Domain 4 Business Resilience Set 5
Which of the following is the MOST efficient strategy for the backup of large quantities of mission-critical data when the systems need to be online to take sales orders 24 hours a day? A. Implementing a fault-tolerant disk-to-disk backup solution B. Making a full backup to tape weekly and an incremental backup nightly C. Creating a duplicate storage area network (SAN) and replicating the data to a second SAN D. Creating identical server and storage infrastructure at a hot site
A is the correct answer. Justification A. Disk-to-disk backup, also called disk-to-disk-to-tape backup or tape cache, is when the primary backup is written to disk instead of tape. That backup can then be copied, cloned or migrated to tape at a later time (hence the term "disk-to-disk-to-tape"). This technology allows the backup of data to be performed without impacting system performance and allows a large quantity of data to be backed up in a very short backup window. In case of a failure, the fault-tolerant system can transfer immediately to the other disk set. B. While a backup strategy involving tape drives is valid, because many computer systems must be taken offline so that backups can be performed, there is the need to create a backup window, typically during each night. This would not enable the system to be available 24/7. For a system that must remain online at all times, the only feasible way to back up the data is to either duplicate the data to a server that gets backed up to tape, or deploy a disk-to-disk solution, which is effectively the same thing. C. While creating a duplicate SAN and replicating the data to a second SAN provides some redundancy and data protection, this is not really a backup solution. If the two systems are at the same site, there is a risk that an incident such as a fire or flood in the data center could lead to data loss. D. While creating an identical server and storage infrastructure at a hot site provides a great deal of redundancy and availability to enable the system to stay operational, it does not address the need for long-term data storage. There is still the need to create an efficient method of backing up data.
In a disaster recovery situation, which of the following is the MOST important metric to ensure that data are synchronized between critical systems? A. Recovery point objective B. Recovery time objective C. Recovery service resilience D. Recovery service scalability
A is the correct answer. Justification A. Establishing a common recovery point objective is most critical for ensuring that interdependencies between systems are properly synchronized. It ensures that systems do not contain data from different points in time that may result in accounting transactions that cannot be reconciled and a loss of referential integrity. B. These are not as important to synchronize because they normally vary depending on the level of effort and resources required to restore a system. C. This measures the fault tolerance due to data exceptions and ability to restart and recover from internal failures. D. This refers to the capacity constraints and limitations that a recovery solution may have relative to the original system configuration. Domain4Information Systems Operations and Business Resilience Sub-domain4B5Disaster Recovery Plans (DRP) Task Statement13Evaluate the organization's ability to continue business operations.
Segmenting a highly sensitive database results in: A. reduced exposure. B. reduced threat. C. less criticality. D. less sensitivity.
A is the correct answer. Justification A. Segmenting data reduces the quantity of data exposed to a particular vulnerability. B. The threat may remain constant, but each segment represents a different vector against which it must be directed. C. Criticality is a data attribute and is not affected by the manner in which it is segmented. D. Sensitivity is a data attribute and is not affected by the manner in which it is segmented. Domain4Information Systems Operations and Business Resilience Sub-domain4B2System Resiliency Task Statement10Evaluate the organization's risk management policies and practices.
Determining the service delivery objective should be based PRIMARILY on: A. the minimum acceptable operational capability. B. the cost-effectiveness of the restoration process. C. meeting the recovery time objectives. D. the allowable interruption window.
A is the correct answer. Justification A. The service delivery objective (SDO) is the level of service to be reached during the alternate process mode until the normal situation is restored. This is directly related to the business needs. B. This is not the main consideration of determining the SDO. C. This may be one of the considerations in determining the SDO, but it is a secondary factor. D. This may be one of the factors secondary to determining the SDO. Domain4Information Systems Operations and Business Resilience Sub-domain4B3Data Backup, Storage, and Restoration Task Statement13Evaluate the organization's ability to continue business operations.
