Communication Theory Midterm Study Guide

Communication Theory 2713-850
Midterm Study Guide (up to 150 pts)
· Time Limit - 120 Minutes. Multiple Attempts Allowed (Note:
If you complete it multiple times, then the score would be
averaged)
· 50 questions, multiple choice. Look for the most suitable
answer.
· Chapters 1-4;7-9;13
Academic Integrity
Academic Integrity Academic misconduct is any act which
improperly affects the evaluation of a student’s academic
performance or achievement. Misconduct occurs when the
student either knows or reasonably should know that the act
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working hard to get. As a member of the OU community it is
your responsibility to protect your educational investment by
knowing and following the rules. For specific definitions on
what constitutes cheating, review the Student’s Guide to
Academic Integrity at
http://integrity.ou.edu/students_guide.html.To be successful in
this class, all work on exams and quizzes must be yours and
yours alone; unless otherwise specifically instructed. You may
not receive outside help.
Reasonable Accommodation Policy
Students requiring academic accommodation should
contact the Disability Resource Center for assistance at (405)
325-3852 or TDD: (405) 325-4173. For more information please
see the Disability Resource Center website
http://www.ou.edu/drc/home.html Any student in this course
who has a disability that may prevent him or her from fully
demonstrating his or her abilities should contact me personally

as soon as possible so we can discuss accommodations
necessary to ensure full participation and facilitate your
educational opportunities.
Chapter 1
What is a theory and what does it do? What is communication?
What is communication theory?
Key names and terms: Judee Burgoon, Ernest Bormann
Theory - A set of systematic, informed hunches about the way
things work.
Communication - The relational process of creating and
interpreting messages that elicit a response.
Text - A record of a message that can be analyzed by others; for
example, a book, film, photograph, or any transcript or
recording of a speech or broadcast.
Polysemic - A quality of symbols that means they are open to
multiple interpretations.
Chapter 2
What is an objective approach? What is an interpretive
approach? Objective or interpretive: Why is it important? Ways
of knowing: Discovering truth or creating multiple realities?
Key names and terms: Stanley Deetz
Behavioral scientist - A scholar who applies the scientific
method to describe, predict, and explain recurring forms of
human behavior.
Rhetorician - A scholar who studies the ways in which symbolic
forms can be used to identify with people, or to persuade them
toward a certain point of view.
Objective approach - The assumption that truth is singular and

is accessible through unbiased sensory observation; committed
to uncovering cause-and-effect relationships.
Resonance principle of communication - Tony Schwatz’s idea
that successful persuasion messages evoke past experiences that
resonate with a person’s thoughts or feelings.
Birth-death-rebirth cycle - One of the archetypes or mini-
dramas that Carl Jung claimed is deep within the mental makeup
of all humans; the collective unconscious.
Humanistic scholarship - Study of what it’s like to be another
person, in a specific time and place; assumes there are few
important panhuman similarities.
Epistemology - The study of the origin, nature, method, and
limits of knowledge.
Determinism - The assumption that behavior is caused by
heredity and environment.
Empirical evidence- Data collected through direct observation.
Emancipation - Liberation from any form of political, economic,
racial, religious, or sexual oppression; empowerment.
Metatheory - Theory about theory; the stated or inherent
assumptions made when creating a theory.
Chapter 3
What makes an objective theory good? What makes an
interpretive theory good? Contested turf and common ground
among theorists.
Key terms:
Rule of parsimony (Occam’s razor) - Given two plausible
explanations for the same event, we should accept the simpler
version.
Falsifiability - The requirement that a scientific theory must be
stated in a way that it can be tested and disproved if it is indeed
wrong.
Experiment - A research method that manipulates a variable in a
tightly controlled situation in order to find out if it has the
predicted effect.
Survey - A research method that uses questionnaires and

