CISA-KR 문제 536
프로젝트가 프로젝트 계획을 준수하고 있다는 확신을 제공하는 가장 좋은 방법은 다음과 같습니다.
정답: D
The best way to provide assurance that a project is adhering to the project plan is to conduct compliance audits at major system milestones. A compliance audit is a systematic and independent examination of the project's activities, documents, and deliverables to determine whether they conform to the project plan and its specifications, standards, and requirements1. A major system milestone is a significant point or event in the project's life cycle that marks the completion of a phase, stage, or deliverable2.
By conducting compliance audits at major system milestones, the auditor can provide assurance that the project is adhering to the project plan by:
Verifying that the project's scope, schedule, budget, quality, and risks are aligned with the project plan and its objectives1 Identifying any deviations, discrepancies, or non-compliances that may affect the project's performance or outcome1 Recommending and monitoring corrective and preventive actions to address the identified issues and improve the project's compliance1 Reporting and communicating the audit findings, conclusions, and recommendations to the relevant stakeholders1 The other options are not as effective as conducting compliance audits at major system milestones for providing assurance that the project is adhering to the project plan. Requiring design reviews at appropriate points in the life cycle is a useful technique for ensuring that the project's design meets the user and business requirements and follows the design standards and best practices3. However, design reviews are not sufficient for providing assurance that the project is adhering to the project plan, as they do not cover other aspects of the project such as schedule, budget, quality, or risks. Having an IS auditor participate on the steering committee is a possible way for providing assurance that the project is adhering to the project plan, as the auditor can provide independent advice and oversight to the steering committee on quality management issues and remediation efforts4. However, this may not be feasible or appropriate for every project, as it may create a conflict of interest or compromise the auditor's objectivity and independence. Having an IS auditor participate on the quality assurance (QA) team is another possible way for providing assurance that the project is adhering to the project plan, as the auditor can assist the QA team in implementing procedures to facilitate adoption of quality management best practices5. However, this may also not be feasible or appropriate for every project, as it may create a conflict of interest or compromise the auditor's objectivity and independence.
Therefore, option D is the correct answer.
References:
What Is Compliance Audit? Definition & Process | ASQ
What Is A Project Milestone? - The Basics
Design Review - an overview | ScienceDirect Topics
Project success through project assurance - Project Management Institute Quality Assurance Team: Roles & Responsibilities
By conducting compliance audits at major system milestones, the auditor can provide assurance that the project is adhering to the project plan by:
Verifying that the project's scope, schedule, budget, quality, and risks are aligned with the project plan and its objectives1 Identifying any deviations, discrepancies, or non-compliances that may affect the project's performance or outcome1 Recommending and monitoring corrective and preventive actions to address the identified issues and improve the project's compliance1 Reporting and communicating the audit findings, conclusions, and recommendations to the relevant stakeholders1 The other options are not as effective as conducting compliance audits at major system milestones for providing assurance that the project is adhering to the project plan. Requiring design reviews at appropriate points in the life cycle is a useful technique for ensuring that the project's design meets the user and business requirements and follows the design standards and best practices3. However, design reviews are not sufficient for providing assurance that the project is adhering to the project plan, as they do not cover other aspects of the project such as schedule, budget, quality, or risks. Having an IS auditor participate on the steering committee is a possible way for providing assurance that the project is adhering to the project plan, as the auditor can provide independent advice and oversight to the steering committee on quality management issues and remediation efforts4. However, this may not be feasible or appropriate for every project, as it may create a conflict of interest or compromise the auditor's objectivity and independence. Having an IS auditor participate on the quality assurance (QA) team is another possible way for providing assurance that the project is adhering to the project plan, as the auditor can assist the QA team in implementing procedures to facilitate adoption of quality management best practices5. However, this may also not be feasible or appropriate for every project, as it may create a conflict of interest or compromise the auditor's objectivity and independence.
Therefore, option D is the correct answer.
References:
What Is Compliance Audit? Definition & Process | ASQ
What Is A Project Milestone? - The Basics
Design Review - an overview | ScienceDirect Topics
Project success through project assurance - Project Management Institute Quality Assurance Team: Roles & Responsibilities
CISA-KR 문제 537
다음 중 로봇 프로세스 자동화(RPA) 프로세스를 카탈로그화하고 목록화하는 일을 담당해야 하는 사람은 누구입니까?
정답: B
The business owner is best positioned to catalog and inventory robotic process automation (RPA) processes because they understand the processes, objectives, and associated risks. They ensure that RPA aligns with business goals and compliance requirements.
* IT Personnel (Option A):Typically support implementation and maintenance but may lack insight into business processes.
* Information Security Personnel (Option C):Focus on securing processes but are not responsible for inventorying them.
* Data Steward (Option D):Primarily responsible for data governance, not RPA process inventory.
Reference:ISACA CISA Review Manual, Job Practice Area 1: Governance and Management of IT.
* IT Personnel (Option A):Typically support implementation and maintenance but may lack insight into business processes.
* Information Security Personnel (Option C):Focus on securing processes but are not responsible for inventorying them.
* Data Steward (Option D):Primarily responsible for data governance, not RPA process inventory.
Reference:ISACA CISA Review Manual, Job Practice Area 1: Governance and Management of IT.
CISA-KR 문제 538
IS 감사원은 제대로 체크아웃되지 않은 서버에 대한 관리자 계정을 결정하고 각 사용 후 다시 로그인합니다. 다음 중 문제의 범위를 결정하는 데 가장 적합한 샘플링 기술은 무엇입니까?
