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質問 # 68
Which statement provides the BEST example of the purpose of scoping in third party assessments?
- A. Scoping is the process an outsourcer uses to configure a third party assessment based on the risk the vendor presents to the organization
- B. Scoping is an assessment technique only used for high risk or critical vendors that require on-site assessments
- C. Scoping is used primarily to limit the inclusion of supply chain vendors in third party assessments
- D. Scoping is used to reduce the number of questions the vendor has to complete based on vendor
"classification
正解：A
解説：
Scoping is a critical step in third party assessments, as it determines the scope and depth of the assessment based on the inherent risk, impact, and complexity of the vendor relationship. Scoping helps to ensure that the assessment is relevant, efficient, and consistent with the outsourcer's risk appetite and objectives. Scoping also helps to avoid over or under assessing the vendor, which could result in unnecessary costs, delays, or gaps in risk management. Scoping is not a one-time activity, but rather an ongoing process that should be reviewed and updated throughout the vendor lifecycle. Scoping should be aligned with the outsourcer's third party risk management framework and policies, and follow the best practices and guidelines provided by the Shared Assessments Program and other industry standards. References:
* 1: THIRD PARTY RISK MANAGEMENT TOOLKIT - Shared Assessments, pages 4-6
* 2: How Dynamic Scoping Can Improve Vendor Risk Assessments - ProcessUnity
* 3: Inherent Risk Tiering for Third-Party Vendor Assessments - MindPoint Group
質問 # 69
Which cloud deployment model is primarily used for load balancing?
- A. Hybrid Cloud
- B. Public Cloud
- C. Community Cloud
- D. Private Cloud
正解：A
解説：
Hybrid cloud is the cloud deployment model that is primarily used for load balancing. Load balancing is the process of distributing workloads and network traffic across multiple servers or resources to optimize performance, reliability, and scalability1. Load balancing can help prevent overloading or underutilizing any single server or resource, as well as improve fault tolerance and availability. Hybrid cloud is a mix of two or more different deployment models, such as public cloud, private cloud, or community cloud2. Hybrid cloud allows organizations to leverage the benefits of both public and private clouds, such as cost efficiency, scalability, security, and control3. Hybrid cloud can also enable load balancing across different cloud environments, depending on the demand, cost, and performance requirements of each workload. For example, an organization can use a private cloud for sensitive or mission-critical applications that require high security and performance, and a public cloud for less sensitive or variable applications that require more scalability and flexibility. By using a hybrid cloud, the organization can balance the load between the private and public clouds, and optimize the resource utilization and cost efficiency of each cloud.
The other cloud deployment models are not primarily used for load balancing, although they may have some load balancing capabilities within their own environments. Public cloud is the infrastructure that is shared by multiple tenants and open to the public. Anyone can use the public cloud by subscribing to it. Public cloud offers high scalability, elasticity, and cost-effectiveness, but may have lower security, privacy, and control than private cloud2. Community cloud is the infrastructure that is shared by similar consumers who collaborate to set up a cloud for their exclusive use. For example, government organizations can form a cloud for their exclusive use. Community cloud offers some benefits of both public and private clouds, such as shared costs, common standards, and enhanced security, but may have lower scalability and flexibility than public cloud2. Private cloud is the infrastructure that is for the exclusive use of a single organization. The cloud may or may not be operated by the organization. Private cloud offers high security, privacy, and control, but may have lower scalability, elasticity, and cost-effectiveness than public cloud2. References:
* 1: What is Load Balancing? | How Load Balancing Works | F5
* 2: The NIST Definition of Cloud Computing
* 3: What is Hybrid Cloud? | IBM
* : Hybrid Cloud Load Balancing - Kemp Technologies
* : [Hybrid Cloud Load Balancing: What You Need to Know - CloudHealth by VMware]
質問 # 70
An IT change management approval process includes all of the following components EXCEPT:
- A. Documented audit trail for all emergency changes
- B. Guidelines that restrict approval of changes to only authorized personnel
- C. Application version control standards for software release updates
- D. Defined roles between business and IT functions
正解：C
解説：
Application version control standards for software release updates are not part of the IT change management approval process, but rather a technical aspect of the software development lifecycle. The IT change management approval process is a formal and structured way of evaluating, authorizing and scheduling changes to IT systems and infrastructure, based on predefined criteria and roles. The IT change management approval process typically includes the following components123:
