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Question #41

Which of the following is the BEST way to quantify the likelihood of risk materialization?

A . Balanced scorecard
B . Threat and vulnerability assessment
C . Compliance assessments
D . Business impact analysis (BIA)

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Question #42

The MAIN purpose of reviewing a control after implementation is to validate that the control:

A . operates as intended.
B . is being monitored.
C . meets regulatory requirements.
D . operates efficiently.

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Question #43

The PRIMARY objective of testing the effectiveness of a new control before implementation is to:

A . ensure that risk is mitigated by the control.
B . measure efficiency of the control process.
C . confirm control alignment with business objectives.
D . comply with the organization’s policy.

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Richtige Antwort: A
A

Explanation:

The primary objective of testing the effectiveness of a new control before implementation is to ensure that risk is mitigated by the control. A control is a measure or action that is taken to reduce the likelihood or impact of a risk, or to increase the likelihood or impact of an opportunity1. Testing the effectiveness of a new control before implementation means verifying whether the control can achieve its intended purpose and objective, and whether it can address the risk adequately and appropriately2. Testing the effectiveness of a new control before implementation helps to avoid wasting resources, time, and effort on implementing a control that is ineffective, inefficient, or unsuitable for the risk scenario. It also helps to ensure that the control does not introduce new or unintended risks, or adversely affect other controls or processes3. The other options are not the primary objective of testing the effectiveness of a new control before implementation, as they are either less relevant or less specific than ensuring that risk is mitigated by the control. Measuring efficiency of the control process is a secondary objective of testing the effectiveness of a new control before implementation. Efficiency refers to the optimal use of resources to achieve the desired outcome4. Measuring efficiency of the control process means evaluating whether the control can achieve its objective with the least amount of cost, time, and effort. Measuring efficiency of the control process helps to optimize the performance and value of the control, but it is not the main reason for testing the effectiveness of a new control before implementation. Confirming control alignment with business objectives is a tertiary objective of testing the effectiveness of a new control before implementation. Alignment refers to the consistency and coherence of the control with the goals and strategies of the organization5. Confirming control alignment with business objectives means ensuring that the control supports and enables the achievement of the organization’s mission, vision, and values. Confirming control alignment with business objectives helps to integrate the control with the organization’s culture and governance, but it is not the primary reason for testing the effectiveness of a new control before implementation. Complying with the organization’s policy is a quaternary objective of testing the effectiveness of a new control before implementation. Policy refers to the set of principles and rules that guide the organization’s decisions and actions6. Complying with the organization’s policy means adhering to the standards and requirements that the organization has established for implementing and operating controls.

Complying with the organization’s policy helps to ensure the quality and consistency of the control, but it is not the main objective of testing the effectiveness of a new control before implementation.

Reference: = Risk and Information Systems Control Study Manual, 7th Edition, Chapter 2, Section 2.1.8, Page 61.

Question #44

A global company s business continuity plan (BCP) requires the transfer of its customer information….

event of a disaster.

Which of the following should be the MOST important risk consideration?

A . The difference In the management practices between each company
B . The cloud computing environment is shared with another company
C . The lack of a service level agreement (SLA) in the vendor contract
D . The organizational culture differences between each country

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Question #45

Which of the following is the BEST indication of an improved risk-aware culture following the implementation of a security awareness training program for all employees?

A . A reduction in the number of help desk calls
B . An increase in the number of identified system flaws
C . A reduction in the number of user access resets
D . An increase in the number of incidents reported

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Richtige Antwort: D
D

Explanation:

A security awareness training program is an educational program that aims to equip the organization’s employees with the knowledge and skills they need to protect the organization’s data and sensitive information from cyber threats, such as hacking, phishing, or other breaches12.

A risk-aware culture is a culture that values and promotes the understanding and management of risks, and encourages the behaviors and actions that support the organization’s risk objectives and strategy34.

The best indication of an improved risk-aware culture following the implementation of a security awareness training program for all employees is an increase in the number of incidents reported, which is the frequency or rate of security incidents that are detected and communicated by the employees to the appropriate authorities or channels56.

An increase in the number of incidents reported is the best indication because it shows that the employees have gained the awareness and confidence to recognize and report the security incidents that may affect the organization, and that they have the responsibility and accountability to contribute to the organization’s risk management and security posture56.

An increase in the number of incidents reported is also the best indication because it enables the organization to respond and recover from the security incidents more quickly and effectively, and to prevent or reduce the recurrence or escalation of similar incidents in the future56.

The other options are not the best indication, but rather possible outcomes or consequences of an improved risk-aware culture or a security awareness training program.

For example:

A reduction in the number of help desk calls is an outcome of an improved risk-aware culture or a security awareness training program that indicates the employees have become more self-reliant and proficient in solving or preventing the common or minor IT issues or problems. However, this outcome does not measure the employees’ awareness or reporting of security incidents, which may be more serious or complex.

An increase in the number of identified system flaws is a consequence of an improved risk-aware culture or a security awareness training program that indicates the employees have become more vigilant and proactive in finding and reporting the vulnerabilities or weaknesses in the IT systems or processes. However, this consequence does not measure the employees’ awareness or reporting of security incidents, which may exploit or leverage the system flaws.

A reduction in the number of user access resets is an outcome of an improved risk-aware culture or a security awareness training program that indicates the employees have become more careful and responsible in managing and protecting their user credentials or accounts. However, this outcome does not measure the employees’ awareness or reporting of security incidents, which may compromise or misuse the user access.

