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1、ISACA,The recognized globalleaders in IT governance,control,security and assurance,Chapter 6Business Continuity And Disaster Recovery,2009 CISA Review Course,Course Agenda,Learning ObjectivesDiscuss Task and Knowledge StatementsDiscuss specific topics within the chapter Case studySample questions,Ex
2、am Relevance,Ensure that the CISA candidate“Understands and can provide assurance that in the event of a disruption the business continuity and disaster recovery processes will ensure the timely resumption of IT services while minimizing the business impact.”The content area in this chapter will rep
3、resent approximately 14%of the CISA examination(approximately 28 questions).,Chapter 6 Learning Objectives,Evaluate the adequacy of backup and restore provisions to ensure the availability of information required to resume processingEvaluate the organizations disaster recovery plan to ensure that it
4、 enables the recovery of IT processing capabilities in the event of a disasterEvaluate the organizations business continuity plan to ensure the organizations ability to continue essential business operations during the period of an IT disruption,6.2 Business Continuity/Disaster Recovery Planning,Bus
5、iness continuity planning(BCP)is a process designed to reduce the organizations business riskA BCP is much more than just a plan for the information systems,Corporate risks could cause an organization to sufferInability to maintain critical customer servicesDamage to market share,reputation or brand
6、Failure to protect the company assets including intellectual properties and personnelBusiness control failureFailure to meet legal or regulatory requirements,6.2 Business Continuity/Disaster Recovery Planning(continued),Practice Question,6-1During an audit of a large bank,the IS auditor observes tha
7、t no formal risk assessment exercise has been carried out for the various business applications to arrive at their relative importance and recovery time requirements.The risk to which the bank is exposed is that the:business continuity plan may not have been calibrated to the relative risk that disr
8、uption of each application poses to the organization.business continuity plan may not include all relevant applications and,therefore,may lack completeness in terms of its coverage.business impact of a disaster may not have been accurately understood by the management.business continuity plan may la
9、ck an effective ownership by the business owners of such applications.,Practice Question,6-2Which of the following is necessary to have FIRST in the development of a business continuity plan?Risk-based classification of systemsInventory of all assetsComplete documentation of all disastersAvailabilit
10、y of hardware and software,Practice Question,6-3An IS auditor should be involved in:observing tests of the disaster recovery plan.developing the disaster recovery plan.maintaining the disaster recovery plan.reviewing the disaster recovery requirements of supplier contracts.,IS processing is of strat
11、egic importanceCritical component of overall BCPMost key business processes depend on the availability of key systems and infrastructure components,6.2.1 IS Business Continuity/Disaster Recovery Planning,Disasters are disruptions that cause critical information resources to be inoperative for a peri
12、od of timeGood BCP will take into account impacts on IS processing facilities,6.2.2 Disasters and Other Disruptive Events,Phases of the business continuity planning processCreation of a business continuity and disaster recovery policyBusiness impact analysisClassification of operations and criticali
13、ty analysisDevelopment of a business continuity plan and disaster recovery procedures Training and awareness programTesting and implementation of planMonitoring,6.2.3 Business Continuity Planning Process,All types of incidents should be categorizedNegligibleMinorMajorCrisis,6.2.5 Business Continuity
14、 Planning Incident Management,Critical step in developing the business continuity planThree main questions to consider during BIA phase:What are the different business processes?What are the critical information resources related to an organizations critical business processes?What is the critical r
15、ecovery time period for information resources in which business processing must be resumed before significant or unacceptable losses are suffered?,6.2.6 Business Impact Analysis,6.2.6 Business Impact Analysis(continued),What is the systems risk ranking?CriticalVitalSensitiveNon-sensitive,6.2.6 Busin
16、ess Impact Analysis(continued),Practice Question,6-4The window of time for recovery of information processing capabilities is based on the:criticality of the processes affected.quality of the data to be processed.nature of the disaster.applications that are mainframe-based.,Recovery Point Objective(
17、RPO)Based on acceptable data lossIndicates earliest point in time in which it is acceptable to recover the dataRecovery Time Objective(RTO)Based on acceptable downtimeIndicates earliest point in time at which the business operations must resume after a disaster,6.2.7 Recovery Point Objective and Rec
