CISAβCertified Information Systems Auditor - Part 312
1. Which of the following procedures would BEST determine whether adequate recovery/restart procedures exist?
A) Reviewing program code
B) Reviewing operations documentation
C) Turning off the UPS, then the power
D) Reviewing program documentation
2. Which of the following findings should an IS auditor be MOST concerned about when performing an audit of backup and recovery and the offsite storage vault?
A) There are three individuals with a key to enter the area.
B) Paper documents are also stored in the offsite vault.
C) Data files that are stored in the vault are synchronized.
D) The offsite vault is located in a separate facility.
3. Online banking transactions are being posted to the database when processing suddenly comes to a halt. The integrity of the transaction processing is BEST ensured by:
A) database integrity checks.
B) validation checks.
C) input controls.
D) database commits and rollbacks.
4. To provide protection for media backup stored at an offsite location, the storage site should be:
A) located on a different floor of the building.
B) easily accessible by everyone.
C) clearly labeled for emergency access.
D) protected from unauthorized access.
5. Which of the following ensures the availability of transactions in the event of a disaster?
A) Send tapes hourly containing transactions offsite,
B) Send tapes daily containing transactions offsite.
C) Capture transactions to multiple storage devices.
D) Transmit transactions offsite in real time.
A) Reviewing program code
B) Reviewing operations documentation
C) Turning off the UPS, then the power
D) Reviewing program documentation
2. Which of the following findings should an IS auditor be MOST concerned about when performing an audit of backup and recovery and the offsite storage vault?
A) There are three individuals with a key to enter the area.
B) Paper documents are also stored in the offsite vault.
C) Data files that are stored in the vault are synchronized.
D) The offsite vault is located in a separate facility.
3. Online banking transactions are being posted to the database when processing suddenly comes to a halt. The integrity of the transaction processing is BEST ensured by:
A) database integrity checks.
B) validation checks.
C) input controls.
D) database commits and rollbacks.
4. To provide protection for media backup stored at an offsite location, the storage site should be:
A) located on a different floor of the building.
B) easily accessible by everyone.
C) clearly labeled for emergency access.
D) protected from unauthorized access.
5. Which of the following ensures the availability of transactions in the event of a disaster?
A) Send tapes hourly containing transactions offsite,
B) Send tapes daily containing transactions offsite.
C) Capture transactions to multiple storage devices.
D) Transmit transactions offsite in real time.
1. Right Answer: B
Explanation: Operations documentation should contain recovery/restart procedures, so operations can return to normal processing in a timely manner. Turning off the uninterruptible power supply (UPS) and then turning off the power might create a situation for recovery and restart, but the negative effect on operations would prove this method to be undesirable. The review of program code and documentation generally does not provide evidence regarding recovery/restart procedures.
2. Right Answer: C
Explanation: Choice A is incorrect because more than one person would typically need to have a key to the vault to ensure that individuals responsible for the offsite vault can take vacations and rotate duties. Choice B is not correct because an IS auditor would not be concerned with whether paper documents are stored in the offsite vault. In fact, paper documents, such as procedural documents and a copy of the contingency plan, would most likely be stored in the offsite vault, and the location of the vault is important, but not as important as the files being synchronized.
3. Right Answer: D
Explanation: Database commits ensure the data are saved to disk, while the transaction processing is underway or complete. Rollback ensures that the already completed processing is reversed back, and the data already processed are not saved to the disk in the event of the failure of the completion of the transaction processing.All other options do not ensure integrity while processing is underway.
4. Right Answer: D
Explanation: The offsite storage site should always be protected against unauthorized access and have at least the same security requirements as the primary site. Choice A is incorrect because, if the backup is in the same building, it may suffer the same event and may be inaccessible. Choices B and C represent access risks.
5. Right Answer: D
Explanation: The only way to ensure availability of all transactions is to perform a real-time transmission to an offsite facility. Choices A and B are not in real time and, therefore, would not include all the transactions. Choice C does not ensure availability at an offsite location.
Explanation: Operations documentation should contain recovery/restart procedures, so operations can return to normal processing in a timely manner. Turning off the uninterruptible power supply (UPS) and then turning off the power might create a situation for recovery and restart, but the negative effect on operations would prove this method to be undesirable. The review of program code and documentation generally does not provide evidence regarding recovery/restart procedures.
2. Right Answer: C
Explanation: Choice A is incorrect because more than one person would typically need to have a key to the vault to ensure that individuals responsible for the offsite vault can take vacations and rotate duties. Choice B is not correct because an IS auditor would not be concerned with whether paper documents are stored in the offsite vault. In fact, paper documents, such as procedural documents and a copy of the contingency plan, would most likely be stored in the offsite vault, and the location of the vault is important, but not as important as the files being synchronized.
3. Right Answer: D
Explanation: Database commits ensure the data are saved to disk, while the transaction processing is underway or complete. Rollback ensures that the already completed processing is reversed back, and the data already processed are not saved to the disk in the event of the failure of the completion of the transaction processing.All other options do not ensure integrity while processing is underway.
4. Right Answer: D
Explanation: The offsite storage site should always be protected against unauthorized access and have at least the same security requirements as the primary site. Choice A is incorrect because, if the backup is in the same building, it may suffer the same event and may be inaccessible. Choices B and C represent access risks.
5. Right Answer: D
Explanation: The only way to ensure availability of all transactions is to perform a real-time transmission to an offsite facility. Choices A and B are not in real time and, therefore, would not include all the transactions. Choice C does not ensure availability at an offsite location.
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