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COMMENTS
Y/N | 5. Do you have a disaster recovery plan? |
Does it address the following: | |
Y/N | a. Identification of vital records? |
Y/N | b. Assignment of specific responsibilities during an emergency? |
Y/N | c. Establishing an off-site agreement? |
Y/N | d. Determining how long it will take to replace damaged equipment? |
Y/N | e. Ranking jobs/systems in terms of criticality? |
Y/N | f. Determining what processing power will be needed to support critical activities? |
Y/N | g. Are involved employees familiar with emergency procedures? |
Y/N | h. Do involved employees have a copy of the procedures, or their section, at an off-site location? |
Y/N | i. How often is the plan updated? |
COMMENTS
Y/N | 6. Is a copy of the current systems/operations documentation kept either off-site or in a fireproof place? |
Where is it kept? |
COMMENTS
Y/N | 7. Is the MULIC (Model Unique Licensed Install Code) tape on the same media as your system backup? |
F. OPERATIONS
1. Sensitive Information
Y/N | a. Are procedures in place to ensure that surplus output material is destroyed, and that sensitive information will be shredded or destroyed in some other manner which ensures security? |
Y/N | b. Is sensitive or confidential information secured before distribution? |
COMMENTS
Y/N | 2. Is anything done to monitor system utilization? |
If so, describe what is done, how the data is used, and attach an example of one of the reports. |
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Y/N | 3. Do you keep a log book of problems? |
Such a book would normally include the time when it was discovered and reported, what and where it happened, and when and how the situation was resolved. |
COMMENTS
Y/N | 4. Is the ability to perform backup and restore operations restricted to appropriate individuals? |
(This can be achieved by restricting access to tape commands or to the tape drive itself.) |
COMMENTS
5. Journaling
Y/N | a. Is journaling activated for key application files? |
Y/N | b. Are the journaling commands restricted to appropriate parties? |
Y/N | c. Are there compiled CL programs to process journals when a roll-forward is necessary? |
Y/N | d. Have roll-forward capabilities, where needed, been tested? |
Y/N | e. Are journals and data files physically resident on separate disks? |
Without specific action, the operating system may spread database and journal fragments to multiple disks, resulting in journals and the databases sharing a physical drive. This problem can be avoided using a technique called Auxiliary Storage Pools (ASPs). If journaling is used only to support commitment control, and roll-forward operations are not intended, this is not relevant. |
COMMENTS
Y/N | 6. Is commitment control activated for transactions having multiple updates to one or more master files? |
Commitment control allows the defining and processing of a number of changes to database files as a single transaction group. This frequently occurs in a manufacturing database where item master records, manufacturing order records, and job requirements records can all be updated as a result of pressing the enter button once. Use of this technique will ensure that all changes within a transaction group are completed for all files affected. Under commitment control, if processing is interrupted before the transaction group is completed, any changes made to the database will be backed out. |
COMMENTS
7. Physical Tape Management
Y/N | a. Are expiration dates specified for tapes? |
Y/N | b. Are tapes checked electronically for the existence of unexpired files prior to reformatting? |
Y/N | c. Are tapes periodically checked for wear? |
Y/N | d. Are tapes periodically checked for errors? |
Y/N | e. Are file inventories taken periodically to determine obsolete files? |
COMMENTS
Y/N | 8. Is preventive maintenance performed in accordance with the manufacturers instructions? |
Y/N | Does this include cleaning the disk/tape drives? |
COMMENTS
Y/N | 9. Do daily, weekly, and monthly schedules exist for jobs processed by the computer center? |
Y/N | 10. Are the operators required to evidence completion of required tasks in order to fix accountability for performing these operations? |
COMMENTS
11. Forms Management
Y/N | a. Is forms storage physically separated from the computer center? |
Y/N | b. Is there adequate protection from fire, water, and theft? |
Y/N | c. Are forms and supplies stored neatly? |
Y/N | Is the area clean? |
d. How many days form supply is stored in the data center? |
COMMENTS
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