[2024年11月]更新のCTPRP試験事前練習テスト試験問題と解答Third Party Risk Management学習ガイド [Q32-Q50]

[2024年11月]更新のCTPRP試験事前練習テスト試験問題と解答Third Party Risk Management学習ガイド

Certified Third-Party Risk Professional (CTPRP)認証サンプル解答

質問 # 32
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. Security testing methodology
• C. Secure code reviews
• 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 # 33
Which statement is NOT an accurate reflection of an organizations requirements within an enterprise information security policy?

• A. Security policies should be changed on an annual basis due to technology changes
• B. Security policies should have an effective date and date of last review by management
• C. Security policies should define the organizational structure and accountabilities for oversight
• D. Security policies should be organized based upon an accepted control framework

正解：A

解説：
An enterprise information security policy (EISP) is a management-level document that details the organization's philosophy, objectives, and expectations regarding information security. It sets the direction, scope, and tone for all security efforts and provides a framework for developing and implementing security programs and controls. According to the web search results from the search_web tool, some of the key elements of an EISP are:
* A statement of the organization's security vision, mission, and principles that align with its business goals and values123.
* A definition of the organizational structure and accountabilities for oversight, governance, and management of information security, including roles and responsibilities of senior executives, security officers, business units, and users123 .
* A specification of the legal and regulatory compliance requirements and obligations that the organization must adhere to, such as data protection, privacy, and breach notification laws123 .
* A description of the scope and applicability of the EISP, including the types of information, systems, and assets that are covered, and the exclusions or exceptions that may apply123 .
* A declaration of the effective date and date of last review by management, as well as the frequency and criteria for reviewing and updating the EISP to ensure its relevance and adequacy123 .
* A statement of the organization's risk appetite and tolerance, and the process for identifying, assessing, and treating information security risks123 .
* A provision of the authority and responsibility for implementing, enforcing, monitoring, and auditing the EISP and its related policies, standards, procedures, and guidelines123 .
* A determination of the access control policy and the rules for granting, revoking, and reviewing access rights and privileges to information, systems, and assets123 .
* An organization of the EISP based on an accepted control framework, such as ISO 27001, NIST SP
800-53, or COBIT, that defines the security domains, objectives, and controls that the organization must implement and maintain123 .
However, option C, a statement that security policies should be changed on an annual basis due to technology changes, is not an accurate reflection of an organization's requirements within an EISP. While technology changes may affect the security environment and the threats and vulnerabilities that the organization faces, they are not the only factor that determines the need for changing security policies. Other factors, such as business changes, legal changes, risk changes, audit findings, incident reports, and best practices, may also trigger the need for reviewing and updating security policies. Therefore, option C is the correct answer, as it is the only one that does not reflect an organization's requirements within an EISP. References: The following resources support the verified answer and explanation:
* 1: What Is The Purpose Of An Enterprise Information Security Policy?
* 2: Enterprise Information Security Policies and Standards
* 3: Key Elements Of An Enterprise Information Security Policy
* : Enterprise Information Security Policy (EISP) - SANS

質問 # 34
Which of the following factors is LEAST likely to trigger notification obligations in incident response?

• A. Regulatory requirements
• B. Data classification or sensitivity
• C. Encryption of data
• D. Contractual terms

