ISC CAP Exam Dumps & Practice Test Questions

Question 1:

Who is primarily responsible for overseeing and participating in an organization's configuration management process?

A. Senior Agency Information Security Officer
B. Authorizing Official
C. Common Control Provider
D. Chief Information Officer

Correct Answer: C

Explanation:

Configuration management plays a critical role in maintaining the integrity, security, and functionality of an organization’s IT environment. It ensures that changes to hardware, software, documentation, and procedures are made in a controlled and systematic manner, thereby reducing the risk of unintended disruptions or vulnerabilities. Within the Risk Management Framework (RMF) and broader security governance models, responsibility for configuration management often aligns with roles that oversee common security controls and shared IT infrastructure.

The Common Control Provider (CCP) is the correct choice because this role is directly responsible for implementing, documenting, maintaining, and monitoring security controls that are shared across multiple information systems. Configuration management is a foundational control area under the NIST SP 800-53 control family, and because common controls affect multiple systems, the CCP ensures that consistent configuration baselines are maintained across those systems. This includes ensuring that updates or patches are appropriately approved and deployed, tracking changes, and maintaining up-to-date documentation on configurations.

Let’s review the incorrect options:

A. Senior Agency Information Security Officer (SAISO):
This role is primarily concerned with the strategic oversight of information security across the organization. The SAISO provides leadership on security policy and risk posture but is not typically involved in the hands-on management or monitoring of configuration settings for individual systems or shared infrastructure.

B. Authorizing Official (AO):
The AO is responsible for formally accepting the risk of operating a system and issuing an Authorization to Operate (ATO). They rely on evidence gathered from system assessments, security documentation, and control implementation—but they do not directly manage or monitor configuration changes themselves.

D. Chief Information Officer (CIO):
The CIO is responsible for setting the overall technology strategy and ensuring that IT investments support the organization’s mission. While the CIO may define governance structures or policies that encompass configuration management, they do not participate directly in the monitoring or execution of configuration changes.

In summary, the Common Control Provider is specifically tasked with managing controls that are implemented and maintained across multiple systems. These responsibilities include overseeing the configuration management process, ensuring consistent application of security settings, and monitoring those configurations over time. Thus, the correct answer is C.

Question 2:

Which of the following are core responsibilities typically assigned to a Chief Information Officer (CIO)?

A. Maintaining executive-level communication and group relations
B. Coordinating the exchange of security risk information between authorizing officials
C. Establishing and overseeing a continuous monitoring program
D. Recommending IT solutions to support business goals and managing their implementation within budget

Correct Answers: C, D

Explanation:

The Chief Information Officer (CIO) is the senior executive charged with managing an organization’s information technology strategy and operations. The CIO’s responsibilities span technical, financial, and strategic domains, making this a multi-dimensional leadership role. As IT becomes increasingly central to achieving business goals, the CIO is often involved in both day-to-day operations and long-term digital transformation planning.

Option C: Establishing a continuous monitoring program
This is a core responsibility of the CIO, especially in today’s cybersecurity-driven environments. Continuous monitoring involves real-time or near-real-time assessment of security controls to ensure they remain effective. While the technical implementation may fall to security teams or systems administrators, the CIO is responsible for enabling and resourcing this capability, often aligning it with compliance frameworks such as NIST RMF or ISO 27001. By integrating continuous monitoring into enterprise IT governance, the CIO supports risk mitigation and operational resilience.

Option D: Recommending and implementing IT solutions within budget
This is perhaps the most fundamental duty of a CIO. The CIO proposes IT initiatives that align with business objectives, evaluates solution options, and ensures that implementation is cost-effective and aligns with financial constraints. This responsibility requires strategic planning, vendor management, stakeholder coordination, and budgetary oversight, all of which are essential to successful IT leadership.

Let’s review the incorrect options:

Option A: Maintaining high-level communication and working group relations
While the CIO may interact with other executives and support cross-functional initiatives, maintaining executive communications is not a core CIO responsibility. That function is typically aligned with roles like the CEO or COO, who are more broadly responsible for internal communication and organizational alignment.

Option B: Facilitating security risk communication among authorizing officials
This task falls more squarely within the CISO's or Risk Executive's role. These professionals are responsible for ensuring that security-related risk information is disseminated effectively among those responsible for authorizing system operations. While the CIO may be involved at a strategic level, direct facilitation of security risk discussions among AOs is not part of their primary job function.