Which of the following stakeholders is the MOST important in terms of developing a business continuity plan? A. Process owners B. Application owners C. The board of directors D. IT management
A is the correct answer. Justification A. These people are essential in identifying the critical business functions, recovery times and resources needed. B. A business continuity plan (BCP) is concerned with the continuity of business processes, while applications may or may not support critical business processes. C. The board might approve the plan, but they are typically not involved in the details of developing the BCP. D. This group will identify the IT resources, servers and infrastructure needed to support the critical business functions as defined by the business process owners. Domain4Information Systems Operations and Business Resilience Sub-domain4B4Business Continuity Plan (BCP) Task Statement13Evaluate the organization's ability to continue business operations.
Which of the following inputs would PRIMARILY help in designing the data backup strategy in case of potential natural disasters? A. Recovery point objective B. Volume of data to be backed up C. Available data backup technologies D. Recovery time objective
A is the correct answer. Justification A. This is determined based on the acceptable data loss in case of a disruption of operations. It indicates the earliest point in time that is acceptable to recover the data. The RPO effectively quantifies the acceptable amount of data loss in the case of interruption. Based on the RPO, one can design the data backup strategy for potential disasters using various technologies. B. While the amount of data to be stored is critical in terms of planning for adequate capacity, the speed of recovery required by the business is the most important factor. C. While a solid understanding of the capabilities of all types of advanced data backup technologies is necessary, without the knowledge of the RPO one cannot design a backup strategy using these technologies. D. This is the amount of time allowed for the recovery of a business function or resource after a disaster occurs. This will help in designing disaster site options, but not the data backup strategy in the case of impacting disasters. Domain4Information Systems Operations and Business Resilience Sub-domain4B5Disaster Recovery Plans (DRP) Task Statement13Evaluate the organization's ability to continue business operations.
After a disaster declaration, the media creation date at a warm recovery site is based on the: A. recovery point objective. B. recovery time objective. C. service delivery objective. D. maximum tolerable outage.
A is the correct answer. Justification A. This is determined based on the acceptable data loss in case of a disruption of operations. It indicates the earliest point in time that is acceptable to recover the data. The RPO effectively quantifies the permissible amount of data loss in case of interruption. The media creation date will reflect the point to which data are to be restored or the RPO. B. This is the amount of time allowed for the recovery of a business function or resource after a disaster occurs. C. Service delivery objective is in incorrect. This is directly related to the business needs and is the level of service to be reached during the alternate process mode until the normal situation is restored. D. This is the maximum time that an organization can support processing in alternate mode. Domain4Information Systems Operations and Business Resilience Sub-domain4B5Disaster Recovery Plans (DRP) Task Statement13Evaluate the organization's ability to continue business operations.
Recovery procedures for an information processing facility are BEST based on: A. recovery time objective. B. recovery point objective. C. maximum tolerable outage. D. information security policy.
A is the correct answer. Justification A. This is the amount of time allowed for the recovery of a business function or resource after a disaster occurs; the RTO is the desired recovery time frame based on maximum tolerable outage (MTO) and available recovery alternatives. B. This has the greatest influence on the recovery strategies for given data. It is determined based on the acceptable data loss in case of a disruption of operations. The RPO effectively quantifies the permissible amount of data loss in case of interruption. C. MTO is the amount of time allowed for the recovery of a business function or resource after a disaster occurs; it represents the time by which the service must be restored before the organization is faced with the threat of collapse. D. This does not address recovery procedures. Domain4Information Systems Operations and Business Resilience Sub-domain4B5Disaster Recovery Plans (DRP) Task Statement13Evaluate the organization's ability to continue business operations.
An IS auditor is reviewing the most recent disaster recovery plan of an organization. Which approval is the MOST important when determining the availability of system resources required for the plan? A. Executive management B. IT management C. Board of directors D. Steering committee
B is the correct answer. Justification A. Although executive management's approval is essential, the IT department is responsible for managing system resources and their availability as related to disaster recovery. B. Because a disaster recovery plan (DRP) is based on the recovery and provisioning of IT services, IT management's approval would be most important to verify that the system resources will be available in the event that a disaster event is triggered. C. This group may review and approve the DRP, but the IT department is responsible for managing system resources and their availability as related to disaster recovery. D. This group would determine the requirements for disaster recovery (recovery time objective and recovery point objective); however, the IT department is responsible for managing system resources and their availability as related to disaster recovery. Domain4Information Systems Operations and Business Resilience Sub-domain4B5Disaster Recovery Plans (DRP) Task Statement9Evaluate IT resource and portfolio management for alignment with the organization's strategies and objectives.