structured interviews to collect self-reported data that reflects
what respondents think, feel, or intend to do.
Self-referential imperative - Include yourself as a constituent of
your own construction.
Ethical imperative - Grant others that occur in your construction
the same autonomy you practice constructing them.
Critical theorists - Scholars who use theory to reveal unjust
communication practices that create or perpetuate an imbalance
of power.
Textual analysis - A research method that describes and
interprets the characteristics of any text.
Ethnography - A method of participant observation designed to
help a researcher experience a culture’s complex web of
meaning.
Chapter 4
Seven Theoretical Traditions. Fencing the field of
communication theory. The ethical tradition.
Key names and terms: Robert Craig
Cybernetics - The study of information processing, feedback,
and control in communication systems.
Rhetoric - The art of using all available means of persuasion,
focusing upon lines of argument, organizations of ideas,
language use, and delivery in public speaking.
Semiotics - The study of verbal and nonverbal signs that can
stand for something else, and how their interpretation impacts
society.
Symbols - Arbitrary words and non-verbal signs that bear no
natural connection with the things they describe; their meaning
is learned within a given culture.
Sapir-Whorf hypothesis of linguistic relativity - The claim that
the structure of a language shapes what people think and do; the
social construction of reality.
Culture industries - Entertainment businesses that reproduce the
dominant ideology of a culture and distract people from

recognizing unjust distribution of power within society; e.g.,
film, television, music, and advertising.
Phenomenology - Intentional analysis of everyday experience
from the standpoint of the person who is living it; explores the
possibility of understanding the experience of self and others.
Pragmatism - An applied approach to knowledge; the
philosophy that true understanding of an idea or situation has
practical implications for action.
Chapter 7
Expectancy Violation Theory. Personal space expectations:
conform or deviate? Models, Core concepts of EVT.
Interactional Adaptation—Adjusting Expectations. Critique.
Key terms and concepts:Judee Burgoon, Edward Hall, Paul
Mongeau
Personal Space - The invisible, variable volume of space
surrounding an individual that defines that individual’s
preferred distance from others.
Proxemics - The study of people’s use of space as a special
elaboration of culture.
Intimate Distance - The American proxemic zone of 0 to 18
inches.
Personal Distance - The American proxemic zone of 18 inches
to 4 feet.
Social Distance - The American proxemic zone of 4 to 10 feet.
Public Distance - The American proxemic zone of 10 feet to
infinity.
Threat Threshold - The hypothetical outer boundary of intimate
space; a breach by an uninvited other occasion fight or flight.
Arousal, relational - A heightened state of awareness, orienting
response, or mental alertness that stimulates review of the
relationship.
Expectancy - What people predict will happen, rather than what
they necessarily desire.

Violation Valence - The perceived positive or negative value
assigned to a breach of expectations, regardless of who the
violator is.
Communicator Reward Valence - The sum of the positive and
negative attributes that the person brings to the encounter plus
the potential he or she has to reward or punish in the future.
Interactional Adaptation Theory - A systematic approach to how
people adjust their approach when another’s behavior doesn’t
mesh with what’s needed, anticipated, or preferred.
Interaction Position - A person’s initial stance towards an
interaction as determined by a blend of personal requirements,
expectations, and desires (RED).
Reciprocity - A strong human tendency to respond to another’s
action with similar behavior.
Chapter 8
Social Penetration Theory. Development of the theory and its
specifics. Ethical reflection. Dialectics and the environment.
Critique.
Key names and terms: Irwin Altman and Dalmas Taylor, John
Thibaut and Harold Kelley, Sandra Petronio, Paul Wright
Social Penetration - The process of developing deeper intimacy
with another person through mutual self-disclosure and other
forms of vulnerability.
Personality Structure - Onion-like layers of beliefs and feelings
about self, others, and the world; deeper levels are more
vulnerable, protected, and central to self-image.
Self-disclosure - The voluntary sharing of personal history,
preferences, attitudes, feelings, values, secrets, etc., with
another person; transparency.
Depth of penetration - The degree of disclosure in a specific
area of an individual’s life.
Law of reciprocity - A paced and ordered process in which
openness in one person leads to openness in the other.

Breadth of penetration - The range of areas in an individual’s
life over which disclosure takes place.
Social exchange - Relationship behavior and status regulated by
both parties’ evaluations of perceived rewards and costs of
interaction with each other.
Outcome - The perceived rewards minus the costs of
interpersonal interaction.
Minimax principle of human behavior - People seek to
maximize their benefits and minimize their costs.
Comparison level (CL) - The threshold above which an
interpersonal outcome seems attractive; a standard for
relationship satisfaction.
Comparison level of alternatives (CLalt) - The best outcomes
available in other relationships; a standard for relationship
stability.
Ethical egoism - The belief that individuals should live their
lives so as to maximize their own pleasure and minimize their
own pain.
Dialectical model - The assumption that people want both
privacy and intimacy in their social relationships; they
experience a tension between disclosure and withdrawal.
Territoriality - The tendency to claim a physical location or
object as our own.
Chapter 9
Uncertainty Reduction Theory. Development of the theory and
its specifics (axioms, theorems, etc.). Relational Turbulence
Theory. Critique.
Key names and terms: Charles Berger, Fritz Heider, Malcolm
Parks and Mara Adelman, Leanne Knobloch, Kathy Kellermann
and Rodney Reynolds, Michael Sunnafrank, Walid Afifi.
Attribution theory - A systematic explanation of how people
draw inferences about the character of others based on observed
behavior.