In conclusion, the CIO’s key responsibilities include implementing continuous monitoring (C) and aligning IT with business goals within financial constraints (D). These roles support both operational stability and innovation, making C and D the correct answers.

Question 3:

Within an organization’s cybersecurity framework, both the Information System Security Officer (ISSO) and the Information System Security Engineer (ISSE) have critical roles.

Which of the following statements correctly reflect their responsibilities? (Select all that apply)

A. The ISSE offers guidance on how system changes could affect security.
B. The ISSE is responsible for managing system security during the Certification & Accreditation (C&A) process.
C. The ISSO is accountable for managing system security throughout the C&A process.
D. The ISSO actively participates in coding or implementing technical changes.
E. The ISSE provides recommendations on continuous monitoring of security controls.

Correct Answers: A, C, E

Explanation:

The roles of the Information System Security Officer (ISSO) and Information System Security Engineer (ISSE) are both crucial in the context of government or enterprise-level information system security, especially when working within the Risk Management Framework (RMF).

Let’s evaluate the correct options first:

A. The ISSE offers guidance on how system changes could affect security
This is correct. One of the ISSE’s core duties is to analyze proposed system updates and assess how these changes could impact the system’s security posture. They provide technical insight and risk evaluations to ensure any adjustments align with security requirements. They do not make management decisions, but their advice directly influences technical implementation choices.

C. The ISSO is accountable for managing system security throughout the C&A process
Also correct. The ISSO ensures that the system complies with required security controls, prepares documentation, coordinates with auditors and assessors, and facilitates the Certification and Accreditation process (now often referred to as Assessment and Authorization). They maintain the operational integrity and compliance of the system throughout its lifecycle.

E. The ISSE provides recommendations on continuous monitoring of security controls
This is another valid responsibility. The ISSE contributes to ongoing system monitoring by recommending which technical logs, alerts, and controls should be tracked. Their technical expertise ensures that the system is properly instrumented for security evaluation, helping to detect vulnerabilities or anomalies post-deployment.

Now let’s examine the incorrect options:

B. The ISSE is responsible for managing system security during the Certification & Accreditation (C&A) process
This is inaccurate. While the ISSE supports C&A by helping design secure systems and ensuring they meet technical standards, the management of system security and responsibility for compliance during C&A lies with the ISSO, not the ISSE.

D. The ISSO actively participates in coding or implementing technical changes
Incorrect. The ISSO is more focused on oversight, policy enforcement, and compliance—not direct technical development. While they may advise on change management procedures and ensure that all changes meet compliance requirements, they are not typically involved in hands-on development or coding tasks.

In summary:

• The ISSE plays an advisory role focused on security design and monitoring (A and E).

• The ISSO manages compliance and overall system security during C&A (C).
  The correct set of responsibilities is represented in options A, C, and E.

Question 4:

In the process of securing a government or enterprise IT system, someone must initiate the Certification & Accreditation (C&A) process to ensure security compliance.

Who is primarily responsible for starting this process?

A. Information System Owner
B. Authorizing Official
C. Chief Risk Officer (CRO)
D. Chief Information Officer (CIO)

Correct Answer: A

Explanation:

The Certification & Accreditation (C&A) process—also known today as Assessment and Authorization (A&A) under frameworks like the NIST RMF—is a structured procedure for evaluating and validating the security posture of an information system before it can be approved for operation. The process ensures that the system meets required security standards and manages risk appropriately.

The responsibility to initiate this process falls to the Information System Owner (ISO). This individual is accountable for the entire lifecycle of the system, including its planning, development, deployment, maintenance, and decommissioning. Because the ISO is responsible for ensuring the system complies with organizational and regulatory security requirements, they are the logical starting point for initiating C&A activities.

This typically involves:

• Submitting the system for evaluation

• Coordinating with assessors

• Ensuring required documentation (e.g., System Security Plan, Risk Assessment) is prepared

• Engaging stakeholders like ISSOs and ISSEs

Option B: Authorizing Official (AO)
While the AO plays a pivotal role—making the final decision to authorize the system for use—they do not start the process. Their role comes after the security assessment has been completed and all documentation has been reviewed.

