QUESTION: 425 Topic: 3, Analysis and Monitoring

Who should measure the effectiveness of Information System security related controls in an organization?

The local security specialist
The business manager
The systems auditor
The central security manager

Answer(s): C

Explanation:

It is the systems auditor that should lead the effort to ensure that the security controls are in place and effective. The audit would verify that the controls comply with polices, procedures, laws, and regulations where applicable. The findings would provide these to senior management.
The following answers are incorrect:
the local security specialist. Is incorrect because an independent review should take place by a third party. The security specialist might offer mitigation strategies but it is the auditor that would ensure the effectiveness of the controls
the business manager. Is incorrect because the business manager would be responsible that the controls are in place, but it is the auditor that would ensure the effectiveness of the controls.
the central security manager. Is incorrect because the central security manager would be responsible for implementing the controls, but it is the auditor that is responsibe for ensuring their effectiveness.

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QUESTION: 426 Topic: 3, Analysis and Monitoring

In an online transaction processing system (OLTP), which of the following actions should be taken when erroneous or invalid transactions are detected?

The transactions should be dropped from processing.
The transactions should be processed after the program makes adjustments.
The transactions should be written to a report and reviewed.
The transactions should be corrected and reprocessed.

Answer(s): C

Explanation:

In an online transaction processing system (OLTP) all transactions are recorded as
they occur. When erroneous or invalid transactions are detected the transaction can be recovered by reviewing the logs.
As explained in the ISC2 OIG:
OLTP is designed to record all of the business transactions of an organization as they occur. It is a data processing system facilitating and managing transaction-oriented applications. These are characterized as a system used by many concurrent users who are actively adding and modifying data to effectively change real-time data.
OLTP environments are frequently found in the finance, telecommunications, insurance, retail, transportation, and travel industries. For example, airline ticket agents enter data in the database in real-time by creating and modifying travel reservations, and these are increasingly joined by users directly making their own reservations and purchasing tickets through airline company Web sites as well as discount travel Web site portals. Therefore, millions of people may be accessing the same flight database every day, and dozens of people may be looking at a specific flight at the same time.
The security concerns for OLTP systems are concurrency and atomicity.
Concurrency controls ensure that two users cannot simultaneously change the same data, or that one user cannot make changes before another user is finished with it. In an airline ticket system, it is critical for an agent processing a reservation to complete the transaction, especially if it is the last seat available on the plane.
Atomicity ensures that all of the steps involved in the transaction complete successfully. If one step should fail, then the other steps should not be able to complete. Again, in an airline ticketing system, if the agent does not enter a name into the name data field correctly, the transaction should not be able to complete.
OLTP systems should act as a monitoring system and detect when individual processes abort, automatically restart an aborted process, back out of a transaction if necessary, allow distribution of multiple copies of application servers across machines, and perform dynamic load balancing.
A security feature uses transaction logs to record information on a transaction before it is processed, and then mark it as processed after it is done. If the system fails during the transaction, the transaction can be recovered by reviewing the transaction logs.
Checkpoint restart is the process of using the transaction logs to restart the machine by running through the log to the last checkpoint or good transaction. All transactions following the last checkpoint are applied before allowing users to access the data again.
Wikipedia has nice coverage on what is OLTP:
Online transaction processing, or OLTP, refers to a class of systems that facilitate and manage transaction-oriented applications, typically for data entry and retrieval transaction processing. The term is somewhat ambiguous; some understand a "transaction" in the context of computer or database transactions, while others (such as the Transaction Processing Performance Council) define it in terms of business or commercial transactions.
OLTP has also been used to refer to processing in which the system responds immediately to user requests. An automatic teller machine (ATM) for a bank is an example of a commercial transaction processing application.
The technology is used in a number of industries, including banking, airlines, mailorder, supermarkets, and manufacturing. Applications include electronic banking, order processing, employee time clock systems, e-commerce, and eTrading.
There are two security concerns for OLTP system: Concurrency and Atomicity
ATOMICITY
In database systems, atomicity (or atomicness) is one of the ACID transaction properties. In an atomic transaction, a series of database operations either all occur, or nothing occurs. A guarantee of atomicity prevents updates to the database occurring only partially, which can cause greater problems than rejecting the whole series outright.
The etymology of the phrase originates in the Classical Greek concept of a fundamental and indivisible component; see atom.
An example of atomicity is ordering an airline ticket where two actions are required: payment, and a seat reservation. The potential passenger must either:
both pay for and reserve a seat; OR
neither pay for nor reserve a seat.
The booking system does not consider it acceptable for a customer to pay for a ticket without securing the seat, nor to reserve the seat without payment succeeding.
CONCURRENCY
Database concurrency controls ensure that transactions occur in an ordered fashion.
The main job of these controls is to protect transactions issued by different users/applications from the effects of each other. They must preserve the four characteristics of database transactions ACID test: Atomicity, Consistency, Isolation, and Durability. Read http://en.wikipedia.org/wiki/ACID
for more details on the ACID test.
Thus concurrency control is an essential element for correctness in any system where two database transactions or more, executed with time overlap, can access the same data, e.g., virtually in any general-purpose database system. A well established concurrency control theory exists for database systems: serializability theory, which allows to effectively design and analyze concurrency control methods and mechanisms.
Concurrency is not an issue in itself, it is the lack of proper concurrency controls that makes it a serious issue.
The following answers are incorrect:
The transactions should be dropped from processing. Is incorrect because the transactions are processed and when erroneous or invalid transactions are detected the transaction can be recovered by reviewing the logs.
The transactions should be processed after the program makes adjustments. Is incorrect because the transactions are processed and when erroneous or invalid transactions are detected the transaction can be recovered by reviewing the logs.
The transactions should be corrected and reprocessed. Is incorrect because the transactions are processed and when erroneous or invalid transactions are detected the transaction can be recovered by reviewing the logs.