正解：C

解説：
Notification obligations in incident response are the legal or contractual duties to inform relevant parties about a security breach or incident that affects their data or systems. These obligations may vary depending on the type, scope, and impact of the incident, as well as the jurisdiction, industry, and contractual agreements involved. The factors that are most likely to trigger notification obligations are:
* Regulatory requirements: Different laws and regulations may impose different notification obligations on organizations that experience or cause a security incident. For example, the General Data Protection Regulation (GDPR) requires data controllers to notify the supervisory authority within 72 hours of becoming aware of a personal data breach, and to notify the affected data subjects without undue delay if the breach poses a high risk to their rights and freedoms1. Similarly, the Computer-Security Incident Notification Rule requires banks and their service providers to notify their primary federal regulator as soon as possible, but no later than 36 hours, after a computer-security incident that materially disrupts, degrades, or impairs their operations, services, or customers2.
* Data classification or sensitivity: The type and sensitivity of the data involved in a security incident may also affect the notification obligations. For example, if the data contains personally identifiable information (PII), health information, financial information, or other confidential or sensitive information, the organization may have to notify the data owners, regulators, law enforcement, or other stakeholders about the incident and the potential risks to their privacy or security3. The data classification or sensitivity may also determine the content and timing of the notification, as well as the appropriate communication channels to use.
* Contractual terms: The contractual agreements between an organization and its third-party vendors or service providers may also specify the notification obligations in case of a security incident. For example, the contract may define the roles and responsibilities of each party, the notification procedures and timelines, the information to be shared, the remediation actions to be taken, and the penalties or liabilities for breach of contract. The contractual terms may also reflect the regulatory requirements or industry standards that apply to the organization or the third party.
The factor that is least likely to trigger notification obligations is:
* Encryption of data: Encryption of data is a security measure that protects the data from unauthorized access, modification, or disclosure. Encryption of data may reduce the impact or severity of a security incident, as it may prevent or limit the exposure of the data to malicious actors. However, encryption of data does not eliminate the notification obligations, as the organization still has to assess the nature and extent of the incident, and determine whether the encryption was effective or compromised. Moreover, encryption of data may not be sufficient to protect the data from other types of threats, such as deletion, corruption, or ransomware. Therefore, encryption of data is not a factor that influences the notification obligations in incident response.
References:
* 1: GDPR Article 33: Notification of a personal data breach to the supervisory authority
* 2: Computer-Security Incident Notification Rule
* 3: Third-Party Incident Management (TPIM): How to Balance IRPs with Third Parties
* : [Improving Third-Party Incident Response]
* : [Third-Party Incident Response Playbook]
* : [Does Encryption Protect You From a Data Breach?]

質問 # 35
Which example is typically NOT included in a Business Impact Analysis (BIA)?

• A. Identifying the criticality of applications
• B. Including any contractual or legal/regulatory requirements
• C. Prioritization of business functions and processes
• D. Requiring vendor participation in testing

正解：D

解説：
A Business Impact Analysis (BIA) is a process of determining the criticality of business activities and associated resource requirements to ensure operational resilience and continuity of operations during and after a business disruption1. A BIA is used to identify the potential impacts of disruptions on business processes, such as lost sales, delayed revenue, increased expenses, regulatory fines, or contractual penalties2. A BIA is not concerned with the probability or causes of disruptions, but rather with the effects and consequences of disruptions3. Therefore, a BIA typically does not include requiring vendor participation in testing, as this is a part of the business continuity and disaster recovery planning and implementation, not the impact analysis. Vendor participation in testing is important to validate the effectiveness and alignment of the vendor's business continuity and disaster recovery plans with the organization's objectives and expectations, but it is not a component of the BIA itself. References: 1: Using Business Impact Analysis to Inform Risk Prioritization and Response 2: Business Impact Analysis (BIA): Prepare for Anything [2024] * Asana 3: The Difference Between a Vendor's BIA and Risk Analysis - Venminder : Best Practices Guidance for Third Party Risk

質問 # 36
Which type of contract provision is MOST important in managing Fourth-Nth party risk after contract signing and on-boarding due diligence is complete?

• A. Right to audit
• B. Indemnification and liability
• C. Subcontractor notice and approval
• D. Breach notification

正解：C

解説：
Fourth-Nth party risk refers to the potential threats and vulnerabilities associated with the subcontractors, vendors, or service providers of an organization's direct third-party partners12. After contract signing and on-boarding due diligence is complete, the most important type of contract provision to manage Fourth-Nth party risk is subcontractor notice and approval. This provision requires the third party to inform the organization of any subcontracting arrangements and obtain the organization's consent before engaging any Fourth-Nth parties345. This provision enables the organization to have visibility and control over the extended network of suppliers and service providers, and to assess the potential risks and impacts of any outsourcing decisions. Subcontractor notice and approval also helps the organization to ensure that the Fourth-Nth parties comply with the same standards and expectations as the third party, and to hold the third party accountable for the performance and security of the Fourth-Nth parties345. References:
* 1: Understanding 4th- and Nth-Party Risk: What Do You Need to Know? | Mitratech
* 2: Understanding 4th- and Nth-Party Risk: What Do You Need to Know? | Mitratech Holdings, Inc - JDSupra
* 3: First, 2nd , 3rd , 4th, 5th Parties: How to Measure the Tiers of Risk
* 4: Managing 4th Party Risk with Vendor Insurance Verification - Evident ID
* 5: How to Write Fourth-Party Vendor Requirements Into the Contract - Venminder

質問 # 37
Which of the following is NOT an example of a type of application security testing?