Option C: Chief Risk Officer (CRO)
The CRO manages enterprise-wide risk and policies but does not typically deal with system-specific authorizations. They may advise on organizational risk tolerance, but they are not responsible for initiating individual system authorizations.

Option D: Chief Information Officer (CIO)
The CIO oversees IT operations and may allocate resources or approve funding for security projects. However, the CIO is too far removed from day-to-day system management to be responsible for initiating the C&A process.

Conclusion:
The Information System Owner is the only role directly responsible for initiating the C&A process. They ensure the system is ready for review and coordinate all activities that precede the final authorization decision. Thus, the correct answer is A.

Question 5:

Which of the following methodologies provides a defined six-step process specifically for performing technical security evaluations?

A. FITSAF
B. FIPS 102
C. OCTAVE
D. DITSCAP

Correct Answer: B

Explanation:

When selecting the correct security assessment methodology that incorporates a structured six-step technical evaluation, the correct choice is FIPS 102.

FIPS 102 (Federal Information Processing Standards Publication 102) was designed by the U.S. federal government to provide a standardized technical approach to evaluating the security of computer systems. The core of FIPS 102 is its six-step process for performing a technical security evaluation. These steps typically include:

1. Planning the evaluation

2. Characterizing the system

3. Identifying vulnerabilities

4. Analyzing threats

5. Evaluating controls

6. Conducting a comprehensive risk analysis

This sequential framework ensures that all aspects of a system’s security—technical weaknesses, exposure to threats, and mitigation controls—are considered in a consistent and repeatable manner. It is ideal for organizations requiring a technical deep-dive into the security posture of their information systems.

Now let’s evaluate the other options:

• A. FITSAF (Federal Information Technology Security Assessment Framework):
  FITSAF is a maturity model, not a technical methodology. It helps agencies assess how well their IT security programs align with five defined levels of implementation (ranging from unstructured to fully implemented and tested). However, it does not offer a six-step technical assessment process.

• C. OCTAVE (Operationally Critical Threat, Asset, and Vulnerability Evaluation):
  Developed by Carnegie Mellon University, OCTAVE is a risk-based framework focusing on organizational strategy rather than technical system evaluation. It has three phases (not six), and its purpose is broader than technical assessments—it includes stakeholder interviews and strategic risk evaluation.

• D. DITSCAP (DoD Information Technology Security Certification and Accreditation Process):
  This is a DoD accreditation framework that includes four formal phases (Definition, Verification, Validation, and Post Accreditation). It is focused on compliance and risk acceptance within military and federal systems but does not structure itself around six technical evaluation steps.

In summary, only FIPS 102 outlines a precise six-step process dedicated to technical security evaluation. It is distinct in its purpose and design, targeting evaluators who need a methodical approach to identifying and analyzing security weaknesses in federal IT systems. Hence, the correct answer is B.

Question 6:

Which of the following choices are official phases in the DIACAP (DoD Information Assurance Certification and Accreditation Process) workflow? (Select all that apply.)

A. Accreditation
B. Identification
C. System Definition
D. Verification
E. Validation
F. Re-Accreditation

Correct Answers: B, C, D, E

Explanation:

DIACAP (Department of Defense Information Assurance Certification and Accreditation Process) was introduced by the U.S. Department of Defense to provide a structured, phased approach to ensuring that DoD information systems meet rigorous security requirements before and during their operation. Though it was later replaced by the Risk Management Framework (RMF), DIACAP remains important in historical and legacy system contexts.

DIACAP consists of five formal phases, four of which directly map to the answer options provided:

1. Initiate and Plan IA C&A (Identification):
   This is the initial step where systems are formally registered, roles are assigned, and planning activities begin. This aligns with option B (Identification).

2. Implement and Validate Assigned IA Controls (System Definition):
   In this phase, the system’s boundaries are defined, applicable security controls are identified, and an implementation plan is established. This corresponds with option C (System Definition).

3. Make Certification Determination (Verification):
   Here, implemented controls are reviewed and verified through testing and documentation. This matches option D (Verification).

4. Accreditation Decision (Validation):
   Based on the verification results, the certifying authority conducts risk assessments and makes the final accreditation decision. This corresponds to option E (Validation).

