OCEG GRC Auditor Certification GRCA Exam Questions in PDF

Free OCEG GRCA Dumps Questions (page: 2)

Which one of these is most associated with a "measure of how well we are meeting obligations"

  1. Performance
  2. Risk
  3. Compliance

Answer(s): C

Explanation:

Compliance is most associated with a "measure of how well we are meeting obligations." Compliance involves adhering to laws, regulations, policies, and standards that apply to an organization. It ensures that the organization is fulfilling its legal, regulatory, and ethical obligations, thereby avoiding penalties, legal issues, and reputational damage. Compliance programs include policies, procedures, training, monitoring, and audits to ensure that all obligations are consistently met.


Reference:

ISO 19600:2014 - Compliance management systems - Guidelines NIST SP 800-37 Rev. 2 - Risk Management Framework for Information Systems and Organizations



Which of these is defined as "internally directing, controlling and evaluating an entity, process or resource"

  1. Management
  2. Governance
  3. Assurance

Answer(s): A

Explanation:

Management is defined as "internally directing, controlling and evaluating an entity, process or resource." Management involves overseeing the day-to-day operations of an organization, making decisions, setting policies, and ensuring that the organization's resources are used effectively to achieve its goals. This function includes planning, organizing, leading, and controlling organizational activities to meet established objectives.


Reference:

ISO 9001:2015 - Quality management systems ­ Requirements COSO Internal Control ­ Integrated Framework



What level of assurance is required for an assessment?

  1. Medium
  2. High
  3. Low
  4. An assessment may target any level of assurance. The key is to define this level prior to setting the purpose and parameters.

Answer(s): D

Explanation:

The level of assurance required for an assessment can vary depending on the purpose, scope, and objectives of the assessment. It is crucial to define the desired level of assurance (low, medium, or high) before beginning the assessment to ensure that the approach, methodology, and resources allocated are appropriate. This helps in setting clear expectations and aligning the assessment process with the organization's risk tolerance and regulatory requirements.


Reference:

ISO 19011:2018 - Guidelines for auditing management systems COSO Enterprise Risk Management ­ Integrating with Strategy and Performance



Reasonable assurance is a...

  1. low level of assurance
  2. medium level of assurance
  3. high level of assurance

Answer(s): C

Explanation:

Reasonable assurance is considered a high level of assurance. It indicates that the assurance provider has conducted a thorough and rigorous evaluation, although it does not guarantee absolute certainty. Reasonable assurance is commonly used in auditing and risk management contexts to provide stakeholders with confidence that the organization is operating effectively and complying with relevant standards and regulations.


Reference:

ISO 31000:2018 - Risk management ­ Guidelines
AICPA Auditing Standards



Which two factors drive the potential level of assurance that an assurance provider may target?

  1. Competence and Objectivity
  2. Independence and Freedom
  3. Freedom and Disinterest

Answer(s): A

Explanation:

The two factors that drive the potential level of assurance an assurance provider may target are competence and objectivity. Competence refers to the assurance provider's knowledge, skills, and experience necessary to perform the assessment effectively. Objectivity refers to the assurance provider's impartiality and independence from the area being assessed, ensuring that the assessment is unbiased and credible. Both factors are essential for providing a reliable and accurate assurance.


Reference:

IIA Standards for the Professional Practice of Internal Auditing ISO 19011:2018 - Guidelines for auditing management systems



What are the common attributes of an assurance professional?

  1. Independence, objectivity and diligence
  2. Objectivity, competence and fallibilism
  3. Objectivity, independence and freedom

Answer(s): A

Explanation:

The common attributes of an assurance professional are independence, objectivity, and diligence. Independence ensures that the assurance professional is free from any influence or conflict of interest that could affect their judgment. Objectivity refers to the ability to provide an unbiased and impartial assessment. Diligence involves a thorough and careful approach to the assurance process, ensuring that all relevant aspects are evaluated and reported accurately. These attributes are essential for maintaining the credibility and reliability of assurance activities.


Reference:

IIA Standards for the Professional Practice of Internal Auditing ISO 19011:2018 - Guidelines for auditing management systems



Which of these roles is allowed to conduct assurance?

  1. Operators
  2. Management
  3. Risk Management
  4. Internal Controls
  5. Senior Management
  6. Board
  7. Information Security
  8. Internal Audit
  9. Compliance
  10. Any and all of these roles can conduct assurance activities given the proper purpose and parameters.

Answer(s): J

Explanation:

Any and all of the listed roles can conduct assurance activities provided they have the appropriate purpose and parameters defined. Assurance activities are not limited to a specific function but can be performed by various roles within an organization, such as Internal Audit, Compliance, Risk Management, and Information Security, among others. The key is that these roles must operate with the proper scope, authority, and independence to provide credible and reliable assurance.


Reference:

COSO Internal Control ­ Integrated Framework
ISO 31000:2018 - Risk management ­ Guidelines



Assessments should be selected based on

  1. What the latest research reports says
  2. How objectives connect and prioritize the risk universe and assessment universe
  3. Personal opinion

Answer(s): B

Explanation:

Assessments should be selected based on how objectives connect and prioritize the risk universe and assessment universe. This approach ensures that the assessments are aligned with the organization's strategic goals and that the most significant risks are addressed. It involves understanding the organization's risk landscape and prioritizing assessments that focus on the areas of highest impact and relevance to achieving objectives.


Reference:

ISO 31000:2018 - Risk management ­ Guidelines
COSO Enterprise Risk Management ­ Integrating with Strategy and Performance



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