• A. Static testing
• B. Dynamic testing
• C. Cookie consent scanning
• D. Interactive testing

正解：C

解説：
Application security testing (AST) is a process of finding and eliminating vulnerabilities in software applications. There are different types of AST tools that can help with this process, such as static, dynamic, and interactive testing. Static testing analyzes the source code of the application without executing it, dynamic testing simulates attacks on the running application from the outside, and interactive testing combines both static and dynamic analysis to find more vulnerabilities and provide more context. Cookie consent scanning is not a type of AST, but rather a tool that checks if a website complies with the cookie consent regulations, such as the EU General Data Protection Regulation (GDPR) or the California Consumer Privacy Act (CCPA).
Cookie consent scanning does not test the security of the application, but rather the privacy and compliance of the website. References:
* 1: 10 Types of Application Security Testing Tools: When and How to Use Them
* 2: 5 Types of Application Security Testing You Must Know About
* 3: Types of Application Security Testing: Definitions and Differences
* 4: What is Application Security? | VMware Glossary

質問 # 38
Once a vendor questionnaire is received from a vendor what is the MOST important next step when evaluating the responses?

• A. Document your analysis and provide confirmation to the business unit regarding receipt of the questionnaire
• B. Calculate the total number of findings to rate the effectiveness of the vendor response
• C. Analyze the responses to identify adverse or high priority responses to prioritize controls that should be tested
• D. Update the vender risk registry and vendor inventory with the results in order to complete the assessment

正解：C

解説：
The most important next step after receiving a vendor questionnaire is to analyze the responses and identify any gaps, issues, or risks that may pose a threat to the organization or its customers. This analysis should be based on the inherent risk profile of the vendor, the criticality of the service or product they provide, and the applicable regulatory and contractual requirements. The analysis should also highlight any adverse or high priority responses that indicate a lack of adequate controls, policies, or procedures on the vendor's part. These responses should be prioritized for further validation, testing, or remediation. The analysis should also document any assumptions, limitations, or dependencies that may affect the accuracy or completeness of the vendor's responses. References:
* Shared Assessments CTPRP Study Guide, Section 4.2.2, page 43
* Third-Party Risk Management: Managing Risk, Section "Assessing and monitoring third-party risk"
* What Is Third-Party Risk Management (TPRM)? 2024 Guide, Section "Third-Party Risk Management Process"

質問 # 39
The set of shared values and beliefs that govern a company's attitude toward risk is known as:

• A. Risk culture
• B. Risk tolerance
• C. Risk treatment
• D. Risk appetite

正解：A

解説：
Risk culture is the term used to describe the collective way that an organization thinks about, manages, and responds to risk. It is influenced by the organization's values, beliefs, norms, and practices, as well as the external environment and stakeholders. Risk culture affects how employees perceive, communicate, and act on risk issues, and how they balance risk and reward in their decision making. A strong risk culture is one that supports the organization's strategic objectives, fosters accountability and transparency, and promotes learning and improvement. A weak risk culture is one that undermines the organization's risk management framework, creates silos and conflicts, and exposes the organization to excessive or unnecessary risks. References:
* Shared Assessments CTPRP Study Guide, page 13, section 2.1.1
* GARP Best Practices Guidance for Third Party Risk, page 5, section 2.1
* Organizational culture | Definition, Benefits and Challenges

質問 # 40
Information classification of personal information may trigger specific regulatory obligations. Which statement is the BEST response from a privacy perspective:

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

正解：A

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 # 41
Which approach demonstrates GREATER maturity of physical security compliance?

