud hosting vendor assessment program typically includes the following components123:
* Reviewing the entity's image snapshot approval and management process: This component involves verifying how the CSP creates, approves, stores, and deletes image snapshots of the virtual machines or containers that run the organization's workloads. Image snapshots can contain sensitive data or configuration settings that need to be protected from unauthorized access or modification.
* Requiring security services documentation and audit attestation reports: This component involves requesting and reviewing the CSP's documentation and reports that demonstrate the security controls and practices that the CSP implements to protect the organization's data and applications. These may include service level agreements (SLAs), security policies and procedures, security certifications and standards, vulnerability scanning and patching reports, incident response and disaster recovery plans, and independent audit reports such as SOC 2 or ISO 27001.
* Requiring compliance evidence that provides the definition of patching responsibilities: This component involves asking and verifying how the CSP handles the patching of the operating systems, applications, and libraries that run on the cloud infrastructure. Patching is a critical activity to prevent security breaches and ensure compliance with regulatory requirements. The organization needs to understand the roles and responsibilities of the CSP and the organization in patching the cloud environment, and the frequency and scope of patching activities.
The component that is typically NOT part of a cloud hosting vendor assessment program is conducting customer performed penetration tests. Penetration testing is a method of simulating a cyberattack on a system or network to identify and exploit vulnerabilities and weaknesses. While penetration testing can be a valuable tool to assess the security posture of a CSP, it is not usually included in a cloud hosting vendor assessment program for the following reasons :
* Penetration testing may violate the CSP's terms of service or acceptable use policy, which may prohibit or restrict the customer from performing any unauthorized or disruptive activities on the cloud infrastructure. The customer may face legal or contractual consequences if they conduct penetration testing without the CSP's consent or knowledge.
* Penetration testing may interfere with the CSP's normal operations or affect the availability and performance of the cloud services for other customers. The customer may cause unintended damage or disruption to the CSP's systems or networks, or trigger false alarms or alerts that may divert the CSP's resources or attention.
* Penetration testing may not provide a comprehensive or accurate assessment of the CSP's security, as the customer may have limited visibility or access to the CSP's internal systems or networks, or may encounter security mechanisms or countermeasures that prevent or limit the penetration testing activities. The customer may also face ethical or legal issues if they access or compromise the data or systems of other customers or the CSP.
Therefore, the verified answer to the question is D. Conducting customer performed penetration tests.
References:
* Four Important Best Practices for Assessing Cloud Vendors
* Top 11 Questionnaires for IT Vendor Assessment in 2024
* Cloud Vendor Assessments | Done The Right Way
* [Penetration Testing in the Cloud: What You Need to Know]
* [Cloud Penetration Testing: Challenges and Best Practices]

質問 # 61
The primary disadvantage of Single Sign-On (SSO) access control is:

• A. A single password is easier to guess and be exploited
• B. Vendors must develop multiple methods to integrate system access adding cost and complexity
• C. Users store multiple passwords in a single repository limiting the ability to change the password
• D. The impact of a compromise of the end-user credential that provides access to multiple systems is greater

正解：D

解説：
Single Sign-On (SSO) is a convenient and efficient way of authenticating users across multiple applications and platforms with a single set of credentials. However, it also poses some security risks and challenges that need to be considered and addressed. One of the main disadvantages of SSO is that it creates a single point of failure and a high-value target for attackers. If an end-user credential is compromised, the attacker can gain access to all the systems and resources that the user is authorized to access, potentially causing significant damage and data breaches. Therefore, SSO requires strong security measures to protect the user credentials, such as encryption, multifactor authentication, password policies, and monitoring. Additionally, SSO users need to be aware of the risks and follow best practices to safeguard their credentials, such as using strong and unique passwords, changing them regularly, and avoiding phishing and social engineering attacks.
References:
* 1: What are the disadvantages of single sign-on authentication? - Information Security Stack Exchange
* 2: Single Sign-On Disadvantages: 6 Advantages and Disadvantages [What You Need to Know] - Mostly Blogging
* 3: SSO Security Risks: The Drawbacks of SSO (And What Can You Do About it) - Zluri

質問 # 62
Which statement is FALSE regarding the primary factors in determining vendor risk classification?

