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Information Systems Audit > Information > Flashcards

Information Flashcards

0
Q

Define data

A

Facts, observation, data points

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1
Q

Data is information without —

A

Meaning

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2
Q

Define information

A

Data with context or meaning

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3
Q

Define knowledge

A

Information with meaning

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4
Q

Define wisdom

A

Knowledge with insight

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5
Q

From the top down, what are the four layers of the information pyramid?

A

Wisdom
Knowledge
Information
Data

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6
Q

List as many instances of information you can think of

A 
Documents
Speech
Graphics
Presentations
Recordings
Output reports
Magnetic tapes
Removable disks
Test data
Blank headed paper
Charts
Policies
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7
Q

List three characteristic features of knowledge

A

It is intangible
It is not depleted when used
It grows when it is shared

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8
Q

What are the five steps of the knowledge management path?

A 
Identify
Create
Collect/codify
Knowledge repository
Diffuse/use
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9
Q

In the knowledge management path, how should knowledge be identified?

A

By establishing a database of where knowledge is held within the organisation

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10
Q

Of what aspects of knowledge assets does compiling an inventory of them give us a picture?

A

Their value to the organisation
The opportunity potential of the information
The potential risks to the organisation in holding such information

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11
Q

What are the four different ways in which knowledge is created?

A

Tacit to tacit: where we learn from others
Tacit to explicit: where we articulate knowledge into tangible form through dialogue
Explicit to explicit: where we combine different forms of explicit knowledge, e.g., documents
Explicit to tacit: where we learn from documents

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12
Q

In the knowledge management path, list some methods of collecting information

A

Interviewing
Observing
Research

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13
Q

List four typical knowledge repositories

A

Data warehouse, to store customer data
Document libraries, to ensure standard house styles
Help centres, to store system information enabling more rapid help
Enterprise resource systems, to hold a wide range of information

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14
Q

Once data repositories have been set up, what are the two principal ways in which they can be used?

A

Use of information to generate or extrapolate new information
Use of information for sharing

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15
Q

List four ways in which information can be shared

A

Shared between workers
Shared across the organisation
Shared with trading partners
Shared with the public

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16
Q

What are the four forms in which information is most likely to be shared?

A

Intranet
Internet
Call centres
Brochures

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17
Q

List four pieces of LEGISLATION having an impact on the proper safeguarding, retention and storage of documents

A

Data Protection Act 1998
Human Rights Act 1998
Freedom of Information Act 2000
Companies Act 2006

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18
Q

The data protection act 1998 applies exclusive to records relating to people, not companies. True or false?

A

True

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19
Q

What determines whether a record, no matter how filed, comes within the scope of the data protection act 1998?

A

Whether the record can be used to identify the individual the record refers to.

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20
Q

What are the eight principles of the data protection act 1998?

A
  1. Personal data shall be processed fairly and lawfully and shall not be processed unless certain conditions are met
  2. Personal data shall be obtained only for one or more specified and lawful purposes, and shall not be further processed in any manner compatible with that purpose or those purposes
  3. Personal data shall be adequate, relevant, and not excessive in relation to the purpose or purposes for which they are processed
  4. Personal data shall be accurate and kept up to date where necessary
  5. Personal data processed for any purpose shall not be kept longer than is necessary for that purpose
  6. Personal data shall be processed in accordance with the rights of data subjects under this Act
  7. Appropriate technical and organisational measures shall be taken against unauthorised or unlawful processing of personal data and against accidental loss or destruction of, or damage to, personal data
  8. Personal data shall not be transferred to a country or territory outside the European Economic Area unless that territory ensures an adequate level of protection for the rights and freedoms of data subjects in relation to the processing of personal data
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21
Q

What are the seven individual’s rights listed in the data protection act 1998?

A

Right of access
Right to prevent processing likely to cause damage or distress
Right to prevent processing for direct marketing
Right in relation to automated decision making
Right to compensation
Rectification, blocking, erasure and destruction
Requests for assessment

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22
Q

According to the right of access in the data protection act 1998, for a minimum fee of – the data subject is entitled to a copy of the data relating to them

A

£10

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23
Q

According to the right of access in the data protection act 1998, data controllers are required to what?

A

Reveal any information they hold, including details relating to the source of the data

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24
Q

According to the ‘right to prevent processing likely to cause damage or distress’ in the data protection act 1998, an individual can serve written notice prohibiting what?

A

Data controllers from processing data that can cause substantial damage or distress

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25
Q

According to the ‘right to prevent processing for direct marketing’ in the data protection act 1998, individuals have the right to require data controllers to ensure what?

A

That data will not be used for the purpose of sending them advertising or direct marketing material

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26
Q

According to the ‘right in relation to automated decision making’ in the data protection act 1998, an individual can give written notice preventing the data controller from what?