• A. Conducting unannounced checks an an ac-hac basis
• B. Maintaining a standardized scheduled for confirming controls to defined standards
• C. Leveraging periodic reporting to schedule facility inspections based on reported events
• D. Providing a checklist for self-assessment

正解：B

解説：
According to the Shared Assessments Certified Third Party Risk Professional (CTPRP) Study Guide, physical security compliance is the process of ensuring that the physical assets and personnel of an organization are protected from unauthorized access, theft, damage, or harm1. Physical security compliance can be achieved by implementing various measures, such as locks, alarms, cameras, guards, fences, badges, etc. However, these measures need to be regularly monitored, tested, and verified to ensure their effectiveness and alignment with the defined standards and policies2. Therefore, maintaining a standardized schedule for confirming controls to defined standards demonstrates a greater maturity of physical security compliance, as it indicates a proactive and consistent approach to assessing and improving the physical security posture of an organization3.
The other options do not reflect a high level of physical security compliance maturity, as they either rely on reactive or ad hoc methods, or lack sufficient verification and validation mechanisms. Leveraging periodic reporting to schedule facility inspections based on reported events may indicate a lack of preventive and predictive measures, as well as a dependency on external or internal incidents to trigger the inspections.
Providing a checklist for self-assessment may indicate a lack of independent and objective evaluation, as well as a potential for bias or error in the self-assessment process. Conducting unannounced checks on an ad hoc basis may indicate a lack of planning and coordination, as well as a potential for disruption or inconsistency in the checks.
References:
* 1: Shared Assessments Certified Third Party Risk Professional (CTPRP) Study Guide, page 24
* 2: Physical Security: Planning, Measures & Examples + PDF - Avigilon
* 3: Security Maturity Models: Levels, Assessment, and Benefits
* [4]: Best Practices for Planning and Managing Physical Security Resources - CISA, page 10
* [5]: Self-Assessment vs. Independent Assessment: What's the Difference? | Linford & Company LLP
* [6]: The Pros and Cons of Unannounced Audits | NQA

質問 # 42
Which statement is TRUE regarding the use of questionnaires in third party risk assessments?

• A. The total number of questions included in the questionnaire assigns the risk tier
• B. All topic areas included in the questionnaire require validation during the assessment
• C. Questionnaires are optional since reliance on contract terms is a sufficient control
• D. Assessment questionnaires should be configured based on the risk rating and type of service being evaluated

正解：D

解説：
Questionnaires are one of the most common and effective tools for conducting third party risk assessments.
They help organizations gather information about the security and compliance practices of their vendors and service providers, as well as identify any gaps or weaknesses that may pose a risk to the organization.
However, not all questionnaires are created equal. Depending on the nature and scope of the third party relationship, different types and levels of questions may be required to adequately assess the risk. Therefore, it is important to configure the assessment questionnaires based on the risk rating and type of service being evaluated12.
The risk rating of a third party is determined by various factors, such as the criticality of the service they provide, the sensitivity of the data they handle, the regulatory requirements they must comply with, and the potential impact of a breach or disruption on the organization. The higher the risk rating, the more detailed and comprehensive the questionnaire should be. For example, a high-risk third party that processes personal or financial data may require a questionnaire that covers multiple domains of security and privacy, such as data protection, encryption, access control, incident response, and audit. A low-risk third party that provides a non-critical service or does not handle sensitive data may require a questionnaire that covers only the basic security controls, such as firewall, antivirus, and password policy12.
The type of service that a third party provides also influences the configuration of the questionnaire. Different services may have different security and compliance standards and best practices that need to be addressed.
For example, a third party that provides cloud-based services may require a questionnaire that covers topics such as cloud security architecture, data residency, service level agreements, and disaster recovery. A third party that provides software development services may require a questionnaire that covers topics such as software development life cycle, code review, testing, and vulnerability management12.
By configuring the assessment questionnaires based on the risk rating and type of service being evaluated, organizations can ensure that they ask the right questions to the right third parties, and obtain relevant and meaningful information to support their risk management decisions. Therefore, the statement that assessment questionnaires should be configured based on the risk rating and type of service being evaluated is TRUE12. References: 1: How to Use SIG Questionnaires for Better Third-Party Risk Management 2:
Third-party risk assessment questionnaires - KPMG India

質問 # 43
During the contract negotiation process for a new vendor, the vendor states they have legal obligations to retain data for tax purposes. However, your company policy requires data return or destruction at contract termination. Which statement provides the BEST approach to address this conflict?