18、overy Time Objective,6.2.7 Recovery Point Objective and Recovery Time Objective(continued),Additional parameters important in defining recovery strategiesInterruption windowService delivery objective(SDO)Maximum tolerable outages,6.2.7 Recovery Point Objective and Recovery Time Objective(continued),
19、Practice Question,6-5Data mirroring should be implemented as a recovery strategy when:recovery point objective(RPO)is low.RPO is high.recovery time objective(RTO)is high.disaster tolerance is high.,Practice Question,6-6When preparing a business continuity plan,which of the following MUST be known to
20、 establish a recovery point objective(RPO)?The acceptable data loss in case of disruption of operationsThe acceptable downtime in case of disruption of operationsTypes of offsite backup facilities availableTypes of IT platforms supporting critical business functions,A recovery strategy is a combinat
21、ion of preventive,detective and corrective measuresThe selection of a recovery strategy would depend upon:The criticality of the business process and the applications supporting the processesCostTime required to recoverSecurity,6.2.8 Recovery Strategies,Recovery strategies based on the risk level id
22、entified for recovery would include developing:Hot sitesWarm sitesCold sitesDuplicate information processing facilitiesMobile sitesReciprocal arrangements with other organizations,6.2.8 Recovery Strategies(continued),Types of offsite backup facilitiesHot sites-Fully equipped facilityWarm sites-Parti
23、ally equipped but lacking processing powerCold sites-Basic environmentDuplicate(redundant)information processing facilityMobile sitesReciprocal agreementContract with hot,warm or cold siteProcuring alternative hardware facilities,6.2.9 Recovery Alternatives,6.2.9 Recovery Alternatives(continued),Typ
24、es of offsite backup facilitiesHot sites-Fully equipped facilityWarm sites-Partially equipped but lacking processing powerCold sites-Basic environmentDuplicate(redundant)information processing facilityMobile sitesReciprocal agreementContract with hot,warm or cold siteProcuring alternative hardware f
25、acilities,6.2.9 Recovery Alternatives(continued),Provisions for use of third-party sites should cover:ConfigurationsDisasterSpeed of availabilitySubscribers per site and areaPreferenceInsuranceAudit Reliability,Procuring alternative hardware facilitiesVendor or third-partyOff-the-shelfCredit agreeme
26、nt or emergency credit cards,6.2.9 Recovery Alternatives(continued),Practice Question,6-7An IS auditor discovers that an organizations business continuity plan provides for an alternate processing site that will accommodate 50 percent of the primary processing capability.Based on this,which of the f
27、ollowing actions should the IS auditor take?Do nothing,because generally,less than 25 percent of all processing is critical to an organizations survival and the backup capacity,therefore,is adequate.Identify applications that could be processed at the alternate site and develop manual procedures to
28、back up other processing.Ensure that critical applications have been identified and that the alternate site could process all such applications.Recommend that the information processing facility arrange for an alternate processing site with the capacity to handle at least 75 percent of normal proces
29、sing.,Factors to consider when developing the plansPre-disaster readinessEvacuation proceduresCircumstances under which a disaster should be declaredIdentification of plan responsibilitiesIdentification of contract informationRecovery option explanationsIdentification of resources for recovery and c
30、ontinued operation of the organizationApplication of the constitution phase,6.2.10 Development of Business Continuity and Disaster Recovery Plans,The emergency management team coordinates the activities of all other recovery teams.This team oversees:Retrieving critical and vital data from offsite st
31、orageInstalling and testing systems software and applications at the systems recoveryIdentifying,purchasing,and installing hardware at the system recovery siteOperating from the system recovery siteRerouting network communications traffic,6.2.11 Organization and Assignment of Responsibilities,The em
32、ergency management team coordinates the activities of all other recovery teams.This team oversees:Reestablishing the user/system networkTransporting users to the recovery facilityReconstructing databasesSupplying necessary office goods,i.e.,special forms,check stock,paperArranging and paying for emp
33、loyee relocation expenses at the recovery facilityCoordinating systems use and employee work schedules,6.2.11 Organization and Assignment of Responsibilities(continued),Management and user involvement is vital to the success of BCPEssential to the identification of critical systems,recovery times an