Uncertainty reduction - Increased knowledge of what kind of
person another is that provides an improved forecast of how a
future interaction will turn out.
Axiom - A self-evident truth that requires no additional proof.
Theorem - A proposition that logically and necessarily follows
from two axioms.
Message plans - Mental representations of action sequences that
may be used to achieve goals.
Passive strategy - Impression formation by observing a person
interact with others.
Active strategy - Impression formation by asking a third party
about a person.
Interactive strategy - Impression formation through face-to-face
discussion with a person.
Extractive strategy - Impression formation by searching the
Internet for information about a person.
Plan complexity - A characteristic of message plan based on the
level of detail it provides and the number of contingencies it
covers.
Hedging - Use of strategic ambiguity and humor to provide a
way for both parties to save face when a message fails to
achieve its goals.
Hierarchy hypothesis - The prediction that when people are
thwarted in their attempts to achieve goals, their first tendency
is to alter lower-level elements of their message.
Relational uncertainty - Doubts about our own thoughts, the
thoughts of the other person, or the future of the relationship.
Partner interference - Occurs when a relational partner hinders
goals, plans, and activities.
Relational turbulence - Negative emotions arising from
perceived problems in a close relationship.
Predicted outcome value - A forecast of future benefits and
costs of interaction based on limited experience with the other.
Chapter 13

Media Multiplexity Theory. Development of the theory and its
specifics. Critique.
Key names and terms: Carolyn Haythornthwaite, Art Ramirez,
Andrew Ledbetter
Weak tie - A relationship involving a small investment of time
and emotional energy, such as an acquaintance.
Strong tie - A relationship involving a large investment of time
and emotional energy, such as a very close friend.
Tie strength - The degree of connection between people,
determined by amount of time spent together, emotional
intensity and intimacy, and willingness to exchange resources.
Bridging ties - Weak tie relationships that enable information
and resources to pass between groups of people.
Media multiplexity - Strongly tied pairs use more media to
sustain their relationships than do weakly tied pairs.
Hierarchy of media use expectations - Group norms that guide
which media are used with all ties and which are reserved for
strong ties.
Latent tie - The technical possibility of connection between two
people who don’t currently have a relationship.
Medium enjoyment - A preference for a specific medium, driven
by the belief that it is fun and convenient.
Principles of Incident Response and Disaster Recovery, 2nd
Edition
Chapter 03
Contingency Strategies for
IR/DR/BC

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Objectives
Discuss the relationships between the overall use of
contingency planning and the subordinate elements of incident
response, business resumption, disaster recovery, and business
continuity planning
Describe the techniques used for data and application backup
and recovery
Explain the strategies employed for resumption of critical
business processes at alternate and recovered sites
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Introduction
Contingency planning (CP)
Preparing for the unexpected
Keeping the business alive
Incident response (IR) process
Detecting, evaluating, and reacting to an incident
Keeping business functioning if physical plant destroyed or
unavailable
Business resumption plan
Used when IR process cannot contain and resolve an incident
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Introduction (cont’d.)
Business resumption plan (BR plan) elements
Disaster recovery plan (DR plan)
Lists and describes efforts to resume normal operations at
primary business places
Business continuity plan (BC plan)
Steps for implementing critical business functions until normal
operations resume at primary site
Primary site
Location(s) where organization executes its functions
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BRP, DRP and BCP
Distinct place, role, timing, and planning requirements
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Organizations require:
Reliable method of restoring information and reestablishing all
operations
Five key procedural mechanisms
Delayed protection
Real-time protection
Server recovery
Application recovery
Site recovery
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Data and Application Resumption
Data backup: recovery from an incident
Snap-shot of data from a specific point in time
Data considered volatile and subject to change
Online backup, disk backup, and tape backup
Archive: recovery from threat to on-site backups
Long-term document or data file storage
Usually for legal or regulatory purposes
Data backup policy
Data files and critical system: daily

