Assessor Resource

PSPSEC004
Undertake information technology security audits

Assessment tool

Version 1.0
Issue Date: April 2024


This unit describes the skills required to plan and conduct an information technology security audit and report on security findings.

This unit applies to those working in a role where they have responsibilities under the organisation's security plan.

The skills and knowledge described in this unit must be applied within the legislative, regulatory and policy environment in which they are carried out. Organisational policies and procedures must be consulted and adhered to.

Those undertaking this unit would generally work independently and as part of a team using support resources as required. They would perform complex tasks in a range of familiar and unfamiliar contexts.

No licensing, legislative or certification requirements apply to unit at the time of publication.

You may want to include more information here about the target group and the purpose of the assessments (eg formative, summative, recognition)


Evidence Required

List the assessment methods to be used and the context and resources required for assessment. Copy and paste the relevant sections from the evidence guide below and then re-write these in plain English.

ELEMENTS

PERFORMANCE CRITERIA

Elements describe the essential outcomes

Performance criteria describe the performance needed to demonstrate achievement of the element. Where bold italicised text is used, further information is detailed in the range of conditions section.

1. Plan security audit

1.1 Identify the scope and objectives of the audit and prepare an audit plan to meet the objectives.

1.2 Identify the organisation’s information systems to be included in the audit plan.

1.3 Advise appropriate personnel of the audit plan and its requirements.

1.4 Identify and prioritise possible sources of security risk and prepare an audit checklist.

2. Conduct security audit

2.1 Identify and analyse systems, procedures, records and documents.

2.2 Conduct audit in accordance with the audit plan.

2.3 Record audit activities.

2.4 Identify situations requiring specialist input or referral to other areas and act on referral.

3. Report on security findings

3.1 Maintain audit records and prepare audit reports.

3.2 Produce report including background, scope, outcomes and recommendations.

3.3 Use language and style to suit the audience and in line with organisational requirements for accuracy and timeliness.

3.4 Support recommendations with evidence and highlight actions identifying person/s responsible for implementation.

Evidence required to demonstrate competence must satisfy all of the requirements of the elements and performance criteria. If not otherwise specified the candidate must demonstrate evidence of performance of the following on at least two occasions.

applying legislation, regulations and policies relating to information technology security audits and government security management

gathering, analysing and recording data

using computer applications to undertake security audits

managing risk in the context of government security management

engaging in discussion involving exchanges of complex information

responding to diversity

Evidence required to demonstrate competence must satisfy all of the requirements of the elements and performance criteria. If not otherwise specified the depth of knowledge demonstrated must be appropriate to the job context of the candidate.

legislation, regulations, policies, procedures and guidelines relating to information technology security audits

operational knowledge of policies and procedures in regard to use of information technology systems

organisation’s security plan

information technology systems and architecture

use and maintenance of hardware and software systems

Australian Audit Standards

aspects of criminal law and administrative law relating to the outcomes of compliance audits

protocols for reporting fraud, corruption, maladministration and security breaches

fundamental ethical principles in the handling of documents and information, natural justice, procedural fairness, respect for persons and responsible care

Assessment of this unit requires a workplace environment or one that closely resembles normal work practice and replicates the range of conditions likely to be encountered when undertaking IT security audits.

Assessors must satisfy the NVR/AQTF mandatory competency requirements for assessors.

Submission Requirements

List each assessment task's title, type (eg project, observation/demonstration, essay, assingnment, checklist) and due date here

Assessment task 1: [title]      Due date:

(add new lines for each of the assessment tasks)

Assessment Tasks

Copy and paste from the following data to produce each assessment task. Write these in plain English and spell out how, when and where the task is to be carried out, under what conditions, and what resources are needed. Include guidelines about how well the candidate has to perform a task for it to be judged satisfactory.

ELEMENTS

PERFORMANCE CRITERIA

Elements describe the essential outcomes

Performance criteria describe the performance needed to demonstrate achievement of the element. Where bold italicised text is used, further information is detailed in the range of conditions section.