• A. The importance to the outsourcer's recovery objectives may trigger a higher risk tier
• B. The geographic area where the vendor is located may trigger specific regulatory obligations
• C. Network connectivity or remote access may trigger a higher vendor risk classification only for third parties that process personal information
• D. The type and volume of personal data processed may trigger a higher risk rating based on the criticality of the systems

正解：C

解説：
This statement is false because network connectivity or remote access may trigger a higher vendor risk classification for any third party that has access to the organization's network, systems, or data, regardless of whether they process personal information or not. Network connectivity or remote access increases the exposure of the organization to cyberattacks, data breaches, or unauthorized access by malicious actors.
Therefore, the organization should assess the security controls and practices of the third party, such as encryption, authentication, firewall, antivirus, and patch management, to ensure that they meet the organization's standards and expectations. The organization should also monitor the network activity and performance of the third party, and establish clear policies and procedures for granting, revoking, or modifying access rights. The other statements (A, B, and C) are true regarding the primary factors in determining vendor risk classification, as they reflect the potential impact, likelihood, and severity of the risks associated with the vendor's location, importance, and data processing. References:
* Vendor Classification, Shared Assessments
* Impact of Risk Attributes on Vendor Risk Assessment and Classification, SSRN
* Guide to Vendor Risk Assessment, Smartsheet
* How Do You Determine Vendor Criticality?, UpGuard

質問 # 63
A set of principles for software development that address the top application security risks and industry web requirements is known as:

• A. Secure architecture risk analysis
• B. Secure code reviews
• C. Security testing methodology
• D. Application security design standards

正解：D

解説：
Application security design standards are a set of principles for software development that address the top application security risks and industry web requirements. They provide guidance on how to design, develop, and deploy secure applications that meet the security objectives of the organization and the expectations of the customers and regulators. Application security design standards cover topics such as secure design principles, threat modeling, encryption, identity and access management, logging and auditing, coding standards and conventions, safe functions, data handling, error handling, third-party components, and testing and validation.
Application security design standards help developers avoid common security pitfalls, reduce vulnerabilities, and enhance the quality and reliability of the software. Application security design standards also facilitate the alignment of the software development lifecycle with the third-party risk management framework, by ensuring that security requirements are defined, implemented, verified, and maintained throughout the development process. References:
* Fundamental Practices for Secure Software Development
* Secure Coding Practices
* Secure Software Development Best Practices
* Certified Third Party Risk Professional (CTPRP) Study Guide

質問 # 64
An organization has experienced an unrecoverable data loss event after restoring a system. This is an example of:

• A. A failure to meet the Recovery Point Objective (RPO)
• B. A failure to meet the Recovery Consistency Objective (RCO)
• C. A failure to conduct a Root Cause Analysis (RCA)
• D. A failure to meet the Recovery Time Objective (RTO)

正解：A

解説：
An unrecoverable data loss event after restoring a system is indicative of a failure to meet the Recovery Point Objective (RPO). The RPO represents the maximum tolerable period in which data might be lost due to an incident and is a critical component of an organization's disaster recovery and business continuity planning. If data restoration efforts are unsuccessful and lead to unrecoverable data loss, it means that the organization's data backup and recovery processes were insufficient to meet the defined RPO, leading to a loss of data beyond the acceptable threshold. This situation underscores the importance of implementing effective data backup and recovery strategies that align with the organization's RPO to minimize data loss and ensure business continuity in the event of a disruption.
References:
* Business continuity and disaster recovery standards, such as ISO 22301 (Security and Resilience - Business Continuity Management Systems - Requirements), provide guidelines on establishing and managing RPOs as part of a comprehensive business continuity plan.
* The "Disaster Recovery Planning Guide" by the Disaster Recovery Journal (DRJ) offers insights into best practices for data backup and recovery, emphasizing the importance of aligning recovery strategies with defined RPOs to minimize the impact of data loss incidents.