Nonessential files: weekly
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Data and Application Resumption (cont’d.)
Retention schedule
Guides replacement frequency and storage duration
May be dictated by law
Routine critical data
Retain one or two most recent daily backup copies
Retain at least one off-site copy
Full backups of entire systems
Store at least one copy in a secure location
NIST backup and recovery strategies
Alternatives should be considered
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Data and Application Resumption (cont’d.)
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Online Backups and the Cloud
Online backup to third-party data storage vendor
Referred to as data storage “in the cloud”
Commonly associated with leasing resources
Raises security challenges
Descriptions
Software as a Service (SaaS)
Platform as a Service (PaaS)
Infrastructure as a Service (IaaS)
Cloud deployment
Public cloud, community cloud, private cloud
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Disk to Disk to Other: Delayed Protection
Organizations create massive arrays
Independent, large-capacity drives
Store information at least temporarily
Example: home users
Add external USB-mounted SATA 1–2 terabyte drives
Advantages
Precludes time-consuming nature of tape backup
Avoids tape costs and implementation challenges
At the individual-user level
Allows quick and easy recovery

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Disk to Disk to Tape
Solves problem with massively connected storage area networks
Lack of redundancy if both online and backup versions fail
Uses secondary disk series to avoid the need to take the primary
set offline for duplication
Reduces resource usage on the primary systems
Disk-to-disk initial copies
Can be made efficiently and simultaneously with other system
processes
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Disk to Disk to Cloud
Also called disk-to-disk-to-online
Aggregate all local backups to a central repository
Then back up repository to an online vendor
Benefits
Reduced risk of corruption to the confidentiality, integrity,
availability of stored online data
Users can back up their data to a central location
Most providers use an encryption process
Can easily access data from Internet
Can automate the cloud backup process

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Types of Backup
Full: complete system backup
Differential: files changed or added since full backup
Incremental: archive files modified since last backup
Requires less space and time than differential
Copy: set of specified files
Daily: only files modified on that day
All on-site and off-site storage must be secured
Fireproof safes or filing cabinets to store tapes
Encryption to protect online or cloud data storage
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Tape Backups and Recovery: General Strategies
Traditional: cost-effective for large data quantities
Digital audio tapes (DATs), quarter-inch cartridge (QIC) drives,
8-mm tape, digital linear tape (DLT)
Tape-based backup and recovery process
Schedule backup coupled with storage arrangement
Six-tape rotation method: media used in rotation
Grandparent/Parent/Child method: retains four full weekly
(Friday) backups and adds a full monthly backup
Drawbacks: equipment cost and time

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Tape Backups and Recovery: General Strategies (cont’d.)
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Redundancy-Based Backup and Recovery Using RAID
Redundant array of independent drives (RAID)
Uses multiple hard drives to store information
Provides operational redundancy by spreading out data and
using checksums
RAID implementations
Failure Resistant Disk Systems (FRDSs)
Failure Tolerant Disk Systems (FTDSs)
Disaster Tolerant Disk Systems (DTDSs)
Does not address need for off-site storage
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Redundancy-Based Backup and Recovery Using RAID (cont’d.)
RAID Level 0
Not a form of redundant storage
Creates one larger logical volume across several available hard
disk drives
Disk striping
Data segments written in turn to each disk drive in the array
Disk striping without parity
Occurs when multiple drives combined in order to gain large
capacity without data redundancy
Increased risk: losing data from a single drive failure
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RAID Level 1
Disk mirroring
Uses twin drives in a computer system
Computer records data to both drives simultaneously
Provides a backup if the primary drive fails
Expensive and inefficient media use

Same drive controller manages both drives
Disk duplexing
Each drive has its own controller
Can create mirrors and splits disk pairs to create highly
available copies of critical system drives
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RAID Level 2
Specialized form of disk striping with parity
Uses the Hamming code
Specialized parity coding mechanism
Stores stripes of data on multiple data drives
Stores corresponding redundant error correction on separate
error-correcting drives
Allows data reconstruction
If some data or redundant parity information lost
No commercial implementations
Not widely used
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RAID Levels 3 and 4

RAID 3 uses byte-level striping of data
RAID 4 uses block-level striping of data
Data segments stored on dedicated data drives
Parity information stored on a separate drive
One large volume used for data
Parity drive operates independently
Provides error recovery
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RAID Level 5
Balances safety and redundancy
Against costs of acquiring and operating systems
Similar to RAID 3 and 4 striping data across drives
Difference: no dedicated parity drive
Data segments interleaved with parity data
Written across all drives in the set
RAID 5 drives can be hot swapped
Replaced without taking entire system down
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RAID Level 6
Combination of RAID 1 and RAID 5