34、d resourcesInvolvement from support services,business operations and information processing supportEntire organization needs to be considered for BCP,6.2.12 Other Issues inPlan Development,A business continuity plan may consist of more than one plan documentContinuity of operations plan(COOP)Disaste
35、r recovery plan(DRP)Business resumption planContinuity of support plan/IT contingency planCrisis communications planIncident response planTransportation planOccupant emergency plan(OEP),6.2.13 Components of a Business Continuity Plan,Components of the plan Key decision-making personnelBackup of requ
36、ired supplies Telecommunication networks disaster recovery methodsRedundant array of inexpensive disks(RAID)Insurance,6.2.13 Components of a Business Continuity Plan(continued),Practice Question,6-8In a business continuity plan,which of the following notification directories is the MOST important?Eq
37、uipment and supply vendorsInsurance company agentsContract personnel servicesA prioritized contact list,Practice Question,6-9Which of the following components of a business continuity plan is PRIMARILY the responsibility of an organizations IS department?Developing the business continuity planSelect
38、ing and approving the strategy for the business continuity planDeclaring a disasterRestoring the IS systems and data after a disaster,Telecommunication networks disaster recovery methodsRedundancyAlternative routingDiverse routingLong haul network diversityLast mile circuit protectionVoice recovery,
39、6.2.13 Components of a Business Continuity Plan(continued),Redundant array of inexpensive disks(RAID)Provide performance improvements and fault tolerant capabilities via hardware or software solutionsProvide the potential for cost-effective mirroring offsite for data back-up,6.2.13 Components of a B
40、usiness Continuity Plan(continued),InsuranceIS equipment and facilitiesMedia(software)reconstructionExtra expenseBusiness interruptionValuable papers and recordsErrors and omissionsFidelity coverageMedia transportation,6.2.13 Components of a Business Continuity Plan(continued),Schedule testing at a
41、time that will minimize disruptions to normal operationsTest must simulate actual processing conditionsTest execution:Documentation of resultsResults analysis Recovery/continuity plan maintenance,6.2.14 Plan Testing,Practice Question,6-10In an audit of a business continuity plan,which of the followi
42、ng findings is of MOST concern?There is no insurance for the addition of assets during the year.The business continuity plan manual is not updated on a regular basis.Testing of the backup data has not been done regularly.Records for maintenance of the access system have not been maintained.,Offsite
43、library controlsSecurity and control of offsite facilitiesMedia and documentation backupPeriodic backup proceduresFrequency of rotationTypes of media and documentation rotatedRecord keeping for offsite storageBusiness continuity management best practices,6.2.15 Backup and Restoration,Business contin
44、uity plan must:Be based on the long-range IT planComply with the overall business continuity strategy,6.2.16 Summary of Business Continuity and Disaster Recovery,Process for developing and maintaining the BCP/DRPBusiness impact analysisIdentify and prioritize systemsChoose appropriate strategiesDeve
45、lop the detailed plan for IS facilitiesDevelop the detailed BCPTest the plansMaintain the plans,6.2.16 Summary of Business Continuity and Disaster Recovery(continued),Understand and evaluate business continuity strategyEvaluate plans for accuracy and adequacyVerify plan effectivenessEvaluate offsite
46、 storageEvaluate ability of IS and user personnel to respond effectivelyEnsure plan maintenance is in place Evaluate readability of business continuity manuals and procedures,6.3 Auditing Business Continuity,IS auditors should verify that basic elements of a well-developed plan are evident including
47、:Currency of documentsEffectiveness of documentsInterview personnel for appropriateness and completeness,6.3.1 Reviewing the BusinessContinuity Plan,IS auditors must review the test results to:Determine whether corrective actions are in the planEvaluate thoroughness and accuracyDetermine problem tre
48、nds and resolution of problems,6.3.2 Evaluation of PriorTest Results,An IS auditor must:Evaluate presence,synchronization and currency of media and documentationPerform a detailed inventory reviewReview all documentationEvaluate availability of facility,6.3.3 Evaluation of Offsite Storage,Key person
49、nel must have an understanding of their responsibilitiesCurrent detailed documentation must be kept,6.3.4 Interviewing Key Personnel,An IS auditor must:Evaluate the physical and environmental access controlsExamine the equipment for current inspection and calibration tags,6.3.5 Evaluation of Securit
50、y atOffsite Facility,An IS auditor should obtain a copy of the contract with the vendorThe contract should be reviewed against a number of guidelinesContract is clear and understandableOrganizations agreement with the rules,6.3.6 Reviewing AlternativeProcessing Contract,Insurance coverage must refle
