When evaluating remote access risk, which of the following is LEAST applicable to your analysis?
Logging of remote access authentication attempts
Limiting access by job role of business justification
Monitoring device activity usage volumes
Requiring application whitelisting
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
When evaluating compliance artifacts for change management, a robust process should include the following attributes:
Approval, validation, auditable.
Logging, approvals, validation, back-out and exception procedures
Logging, approval, back-out.
Communications, approval, auditable.
Change management is the process of controlling and documenting any changes to the scope, objectives, requirements, deliverables, or resources of a project or a program. Change management ensures that the impact of any change is assessed and communicated to all stakeholders, and that the changes are implemented in a controlled and coordinated manner. Compliance artifacts are the documents, records, or reports that demonstrate the adherence to the change management process and the regulatory or industry standards.
A robust change management process should include the following attributes:
Logging: This means that any change request or proposal is recorded in a change log or a change register, along with the details of the change initiator, the change description, the change category, the change priority, the change status, and the change history. Logging helps to track and monitor the progress and outcome of each change, and to provide an audit trail for compliance purposes.
Approvals: This means that any change request or proposal is reviewed and approved by the appropriate authority or stakeholder, such as the project manager, the sponsor, the customer, the steering committee, or the regulatory body. Approvals help to ensure that the change is justified, feasible, aligned with the project or program objectives, and acceptable to the affected parties.
Validation: This means that any change request or proposal is verified and tested to ensure that it meets the quality standards, the functional and non-functional requirements, and the expected benefits and outcomes. Validation helps to ensure that the change is implemented correctly, effectively, and efficiently, and that it does not introduce any errors, defects, or risks.
Back-out and exception procedures: This means that any change request or proposal has a contingency plan or a rollback plan in case the change fails, causes problems, or is rejected. Back-out and exception procedures help to minimize the negative impact of the change, and to restore the original state or the baseline of the project or program. They also help to handle any deviations or issues that may arise during the change implementation or the change review.
References:
CTPRP Job Guide
An Agile Approach to Change Management
CM Overview
Management Artifacts and its Types
Achieving Regulatory and Industry Standards Compliance with the Scaled Agile Framework
8 Steps for an Effective Change Management Process
Which of the following is a positive aspect of adhering to a secure SDLC?
Promotes a “check the box" compliance approach
A process that defines and meets both the business requirements and the security requirements
A process that forces quality code repositories management
Enables the process if system code is managed in different IT silos
A secure SDLC is a framework that integrates security best practices and standards throughout the software development life cycle, from planning to deployment and maintenance. A secure SDLC aims to ensure that security is considered and implemented at every stage of the development process, not just as an afterthought or a compliance check. A secure SDLC can help organizations to achieve the following benefits12:
Reduce the risk of security breaches and incidents by identifying and mitigating vulnerabilities early and continuously
Improve the quality and reliability of software products by ensuring that they meet both the functional and the security requirements
Save time and money by avoiding costly rework, remediation, and reputation damage caused by security flaws
Enhance customer trust and satisfaction by delivering secure and compliant software solutions
Foster a culture of security awareness and responsibility among developers, testers, and other stakeholders References:
Secure SDLC | Secure Software Development Life Cycle | Snyk
What is Secure Software Development Life Cycle (SSDLC )? - GeeksforGeeks
The BEST way to manage Fourth-Nth Party risk is:
Include a provision in the vender contract requiring the vendor to provide notice and obtain written consent before outsourcing any service
Include a provision in the contract prohibiting the vendor from outsourcing any service which includes access to confidential data or systems
Incorporate notification and approval contract provisions for subcontracting that require evidence of due diligence as defined by a TPRM program
Require the vendor to maintain a cyber-insurance policy for any service that is outsourced which includes access to confidential data or systems
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 partners. This can create a complex network of dependencies and exposures that can affect the organization’s security, data protection, and business resilience. To manage this risk effectively, organizations should conduct comprehensive due diligence on their extended vendor and supplier network, and include contractual stipulations that require notification and approval for any subcontracting activities. This way, the organization can ensure that the subcontractors meet the same standards and expectations as the direct third-party partners, and that they have adequate controls and safeguards in place to protect the organization’s data and systems. Additionally, the organization should monitor and assess the performance and compliance of the subcontractors on a regular basis, and update the contract provisions as needed to reflect any changes in the risk environment. References:
Understanding 4th- and Nth-Party Risk: What Do You Need to Know?