A

Taking decisions based solely on scorecards or processing by other automatic means

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27
Q

According to the ‘right to compensation’ in the data protection act 1998, an individual suffering damage or distress as a result of a contravention of the Act is entitled to…

A

Compensation

Unless the data controller can demonstrate they took reasonable steps to comply with the Act

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28
Q

What does Schedule 1, Article 8 of the human rights act 1998 state?

A

‘Everyone has the right to respect for his private and family life, his home and his correspondence.’

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29
Q

What are the two main features of the Freedom of Information Act 2000?

A
  1. A general right of access to recorded information held by a wide range of bodies across the public sector, subject to certain conditions and exemptions
  2. In relation to most exempt information, the information must nevertheless be disclosed unless the public interest in maintaining the exemption outweighs the public interest in disclosure
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30
Q

Since the risks to the organisation are increased when it takes a haphazard approach to managing information, what can it do at a high level to meet this risk?

A

Develop a strategic framework which can be used to control information management

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31
Q

With respect to information management, the strategic framework should comprise what five aspects relating to information?

A 
Creation
Classification
Transmission
Retention
Destruction
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32
Q

Document management. With respect to CREATION of information, what effect of the aggregation of individual information items should be considered?

A

Whether as an aggregated whole, the information is highly classified

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33
Q

With respect to the creation of information, what are the classic three security aspects that need to be controlled?

A

Confidentiality
Integrity
Availability

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34
Q

With respect to document management, an information — system should be used to define an appropriate set of protection levels and communicate to all authorised users the need for appropriate handling measures

A

Classification

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35
Q

— - classification can lead to an unnecessary additional business expense

A

Over classification

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36
Q

When deciding what kind of information classification system to use, overly — schemes should be avoided

A

Complex

37
Q

With whom should the responsibility lie for determining the classification of a particular item?

A

The originator or nominated owner of the information

38
Q

Once the classification value of information has been determined, the appropriate s— m— needs to be applied

A

Security marking

39
Q

At a high level, classification of information should be controlled through — and —

A

Policies and procedures

40
Q

For each level of information classification, — procedures should be defined to cover all types of information processing activity

A

Handling

41
Q

List three standard levels of classification, describing the sensitivity considerations for each

A

High. Information that, if released, could prejudice the existence of the organisation
Medium. Personal information or information that, if released, could harm the organisation’s interests
Low. All other information

42
Q

How can information be accidentally transmitted?

A

By leaving it in places where passers by can see it, such as on a desk or computer screen

43
Q

What two policies can prevent static information being accidentally transmitted?

A

Clear desk policy

Clear screen policy

44
Q

What forms of transport of information are particularly vulnerable to unauthorised access, misuse or corruption?

A

Those forms where the sender cannot guarantee the identity of the recipient, such as post, fax, email and various voice formats

45
Q

Where there is exchange of information and software between organisations, there should be — in place to control the information flow

A

Agreements

46
Q

What ten things might agreements on transmission conditions need to consider?

A

Management responsibilities for controlling and notifying transmission, despatch and receipt
Procedures for notifying sender, transmission, despatch and receipt
Minimum standards for packaging and transmission
Courier identification standards
Responsibilities and liabilities in the event of loss of data
Use of an agreed labelling system for sensitive or critical information, ensuring that the meaning of the labels is clear
Information ownership and responsibilities for data protection
Technical standards for recording and reading information
Any special controls required to protect security information in transit
Splitting consignment into more than one delivery and/or des patching by different routes

47
Q

Organisational p— should provide guidance on the security of information in transit

A

Policies

48
Q

To ensure information on a publicly available system complies with laws, rules and regulations, there should be a formal — — before information is made publicly available

A

Authorisation process

49
Q

A data retention policy may take one of what two forms?

A

Maximum - minimum rule

Exceptions to the maximum rule

50
Q

In data retention, what does the maximum - minimum rule mean?

A

The retention periods listed in the policy are both minimum and maximum retention periods and mean certain types of information must be kept as long as the retention period listed, but no longer

51
Q

What does ‘exceptions to the maximum rule’ mean in data retention?

A

There may be exceptions to the maximum retention period rule for records that are involved in litigation, criminal or civil investigation, audit, or continuing administrative use. But under no circumstances should data be retained less than the period indicated

52
Q

Data retention policies should define not just the retention period, but the retention m—

A

Methodology

53
Q

Long term storage of information is often — to specialist agencies

A

Outsourced

54
Q

When — of information, care should be taken that appropriate measures are in place to protect its security up to the point of death

A

Disposing

55
Q

What are the best forms of destroying computer-based information?

A

Exposing media to strong magnetic current

Crushing media to dust

56
Q

— are applications that store data

A

Databases

57
Q

A — — — is a complex suite of software programs that control the organisation, storage, management and retrieval of data in a database.

A

Database management system (DBMS)

58
Q

Database management systems are categorised according to what five data structures or types?