* A change request form that captures the details, rationale, impact, risk and benefits of the proposed change
* A change approval board (CAB) or other authorized approvers who review and approve or reject the change request based on the business case, feasibility and alignment with the organization's objectives and policies
* A documented audit trail for all changes, especially emergency changes, that records the date, time, reason, approver and outcome of each change
* A defined roles and responsibilities matrix that clarifies the expectations and accountabilities of each
* stakeholder involved in the change management process, such as the change manager, change owner, change coordinator, change implementer and change requester
* A set of guidelines that restrict the approval of changes to only authorized personnel who have the appropriate knowledge, skills and authority to make decisions about the changes References:
* 1: Change Approval Process in ITIL Change Management
* 2: Guide to the IT Change Requests Approval Process
* 3: Overview of the change management approval process
質問 # 71
A visual representation of locations, users, systems and transfer of personal information between outsourcers and third parties is defined as:
- A. Configuration standard
- B. Data flow diagram
- C. Audit log report
- D. Network diagram
正解：B
解説：
A data flow diagram (DFD) is a graphical representation of the flow of information between outsourcers and third parties, as well as within a system or process. It shows the sources and destinations of data, the processes that transform data, the data stores that hold data, and the data flows that connect them. A DFD can help to understand and refine the business processes or systems that involve data exchange with external entities. A DFD can also help to identify potential risks and vulnerabilities in the data flows, such as data leakage, data corruption, data loss, or unauthorized access.
The other options are incorrect because they do not match the definition of a visual representation of data flows. A configuration standard (A) is a set of rules or guidelines that define how a system or process should be configured, such as hardware, software, or network settings. An audit log report (B) is a record of the activities or events that occurred in a system or process, such as user actions, system changes, or security incidents. A network diagram is a graphical representation of the physical or logical connections between devices or nodes in a network, such as routers, switches, servers, or computers. References:
https://www.visual-paradigm.com/tutorials/data-flow-diagram-dfd.jsp
https://www.lucidchart.com/pages/data-flow-diagram
質問 # 72
Which statement is FALSE regarding analyzing results from a vendor risk assessment?
- A. Identifying findings from a vendor risk assessment can occur at any stage in the contract lifecycle
- B. Findings from a vendor risk assessment may be defined at the entity level, and are based o na Specific topic or control
- C. Risk assessment findings identified by controls testing or validation should map back to the information gathering questionnaire and agreed upon framework
- D. The frequency for conducting a vendor reassessment is defined by regulatory obligations
正解：D
解説：
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
質問 # 73
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. Change the risk rating of the vendor to reflect a higher risk tier
- B. Insist the vendor adheres to the policy and contract provisions without exception
- C. Determine if a policy exception and approval is required, and require that data safeguarding obligations continue after termination
- D. Conduct an assessment of the vendor's data governance and records management program
正解：C
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 # 74
Which statement is FALSE regarding the different types of contracts and agreements between outsourcers and service providers?
- A. Statements of Work (SOWs) define operational requirements and obligations for each party
- B. Requests for Proposals (RFPs) for outsourced services should include mandatory requirements based on an organization's TPRM program policies, standards and procedures
- C. Contract addendums are not sufficient for addressing third party risk obligations as each requirement must be outlined in the Master Services Agreement (MSA)
- D. Evergreen contracts are automatically renewed for each party after the maturity period, unless terminated under existing contract provisions
正解：C
解説：
Contract addendums are supplementary documents that modify or amend the original contract terms. They can be used to address third party risk obligations, such as security, privacy, compliance, or performance standards, without having to rewrite the entire MSA. However, contract addendums should be consistent with the MSA and clearly specify the scope, duration, and responsibilities of each party. Contract addendums can also be used to update or revise the contract terms in response to changing business needs or regulatory requirements12.
The other statements are true regarding the different types of contracts and agreements between outsourcers and service providers. Evergreen contracts are contracts that do not have a fixed end date and are automatically renewed unless one party decides to terminate them under the existing contract provisions3.
RFPs are documents that solicit proposals from potential service providers for a specific project or service.