Which of the following BEST mitigates the risk of backup media containing irreplaceable information being lost or stolen while in transit? A. Ensure that media are encrypted. B. Maintain a duplicate copy. C. Maintain chain of custody. D. Ensure that personnel are bonded.
B is the correct answer. Justification A. Although strong encryption protects against disclosure, it will not mitigate the loss of irreplaceable data. B. Sensitive data should always be fully backed up before being transmitted or moved. Backups of sensitive information should be treated with the same control considerations as the actual data. C. Chain of custody is an important control, but it will not mitigate a loss if a locked area is broken into and media removed or if media are lost while in an individual's custody. B. Bonded security, although good for preventing theft, will not protect against accidental loss or destruction. Domain4Information Systems Operations and Business Resilience Sub-domain4B3Data Backup, Storage, and Restoration Task Statement38Identify opportunities for process improvement in the organization's IT policies and practices.
Which of the following BEST helps prioritize the recovery of IT assets when planning for a disaster? A. Incident response plan B. Business impact analysis C. Threat and risk analysis D. Recovery time objective
B is the correct answer. Justification A. An incident response plan is an organized approach to addressing and managing a security breach or attack. The plan defines what constitutes an incident and the process to follow when an incident occurs. It does not prioritize recovery during a disaster. B. Incorporating the business impact analysis (BIA) into the IT disaster recovery planning process is critical to ensure that IT assets are prioritized to align with the business. C. Identifying threats and analyzing risk to the business is an important part of disaster planning, but it does not determine the priority of recovery. D. The recovery time objective is the amount of time allowed for the recovery of a business function or resource after a disaster occurs. This is included as part of the BIA and used to represent the prioritization of recovery. Domain4Information Systems Operations and Business Resilience Sub-domain4B3Data Backup, Storage, and Restoration Task Statement13Evaluate the organization's ability to continue business operations.
An IS auditor discovers that the disaster recovery plan (DRP) for a company does not include a critical application hosted in the cloud. Management's response states that the cloud vendor is responsible for disaster recovery (DR) and DR-related testing. What is the NEXT course of action for the IS auditor to pursue? A. Plan an audit of the cloud vendor. B. Review the vendor contract to determine its DR capabilities. C. Review an independent auditor's report of the cloud vendor. D. Request a copy of the DRP from the cloud vendor.
B is the correct answer. Justification A. Auditing the cloud vendor would be useful; however, this would only be useful if the vendor is contractually required to provide DR services. B. DR services can only be expected from the vendor when explicitly listed in the contract with well-defined recovery time objectives and recovery point objectives. Without the contractual language, the vendor is not required to provide DR services. C. An independent auditor's report, such as Statements on Standards for Attestation Engagements 16, on DR capabilities can be reviewed to ascertain the vendor's DR capabilities; however, this will only be fruitful if the vendor is contractually required to provide DR services. D. A copy of DR policies can be requested to review their adequacy; however, this will only be useful if the vendor is contractually required to provide DR services. Domain4Information Systems Operations and Business Resilience Sub-domain4B5Disaster Recovery Plans (DRP) Task Statement15Evaluate whether IT supplier selection and contract management processes align with business requirements.
Which of the following is the GREATEST risk of an organization using reciprocal agreements for disaster recovery between two business units? A. The documents contain legal deficiencies. B. Both entities are vulnerable to the same incident. C. IT systems are not identical. D. One party has more frequent disruptions than the other.
B is the correct answer. Justification A. Inadequate agreements between two business units is a risk, but generally a lesser one than the risk that both organizations will suffer a disaster at the same time. B. The use of reciprocal disaster recovery is based on the probability that both organizations will not suffer a disaster at the same time. C. While incompatible IT systems could create problems, it is a less significant risk than both organizations suffering from the same disaster at the same time. D. While one party may use the other's resources more frequently, this can be addressed by contractual provisions and is not a major risk. Domain4Information Systems Operations and Business Resilience Sub-domain4B5Disaster Recovery Plans (DRP) Task Statement13Evaluate the organization's ability to continue business operations.
