SOC Project Planning & Execution 2

Question 1

During a SOC 2 audit engagement, which document formally defines the scope, objectives, and boundaries of the project?

Accepted Answer

Project Charter

Answer

A Project Charter formally authorizes the project and defines its scope, objectives, stakeholders, and high-level constraints.

Question 2

A SOC audit team discovers mid-project that a key third-party vendor is out of scope per the original plan but processes critical data. What is the BEST next step?

Accepted Answer

Perform a scope change review and obtain stakeholder approval

Answer

A formal scope change review ensures all stakeholders agree on revised boundaries before expanding audit work.

Question 3

Which scheduling technique identifies the longest path of dependent tasks to determine the minimum project duration?

Accepted Answer

Critical Path Method (CPM)

Answer

The Critical Path Method identifies the sequence of dependent tasks that determines the shortest possible project completion time.

Question 4

In SOC project execution, a 'control gap' is identified late in the testing phase. Who should be notified FIRST?

Accepted Answer

The engagement partner or project manager

Answer

Control gaps should be escalated to the engagement partner or project manager first to determine proper handling before broader communication.

Question 5

What does a RACI matrix define in a SOC audit project plan?

Accepted Answer

Responsible, Accountable, Consulted, and Informed roles

Answer

A RACI matrix clarifies team roles by defining who is Responsible, Accountable, Consulted, and Informed for each task.

(SOC) System and Organization Controls Certification Practice Test

(SOC) System and Organization Controls Certification Practice Test

SOC Project Planning & Execution 2