Isaca CISA Exam With Confidence Using Practice Dumps

The answer B is correct because a system-generated list of staff and their project assignments, roles, and responsibilities is the most useful to an IS auditor performing a review of access controls for a document management system. A document management system is a software that helps organizations store, manage, and share documents electronically. Access controls are the mechanisms that restrict or allow access to the documents based on predefined criteria, such as user identity, role, or project. An IS auditor needs to verify that the access controls are properly configured and implemented to ensure the security, confidentiality, and integrity of the documents.

A system-generated list of staff and their project assignments, roles, and responsibilities can help the IS auditor to perform the following tasks:

Identify the users who have access to the document management system and their level of access (e.g., read-only, edit, delete, etc.).

Compare the actual access rights of the users with their expected or authorized access rights based on their roles and responsibilities.

Detect any anomalies, discrepancies, or violations in the access rights of the users, such as excessive or unauthorized access, segregation of duties conflicts, or dormant or inactive accounts.

Evaluate the effectiveness and efficiency of the access control policies and procedures, such as user provisioning, deprovisioning, authentication, authorization, auditing, etc.

The other options are not as useful as option B. Policies and procedures for managing documents provided by department heads (option A) are not reliable sources of information for an IS auditor because they may not reflect the actual practices or compliance status of the document management system. Previous audit reports related to other departments’ use of the same system (option C) are not relevant for an IS auditor because they may not address the specific issues or risks associated with the current department’s use of the document management system. Information provided by the audit team lead on the authentication systems used by the department (option D) is not sufficient for an IS auditor because authentication is only one aspect of access control and it does not provide information on the authorization or auditing of the document access.

References:

Overview of document management in SharePoint

Setting Up a Document Control System: 6 Basic Steps

Access Control Management: Purpose, Types, Tools, & Benefits

9 Best Document Management Systems of 2023

 Validation controls are used to check the input data from the user before processing it on the server. If the validation controls are moved from the server side to the browser, it means that the user can modify or bypass them using tools such as browser developer tools, JavaScript console, or proxy tools. This would increase the risk of a successful attack by structured query language (SQL) injection, which is a technique that exploits a security vulnerability in an application’s software layer that allows an attacker to execute arbitrary SQL commands on the underlying database. SQL injection can result in data theft, data corruption, or unauthorized access to the system.

Buffer overflow, denial of service (DoS), and phishing are not directly related to the validation controls in a web application. Buffer overflow is a type of attack that exploits a memory management flaw in an application or system that allows an attacker to write data beyond the allocated buffer size and overwrite adjacent memory locations. DoS is a type of attack that prevents legitimate users from accessing a service or resource by overwhelming it with requests or traffic. Phishing is a type of attack that uses fraudulent emails or websites to trick users into revealing sensitive information or installing malware.

References:

Client-side form validation - Learn web development | MDN

JavaScript: client-side vs. server-side validation - Stack Overflow

SQL Injection - OWASP

 Control self-assessment (CSA) is a technique that enables business managers and staff to assess and improve the effectiveness of their own controls and risk management processes. CSA can best enable the timely identification of risk exposure, as it allows for continuous monitoring and reporting of risks by those who are closest to the business processes and activities. External audit review, internal audit review, and stress testing are also useful methods for identifying risk exposure, but they are not as timely as CSA, as they are performed periodically or on demand by external or internal parties who may not have as much insight into the business operations and environment. References: ISACA CISA Review Manual 27th Edition, page 95.