RFPs should include mandatory requirements based on an organization's TPRM program policies, standards and procedures, such as risk assessment, due diligence, monitoring, reporting, and remediation . SOWs are documents that define the operational requirements and obligations for each party, such as the scope, deliverables, timelines, costs, quality, and performance metrics . References:
* 1: Contracts and third-party risk - KPMG UK
* 2: Third-Party Risk & Contract Management: A Comprehensive Beginner's Guide - Trackado
* 3: What Is an Evergreen Contract? | Legal Beagle
* : [Best Practices Guidance for Third Party Risk - GARP]
* : Third-Party Risk Management: A Comprehensive Guide - UpGuard
* : Statement of Work (SOW) - Definition, Contents & Examples
* : How to Write a Statement of Work for Any Industry | Smartsheet
質問 # 75
When defining third party requirements for transmitting Pll, which factors provide stranger controls?
- A. Logging and monitoring
- B. Strength of encryption cipher and authentication method
- C. Full disk encryption and backup
- D. Available bandwidth and redundancy
正解：B
解説：
Personally identifiable information (PII) is any data that can be used to identify, contact, or locate an individual, such as name, address, email, phone number, social security number, etc. PII is subject to various legal and regulatory requirements, such as the GDPR, HIPAA, PCI DSS, and others, depending on the industry and jurisdiction. PII also poses significant security and privacy risks, as it can be exploited by malicious actors for identity theft, fraud, phishing, or other cyberattacks. Therefore, organizations that collect, store, process, or transmit PII must implement appropriate safeguards to protect it from unauthorized access, disclosure, modification, or loss.
One of the key safeguards for PII protection is encryption, which is the process of transforming data into an unreadable format using a secret key. Encryption ensures that only authorized parties who have the key can access the original data. Encryption can be applied to data at rest (stored on a device or a server) or data in transit (moving across a network or the internet). Encryption can also be symmetric (using the same key for encryption and decryption) or asymmetric (using a public key for encryption and a private key for decryption).
Another key safeguard for PII protection is authentication, which is the process of verifying the identity of a user or a system that requests access to data. Authentication ensures that only legitimate and authorized parties can access the data. Authentication can be based on something the user knows (such as a password or a PIN), something the user has (such as a token or a smart card), something the user is (such as a fingerprint or a face scan), or a combination of these factors. Authentication can also be enhanced by using additional methods, such as one-time passwords, challenge-response questions, or multi-factor authentication.
When defining third party requirements for transmitting PII, the factors that provide stronger controls are the strength of encryption cipher and authentication method. These factors determine how secure and reliable the data transmission is, and how resistant it is to potential attacks or breaches. The strength of encryption cipher refers to the algorithm and the key size used to encrypt the data. The stronger the cipher, the more difficult it is to break or crack the encryption. The strength of authentication method refers to the type and the number of factors used to verify the identity of the user or the system. The stronger the authentication method, the more difficult it is to impersonate or compromise the user or the system.
The other factors, such as full disk encryption and backup, available bandwidth and redundancy, and logging and monitoring, are also important for PII protection, but they do not directly affect the data transmission process. Full disk encryption and backup are relevant for data at rest, not data in transit. They provide protection in case of device theft, loss, or damage, but they do not prevent data interception or modification during transmission. Available bandwidth and redundancy are relevant for data availability and performance, not data security and privacy. They ensure that the data transmission is fast and reliable, but they do not prevent data exposure or corruption during transmission. Logging and monitoring are relevant for data audit and compliance, not data encryption and authentication. They provide visibility and accountability for the data transmission activities, but they do not prevent data access or misuse during transmission. References:
* : What is Data Encryption? | Definition and Examples | Imperva
* : What is Authentication? | Definition and Examples | Imperva
* : Personally Identifiable Information (PII) - Imperva
* : Data Protection - Shared Assessments
質問 # 76
Which statement is NOT a method of securing web applications?
- A. Include validation checks in SDLC for cross site scripting and SOL injections
- B. Ensure appropriate logging and review of access and events
- C. Conduct periodic penetration tests
- D. Adhere to web content accessibility guidelines
正解：D
解説：
Web content accessibility guidelines (WCAG) are a set of standards that aim to make web content more accessible to people with disabilities, such as visual, auditory, cognitive, or motor impairments. While WCAG is a good practice for web development and usability, it is not directly related to web application security.