Which of the following choices would MOST likely ensure that a disaster recovery effort is successful? A. The tabletop test was performed. B. Data restoration was completed. C. Recovery procedures are approved. D. Appropriate staff resources are committed.
B is the correct answer. Justification A. Performing a tabletop test is extremely helpful but does not ensure that the recovery process is working properly. B. The most reliable method to determine whether a backup is valid would be to restore it to a system. A data restore test should be performed at least annually to verify that the process is working properly. C. This will not ensure that data can be successfully restored. D. While this is appropriate, without data the recovery would not be successful. Domain4Information Systems Operations and Business Resilience Sub-domain4B5Disaster Recovery Plans (DRP) Task Statement13Evaluate the organization's ability to continue business operations.
Which of the following BEST mitigates the risk arising from using reciprocal agreements as a recovery alternative? A. Perform disaster recovery exercises annually. B. Ensure that partnering organizations are separated geographically. C. Regularly perform a business impact analysis. D. Select a partnering organization with similar systems.
B is the correct answer. Justification A. While disaster recovery exercises are important but difficult to perform in a reciprocal agreement, the greater risk is geographic proximity. B. If the two partnering organizations are in close geographic proximity, this could lead to both organizations being subjected to the same environmental disaster, such as an earthquake. C. A business impact analysis will help both organizations identify critical applications, but separation is a more important consideration when entering reciprocal agreements. D. Selecting a partnering organization with similar systems is a good idea, but separation is a more important consideration when entering reciprocal agreements. Domain4Information Systems Operations and Business Resilience Sub-domain4B5Disaster Recovery Plans (DRP) Task Statement13Evaluate the organization's ability to continue business operations.
It is MOST appropriate to implement an incremental backup scheme when: A. there is limited recovery time for critical data. B. online disk-based media are preferred. C. there is limited media capacity. D. a random selection of backup sets is required.
C is the correct answer. Justification A. A full backup or differential backup is preferred in this situation. B. Incremental backup could be used irrespective of the media adopted. C. In an incremental backup, after the full backup, only the files that have changed are backed up, thus minimizing media storage. D. A random selection of backup sets may not be possible with an incremental backup scheme because only fragments of the data are backed up on a daily basis. Domain4Information Systems Operations and Business Resilience Sub-domain4B3Data Backup, Storage, and Restoration Task Statement25Evaluate data governance policies and practices.
Which of the following is the BEST reason for integrating the testing of noncritical systems in disaster recovery plans (DRPs) with business continuity plans (BCPs)? A. To ensure that DRPs are aligned to the business impact analysis. B. Infrastructure recovery personnel can be assisted by business subject matter experts. C. BCPs may assume the existence of capabilities that are not in DRPs. D. To provide business executives with knowledge of disaster recovery capabilities.
C is the correct answer. Justification A. DRPs should be aligned with the business impact analysis; however, this has no impact on integrating the testing of noncritical systems in DRPs with BCPs. B. Infrastructure personnel will be focused on restoring the various platforms that make up the infrastructure, and it is not necessary for business subject matter experts to be involved. C. BCPs may assume the existence of capabilities that are not part of the DRPs, such as allowing employees to work from home during the disaster; however, IT may not have made sufficient provisions for these capabilities (e.g., they cannot support a large number of employees working from home). While the noncritical systems are important, it is possible that they are not part of the DRPs. For example, an organization may use an online system that does not interface with the internal systems. If the business function using the system is a critical process, the system should be tested, and it may not be part of the DRP. Therefore, DRP and BCP testing should be integrated. D. While business executives may be interested in the benefits of disaster recovery, testing is not the best way to accomplish this task. Domain4Information Systems Operations and Business Resilience Sub-domain4B4Business Continuity Plan (BCP) Task Statement13Evaluate the organization's ability to continue business operations.