• A. Determine if a policy exception and approval is required, and require that data safeguarding obligations continue after termination
• B. Conduct an assessment of the vendor's data governance and records management program
• C. Insist the vendor adheres to the policy and contract provisions without exception
• D. Change the risk rating of the vendor to reflect a higher risk tier

正解：A

解説：
The best approach to address the conflict between the vendor's legal obligations to retain data for tax purposes and the company's policy to require data return or destruction at contract termination is A. Determine if a policy exception and approval is required, and require that data safeguarding obligations continue after termination. This approach recognizes that the vendor may have valid reasons to retain some data for a certain period of time, and that the company may have flexibility to grant exceptions to its policy under certain circumstances. However, this approach also ensures that the company maintains oversight and control over the data that the vendor retains, and that the vendor continues to comply with the data safeguarding obligations, such as encryption, access control, audit, and breach notification, until the data is returned or destroyed. This approach balances the interests and risks of both parties, and minimizes the potential for data breaches, misuse, or loss.
The other approaches are not the best ways to address the conflict, as they may create more problems or risks for either party. B. Change the risk rating of the vendor to reflect a higher risk tier. This approach does not resolve the conflict, but rather shifts the responsibility to the company to manage the increased risk of the vendor retaining the data. Changing the risk rating may also affect the contract terms, such as pricing, service level agreements, or liability clauses, and may require renegotiation or termination of the contract. C. Insist the vendor adheres to the policy and contract provisions without exception. This approach is too rigid and may not be feasible or reasonable for the vendor, especially if they have legal obligations to retain the data. This approach may also damage the relationship and trust between the parties, and may lead to disputes or litigation. D. Conduct an assessment of the vendor's data governance and records management program. This approach is too time-consuming and costly, and may not be necessary or relevant for the conflict. Conducting an assessment may provide some assurance about the vendor's data practices, but it does not address the underlying issue of the conflicting data retention requirements. Moreover, conducting an assessment may not be possible or appropriate during the contract negotiation process, as it may require access to the vendor's systems, data, or personnel. References:
* : Best Practices for Data Destruction - ed
* : CHALLENGES AND RISKS INVOLVED WITH DATA RETENTION - DataOlogie
* : Third-Party Risk Management: Final Interagency Guidance
* : Ensuring Data Protection for Third Parties: Best Practices | UpGuard Blog

質問 # 44
Which statement BEST describes the methods of performing due diligence during third party risk assessments?

• A. Reviewing status of findings from the questionnaire and defining remediation plans
• B. Reviewing and assessing only the obligations that are specifically defined in the contract
• C. Inspecting physical and environmental security controls by conducting a facility tour
• D. interviewing subject matter experts or control owners, reviewing compliance artifacts, and validating controls

正解：D

解説：
Performing due diligence during third party risk assessments is a process of verifying and validating the information provided by the third parties, as well as identifying and assessing any potential risks or issues that may arise from the relationship. Due diligence methods may vary depending on the type, scope, and complexity of the third party engagement, but they generally involve the following steps123:
* Interviewing subject matter experts or control owners: This method involves engaging with the relevant stakeholders from both the organization and the third party, such as business owners, project managers, legal counsel, compliance officers, security analysts, etc. The purpose of the interviews is to gather more information about the third party's capabilities, processes, policies, performance, and challenges, as well as to clarify any questions or concerns that may arise from the questionnaire or other sources. The interviews can also help to establish rapport and trust between the parties, and to identify any gaps or discrepancies in the information provided.
* Reviewing compliance artifacts: This method involves examining the evidence or documentation that supports the third party's claims or assertions, such as certifications, accreditations, audit reports, policies, procedures, contracts, SLAs, etc. The purpose of the review is to verify the accuracy, completeness, and validity of the artifacts, as well as to assess the level of compliance with the applicable standards, regulations, and best practices. The review can also help to identify any areas of improvement or weakness in the third party's controls or processes.
* Validating controls: This method involves testing or inspecting the actual implementation and effectiveness of the third party's controls or processes, such as security measures, quality assurance, data protection, incident response, etc. The purpose of the validation is to confirm that the controls are operating as intended and expected, and that they are sufficient to mitigate the risks or issues identified in the assessment. The validation can also help to identify any vulnerabilities or gaps in the third party's controls or processes.
The other options are not as comprehensive or accurate as the methods described above, as they may not cover all the aspects or dimensions of the third party risk assessment, or they may rely on incomplete or outdated information. Inspecting physical and environmental security controls by conducting a facility tour is only one part of the validation method, and it may not be applicable or feasible for all types of third parties, such as cloud service providers or remote workers. Reviewing status of findings from the questionnaire and defining remediation plans is more of a follow-up or monitoring activity, rather than a due diligence method, as it assumes that the questionnaire has already been completed and analyzed. Reviewing and assessing only the obligations that are specifically defined in the contract is a narrow and limited approach, as it may not capture the full scope or complexity of the third party relationship, or the dynamic and evolving nature of the risks or issues involved. References:
* Third Party Due Diligence - a vital but challenging process
* The guide to risk based third party due diligence - VinciWorks
* Third Party Risk Assessment - Checklist & Best Practices

質問 # 45
Which of the following actions is an early step when triggering an Information Security Incident Response Program?