質問 # 65
Which of the following actions is an early step when triggering an Information Security Incident Response Program?

• A. Implementing processes for emergency change control approvals
• B. Assessing the vendor's Business Impact Analysis (BIA) for resuming operations
• C. Requiring periodic changes to the vendor's contract for breach notification
• D. Initiating an investigation of the unauthorized disclosure of data

正解：D

解説：
According to the NIST Computer Security Incident Handling Guide1, one of the first steps in responding to an incident is to identify the scope, nature, and source of the incident. This involves gathering evidence, analyzing logs, interviewing witnesses, and performing forensic analysis. The goal is to determine the extent of the compromise, the type of attack, the identity or location of the attacker, and the potential impact on the organization and its stakeholders. This step is essential for containing the incident, mitigating the damage, and preventing further escalation or recurrence. References:
* NIST Computer Security Incident Handling Guide1, Section 3.2.2 Identification
* Cisco What Is an Incident Response Plan for IT?2, Section 2. Respond
* CrowdStrike Incident Response [Beginner's Guide]3, Section 3. Incident Response Steps

質問 # 66
You are updating the inventory of regulations that impact your TPRM program during the company's annual risk assessment. Which statement provides the optimal approach to prioritizing the regulations?

• A. Include the regulations that have the greater risk of triggering enforcement or fines/penalties
• B. Emphasize the federal regulations since they supersede state regulations
• C. Narrow the focus only on the regulations that directly apply to personal information
• D. identify the applicable regulations that require an extension of specific obligations to service providers

正解：D

解説：
Third-party risk management (TPRM) is the process of identifying, assessing, and mitigating the risks associated with outsourcing business activities or functions to external entities. TPRM is influenced by various regulations that aim to protect the interests of customers, stakeholders, and regulators from the potential harm caused by third-party failures or misconduct. These regulations may vary depending on the industry, jurisdiction, and nature of the third-party relationship. Therefore, it is important for organizations to update their inventory of regulations that impact their TPRM program during their annual risk assessment, and prioritize the regulations that are most relevant and critical for their business objectives and risk appetite.
The optimal approach to prioritizing the regulations is to identify the applicable regulations that require an extension of specific obligations to service providers. This means that the organization should focus on the regulations that impose certain requirements or expectations on the organization and its third-party partners, such as data protection, security, compliance, reporting, auditing, or performance standards. These regulations may also specify the roles and responsibilities of the organization and the service provider, the scope and frequency of due diligence and monitoring activities, the contractual clauses and terms, and the remediation and termination procedures. By identifying these regulations, the organization can ensure that its TPRM program is aligned with the regulatory expectations and obligations, and that it can effectively manage and mitigate the risks associated with its third-party relationships.
Some examples of regulations that require an extension of specific obligations to service providers are:
* The General Data Protection Regulation (GDPR): This is a European Union regulation that governs the collection, processing, and transfer of personal data of individuals in the EU. The GDPR requires organizations to implement appropriate technical and organizational measures to protect the personal data, and to only engage with service providers that can provide sufficient guarantees of data protection.
The GDPR also requires organizations to enter into written contracts with their service providers that specify the subject matter, duration, nature, and purpose of the data processing, as well as the rights and obligations of both parties. The GDPR also imposes strict notification and reporting requirements in case of data breaches or violations.
* The Health Insurance Portability and Accountability Act (HIPAA): This is a US federal law that regulates the privacy and security of health information of individuals. The HIPAA requires covered entities, such as health care providers, health plans, and health care clearinghouses, to safeguard the health information of their patients, and to only disclose or share it with authorized parties. The HIPAA also requires covered entities to enter into business associate agreements with their service providers that handle or access the health information on their behalf. These agreements must specify the permitted and required uses and disclosures of the health information, the safeguards and measures to protect the health information, and the reporting and notification obligations in case of breaches or incidents.
* The Sarbanes-Oxley Act (SOX): This is a US federal law that aims to improve the accuracy and reliability of corporate financial reporting and disclosure. The SOX requires public companies to establish and maintain internal controls over their financial reporting processes, and to assess and report on the effectiveness of these controls. The SOX also requires public companies to ensure that their external auditors are independent and qualified, and to disclose any material weaknesses or deficiencies in their internal controls. The SOX also applies to the service providers that perform or support the financial reporting functions of the public companies, such as accounting firms, information technology vendors, or consultants. The SOX requires public companies to evaluate and monitor the internal controls of their service providers, and to include them in their scope of audit and reporting.
References:
* Third-Party Risk Management and Mitigation | Gartner
* Best Practices to Jumpstart Third-Party Risk Management Program
* Third-party risk management best practices and why they matter
* GDPR and Third-Party Risk Management
* HIPAA Compliance for Business Associates and Third-Party Service Providers
* SOX Compliance Requirements for Third-Party Service Providers