Block-level striping with double-distributed parity
Systems recover from two simultaneous drive failures
RAID Level 7 (proprietary)
Array works as a single virtual drive
May run special software over RAID 5 hardware
RAID Level 0+1
RAID 0 for performance; RAID 1 for fault tolerance
Striping, then mirroring
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RAID Level 1+0
RAID 0 for performance; RAID 1 for fault tolerance
Mirroring, then striping
RAID Level 5+1
Raid 5 used for robustness
Adds a separate data parity drive not found in RAID 5
Also known RAID 53
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Database Backups
Considerations
May or may not back up using operating system utilities
May or may interrupt database use
Must properly safeguard database
Special journal file requirements: run-unit journals or after-
image journals
Applications to protect databases in near real time
Legacy backup applications (lock and copy)
Online backup applications (to online vendor)
Continuous database protection (near real time)
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Application Backups
Applications using file systems and databases
Some may invalidate customary backup and recovery
Include application support and development team members
In the planning process, and in training, testing, and rehearsal
activities
Advances in cloud computing
Example: an organization leasing SaaS
Using applications on someone else’s systems
Service agreement should include recovery contingencies
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Backup and Recovery Plans
Backups must successfully restore systems
To an operational state
Backup and recovery settings
Provide with complete recovery plans
Periodically
Develop plans
Test plan
Rehearse plans
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Backup and Recovery Plans (cont’d.)
Developing backup and recovery plans
How and when will backups be created?
Who will be responsible for creation of the backups?
How and when will backups be verified so that they are known
to be correct and reliable?
Who is responsible for the verification of the backup?
Where will backups be stored and for how long?
How often will the backup plan be tested?
When will the plan be reviewed and revised?
How often will the plan be rehearsed, and who will take part in
the rehearsal?

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Real-Time Protection, Server Recovery, and Application
Recovery
Mirroring
Provides real-time protection and data backup
Duplicates server data using multiple volumes
RAID level 1 achieved with software or hardware
Can write to drives located on other systems
Can be extended to vaulting and journaling
Hot, warm, and cold servers
Hot server provides services to support operations
Warm server provides services if primary busy/down
Cold server used for administrator’s test platform
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Recovery (cont’d.)
Bare metal recovery technologies
Replace failed operating systems and services
Reboot affected system from CD-ROM or other remote drive
Quickly restore operating system
Providing images backed up from known stable state

Linux and UNIX versions abound
Windows just developing stand-alone bootable CD
Windows 7 can create a system repair disk
Windows systems can use setup disk to facilitate recovery and
restoration
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Recovery (cont’d.)
Application recovery or clustering plus replication
Software replication provides increased protection against data
loss
Clustering services and application recovery
Similar to hot, warm, and cold redundant server model
Common to install applications on multiple servers
Application recovery software
Detects primary application server failure
Activates secondary application server
Vaulting and journaling
Dramatically increase protection
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Electronic Vaulting
Bulk transfer of data in batches to an off-site facility

Via leased lines or data communications services
Primary selection criteria
Service costs, bandwidth, stored data security, recovery, and
continuity
Data transfer without affecting other operations
Scale purchases according to needs
Vendor managed solutions use software agent
Initiate full backup; continuously copies data
Data accessed via Web interface or software
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Remote Journaling
Transfers live transactions to an off-site facility
Only transactions transferred (not archived data)
Transfer performed online; much closer to real time
Involves online activities on a systems level
Data written to two locations simultaneously
Can be performed asynchronously
Facilitates key transaction recovery in near real time
Journaling may be enabled for an object
Operating system creates record of object’s behavior

Stored in a journal receiver
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Database Shadowing
Combines e-vaulting with RJ
Writes multiple database copies simultaneously in two separate
locations
Used with multiple databases on a single drive in a single
system or with databases in remote locations, across a public or
private carrier
Generally used for immediate data recovery
Works well for read-only functions
Data warehousing and mining, batch reporting cycles, complex
SQL queries, local online access at the shadow site, load
balancing
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Database Shadowing (cont’d.)
Database replication
Backup of multiple copies of the database for recovery purposes
Three types
Snapshot replication
Merger replication
Transaction replication
E-vaulting, RJ, and database shadowing
Quickly becoming functions of various backup applications
rather than services unto themselves
Organizations increasingly focus on availability
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Network-Attached Storage and Storage Area Networks
NAS uses single device or server attached to a network with
common communications methods to provides online storage
environment