Reference: =

1: Security Awareness Training – Cybersecurity Education Online | Proofpoint US5

2: What Is Security Awareness Training and Why Is It Important? – Kaspersky6

3: Risk IT Framework, ISACA, 2009

4: IT Risk Management Framework, University of Toronto, 2017

5: Security Incident Reporting and Response, University of Toronto, 2017

6: Security Incident Reporting and Response, ISACA, 2019: IT Help Desk Best Practices, ISACA Journal, Volume 2, 2018

: IT Help Desk Best Practices, ISACA Now Blog, February 12, 2018

: System Flaw Reporting and Remediation, University of Toronto, 2017

: System Flaw Reporting and Remediation, ISACA, 2019

: User Access Management and Control, University of Toronto, 2017

: User Access Management and Control, ISACA, 2019

Question #46

The PRIMARY objective of the board of directors periodically reviewing the risk profile is to help ensure:

A . the risk strategy is appropriate
B . KRIs and KPIs are aligned
C . performance of controls is adequate
D . the risk monitoring process has been established

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Question #47

In an organization where each division manages risk independently, which of the following would BEST enable management of risk at the enterprise level?

A . A standardized risk taxonomy
B . A list of control deficiencies
C . An enterprise risk ownership policy
D . An updated risk tolerance metric

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Question #48

The MAIN purpose of having a documented risk profile is to:

A . comply with external and internal requirements.
B . enable well-informed decision making.
C . prioritize investment projects.
D . keep the risk register up-to-date.

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Question #49

When documenting a risk response, which of the following provides the STRONGEST evidence to support the decision?

A . Verbal majority acceptance of risk by committee
B . List of compensating controls
C . IT audit follow-up responses
D . A memo indicating risk acceptance

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Question #50

Which of the following is the MOST important consideration when multiple risk practitioners capture risk scenarios in a single risk register?

A . Aligning risk ownership and control ownership
B . Developing risk escalation and reporting procedures
C . Maintaining up-to-date risk treatment plans
D . Using a consistent method for risk assessment

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Richtige Antwort: D
D

Explanation:

A risk register is a document that records and tracks the information and status of the identified risks and their responses. It includes the risk description, category, source, cause, impact, probability, priority, response, owner, action plan, status, etc.

A risk scenario is a description or representation of a possible or hypothetical situation or event that may cause or result in a risk for the organization. A risk scenario usually consists of three elements: a threat or source of harm, a vulnerability or weakness, and an impact or consequence.

Multiple risk practitioners are the individuals or groups that are involved or responsible for the identification, analysis, evaluation, and communication of the risks and their responses. They may include the risk owners, risk managers, risk analysts, risk consultants, risk auditors, etc.

A single risk register is a risk register that is shared or used by multiple risk practitioners across the organization, and that contains the information and status of all the risks and their responses that are relevant or applicable to the organization.

The most important consideration when multiple risk practitioners capture risk scenarios in a single risk register is using a consistent method for risk assessment, which is the process of determining the significance and urgency of the risks that may affect the organization’s objectives and operations. Risk assessment involves measuring and comparing the likelihood and impact of various risk scenarios, and prioritizing them based on their magnitude and importance.

Using a consistent method for risk assessment when multiple risk practitioners capture risk scenarios in a single risk register ensures that the risk scenarios are captured and recorded in a uniform and standardized way, and that they are comparable and compatible with each other. It also helps to avoid or reduce the inconsistencies, discrepancies, or conflicts that may arise from the different perspectives, assumptions, or judgments of the multiple risk practitioners, and to ensure the accuracy, reliability, and validity of the risk register.

The other options are not the most important considerations when multiple risk practitioners capture risk scenarios in a single risk register, because they do not address the main challenge or issue that may arise from the multiple risk practitioners capturing risk scenarios in a single risk register, which is the lack of consistency or standardization in the risk assessment method.

Aligning risk ownership and control ownership means ensuring that the individuals or groups that are accountable and responsible for the risks and their responses are clearly defined and assigned, and that they have the authority and resources to perform their roles and duties. Aligning risk ownership and control ownership is important when multiple risk practitioners capture risk scenarios in a single risk register, but it is not the most important consideration, because it does not ensure that the risk scenarios are captured and recorded in a uniform and standardized way, and that they are comparable and compatible with each other.

Developing risk escalation and reporting procedures means establishing and implementing the processes and guidelines for communicating and sharing the information and status of the risks and their responses among the relevant stakeholders, and for escalating or transferring the risks and their responses to the appropriate levels or parties when necessary or required. Developing risk escalation and reporting procedures is important when multiple risk practitioners capture risk scenarios in a single risk register, but it is not the most important consideration, because it does not ensure that the risk scenarios are captured and recorded in a uniform and standardized way, and that they are comparable and compatible with each other.

Maintaining up-to-date risk treatment plans means updating and revising the actions or plans that are selected and implemented to address or correct the risks and their responses, based on the changes or developments that may occur in the risk environment or performance. Maintaining up-to-date risk treatment plans is important when multiple risk practitioners capture risk scenarios in a single risk register, but it is not the most important consideration, because it does not ensure that the risk scenarios are captured and recorded in a uniform and standardized way, and that they are comparable and compatible with each other.

Reference: = ISACA, CRISC Review Manual, 7th Edition, 2022, pp. 19-20, 23-24, 27-28, 31-32, 40-41, 47-48, 54-55, 58-59, 62-63 ISACA, CRISC Review Questions, Answers & Explanations Database, 2022, QID 178 CRISC Practice Quiz and Exam Prep