Free IIA-CIA-PART3-3P Exam Braindumps
Certified Internal Auditor - Part 3, Business Analysis and Information Technology Questions 701–705 (page: 142)

Updated On: 10-Feb-2026

In an online, real-time system, which of the following is most likely to be used as backup for an application's master file maintained on magnetic disk?

  1. At specified periods, the disk files are dumped to copied on) magnetic tape. A transaction log is maintained as inputs are received and processed.
  2. A duplicate disk file is maintained and all activity is copied on magnetic tape continuously.
  3. The grandfather-father-son technique is employed to retain disk files.
  4. All source documents for transactions are retained.

Answer(s): A

Explanation:

When an application's master file is maintained on magnetic disk in an online, real-time system, the backup procedure most likely to be used is the rollback and recovery method.
This method involves the dumping of the master file's contents and associated data structures onto a backup file. In the event of a loss of data, the dump is used together with the transaction log or file to reconstruct the master file.



A checkpoint restart procedure is primarily designed to recover from:

  1. Programming errors.
  2. Data input errors.
  3. Computer operator errors.
  4. Hardware failures.

Answer(s): D

Explanation:

Checkpoint/restart procedures involve capturing all the values of data and program indicators at specified points and storing these values in another file. If processing is interrupted, it can be resumed at the last checkpoint rather than at the beginning of the run.



Which of the following procedures would an entity most likely include in its disaster recovery plan?

  1. Convert all data from EDI format to an internal company format.
  2. Maintain a Trojan horse program to prevent illicit activity.
  3. Develop an auxiliary power supply to provide uninterrupted electricity.
  4. Store duplicate copies of files in a location away from the computer center.

Answer(s): D

Explanation:

Off-site storage of duplicate copies of critical files protects them from a fire or other disaster at the computing facility. The procedure is part of an overall disaster recovery plan. An automobile and personal property insurer has decentralized its information processing to the extent that headquarters has less processing capacity than any of its regional processing centers. These centers are responsible for initiating policies, communicating with policyholders, and adjusting claims. The company uses leased lines from a national telecommunications company. Initially, the company thought there would be little need for interregion communication, but that has not been the case. The company underestimated the number of customers that would move between regions and the number of customers with claims arising from accidents outside their regions. The company has a regional center in an earthquake-prone area and is planning how to continue processing if that center, or any other single center, were unable to perform its processing.



The company has considered several alternatives for replacing the hardware required for a regional center's processing. An advantage of using a third-party cold site is that:

  1. Personnel employed at the site would be familiar with company operations.
  2. Travel expenses would be minimized for company personnel.
  3. No additional equipment would be required at the regional centers.
  4. The replacement site could be up and running in a few hours.

Answer(s): C

Explanation:

A cold site backup facility is a shell facility where the user can quickly install computer equipment and resume operations in the event of a disaster. The facility has all of the needed assets in place except the needed computer equipment and is vendor-dependent for timely delivery of equipment. Accordingly, an advantage of using a third-party cold site is the elimination of the need for additional equipment. An automobile and personal property insurer has decentralized its information processing to the extent that headquarters has less processing capacity than any of its regional processing centers.
These centers are responsible for initiating policies, communicating with policyholders, and adjusting claims. The company uses leased lines from a national telecommunications company. Initially, the company thought there would be little need for interregion communication, but that has not been the case. The company underestimated the number of customers that would move between regions and the number of customers with claims arising from accidents outside their regions. The company has a regional center in an earthquake-prone area and is planning how to continue processing if that center, or any other single center, were unable to perform its processing.



Unfortunately, the company has not revised its contingency plan since the time when its data processing was mostly centralized at headquarters. The existing plan is likely to be out of date because of:

  1. Changes in equipment, data, and software.
  2. Inadequate processing capability at headquarters.
  3. Lack of arrangements for a backup site for headquarters.
  4. Personnel turnover at regional centers.

Answer(s): A

Explanation:

When a company decentralizes its information processing, many changes in equipment, data, and software occur as a result of the different processing methods. Since the company has not revised its contingency plan since the time processing was centralized, the plan is most likely out of date as a result of the changes in equipment, data, and software.



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