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JA BEC Flashcards > IS and Comm F - Disaster Recovery and Business Continuity > Flashcards

IS and Comm F - Disaster Recovery and Business Continuity Flashcards

1
Q

In the annual review of the data center of a nationwide mortgage servicing company, the IA manager was concerned about the data center not having an adequate contingency plan. The audit manager was especially concerned because the data center was located close to a river that occasionally flooded and in the vicinity of a major railroad and a major highway. Mgmt acted on the internal auditor’s recommendation to prepare a contingency plan. The most critical aspect of the plan would be to provide for

A

continuation of mortgage servicing

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2
Q

Risk assessments, recovery plans for data systems, and implementation of safeguards are all components of

A

a disaster recovery plan

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3
Q

The disaster recovery plan for a firm’s data processing function should categorize systems according to their

A

priority

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4
Q

The best evidence that a contingency plan is effective is to have

A

successful testing of the plan

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5
Q

Due to the ever changing nature of LANs, a disaster recovery plan would require

A

frequent updating

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6
Q

Advances in disaster recovery systems has the _____ effect in driving the changes that are currently occurring in the workplace

A

least

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7
Q

Technological changes in the workplace are most affected by advances in

A

computer technology, computer applications, and computer availability

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8
Q

To prevent interruptions in IS operation, _______ and ______ controls are typically included in an organization’s disaster recovery plan

A

backup and downtime

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9
Q

A routine part of an organization’s disaster recover plan should require the ongoing prep of

A

backup files

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10
Q

The mgmt activity ___________ is essential to ensure continuity of operations in the event a disaster or catastrophe impairs IS processing

A

contingency planning

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11
Q

Cold site is

A

a location the provides everything necessary to quickly install computer equipment in the event of a disaster striking an organization

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12
Q

Hot site is

A

a completely operational data processing facility configured to meet the user’s requirements that can be made available to a disaster-stricken organization on short notice

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13
Q

Closed loop verification is

A

a mechanism whereby one party verifies the purported identify of another party by requiring them to supply a copy of a token transmitted to that identity

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14
Q

Authentication validation is

A

a process of ensuring that proper parties are allowed to access the system

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15
Q

Segregation of control testing is

A

a policy to prevent individuals from accessing software or data without the collusion of another party

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16
Q

A company switches all processing to an alternate site and staff members report to the alternate site to verify that they are able to connect to all major systems and perform all core business processes from the alternate site. This is an example of

A

disaster recovery planning

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17
Q

The performance audit report of an IT department indicated that the dept lacked a DRP. The first step mgmt should take is

A

prepare a stmt of responsibilities for tasks included in a DRP

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18
Q

Fraud detection in a computer environment could be detected by

A

reviewing system access logs

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19
Q

Fraud prevention in a computer environment can be carried out by

A

data encryption and fraud-awareness training

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20
Q

Validity checks are

A

a way to ensure data entry input is correct

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21
Q

When an IT director collects the names and locations of key vendors, current hardware configuration, names of team members, an an alternative processing location, he is most likely preparing

A

a disaster recovery plan (DRP)

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22
Q

The best approach to avoid having a data center identified as a terrorist target is to

A

establish and maintain as low a profile as possible for the data center

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23
Q

An example of a procedure most likely to be included in a DRP is

A

to store duplicate copies of files in a location away from the computer center

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24
Q

Disaster plans must include all of the following factors:

A
  • backup for programs and data
  • alternative processing site
  • off-site storage of backup
  • identification of critical apps
  • method for testing the plan
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25
Q

When a company decentralizes operations from HQ but doesn’t update their contingency plan that was in place prior to the decentralization, then the plan is likely to be out of date because of

A

changes in equipment, data, and software

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26
Q

An adequate DRP includes:

A
  • regular testing with a simulated disaster
  • a plan coordinator responsible for implementing the plan
  • specific assignments for individuals and teams
  • constant revision and improvement
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27
Q

A total interruption of processing throughout a distributed IT system can be minimized through the use of

A

fail-soft protection

28
Q

Fail-soft protection is

A

the capability to continue processing at all sites except a nonfunctioning one

29
Q

A copy of the accounting system data backup of year-end information should be stored at

A

a secure off-site location

30
Q

A well developed DRP includes provisions for

A

minimizing disruptions and loss from a disaster as well as providing insurance to replace equipment and compensate for business interruptions

31
Q

The DRP for an IT department should include

A

identification of critical applications

32
Q

A DRP needs to include:

A
  • recovery priorities
  • insurance
  • specific assignments for EE and depts
  • backup facilities
  • periodic testing of the recovery plan
  • complete documentation of recovery plan (stored off site)
33
Q

Each day after all processing is finished a bank performs a backup of its online deposit files and retains it for seven days. Copies of each day’s transaction files are not retained. This approach is

A

risky, in that restoring from the most recent backup file would omit subsequent transactions

34
Q

Threat is

A

any event that could damage or harm an IS

35
Q

Exposure is

A

the potential dollar loss that could result should a threat occur

36
Q

Risk is

A

the likelihood of probability that a threat will actually occur

37
Q

A nationwide mortgage servicing company is located near a river. Even through floodwaters might not reach the data center, being located adjacent to a river is associated with the risk that in the event of a significant flood

A

EE might be unable to report to work

38
Q

With respect to backup procedures for master files that are magnetic tape as opposed to master files on magnetic disk:

A

a separate backup run is required for disk while the prior master on magnetic tape serves as a backup

39
Q

Reciprocal processing agreement is

A

whereby each party agrees to allow another to use its site, facilities, resources, etc. after a disaster

40
Q

A reciprocal processing agreement is least likely to be used in

A

online teleprocessing facilities

41
Q

A reciprocal processing agreement is most often to be used for

A

small systems, large batch operations, and small batch operations

42
Q

Good planning will help an organization restore computer operations after a processing outage. Good recovery planning should ensure that

A

backup/restart procedures have been built into job streams and programs

43
Q

A disaster recovery alternate site configured to meet user data processing requirements, including the appropriate hardware, is called

A

a hot site

44
Q

A hot site is _______ than a cold site

A

more costly

45
Q

A disaster recovery alternate site that includes power, a/c, and support systems but does not have computers installed is called

A

a cold site

46
Q

Cold site users

A

rely on their computer vendors for prompt delivery of equipment and software if an emergency occurs

47
Q

A crucial aspect of recovery planning for the company is ensuring that _______ and _______ are incorporated in the plans because such changes have the potential to make the recovery plans inapplicable

A

organization and operational changes

48
Q

A data and program backup procedure in which files are electronically transferred to a remote location is

A

electronic vaulting

49
Q

A company’s mgmt is aware that is cannot foresee every contingency even with the best planning. Mgmt believes that a more thorough recovery plan increases the ability to resume operations quickly after an interruption and thus to

A

fulfill its obligations to customers

50
Q

Warm site is

A

a data processing facility with the equipment to meet the user’s requirements that is not currently operational

51
Q

A _____ site has been identified and maintained by the organization as a data processing disaster recovery site but has not been stocked with equipment

A

cold

52
Q

A company has significant e-commerce presence and self-hosts its website. to assure continuity in the event of a natural disaster, the firm should adopt the

A

establishment of an off-site mirrored web server

53
Q

An organization can have an arrangement with its computer hardware vendor to have a fully operational facility available that is configured to the user’s specific needs. This is best known as

A

a hot site

54
Q

After a fire destroys the corporate HQ and largest manufacturing site, plans for _______ would help the organization ensure a timely recovery

A

business continuity

55
Q

An effective DRP should address

A

damages, losses, and disruptions

56
Q

______ is necessary to determine what would constitute a disaster for an organization

A

Risk analysis

57
Q

Contingency planning strategies to react to a disaster include

A
  • system backup analysis
  • vendor supply agreement analysis
  • contingent facility contract analysis
58
Q

Companies face the following types of threats:

A
  • strategic
  • operating
  • financial
  • information
59
Q

Strategic threat is

A

doing the wrong things

60
Q

Operating threat is

A

doing the rights things but in the wrong way

61
Q

Financial threat is

A

the loss, waste, or theft or financial resources or incurring inappropriate liabilities

62
Q

Information threat is

A

incorrect input data, faulty or irrelevant stored info, an unreliable system, and incorrect or misleading reports

63
Q

A hot site is best described by a

A

location that is equipped with a redundant hardware and software configuration

64
Q

Objectives of disaster recovery do not include

A

performing regular preventive maintenance on key system components

65
Q

Greater reliance of mgmt on IS increases the exposure to

A

business interruption

66
Q

A large property insurance company has regional centers that customers call to report claims. Although the regional centers are not located in areas known to be prone to natural disasters, the company needs a disaster recovery plan that would restore call answering capacity in the event of a disaster or other extended loss of service. The best plan for restoring capacity in the event of a disaster would be to reroute call traffic to:

A

non-affected regional centers

JA BEC Flashcards (20 decks)

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