A 
Hierarchical
Networked database systems
Relational
Object oriented
Hybrid
59
Q

A database management system provides what two views of the database data?

A

A physical view

A logical view

60
Q

In a database management system, what does a physical view of the data entail?

A

The actual, physical arrangement and location of data in the database.

May be used by database specialist to make efficient use of storage and processing resources

61
Q

In a database management systems, what does a logical view of the data entail?

A

Representation of data in a format that is meaningful to a user and to the software programs that process the data

62
Q

Who is usually responsIble for monitoring the integrity of the database and its views?

A

The Database Administrator (DBA)

63
Q

What is the main disadvantage of a hierarchical database management system (HDMS)?

A

It is relatively slow in reading or updating complicated records

64
Q

Describe the networked database management system (NDMS)

A

Identical in layout to the hierarchical model, but uses fast paths between regularly used fields to speed things up

65
Q

What is the most common variety of database management system in use?

A

Relational database management system (RDMS)

66
Q

A relational database management system uses a series of linked — — to manage data

A

Data tables

67
Q

An — — database is a derivation of the relational database, where the background processing includes the ability to define not only the data type of a data structure, but also the types of operations that can be applied to the data structure

A

Object oriented

68
Q

A data — is a specialised database that provides integrated, relevant and consistent information about the business.

A

Warehouse

69
Q

The database warehouse relies on a framework called…

A

Business information infrastructure

70
Q

The business information infrastructure (BII) consists of what six stages?

A

Modelling data for the data warehouse
Extracting data from source databases
Cleansing data
Transforming data into warehouse model
Integrating data with data from other sources
Loading the data into the data warehouse database

71
Q

What are the five key elements of any Workflow System?

A 
It matches people and tasks
Provides information resources for those tasks
Offers process design
Implements process management techniques
Manages the scope of the project
72
Q

Describe workflow management

A

It consists of the automation of business procedures during which documents, information or tasks are passed from one participant to another in a way that is governed by rules or procedures

73
Q

How do workflow management systems tend to improve customer service?

A

They facilitate more predictable levels of response to customers

74
Q

All workflow products have what five basic characteristics that should be evaluated independently?

A

How is information assembled?
How is work routed?
How transparent is application integration?
What level of workflow is offered and to whom?
What level of customisation is required?

75
Q

In workflow management, what is information assembly?

A

The function of making the necessary documents, notes and data available to each user in a workflow process, and to the workflow software

76
Q

In workflow management, what is work routing?

A

The routing of work to users, which can follow a sequential path, a series of manual selections by each user, or dynamic rule-based routing calculated at runtime.

77
Q

In workflow management, what is application integration?

A

Since many different applications may be involved in a workflow process, workflow software may actively integrate these applications into an overall process, allowing them to function in a coordinated manner

78
Q

In workflow management, what are the main workflow capabilities?

A 
Functions of...
Tracking
Reporting
Modification
Administration
79
Q

In what two ways may workflow software be packaged?

A

As a set of tools and services for application developers

As a customisable turnkey solution for end users

80
Q

What are the three main benefits of workflow automation to information technology.

A

Increasing the speed of implementing new applications
Easing the integration of existing and future technologies into enterprise-wide business processes
Decreasing support costs through improved response time to business requirements

81
Q

What are the benefits of workflow automation to business line management?

A

Increasing profitability through improved work productivity by automating and managing business processes
Improved understanding of the current process and user efficiencies through real-time reports
Improving the accuracy, timeliness and completeness of work accomplished through tighter controls for modification of work in process

82
Q

What are the main types of workflow system known as?

A

Enterprise resource planning (ERP)

83
Q

Briefly describe enterprise resource planning systems…

A

They integrate all the different departments such as finance, human resources and manufacturing into a single software program running off a single database

84
Q

List four major reasons why organisations undertake ERP…

A

To integrate financial information
To integrate customer order information
To standardise and speed up manufacturing processes
To reduce stock

85
Q

What is the most common reason companies walk away from ERP?

A

The software does not support one of their important business processes

86
Q

List some key risks involved with setting up ERP

A

Assumptions made concerning financial savings are wrong
Lack of alignment between strategy, structure and processes and the ERP software
Loss of control of the project team
Scope and complexity of the project
Lack of in house skills
Failure to properly plan transition of data and services
Inadequate training and therefore inadequate UAT

87
Q

What is a document management system (DMS?)

A

A computer system designed to track and store electronic documents

88
Q

What standard specifies what is required in order to implement and operate an electronic information management system?

A

BS 10008:2008, Evidential weight and legal admissibility of electronic information specification

89
Q

— — — involves acquiring, managing and using information generated about customers through accounting, marketing, sales, etc, to forge productive business relationships

A

Customer relationship management CRM

Information Systems Audit (8 decks)

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