WCAG does not address the common security risks that web applications face, such as injection, broken authentication, misconfiguration, or vulnerable components. Therefore, adhering to WCAG is not a method of securing web applications, unlike the other options. References:
* 4: OWASP Top 10, a standard awareness document for web application security, lists the most critical security risks to web applications and provides best practices to prevent or mitigate them.
* 5: SANS Institute, a leading provider of cybersecurity training and certification, offers a security checklist for web application technologies (SWAT) that covers best practices for error handling, data protection, configuration, authentication, session management, input and output handling, and access control.
* 6: Built In, a platform for tech professionals, provides 13 web application security best practices, such as using a web application firewall, keeping track of APIs, enforcing expected application behaviors, and following the OWASP Top 10.
質問 # 77
You receive a call from a vendor that two laptops and a tablet are missing that were used to process your company data. The asset loss occurred two years ago, but was only recently discovered. That statement may indicate that this vendor is lacking an adequate:
- A. Asset Management Program
- B. Information Security Incident Notification Policy
- C. Data Loss Prevention Program
- D. Physical and Environmental Security Program
正解：A
解説：
The scenario described indicates a lack in the vendor's Asset Management Program. An effective Asset Management Program includes maintaining an accurate inventory of hardware and devices, monitoring their status, and promptly identifying and responding to any losses or discrepancies. The failure to discover the loss of laptops and a tablet that processed company data for two years suggests deficiencies in tracking and managing physical assets. This lapse can lead to risks associated with data security, regulatory compliance, and operational integrity. A robust Asset Management Program should ensure that all assets are accounted for, their usage is monitored, and any anomalies or losses are quickly identified and addressed.
References:
* IT asset management standards, such as ISO/IEC 27001 (Information Security Management), emphasize the importance of maintaining an inventory of assets and implementing appropriate controls to safeguard
* organizational assets.
* The "IT Asset Management Handbook" by the International Association of IT Asset Managers (IAITAM) provides guidelines on establishing a comprehensive Asset Management Program, including best practices for asset tracking, monitoring, and loss prevention.
質問 # 78
Which statement is FALSE regarding problem or issue management?
- A. Problems or issues are the root cause of an actual or potential incident
- B. Problem or issue management involves managing workarounds or known errors
- C. Problems or issues typically lead to systemic failures
- D. Problem or issue management may reduce the likelihood and impact of incidents
正解：C
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 # 79
Which set of procedures is typically NOT addressed within data privacy policies?
- A. Procedures for handling data access requests from individuals
- B. Procedures for configuration settings in identity access management
- C. Procedures to limit access and disclosure of personal information to third parties
- D. Procedures for incident reporting and notification
正解：B
解説：
Data privacy policies are documents that outline how an organization collects, uses, stores, shares, and protects personal information from its customers, employees, partners, and other stakeholders1. Data privacy policies should address the following key elements2:
* The purpose and scope of data collection and processing
* The legal basis and consent mechanism for data processing
* The types and categories of personal data collected and processed
* The data retention and deletion policies and practices
* The data security and encryption measures and standards
* The data sharing and disclosure practices and procedures, including the use of third parties and cross-border transfers
* The data access, correction, and deletion rights and requests of individuals
* The data breach and incident response and notification procedures and responsibilities
* The data protection officer and contact details
* The data privacy policy review and update process and frequency
Procedures for configuration settings in identity access management are typically not addressed within data privacy policies, as they are more related to the technical and operational aspects of data security and access control. Identity access management (IAM) is a framework of policies, processes, and technologies that enable an organization to manage and verify the identities and access rights of its users and devices3. IAM configuration settings determine how users and devices are authenticated, authorized, and audited when accessing data and resources. IAM configuration settings should be aligned with the data privacy policies and principles, but they are not part of the data privacy policies themselves. IAM configuration settings should be documented and maintained separately from data privacy policies, and should be reviewed and updated regularly to ensure compliance and security. References: 1: What is a Data Privacy Policy? | OneTrust 2: Privacy Policy Checklist: What to Include in Your Privacy Policy 3: What is identity and access management? | IBM : [Identity and Access Management Configuration Settings] : [Why data privacy and third-party risk teams need to work ... - OneTrust] : [Privacy Risk Management - ISACA] : [What Every Chief Privacy Officer Should Know About Third-Party Risk ...]
質問 # 80
Which type of contract termination is MOST likely to occur after failure to remediate assessment findings?