質問 # 67
Which statement is NOT an example of the purpose of internal communications and information sharing using TPRM performance metrics?

• A. To develop and provide periodic reporting to management based on TPRM results
• B. To communicate the status of findings identified in vendor assessments and escalate issues es needed
• C. To document the agreed upon corrective action plan between external parties based on the severity of findings
• D. To communicate the status of policy compliance with TPRM onboarding, periodic assessment and off-boarding requirements

正解：C

解説：
The purpose of internal communications and information sharing using TPRM performance metrics is to inform and align the organization's stakeholders on the status, progress, and outcomes of the TPRM program.
This includes communicating the results of vendor assessments, the compliance level of the organization's policies and procedures, and the periodic reporting to management and other relevant parties. However, documenting the corrective action plan between external parties is not an internal communication, but rather an external one. This is because the corrective action plan is a formal agreement between the organization and the vendor to address and resolve the issues identified in the assessment. Therefore, this statement is not an example of the purpose of internal communications and information sharing using TPRM performance metrics. References:
* 15 KPIs & Metrics to Measure the Success of Your TPRM Program
* Third-party risk management metrics: Best practices to enhance your program
* 3 Best Third-Party Risk Management Software Solutions (2024)

質問 # 68
Which statement provides the BEST description of inherent risk?

• A. Inherent risk is the level of risk that exists with all of the necessary controls in place
• B. inherent risk is the amount of risk an organization can incur when there is an absence of controls
• C. Inherent risk is the amount of risk an organization can accept based on their risk tolerance
• D. Inherent risk is the level of risk triggered by outsourcing & product or service

正解：B

解説：
Inherent risk refers to the level of risk that exists in the absence of any controls or mitigation measures. It represents the natural exposure to risk in operations, transactions, or activities without considering the effectiveness of any risk management practices. In the context of Third-Party Risk Management (TPRM), inherent risk assesses the potential for loss or adverse outcomes associated with a third-party relationship before any controls or risk treatments are applied. Understanding inherent risk is crucial for organizations to identify where controls are necessary and to prioritize risk management efforts based on the potential impact and likelihood of different risks. This concept is foundational in risk management frameworks and is used to guide the development and implementation of controls to reduce risk to an acceptable level, aligned with the organization's risk appetite and tolerance.
References:
* Risk management standards such as ISO 31000 (Risk Management - Guidelines) provide a framework for assessing and managing inherent risks, emphasizing the importance of understanding the baseline level of risk in decision-making processes.
* The "Third-Party Risk Management Guide" by ISACA outlines best practices for assessing inherent risks in third-party relationships, highlighting the need to evaluate the nature and scope of third-party engagements to determine the baseline risk exposure.

質問 # 69
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