CISAβCertified Information Systems Auditor - Part 326
1. With respect to business continuity strategies, an IS auditor interviews key stakeholders in an organization to determine whether they understand their roles and responsibilities. The IS auditor is attempting to evaluate the:
A) clarity and simplicity of the business continuity plans.
B) adequacy of the business continuity plans.
C) effectiveness of the business continuity plans.
D) ability of IS and end-user personnel to respond effectively in emergencies.
2. During the design of a business continuity plan, the business impact analysis (BIA) identifies critical processes and supporting applications. This will PRIMARILY influence the:
A) responsibility for maintaining the business continuity plan.
B) criteria for selecting a recovery site provider.
C) recovery strategy.
D) responsibilities of key personnel.
3. During a review of a business continuity plan, an IS auditor noticed that the point at which a situation is declared to be a crisis has not been defined. The MAJOR risk associated with this is that:
A) assessment of the situation may be delayed.
B) execution of the disaster recovery plan could be impacted.
C) notification of the teams might not occur.
D) potential crisis recognition might be ineffective.
4. An organization has just completed their annual risk assessment. Regarding the business continuity plan, what should an IS auditor recommend as the next step for the organization?
A) Review and evaluate the business continuity plan for adequacy
B) Perform a full simulation of the business continuity plan
C) Train and educate employees regarding the business continuity plan
D) Notify critical contacts in the business continuity plan
5. Integrating business continuity planning (BCP) into an IT project aids in:
A) the retrofitting of the business continuity requirements.
B) the development of a more comprehensive set of requirements.
C) the development of a transaction flowchart.
D) ensuring the application meets the user's needs.
A) clarity and simplicity of the business continuity plans.
B) adequacy of the business continuity plans.
C) effectiveness of the business continuity plans.
D) ability of IS and end-user personnel to respond effectively in emergencies.
2. During the design of a business continuity plan, the business impact analysis (BIA) identifies critical processes and supporting applications. This will PRIMARILY influence the:
A) responsibility for maintaining the business continuity plan.
B) criteria for selecting a recovery site provider.
C) recovery strategy.
D) responsibilities of key personnel.
3. During a review of a business continuity plan, an IS auditor noticed that the point at which a situation is declared to be a crisis has not been defined. The MAJOR risk associated with this is that:
A) assessment of the situation may be delayed.
B) execution of the disaster recovery plan could be impacted.
C) notification of the teams might not occur.
D) potential crisis recognition might be ineffective.
4. An organization has just completed their annual risk assessment. Regarding the business continuity plan, what should an IS auditor recommend as the next step for the organization?
A) Review and evaluate the business continuity plan for adequacy
B) Perform a full simulation of the business continuity plan
C) Train and educate employees regarding the business continuity plan
D) Notify critical contacts in the business continuity plan
5. Integrating business continuity planning (BCP) into an IT project aids in:
A) the retrofitting of the business continuity requirements.
B) the development of a more comprehensive set of requirements.
C) the development of a transaction flowchart.
D) ensuring the application meets the user's needs.
1. Right Answer: A
Explanation: The IS auditor should interview key stakeholders to evaluate how well they understand their roles and responsibilities. When all stakeholders have a detailed understanding of their roles and responsibilities in the event of a disaster, an IS auditor can deem the business continuity plan to be clear and simple. To evaluate adequacy, the IS auditor should review the plans and compare them to appropriate standards. To evaluate effectiveness, the IS auditor should review the results from previous tests. This is the best determination for the evaluation of effectiveness. An understanding of roles and responsibilities by key stakeholders will assist in ensuring the business continuity plan is effective. To evaluate the response, the IS auditor should review results of continuity tests. This will provide the IS auditor with assurance that target and recovery times are met. Emergency procedures and employee training need to be reviewed to determine whether the organization had implemented plans to allow for the effective response.
2. Right Answer: C
Explanation: The most appropriate strategy is selected based on the relative risk level and criticality identified in the business impact analysis (BIA.) The other choices are made after the selection or design of the appropriate recovery strategy.
3. Right Answer: B
Explanation: Execution of the business continuity plan would be impacted if the organization does not know when to declare a crisis. Choices A, C and D are steps that must be performed to know whether to declare a crisis. Problem and severity assessment would provide information necessary in declaring a disaster. Once a potential crisis is recognized, the teams responsible for crisis management need to be notified. Delaying this step until a disaster has been declared would negate the effect of having response teams. Potential crisis recognition is the first step in responding to a disaster.
4. Right Answer: A
Explanation: The business continuity plan should be reviewed every time a risk assessment is completed for the organization. Training of the employees and a simulation should be performed after the business continuity plan has been deemed adequate for the organization. There is no reason to notify the business continuity plan contacts at this time.
5. Right Answer: B
Explanation: Integrating business continuity planning (BCP) into the development process ensures complete coverage of the requirements through each phase of the project.Retrofitting of the business continuity plan's requirements occurs when BCP is not integrating into the development methodology. Transaction flowcharts aid in analyzing an application's controls. A business continuity plan will not directly address the detailed processing needs of the users.
Explanation: The IS auditor should interview key stakeholders to evaluate how well they understand their roles and responsibilities. When all stakeholders have a detailed understanding of their roles and responsibilities in the event of a disaster, an IS auditor can deem the business continuity plan to be clear and simple. To evaluate adequacy, the IS auditor should review the plans and compare them to appropriate standards. To evaluate effectiveness, the IS auditor should review the results from previous tests. This is the best determination for the evaluation of effectiveness. An understanding of roles and responsibilities by key stakeholders will assist in ensuring the business continuity plan is effective. To evaluate the response, the IS auditor should review results of continuity tests. This will provide the IS auditor with assurance that target and recovery times are met. Emergency procedures and employee training need to be reviewed to determine whether the organization had implemented plans to allow for the effective response.
2. Right Answer: C
Explanation: The most appropriate strategy is selected based on the relative risk level and criticality identified in the business impact analysis (BIA.) The other choices are made after the selection or design of the appropriate recovery strategy.
3. Right Answer: B
Explanation: Execution of the business continuity plan would be impacted if the organization does not know when to declare a crisis. Choices A, C and D are steps that must be performed to know whether to declare a crisis. Problem and severity assessment would provide information necessary in declaring a disaster. Once a potential crisis is recognized, the teams responsible for crisis management need to be notified. Delaying this step until a disaster has been declared would negate the effect of having response teams. Potential crisis recognition is the first step in responding to a disaster.
4. Right Answer: A
Explanation: The business continuity plan should be reviewed every time a risk assessment is completed for the organization. Training of the employees and a simulation should be performed after the business continuity plan has been deemed adequate for the organization. There is no reason to notify the business continuity plan contacts at this time.
5. Right Answer: B
Explanation: Integrating business continuity planning (BCP) into the development process ensures complete coverage of the requirements through each phase of the project.Retrofitting of the business continuity plan's requirements occurs when BCP is not integrating into the development methodology. Transaction flowcharts aid in analyzing an application's controls. A business continuity plan will not directly address the detailed processing needs of the users.
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