1. Plan security audit

1.1 Identify the scope and objectives of the audit and prepare an audit plan to meet the objectives.

1.2 Identify the organisation’s information systems to be included in the audit plan.

1.3 Advise appropriate personnel of the audit plan and its requirements.

1.4 Identify and prioritise possible sources of security risk and prepare an audit checklist.

2. Conduct security audit

2.1 Identify and analyse systems, procedures, records and documents.

2.2 Conduct audit in accordance with the audit plan.

2.3 Record audit activities.

2.4 Identify situations requiring specialist input or referral to other areas and act on referral.

3. Report on security findings

3.1 Maintain audit records and prepare audit reports.

3.2 Produce report including background, scope, outcomes and recommendations.

3.3 Use language and style to suit the audience and in line with organisational requirements for accuracy and timeliness.

3.4 Support recommendations with evidence and highlight actions identifying person/s responsible for implementation.

Evidence required to demonstrate competence must satisfy all of the requirements of the elements and performance criteria. If not otherwise specified the candidate must demonstrate evidence of performance of the following on at least two occasions.

applying legislation, regulations and policies relating to information technology security audits and government security management

gathering, analysing and recording data

using computer applications to undertake security audits

managing risk in the context of government security management

engaging in discussion involving exchanges of complex information

responding to diversity

Evidence required to demonstrate competence must satisfy all of the requirements of the elements and performance criteria. If not otherwise specified the depth of knowledge demonstrated must be appropriate to the job context of the candidate.

legislation, regulations, policies, procedures and guidelines relating to information technology security audits

operational knowledge of policies and procedures in regard to use of information technology systems

organisation’s security plan

information technology systems and architecture

use and maintenance of hardware and software systems

Australian Audit Standards

aspects of criminal law and administrative law relating to the outcomes of compliance audits

protocols for reporting fraud, corruption, maladministration and security breaches

fundamental ethical principles in the handling of documents and information, natural justice, procedural fairness, respect for persons and responsible care

Assessment of this unit requires a workplace environment or one that closely resembles normal work practice and replicates the range of conditions likely to be encountered when undertaking IT security audits.

Assessors must satisfy the NVR/AQTF mandatory competency requirements for assessors.

Copy and paste from the following performance criteria to create an observation checklist for each task. When you have finished writing your assessment tool every one of these must have been addressed, preferably several times in a variety of contexts. To ensure this occurs download the assessment matrix for the unit; enter each assessment task as a column header and place check marks against each performance criteria that task addresses.

Observation Checklist

Tasks to be observed according to workplace/college/TAFE policy and procedures, relevant legislation and Codes of Practice Yes No Comments/feedback
Identify the scope and objectives of the audit and prepare an audit plan to meet the objectives. 
Identify the organisation’s information systems to be included in the audit plan. 
Advise appropriate personnel of the audit plan and its requirements. 
Identify and prioritise possible sources of security risk and prepare an audit checklist. 
Identify and analyse systems, procedures, records and documents. 
Conduct audit in accordance with the audit plan. 
Record audit activities. 
Identify situations requiring specialist input or referral to other areas and act on referral. 
Maintain audit records and prepare audit reports. 
Produce report including background, scope, outcomes and recommendations. 
Use language and style to suit the audience and in line with organisational requirements for accuracy and timeliness. 
Support recommendations with evidence and highlight actions identifying person/s responsible for implementation. 
Identify the scope and objectives of the audit and prepare an audit plan to meet the objectives. 
Identify the organisation’s information systems to be included in the audit plan. 
Advise appropriate personnel of the audit plan and its requirements. 
Identify and prioritise possible sources of security risk and prepare an audit checklist. 
Identify and analyse systems, procedures, records and documents. 
Conduct audit in accordance with the audit plan. 
Record audit activities. 
Identify situations requiring specialist input or referral to other areas and act on referral. 
Maintain audit records and prepare audit reports. 
Produce report including background, scope, outcomes and recommendations. 
Use language and style to suit the audience and in line with organisational requirements for accuracy and timeliness. 
Support recommendations with evidence and highlight actions identifying person/s responsible for implementation. 

Forms

Assessment Cover Sheet

PSPSEC004 - Undertake information technology security audits
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I declare that the assessment tasks submitted for this unit are my own work.

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Assessment Record Sheet

PSPSEC004 - Undertake information technology security audits

Student name:

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Assessment task 1: [title] Result: Competent Not yet competent

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Overall assessment result: Competent Not yet competent

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