Which of the following should be a MAJOR concern for an IS auditor reviewing a business continuity plan? A. The plan is approved by the chief information officer. B. The plan contact lists have not been updated. C. Test results are not adequately documented. D. The training schedule for recovery personnel is not included.
C is the correct answer. Justification A. Ideally, the board of directors should approve the plan to ensure acceptability, but it is possible to delegate approval authority to the chief information officer. Pragmatically, lack of documenting test results could have more significant consequences. B. The contact lists are an important part of the BCP; however, they are not as important as documenting the test results. C. The effectiveness of a business continuity plan (BCP) can best be determined through tests. If results of tests are not documented, then there is no basis for feedback, updates, etc. D. If test results are documented, a need for training will be identified and the BCP will be updated. Domain4Information Systems Operations and Business Resilience Sub-domain4B4Business Continuity Plan (BCP) Task Statement13Evaluate the organization's ability to continue business operations.
An IS auditor is conducting a review of the disaster recovery procedures for a data center. Which of the following indicators BEST shows that the procedures meet the requirements? A. Documented procedures were approved by management. B. Procedures were reviewed and compared with industry good practices. C. A tabletop exercise using the procedures was conducted. D. Recovery teams and their responsibilities are documented.
C is the correct answer. Justification A. Management approval does not necessarily mean that the disaster recovery procedures are sufficient to meet the needs of the business. B. While it is useful to compare the procedures with documented industry good practices, a tabletop exercise (paper test) is a better indicator that the procedures meet requirements. C. Conducting a tabletop exercise (paper-based test) of the procedures with all responsible members, best ensures that the procedures meet the requirements. This type of test can identify missing or incorrect procedures because representatives responsible for performing the tasks are present. D. The documentation of recovery teams and their responsibilities would be part of the procedures and not necessarily validate that the procedures are correct and complete thus meeting requirements. Domain4Information Systems Operations and Business Resilience Sub-domain4B5Disaster Recovery Plans (DRP) Task Statement13Evaluate the organization's ability to continue business operations.
Which of the following is the PRIMARY objective of the business continuity plan process? A. To provide assurance to stakeholders that business operations will continue in the event of disaster B. To establish an alternate site for IT services to meet predefined recovery time objectives C. To manage risk while recovering from an event that adversely affected operations D. To meet the regulatory compliance requirements in the event of natural disaster
C is the correct answer. Justification A. The BCP in itself does not provide assurance of continuing operations; however, it helps the organization to respond to disruptions to critical business processes. B. Establishment of an alternate site is more relevant to disaster recovery than the BCP. C. The business continuity plan (BCP) process primarily focuses on managing and mitigating risk during recovery of operations due to an event that affected operations. D. The regulatory compliance requirements may help establish the recovery time objective (RTO) requirements. Domain4Information Systems Operations and Business Resilience Sub-domain4B4Business Continuity Plan (BCP) Task Statement13Evaluate the organization's ability to continue business operations.
Which of the following is MOST important to determine the recovery point objective for a critical process in an enterprise? A. Number of hours of acceptable downtime B. Total cost of recovering critical systems C. Extent of data loss that is acceptable D. Acceptable reduction in the level of service
C is the correct answer. Justification A. The recovery time objective is the amount of time allowed for the recovery of a business function or resource after a disaster. B. The determination of the RPO already takes cost into consideration. C. The recovery point objective (RPO) is determined based on the acceptable data loss in case of a disruption of operations. It indicates the earliest point in time that is acceptable to recover the data. The RPO effectively quantifies the permissible amount of data loss in case of interruption. D. The service delivery objective (SDO) is directly related to the business needs. The SDO is the level of services to be reached during the alternate process mode until the normal situation is restored. Domain4Information Systems Operations and Business Resilience Sub-domain4B5Disaster Recovery Plans (DRP) Task Statement13Evaluate the organization's ability to continue business operations.