Best Practices for Fourth and Nth Party Management
Fourth-Party Risk Management: Best Practices
Which of the following is typically NOT included within the scape of an organization's network access policy?
Firewall settings
Unauthorized device detection
Website privacy consent banners
Remote access
A network access policy is a set of rules and conditions that define how authorized users and devices can access the network resources and services of an organization. It typically includes the following elements12:
Firewall settings: These are the rules that control the incoming and outgoing network traffic based on the source, destination, protocol, and port of the packets. Firewall settings help to protect the network from unauthorized or malicious access, and to enforce the network security policy of the organization.
Unauthorized device detection: This is the process of identifying and preventing unauthorized devices from accessing the network. Unauthorized devices can pose a security risk to the network, as they may not comply with the security standards and policies of the organization, or they may be compromised by malware or hackers. Unauthorized device detection can be done by using various methods, such as network access control (NAC), network admission control (NAC), or 802.1X authentication.
Remote access: This is the ability of authorized users to access the network resources and services of the organization from a remote location, such as a home office, a hotel, or a public hotspot. Remote access can be provided by using various technologies, such as virtual private networks (VPNs), remote desktop services (RDS), or remote access services (RAS). Remote access requires a secure and reliable connection, and it must comply with the network access policy of the organization.
Website privacy consent banners: These are the messages that appear on websites to inform the visitors about the use of cookies and other tracking technologies, and to obtain their consent for such use. Website privacy consent banners are part of the website privacy policy, which is a legal document that discloses how the website collects, uses, and protects the personal data of the visitors. Website privacy consent banners are not related to the network access policy of the organization, as they do not affect how the users and devices can access the network resources and services of the organization.
Therefore, the correct answer is C. Website privacy consent banners, as they are typically not included within the scope of an organization’s network access policy. References:
1: Network Policy Server (NPS) | Microsoft Learn
2: Network Access Policy | University Policies
Which statement is FALSE regarding analyzing results from a vendor risk assessment?
The frequency for conducting a vendor reassessment is defined by regulatory obligations
Findings from a vendor risk assessment may be defined at the entity level, and are based o na Specific topic or control
Identifying findings from a vendor risk assessment can occur at any stage in the contract lifecycle
Risk assessment findings identified by controls testing or validation should map back to the information gathering questionnaire and agreed upon framework
The frequency for conducting a vendor reassessment is not necessarily defined by regulatory obligations, but rather by the risk rating and criticality of the vendor, as well as the changes in the vendor’s environment, performance, and controls. Regulatory obligations may provide some guidance or minimum requirements for vendor reassessment, but they are not the sole determinant of the reassessment frequency. According to the Shared Assessments Program Tools User Guide, "The frequency of reassessment should be based on the risk rating and criticality of the vendor, as well as any changes in the vendor’s environment, performance, or controls. Regulatory guidance may also influence the frequency of reassessment."1 Similarly, the CTPRP Study Guide states, "The frequency of reassessment should be based on the risk rating and criticality of the vendor, as well as any changes in the vendor’s environment, performance, or controls. Regulatory guidance may also influence the frequency of reassessment."2
References:
Shared Assessments Program Tools User Guide
CTPRP Study Guide
Which activity BEST describes conducting due diligence of a lower risk vendor?
Accepting a service providers self-assessment questionnaire responses
Preparing reports to management regarding the status of third party risk management and remediation activities
Reviewing a service provider's self-assessment questionnaire and external audit report(s)
Requesting and filing a service provider's external audit report(s) for future reference
Due diligence is the process of evaluating the risks and opportunities associated with a potential or existing third-party vendor. Due diligence can vary in scope and depth depending on the level of risk that the vendor poses to the organization. Lower risk vendors are those that have minimal impact on the organization’s operations, reputation, or compliance, and that do not handle sensitive or confidential data or systems. For lower risk vendors, conducting due diligence may involve accepting the service provider’s self-assessment questionnaire responses as sufficient evidence of their capabilities, performance, and compliance. A self-assessment questionnaire is a tool that allows the vendor to provide information about their organization, services, processes, controls, and policies. The organization can use the questionnaire to verify the vendor’s identity, qualifications, references, and certifications, and to assess the vendor’s alignment with the organization’s standards and expectations. Accepting the vendor’s self-assessment questionnaire responses as the primary source of due diligence can save time and resources for the organization, and can also demonstrate trust and confidence in the vendor. However, the organization should also ensure that the questionnaire is comprehensive, relevant, and updated, and that the vendor’s responses are accurate, complete, and consistent. The organization should also reserve the right to request additional information or documentation from the vendor if needed, and to conduct periodic reviews or audits of the vendor’s performance and compliance.