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

正解：B

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 # 46
The following statements reflect user obligations defined in end-user device policies EXCEPT:

• A. A statement that defines the process to remove all organizational data, settings and accounts alt offboarding
• B. A statement that specifies the ability to synchronize mobile device data with enterprise systems
• C. A statement detailing user responsibility in ensuring the security of the end-user device
• D. A statement specifying the owner of data on the end-user device

正解：B

解説：
End-user device policies are policies that establish the rules and requirements for the use and management of devices that access organizational data, networks, and systems. These policies typically include user obligations that define the responsibilities and expectations of the users regarding the security, privacy, and compliance of the devices they use. According to the web search results from the search_web tool, some common user obligations defined in end-user device policies are:
* A statement specifying the owner of data on the end-user device: This statement clarifies who owns the data stored on the device, whether it is the organization, the user, or a third party. This statement also defines the rights and obligations of the data owner and the data custodian, such as the access, retention, disposal, and protection of the data123.
* A statement that defines the process to remove all organizational data, settings and accounts at offboarding: This statement outlines the steps and procedures that the user must follow to securely erase or transfer all organizational data, settings, and accounts from the device when they leave the
* organization or change their role. This statement also specifies the roles and responsibilities of the user, the organization, and the device manager in ensuring the proper offboarding of the device143.
* A statement detailing user responsibility in ensuring the security of the end-user device: This statement describes the actions and measures that the user must take to protect the device from unauthorized access, theft, loss, damage, or compromise. This statement may include requirements such as enabling encryption, password, firewall, antivirus, updates, and backups, as well as reporting any incidents or issues related to the device1435.
However, option D, a statement that specifies the ability to synchronize mobile device data with enterprise systems, is not a user obligation defined in end-user device policies. Rather, this statement is a feature or functionality that may be enabled or disabled by the organization or the device manager, depending on the security and compliance needs of the organization. This statement may also be part of a device configuration policy or a mobile device management policy, which are different from end-user device policies. Therefore, option D is the correct answer, as it is the only one that does not reflect a user obligation defined in end-user device policies. References: The following resources support the verified answer and explanation:
* 1: End-User Device Policy | IT Services - University of Chicago
* 4: Device compliance policies in Microsoft Intune | Microsoft Learn
* 2: Basics of an End User Computing Policy - Apparity Blog
* 3: End-User Device Management Standard Operating Procedure
* 5: End-User Devices | Information Security - University of Chicago

質問 # 47
You are assessing your organization's Disaster Recovery and Business Continuity (BR/BCP) requirements based on the shift to remote work. Which statement is LEAST reflective of current practices in business resiliency?

• A. The contract is the only enforceable control to stipulate third party service provider obligations for DR/BCP since both programs were triggered by the pandemic
• B. Third party service providers should be included in the company's exercise and testing program based on the criticality of the outsourced business function
• C. The right to require participation in testing with third party service providers should be included in the contract
• D. Management should request and receive artifacts that Gemonstrate successful test results and any remediation action plans

正解：A

解説：
The contract is not the only enforceable control to stipulate third party service provider obligations for DR/BCP, nor are both programs necessarily triggered by the pandemic. According to the Shared Assessments Program, third party risk management (TPRM) is a continuous process that requires ongoing monitoring and assessment of third parties' performance, compliance, and resilience. Therefore, the contract should be complemented by other controls, such as due diligence, audits, reviews, and reporting, to ensure that third parties meet the organization's expectations and standards for DR/BCP. Moreover, DR/BCP are not only relevant for pandemic scenarios, but also for other types of disasters, such as natural disasters, cyberattacks, power outages, or human errors. Therefore, the contract should reflect the organization's risk appetite and tolerance for different types of disruptions and scenarios, and not be limited to pandemic-related events.

質問 # 48
Which statement is TRUE regarding defining vendor classification or risk tiering in a TPRM program?