정답: D
CISA-KR 문제 539
IS 감사자는 특정 기간 동안 수행될 감사에 대한 계획을 준비하고 있습니다. IS 감사자는 다음 중 어떤 활동을 먼저 수행해야 합니까?
정답: D
An audit universe is a comprehensive list of all the auditable entities, processes, and activities within an organization. It helps the IS auditor to identify the scope, objectives, and priorities of the audit plan, as well as the resources and methodologies required to conduct the audits. An audit universe can also help the IS auditor to ensure that all the key risks, controls, and regulations are covered by the audit plan, and that there are no gaps or overlaps in the audit coverage.
The first activity that the IS auditor should perform when preparing a plan for audits to be carried out over a specified period is to determine the audit universe. This involves defining the criteria and methods for identifying and categorizing the auditable units, such as by business function, process, system, location, or risk level. The IS auditor should also consult with the management and other stakeholders to obtain their input and expectations for the audit plan. The IS auditor should then document and validate the audit universe, and update it regularly to reflect any changes in the organization's structure, operations, or environment.
The other three activities are also important for preparing an audit plan, but they should be performed after determining the audit universe. Allocating audit resources involves assigning staff, time, budget, and tools to each audit based on their complexity, priority, and availability. Prioritizing risks involves assessing the likelihood and impact of each risk associated with each auditable unit, and ranking them according to their significance and urgency. Reviewing prior audit reports involves analyzing the findings, recommendations, and actions from previous audits related to each auditable unit, and evaluating their current status and relevance.
Therefore, determining the audit universe is the best answer.
References:
* Audit Universe - UPDATED 2022 - Examples, Templates & More!
* 01 February 2023 Audit universe - IIA
The first activity that the IS auditor should perform when preparing a plan for audits to be carried out over a specified period is to determine the audit universe. This involves defining the criteria and methods for identifying and categorizing the auditable units, such as by business function, process, system, location, or risk level. The IS auditor should also consult with the management and other stakeholders to obtain their input and expectations for the audit plan. The IS auditor should then document and validate the audit universe, and update it regularly to reflect any changes in the organization's structure, operations, or environment.
The other three activities are also important for preparing an audit plan, but they should be performed after determining the audit universe. Allocating audit resources involves assigning staff, time, budget, and tools to each audit based on their complexity, priority, and availability. Prioritizing risks involves assessing the likelihood and impact of each risk associated with each auditable unit, and ranking them according to their significance and urgency. Reviewing prior audit reports involves analyzing the findings, recommendations, and actions from previous audits related to each auditable unit, and evaluating their current status and relevance.
Therefore, determining the audit universe is the best answer.
References:
* Audit Universe - UPDATED 2022 - Examples, Templates & More!
* 01 February 2023 Audit universe - IIA
CISA-KR 문제 540
IS 감사원이 다가올 감사 범위에서 지원되지 않는 오래된 기술을 사용하는 산업 제어 시스템(ICS)을 검토하고 있습니다. 감사원은 무엇을 가장 중요한 우려 사항으로 간주해야 합니까?
정답: B
The most significant concern for an IS auditor when reviewing an industrial control system (ICS) that uses older unsupported technology in the scope of an upcoming audit is that there is a greater risk of system exploitation. System exploitation is an attack that occurs when an unauthorized entity or individual takes advantage of a vulnerability or weakness in a system to compromise its security or functionality. System exploitation can cause harm or damage to the system or its users, such as data loss, corruption, theft, manipulation, denial of service (DoS), etc. An ICS that uses older unsupported technology poses a high risk of system exploitation, as older technology may have known or unknown vulnerabilities or defects that have not been patched or fixed by the vendor or manufacturer, and unsupported technology may not receive any updates or support from the vendor or manufacturer in case of issues or incidents. Attack vectors are evolving for industrial control systems is a possible concern for an IS auditor when reviewing an ICS that uses older unsupported technology in the scope of an upcoming audit, but it is not the most significant one. Attack vectors are methods or pathways that attackers use to gain access to or attack a system. Attack vectors are evolving for industrial control systems, as attackers are developing new techniques or tools to target ICSs that are increasingly connected and complex. However, this concern may not be specific to older unsupported technology, as it may affect any ICS regardless of its technology level. Disaster recovery plans (DRPs) are not in place is a possible concern for an IS auditor when reviewing an ICS that uses older unsupported technology in the scope of an upcoming audit, but it is not the most significant one. DRPs are documents that outline the technical and operational steps for restoring the IT systems and infrastructure that support critical functions or processes in the event of a disruption or disaster. DRPs are not in place, as they may affect the availability and continuity of the ICS and its functions or processes in case of a failure or incident. However, this concern may not be related to older unsupported technology, as it may apply to any ICS regardless of its technology level.
Technical specifications are not documented is a possible concern for an IS auditor when reviewing an ICS that uses older unsupported technology in the scope of an upcoming audit, but it is not the most significant one. Technical specifications are documents that describe the technical characteristics or requirements of a system or component, such as functionality, performance, design, etc. Technical specifications are not documented, as they may affect the understanding, maintenance, and improvement of the ICS and its components. However, this concern may not beassociated with older unsupported technology, as it may affect any ICS regardless of its technology level.
Technical specifications are not documented is a possible concern for an IS auditor when reviewing an ICS that uses older unsupported technology in the scope of an upcoming audit, but it is not the most significant one. Technical specifications are documents that describe the technical characteristics or requirements of a system or component, such as functionality, performance, design, etc. Technical specifications are not documented, as they may affect the understanding, maintenance, and improvement of the ICS and its components. However, this concern may not beassociated with older unsupported technology, as it may affect any ICS regardless of its technology level.
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