5. Maintain Authorization to Operate and Conduct Reviews:
   This is a continuous monitoring phase that ensures the system remains compliant. Although re-accreditation may occur during this time, it is not considered a distinct DIACAP phase.

Now examining the incorrect options:

• A. Accreditation:
  While accreditation is the outcome of the DIACAP process (the decision to allow a system to operate), it is not a standalone phase. It happens as a result of the Validation phase.

• F. Re-Accreditation:
  This is part of ongoing lifecycle management and is performed if a system undergoes significant changes or at regular intervals. However, it is not listed as an official DIACAP phase.

In summary, the recognized DIACAP phases among the choices are Identification (B), System Definition (C), Verification (D), and Validation (E). These represent core steps in the lifecycle that guide the certification and accreditation of DoD information systems. The correct answers are B, C, D, and E.

Question 7:

Mark, the network administrator at NetTech Inc., wants to ensure that users can only access the resources that are essential for their job responsibilities. 

Which access control model would best help him implement this principle?

A. Mandatory Access Control
B. Role-Based Access Control
C. Discretionary Access Control
D. Policy Access Control

Correct Answer: B

Explanation:

When aiming to enforce the principle of least privilege—giving users access only to the information and resources necessary for their roles—the most suitable model is Role-Based Access Control (RBAC).

In RBAC, access permissions are not assigned to individual users directly. Instead, users are assigned to roles based on their responsibilities within the organization. Each role has a predefined set of permissions that determine what the users in that role can access. For example, a user in the “HR” role might have access to employee records, while a user in the “IT support” role might have access to system configuration tools.

This approach not only simplifies access management but also enhances security, compliance, and auditability. Mark can manage permissions at the role level instead of updating each user’s access individually, which is especially useful in medium to large organizations.

Let’s break down the other options:

• A. Mandatory Access Control (MAC): This model is often used in government and military settings. It relies on classification labels like “Top Secret” or “Confidential.” Only users with the appropriate security clearance can access data at a given classification. Although MAC provides high security, it is rigid and less flexible for general corporate environments like NetTech Inc., where operational needs often change.

• C. Discretionary Access Control (DAC): This model allows resource owners to decide who has access to their data. While DAC is flexible, it’s prone to security risks. Users can grant or revoke access at their discretion, which may lead to inconsistent access policies and security loopholes.

• D. Policy Access Control: This is not a standard access control model recognized in most formal security frameworks. While policies do guide access decisions in many systems, the term itself lacks the well-defined structure and industry adoption that RBAC enjoys.

In conclusion, Role-Based Access Control (RBAC) provides the ideal balance of security and manageability for environments like NetTech Inc., where users should only access what they need based on their job roles. Thus, the best choice is B.

Question 8:

Which document does the U.S. Department of Defense (DoD) use to describe the security features of an information system and formally approve it for operation?

A. FITSAF
B. FIPS
C. TCSEC
D. SSAA

Correct Answer: D

Explanation:

In the context of U.S. Department of Defense (DoD) cybersecurity processes, the System Security Authorization Agreement (SSAA) is the formal document used to define and accredit an information system or network.

The SSAA is a central component of the DoD Information Technology Security Certification and Accreditation Process (DITSCAP), which ensures that a system meets security requirements before it goes live. This document outlines the security requirements, operating environment, risk assessments, and mitigation strategies. It also includes a record of agreements made by the system owner, certifiers, and the designated approving authority (DAA).

The SSAA is not just documentation—it acts as a formal contract between all parties involved, clarifying who is responsible for what. Once signed, it signifies that the system has been reviewed and is authorized to operate with an acceptable level of risk.

Now, let’s review why the other options are incorrect:

• A. FITSAF (Federal IT Security Assessment Framework): This framework helps evaluate the maturity of an organization's information security practices. It’s used to assess implementation progress, not to formally accredit individual systems.

• B. FIPS (Federal Information Processing Standards): Issued by NIST, these standards cover everything from encryption algorithms to secure authentication. While they guide the development of secure systems, they don’t serve as accreditation documents.

• C. TCSEC (Trusted Computer System Evaluation Criteria), also known as the “Orange Book,” is a set of standards once used to evaluate the security of computer systems, primarily focusing on confidentiality. It classifies systems into different levels (like B1, C2) but does not provide accreditation for a specific system.

