Question 1

An organization's internal audit team should do all of the following EXCEPT?

Options :

A : Implement processes to correct audit failures.

B : Verify that technical measures are in place.

C : Review how operations work in practice

D : Ensure policies are being adhered to.

Answer: A

Question 2

SCENARIO

Please use the following to answer the next question:

Henry Home Furnishings has built high-end furniture for nearly forty years. However, the new owner, Anton, has

found some degree of disorganization after touring the company headquarters. His uncle Henry had always

focused on production – not data processing – and Anton is concerned. In several storage rooms, he has found

paper files, disks, and old computers that appear to contain the personal data of current and former employees

and customers. Anton knows that a single break-in could irrevocably damage the company's relationship with

its loyal customers. He intends to set a goal of guaranteed zero loss of personal information.

To this end, Anton originally planned to place restrictions on who was admitted to the physical premises of the

company. However, Kenneth – his uncle's vice president and longtime confidante – wants to hold off on Anton's

idea in favor of converting any paper records held at the company to electronic storage. Kenneth believes this

process would only take one or two years. Anton likes this idea; he envisions a password-protected system that

only he and Kenneth can access.

Anton also plans to divest the company of most of its subsidiaries. Not only will this make his job easier, but it

will simplify the management of the stored data. The heads of subsidiaries like the art gallery and kitchenware

store down the street will be responsible for their own information management. Then, any unneeded subsidiary

data still in Anton's possession can be destroyed within the next few years.

After learning of a recent security incident, Anton realizes that another crucial step will be notifying customers.

Kenneth insists that two lost hard drives in question are not cause for concern; all of the data was encrypted

and not sensitive in nature. Anton does not want to take any chances, however. He intends on sending notice

letters to all employees and customers to be safe.

Anton must also check for compliance with all legislative, regulatory, and market requirements related to

privacy protection. Kenneth oversaw the development of the company's online presence about ten years ago,

but Anton is not confident about his understanding of recent online marketing laws. Anton is assigning another

trusted employee with a law background the task of the compliance assessment. After a thorough analysis,

Anton knows the company should be safe for another five years, at which time he can order another check.

Documentation of this analysis will show auditors due diligence.

Anton has started down a long road toward improved management of the company, but he knows the effort is

worth it. Anton wants his uncle's legacy to continue for many years to come.

In terms of compliance with regulatory and legislative changes, Anton has a misconception regarding?

Options :

A : The timeline for monitoring.

B : The method of recordkeeping

C : The use of internal employees

D : The type of required qualifications.

Answer: A

Question 3

Under the General Data Protection Regulation (GDPR), which situation would be LEAST likely to require a Data Protection Impact Assessment (DPIA)?

Options :

A : A health clinic processing its patients’ genetic and health data

B : The use of a camera system to monitor driving behavior on highways

C : A Human Resources department using a tool to monitor its employees’ internet activity

D : An online magazine using a mailing list to send a generic daily digest to marketing emails

Answer: D

Question 4

SCENARIO

Please use the following to answer the next question:

Richard McAdams recently graduated law school and decided to return to the small town of Lexington, Virginia

to help run his aging grandfather's law practice. The elder McAdams desired a limited, lighter role in the

practice, with the hope that his grandson would eventually take over when he fully retires. In addition to hiring

Richard, Mr. McAdams employs two paralegals, an administrative assistant, and a part-time IT specialist who

handles all of their basic networking needs. He plans to hire more employees once Richard gets settled and

assesses the office's strategies for growth.

Immediately upon arrival, Richard was amazed at the amount of work that needed to done in order to

modernize the office, mostly in regard to the handling of clients' personal data. His first goal is to digitize all the

records kept in file cabinets, as many of the documents contain personally identifiable financial and medical

data. Also, Richard has noticed the massive amount of copying by the administrative assistant throughout the

day, a practice that not only adds daily to the number of files in the file cabinets, but may create security issues

unless a formal policy is firmly in place Richard is also concerned with the overuse of the communal copier/

printer located in plain view of clients who frequent the building. Yet another area of concern is the use of the

same fax machine by all of the employees. Richard hopes to reduce its use dramatically in order to ensure that

personal data receives the utmost security and protection, and eventually move toward a strict Internet faxing

policy by the year's end.

Richard expressed his concerns to his grandfather, who agreed, that updating data storage, data security, and

an overall approach to increasing the protection of personal data in all facets is necessary Mr. McAdams

granted him the freedom and authority to do so. Now Richard is not only beginning a career as an attorney, but

also functioning as the privacy officer of the small firm. Richard plans to meet with the IT employee the following

day, to get insight into how the office computer system is currently set-up and managed.

Which of the following policy statements needs additional instructions in order to further protect the personal

data of their clients?

Options :

A :

All faxes sent from the office must be documented and the phone number used must be double checked to ensure a safe arrival

B :

All unused copies, prints, and faxes must be discarded in a designated recycling bin located near the work station and emptied daily.

C :

Before any copiers, printers, or fax machines are replaced or resold, the hard drives of these devices must be deleted before leaving the office

D :

When sending a print job containing personal data, the user must not leave the information visible on the computer screen following the print command and must retrieve the printed document immediately

Answer: B

Question 5

The following are examples of Privacy by Design (PbD) EXCEPT?

Options :

A : Incorporating privacy consultations into technology procurement requests

B : Assessing privacy risks in the architecture of a proposed customer-facing tool

C : Integrating predefined privacy controls into standard product launch procedures

D : Conducting a root cause analysis on privacy incidents to recommend response improvements

Answer: D