The other options do not best describe conducting due diligence of a lower risk vendor, because they either involve more extensive or rigorous methods of due diligence, or they are not directly related to due diligence. Preparing reports to management regarding the status of third party risk management and remediation activities is an important part of monitoring and managing the vendor relationship, but it is not a due diligence activity per se. Reviewing a service provider’s self-assessment questionnaire and external audit report(s) is a more thorough way of conducting due diligence, but it may not be necessary or feasible for lower risk vendors, especially if the external audit report(s) are not readily available or relevant. Requesting and filing a service provider’s external audit report(s) for future reference is a good practice for maintaining documentation and evidence of due diligence, but it is not a due diligence activity itself.
References:
Third Party Risk Management (TPRM) | Shared Assessments
Vendor Due Diligence Strategy Guide and Checklist | Prevalent
Vendor due diligence: a practical guide and checklist
When working with third parties, which of the following requirements does not reflect a “Zero Trust" approach to access management?
Utilizing a solution that allows direct access by third parties to the organization's network
Ensure that access is granted on a per session basis regardless of network location, user, or device
Implement device monitoring, continual inspection and monitoring of logs/traffic
Require that all communication is secured regardless of network location
A Zero Trust approach to access management is based on the principle of verifying every access request as if it originates from an open network, regardless of the source, destination, or context. This means that no implicit trust is granted based on network location, user identity, or device status. Instead, every access request is evaluated based on multiple factors, such as user credentials, device health, data sensitivity, and threat intelligence. A Zero Trust approach also requires that all communication is encrypted and protected, and that access is granted on a per session basis with the least privilege principle123.
Utilizing a solution that allows direct access by third parties to the organization’s network does not reflect a Zero Trust approach, because it implies that the network perimeter is a reliable boundary for security and trust. This assumption is risky, because it exposes the organization to potential breaches and attacks from compromised or malicious third parties, who may have access to sensitive data and resources without proper verification or protection. A Zero Trust approach would require that third parties use secure and isolated channels to access the organization’s network, such as VPNs, proxies, or gateways, and that their access is monitored and controlled based on granular policies and conditions123. References:
Zero Trust part 1: Identity and access management
Zero Trust Model - Modern Security Architecture | Microsoft Security
Zero Trust identity and access management development best practices …
Which statement is TRUE regarding defining vendor classification or risk tiering in a TPRM program?
Vendor classification and risk tiers are based upon residual risk calculations
Vendor classification and risk tiering should only be used for critical third party relationships
Vendor classification and corresponding risk tiers utilize the same due diligence standards for controls evaluation based upon policy
Vendor classification and risk tier is determined by calculating the inherent risk associated with outsourcing a specific product or service
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
Which of the following statements is FALSE about Data Loss Prevention Programs?
DLP programs include the policy, tool configuration requirements, and processes for the identification, blocking or monitoring of data
DLP programs define the consequences for non-compliance to policies
DLP programs define the required policies based on default tool configuration
DLP programs include acknowledgement the company can apply controls to remove any data
Data Loss Prevention (DLP) programs are not based on default tool configuration, but on the specific needs and risks of the organization. DLP programs should be tailored to the data types, locations, flows, and users that are relevant to the business. DLP programs should also align with the regulatory and contractual obligations, as well as the data risk appetite, of the organization. Default tool configuration may not adequately address these factors and may result in either over-blocking or under-protecting data. Therefore, statement C is false about DLP programs. References:
1: The Best Data Loss Prevention Software Tools - Comparitech
2: Build a Successful Data Loss Prevention Program in 5 Steps - Gartner
3: What is data loss prevention (DLP)? | Microsoft Security