Reference:

Hernandez CISSP, Steven (2012-12-21). Official (ISC)2 Guide to the CISSP CBK, Third Edition ((ISC)2 Press) (Kindle Locations 12749-12768). Auerbach Publications. Kindle Edition.
and
http://en.wikipedia.org/wiki/Online_transaction_processing and
http://databases.about.com/od/administration/g/concurrency.htm

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QUESTION: 427 Topic: 3, Analysis and Monitoring

Who can best decide what are the adequate technical security controls in a computer-based application system in regards to the protection of the data being used, the criticality of the data, and it's sensitivity level ?

System Auditor
Data or Information Owner
System Manager
Data or Information user

Answer(s): B

Explanation:

The data or information owner also referred to as "Data Owner" would be the best person. That is the individual or officer who is ultimately responsible for the protection of the information and can therefore decide what are the adequate security controls according to the data sensitivity and data criticality. The auditor would be the best person to determine the adequacy of controls and whether or not they are working as expected by the owner.
The function of the auditor is to come around periodically and make sure you are doing what you are supposed to be doing. They ensure the correct controls are in place and are being maintained securely. The goal of the auditor is to make sure the organization complies with its own policies and the applicable laws and regulations.
Organizations can have internal auditors and/ or external auditors. The external auditors commonly work on behalf of a regulatory body to make sure compliance is being met. For example CobiT, which is a model that most information security auditors follow when evaluating a security program. While many security professionals fear and dread auditors, they can be valuable tools in ensuring the overall security of the organization. Their goal is to find the things you have missed and help you understand how to fix the problem.
The Official ISC2 Guide (OIG) says:
IT auditors determine whether users, owners, custodians, systems, and networks are in compliance with the security policies, procedures, standards, baselines, designs, architectures, management direction, and other requirements placed on systems. The auditors provide independent assurance to the management on the appropriateness of the security controls. The auditor examines the information systems and determines whether they are designed, configured, implemented, operated, and managed in a way ensuring that the organizational objectives are being achieved. The auditors provide top company management with an independent view of the controls and their effectiveness.
Example:
Bob is the head of payroll. He is therefore the individual with primary responsibility over the payroll database, and is therefore the information/data owner of the payroll database. In Bob's department, he has Sally and Richard working for him. Sally is responsible for making changes to the payroll database, for example if someone is hired or gets a raise. Richard is only responsible for printing paychecks. Given those roles, Sally requires both read and write access to the payroll database, but Richard requires only read access to it. Bob communicates these requirements to the system administrators (the "information/data custodians") and they set the file permissions for
Sally's and Richard's user accounts so that Sally has read/write access, while Richard has only read access.
So in short Bob will determine what controls are required, what is the sensitivily and criticality of the Data. Bob will communicate this to the custodians who will implement the requirements on the systems/DB. The auditor would assess if the controls are in fact providing the level of security the Data Owner expects within the systems/DB. The auditor does not determine the sensitivity of the data or the crititicality of the data.
The other answers are not correct because:
A "system auditor" is never responsible for anything but auditing... not actually making control decisions but the auditor would be the best person to determine the adequacy of controls and then make recommendations.
A "system manager" is really just another name for a system administrator, which is actually an information custodian as explained above.
A "Data or information user" is responsible for implementing security controls on a day-to-day basis as they utilize the information, but not for determining what the controls should be or if they are adequate.

Reference:

Official ISC2 Guide to the CISSP CBK, Third Edition , Page 477
Schneiter, Andrew (2013-04-15). Official (ISC)2 Guide to the CISSP CBK, Third Edition :
Information Security Governance and Risk Management ((ISC)2 Press) (Kindle Locations 294- 298). Auerbach Publications. Kindle Edition.
Harris, Shon (2012-10-25). CISSP All-in-One Exam Guide, 6th Edition (Kindle Locations 3108- 3114).
Information Security Glossary
Responsibility for use of information resources

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QUESTION: 428 Topic: 3, Analysis and Monitoring

Attributable data should be:

always traced to individuals responsible for observing and recording the data
sometimes traced to individuals responsible for observing and recording the data
never traced to individuals responsible for observing and recording the data
often traced to individuals responsible for observing and recording the data

Answer(s): A

Explanation:

As per FDA data should be attributable, original, accurate, contemporaneous and legible. In an automated system attributability could be achieved by a computer system designed to identify individuals responsible for any input.

Reference:

U.S. Department of Health and Human Services, Food and Drug Administration, Guidance for Industry - Computerized Systems Used in Clinical Trials, April 1999, page 1.

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