In contrast, the SSAA (D) directly supports accreditation. It details the planned security architecture, justification for the selected controls, and the residual risks. The SSAA is developed early in the system lifecycle and updated through development, testing, and deployment. It is required before a system is granted Authority to Operate (ATO) within DoD environments.

Therefore, SSAA is the correct and most comprehensive answer, making D the best choice.

Question 9:

James is assigned responsibilities that include performing backups, validating the backup process, restoring data when necessary, and ensuring data is retained in compliance with classification guidelines. 

What role does James fulfill in the organization’s data management framework?

A. Manager
B. Owner
C. Custodian
D. User

Correct Answer: C

Explanation:

In organizational data governance and information security frameworks, roles are categorized based on the level of responsibility and interaction with data. These roles include Owner, Custodian, User, and Manager—each having clearly defined duties. In this scenario, James is executing technical and operational tasks directly related to data protection and maintenance, making it important to understand which role aligns with such activities.

Let’s break down each option:

Option A: Manager
Managers are typically involved in oversight, policy creation, and resource coordination. While they might establish objectives and assign tasks, they generally do not engage in hands-on activities like performing data backups or restoring files. Since James is carrying out operational procedures, this role does not apply to his responsibilities.

Option B: Owner
Data or information owners are responsible for classifying data, defining access policies, and ensuring proper usage. They make strategic decisions about the data’s sensitivity and its handling requirements. However, they do not execute routine tasks like backups or data restoration. James’s activities are more aligned with the implementation of policies rather than their creation, ruling this option out.

Option C: Custodian
This is the correct answer. A custodian is the individual responsible for implementing the safeguards and controls dictated by the owner’s policies. James's duties—running regular backups, testing recovery procedures, and maintaining archival records—fall squarely under the custodian’s role. The custodian ensures data integrity, availability, and compliance with data retention guidelines, making it a critical operational function within IT and security teams.

Option D: User
A user is typically an end-user of a system or data who consumes resources for business functions. Users interact with the system based on the permissions granted to them but are not responsible for maintaining or backing up data. James clearly performs more technical duties that exceed user-level responsibilities.

In summary, James’s routine involvement in backups, restorations, and policy-driven data retention clearly classifies him as a custodian. This role supports the organization's need to ensure data is managed correctly at the operational level, in accordance with policies established by the data owner. Therefore, the correct answer is C.

Question 10:

In the Federal Information Technology Security Assessment Framework (FITSAF), which level corresponds to the point where formal procedures and security controls have been implemented?

A. Level 4
B. Level 1
C. Level 3
D. Level 5
E. Level 2

Correct Answer: C

Explanation:

The Federal Information Technology Security Assessment Framework (FITSAF) provides a standardized way to assess the security maturity of federal information systems. FITSAF outlines five maturity levels, ranging from initial planning to full optimization and continual improvement.

Understanding each level is key to identifying where procedures and controls are actually implemented and not just planned.

Let’s evaluate each level:

Level 1 (B):
This is the most basic level. It signifies minimal or ad hoc efforts in security implementation. At this stage, organizations may lack formal documentation, and any controls that do exist are often inconsistently applied or undocumented. This level is about initial awareness, not execution.

Level 2 (E):
Here, some documentation and planning begin to appear. Organizations may start defining procedures and assigning roles, but the actual implementation of these processes is still inconsistent or incomplete. It reflects a transitional phase where security measures are being planned but not yet fully operational.

Level 3 (C):
This is the correct answer. At this level, formalized procedures and technical controls are in place and actively enforced. Organizations at Level 3 have reached a level of maturity where they are executing their security plans—implementing firewalls, access controls, authentication methods, and other key security practices. This level indicates a significant milestone: the shift from policy development to operational execution.

Level 4 (A):
At this stage, organizations go beyond implementation and begin monitoring and evaluating their security measures. There’s a focus on metrics, auditing, and performance management to assess how effectively security controls are working.

Level 5 (D):
The highest level of maturity. Here, organizations engage in continuous improvement, using feedback loops and performance evaluations to update and optimize security measures regularly. It reflects a proactive security culture.

In conclusion, the question specifically asks when procedures and controls have been implemented—not when they are monitored or optimized. That milestone is reached at Level 3, where documented security controls are not only in place but also operational. Hence, the correct answer is C.