A company with a limited budget has a recovery time objective of 72 hours and a recovery point objective of 24 hours. Which of the following would BEST meet the requirements of the business? A. A hot site B. A cold site C. A mirrored site D. A warm site
D is the correct answer. Justification A. Although a hot site enables the business to meet its RPO and RTO, the cost to maintain a hot site is more than the cost to maintain a warm site, which could also meet the objectives. B. A cold site, although providing basic infrastructure, lacks the required hardware to meet the business objectives. C. This provides fully redundant facilities with real-time data replication. It can meet the business objectives, but it is not as cost-effective a solution as a warm site. D. This is the most appropriate solution because it provides basic infrastructure and most of the required IT equipment to affordably meet the business requirements. The remainder of the equipment needed can be provided through vendor agreements within a few days. The recovery time objective (RTO) is the amount of time allowed for the recovery of a business function or resource after a disaster occurs. The recovery point objective (RPO) is determined based on the acceptable data loss in case of a disruption of operations. The RPO indicates the earliest point in time that is acceptable to recover the data, and it effectively quantifies the permissible amount of data loss in case of interruption.
Which of the following would BEST ensure uninterrupted operations in an organization with IT operation centers in several countries? A. Distribution of key procedural documentation B. Reciprocal agreement between business partners C. Strong senior management leadership D. Employee training on the business continuity plan
D is the correct answer. Justification A. Procedural documentation should always be up to date and distributed to major locations. However, documents alone are insufficient if employees do not know their role in the plan. B. A reciprocal agreement is an emergency processing agreement between two or more enterprises with similar equipment or applications. Typically, participants of a reciprocal agreement promise to provide processing time to each other when an emergency arises. While it is integral to business continuity to have a location for business operations, it does not necessarily need to be a reciprocal agreement. For example, in some cases, business operations may be carried out from each employee's home. C. Senior management may not be readily available to provide leadership during a disaster. Therefore, it is most important that employees fully understand their roles in the BCP. D. During a disaster, the chain of command might be interrupted. Therefore, it is important that employees know their roles in the BCP, including where to report and how to perform their job functions. Employee training on the plan is especially important for businesses with offices that are geographically separated because there is a greater chance of communication disruption. Domain4Information Systems Operations and Business Resilience Sub-domain4B2System Resiliency Task Statement13Evaluate the organization's ability to continue business operations.
Which of the following is the BEST method to ensure that critical IT system failures do not recur? A. Invest in redundant systems. B. Conduct a follow-up audit. C. Monitor system performance. D. Perform root cause analysis.
D is the correct answer. Justification A. Redundancy may be a solution; however, a root cause analysis enables an educated decision to address the origin of the problem instead of simply assuming that system redundancy is the solution. B. While an audit may discover the root cause of the problem, an audit is not a solution to an operational problem. Identifying the origins of operational failures needs to be part of day-to-day IT processes and owned by the IT department. C. Use of monitoring tools is a means to gather data and can contribute to root cause analysis, but it does not by itself help prevent an existing problem from recurring. D. Root cause analysis determines the key reason an incident has occurred and allows for appropriate corrections that will help prevent the incident from recurring. Domain4Information Systems Operations and Business Resilience Sub-domain4B2System Resiliency Task Statement13Evaluate the organization's ability to continue business operations.
An IS auditor is auditing an IT disaster recovery plan. The IS auditor should PRIMARILY ensure that the plan covers: A. a resilient IT infrastructure. B. alternate site information. C. documented disaster recovery test results. D. analysis and prioritization of business functions.
D is the correct answer. Justification A. This is typically required to minimize interruptions to IT services; however, if a critical business function does not require high availability of IT, this may not be required for all DRP elements. B. While the selection of an alternate site is important, the more critical issue is the prioritization of resources based on impact and RTOs of business functions. C. These are helpful when maintaining the DRP; however, the DRP must first and foremost be aligned with business requirements. D. The disaster recovery plan (DRP) must primarily focus on recovering critical business functions in the event of disaster within predefined recovery time objectives (RTOs); thus, it is necessary to align the recovery of IT services based on the criticality of business functions. Domain4Information Systems Operations and Business Resilience Sub-domain4B5Disaster Recovery Plans (DRP) Task Statement13Evaluate the organization's ability to continue business operations.