- A. Normal termination
- B. Termination for cause
- C. Regulatory/supervisory termination
- D. Termination for convenience
正解：B
解説：
Termination for cause is the type of contract termination that is most likely to occur after failure to remediate assessment findings. This is because termination for cause is based on a breach of contract by the third-party, such as non-compliance, poor performance, fraud, or misconduct. Failure to remediate assessment findings indicates that the third-party has not met the contractual obligations or expectations of the entity, and thus exposes the entity to increased risk and liability. Termination for cause allows the entity to end the contract immediately or after a notice period, and to seek damages or remedies from the third-party. Termination for cause is different from other types of contract termination, such as:
* Regulatory/supervisory termination, which is triggered by a change in law or regulation that affects the legality or feasibility of the contract.
* Termination for convenience, which is exercised by the entity without any fault or breach by the third-party, usually for strategic or operational reasons.
* Normal termination, which is the natural expiration of the contract term or the completion of the contract scope. References:
* Shared Assessments. (2020). Certified Third Party Risk Professional (CTPRP) Study Guide1
* Fusion Risk Management. (2021). Exit Strategy for Terminating a Third Party2
* Volkov, M. (2016). Third-Party Risk Management - Part 2: Contract Termination3
質問 # 81
Which of the following factors is LEAST likely to trigger notification obligations in incident response?
- A. Contractual terms
- B. Regulatory requirements
- C. Data classification or sensitivity
- D. Encryption of data
正解：D
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 # 82
Your company has been alerted that an IT vendor began utilizing a subcontractor located in a country restricted by company policy. What is the BEST approach to handle this situation?
- A. inform the business unit and recommend that the company cease future work with the IT vendor due to company policy
- B. Notify management to approve an exception and ensure that contract provisions require prior
"notification and evidence of subcontractor due diligence - C. Inform the business unit and ask the vendor to replace the subcontractor at their expense in "order to move the processing back to an approved country
- D. Update the vender inventory with the mew location information in order to schedule a reassessment
正解：C
解説：
This answer is the best approach because it aligns with the principles of third-party risk management, which include ensuring compliance with company policies, contractual obligations, and regulatory requirements. By asking the vendor to replace the subcontractor, the company is exercising its right to terminate or modify the relationship if the vendor fails to meet the agreed-upon standards or poses unacceptable risks. This also minimizes the potential impact of the vendor's non-compliance on the company's reputation, operations, and data security. The other options are less effective because they either ignore the issue, compromise the company's policy, or rely on the vendor's self-assessment without verification. References:
* Third Party Risk Management Framework, Module 3: Program Governance, Section 3.2: Policies and Procedures, p. 14
* Third Party Risk Management Framework, Module 4: Program Components, Section 4.3: Contracting, p. 24
* Third Party Risk Management Framework, Module 5: Program Implementation, Section 5.2: Ongoing Monitoring, p. 32
* Best-Practices Guidance for Third-Party Risk, Section: Defend Against Privileged User Risks, p. 2
* Five Best Practices to Manage and Control Third-Party Risk, Section: Best Practices for Controlling Third-Party Vendor Risks, p. 3
質問 # 83
Select the risk type that is defined as: "A third party may not be able to meet its obligations due to inadequate systems or processes".
- A. Reliability risk
- B. Availability risk
- C. Performance risk
- D. Competency risk
正解：C
解説：
Performance risk, defined as the risk that a third party may not be able to meet its obligations due to inadequate systems or processes, accurately describes the situation. This type of risk involves concerns about the third party's ability to deliver services or products at the required performance level, potentially due to limitations in their technology infrastructure, operational procedures, or management practices. Identifying and managing performance risk is essential in Third-Party Risk Management (TPRM) to ensure that third-party vendors can reliably meet contractual and service-level agreements, thereby minimizing the impact on the organization's operations and service delivery.
References:
* TPRM guidelines, such as those from the Office of the Comptroller of the Currency (OCC) and the Federal Financial Institutions Examination Council (FFIEC), highlight the importance of assessing and
* managing performance risks associated with third-party relationships.
* The "Third-Party Risk Management Guide" by ISACA discusses various types of risks, including performance risk, associated with engaging third-party service providers, emphasizing the need for thorough due diligence and ongoing monitoring.
質問 # 84
......
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