• A. Vendor classification and risk tiers are based upon residual risk calculations
• B. Vendor classification and risk tiering should only be used for critical third party relationships
• C. Vendor classification and corresponding risk tiers utilize the same due diligence standards for controls evaluation based upon policy
• D. Vendor classification and risk tier is determined by calculating the inherent risk associated with outsourcing a specific product or service

正解：D

解説：
Vendor classification or risk tiering is a process of categorizing vendors based on the level of security risk they introduce to an organization12. It is a key component of a third-party risk management (TPRM) program, as it helps to prioritize and allocate resources for vendor assessment, monitoring, and remediation12. The statement D is true, as it reflects the first step of vendor classification or risk tiering, which is to determine the inherent risk of each vendor relationship based on the nature, scope, and complexity of the product or service being outsourced3 . Inherent risk is the risk that exists before any controls or mitigating factors are applied3 . By calculating the inherent risk, an organization can assign each vendor to a risk tier that reflects the potential impact and likelihood of a security breach or incident involving the vendor3 .
The other statements are false, as they do not accurately describe the vendor classification or risk tiering process. The statement A is false, as vendor classification and risk tiers are not based on residual risk calculations, but on inherent risk calculations. Residual risk is the risk that remains after controls or mitigating factors are applied3 . Residual risk is used to evaluate the effectiveness of the controls and the need for further action, but not to classify or tier vendors3 . The statement B is false, as vendor classification and risk tiering should be used for all third party relationships, not only for critical ones. Vendor classification and risk tiering helps to identify and prioritize the critical vendors, but also to manage the low and medium risk vendors according to their respective risk profiles12. The statement C is false, as vendor classification and corresponding risk tiers do not utilize the same due diligence standards for controls evaluation based upon policy, but different ones. Due diligence standards are the criteria and methods used to assess the security posture and performance of vendors. Due diligence standards should vary according to the risk tier of the vendor, as higher risk vendors require more rigorous and frequent evaluation than lower risk vendors.
References:
* 1: What is Vendor Tiering? Optimize Your Vendor Risk Management | UpGuard Blog
* 2: Vendor Tiering Best Practices: Categorizing Vendor Risks | UpGuard Blog
* 3: Third-Party Risk Management (TPRM): A Complete Guide - BlueVoyant
* [4]: Supplemental Examination Procedures for Risk Management of Third-Party Relationships
* [5]: Third Party Risk Management: Why It's Important And What Features To Look For - Expert Insights

質問 # 49
Which statement BEST describes the use of risk based decisioning in prioritizing gaps identified at a critical vendor when defining the corrective action plan?

• A. The assessor decided that the critical gaps should be discussed in the closing meeting so that the vendor can begin to implement corrective actions immediately
• B. The assessor concluded that all gaps should be logged and treated as high severity findings since the assessment was performed on a critical vendor
• C. The assessor determined that all gaps should be logged and communicated that if the gaps were corrected immediately they would not need to be included in the findings report
• D. The assessor determined that gaps should be analyzed, documented, reviewed for compensating controls, and submitted to the business owner to approve risk treatment plan

正解：D

解説：
According to the Shared Assessments Certified Third Party Risk Professional (CTPRP) Study Guide, risk based decisioning is the process of applying risk criteria to prioritize and address the gaps identified during a third-party risk assessment1. The assessor should analyze the gaps based on the impact, likelihood, and urgency of the risk, and document the findings and recommendations in a report. The assessor should also review the existing or proposed compensating controls that could mitigate the risk, and submit the report to the business owner for approval of the risk treatment plan. The risk treatment plan could include accepting, transferring, avoiding, or reducing the risk, depending on the risk appetite and tolerance of the organization1.
The other statements do not reflect the best use of risk based decisioning, as they either ignore the risk analysis and documentation process, or apply a uniform or arbitrary approach to prioritizing and addressing the gaps. The assessor should not decide or conclude on the risk treatment plan without consulting the business owner, as the business owner is ultimately responsible for the third-party relationship and the risk management decisions1. The assessor should also not communicate that the gaps would not be included in the report if they were corrected immediately, as this could compromise the integrity and transparency of the assessment process and the report2.
References:
* 1: Shared Assessments Certified Third Party Risk Professional (CTPRP) Study Guide, pages 29-30,
33-34
* 2: Third-Party Risk Management: Final Interagency Guidance, page 10

質問 # 50
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