Good for general file sharing or data backup use
SANs uses fiber-channel direct connections between systems
needing additional storage and storage devices themselves
Good for high-speed and higher-security solutions
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Network-Attached Storage and Storage Area Networks (cont’d.)
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Virtualization
Development and deployment of virtual rather than physical
systems and services implementations
“Virtual machine”
Virtualized environment operating in or on a host platform

Host platform (host machine)
Physical server (and operating system)
Virtualization application and all virtual machines run on it
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Virtualization (cont’d.)
Virtual machine (guest)
Hosted operating system or platform running on the host
machine
Hypervisor or virtual machine monitor
Specialized software that enables the virtual machine to operate
on the host platform
Types
Hardware-level virtualization
Operating system-level virtualization
Application-level virtualization
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Virtualization (cont’d.)
Three applications dominate virtualization market
Microsoft’s Virtual Server
VMware’s VMware Server
Oracle VM VirtualBox
Virtualization is important to contingency planning

Allows easily and accurate entire system backup
Can create snapshot backups, load into a new host running the
same virtualization application
No need to purchase and set up multiple pieces of hardware
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Site Resumption Strategies
Items requiring alternate processing capability
Disaster recovery plan implemented because primary site
temporarily unavailable
Business continuity strategy to institute operations at an
alternate site
Contingency management planning team (CPMT)
Chooses strategy often based on cost
Exclusive control options
Hot sites, warm sites, and cold sites
Popular shared-use options
Timeshare, service bureaus, and mutual agreements
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Exclusive Site Resumption Strategies
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Hot Sites
Fully configured computer facilities with all services,
communications links, and physical plant operations
Can establish operations at a moment’s notice
Can be staffed around the clock to transfer control almost
instantaneously
Requires e-vaulting, RJ, or data shadowing
Disadvantages: most expensive alternative
Must provide maintenance for all systems, equipment
Ultimate hot site: mirrored site identical to primary site
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Warm Sites
Provide similar services and options as a hot site
Software applications not included, installed, or configured
Frequently includes computing equipment and peripherals with
servers; no client workstations
Has connections to facilitate quick data recovery
Some advantages of a hot site, but at a lower cost
May require hours, perhaps days for full functionality
Customized costs
Range upward of several thousand dollars per month
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Cold Sites
Provide only rudimentary services and facilities
No computer hardware or peripherals provided
All communication services must be installed after site
occupied
No quick recovery or data duplication functions
Empty room with standard heating, air conditioning, and
electrical service
Advantages
Better than nothing; reduced contention for floor space
Cost: few thousand dollars per month
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Mobile Sites and Other Options
Rolling mobile sites
Storing resources externally
Rental storage area containing duplicate or second-generation
equipment can be used
Similar to Prepositioning of Overseas Materiel Configured to
Unit Sets (POM-CUS) Cold War sites
Might arrange with a prefabricated building contractor
Provide immediate, temporary facilities (mobile offices) on site
in the event of a disaster

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Shared-Site Resumption Strategies
Time-share
Operates like hot/warm/cold site
Leased in conjunction with a business partner or sister
organization
Provides DR/BC option while reducing overall cost
Disadvantages
Facility made be needed simultaneously
Need to stock facility with equipment and data from all
involved organizations
Complex negotiating
Party may exit agreement or sublease their options
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Shared-Site Resumption Strategies (cont’d.)
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Service bureaus
Service agency that provides a service for a fee
Service in the case of DR/CP
Provision of physical facilities in the event of a disaster
Agencies frequently provide off-site data storage (fee)

Service bureaus contracts
Specify exactly what the organization needs under what
circumstances; guarantees space when needed
Disadvantages
Expensive option
Must be renegotiated periodically
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Shared-Site Resumption Strategies (cont’d.)
Mutual agreements
Contract between two organizations
Assist the other in the event of a disaster
Obligation to provide necessary facilities, resources, services
until receiving organization recovers
Other agreements provide cost-effective solutions
Between divisions of the same parent company
Between subordinate and senior organizations
Between business partners
Memorandum of agreement (MOA)
Defined expectations and capabilities for alternate site
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Service Agreements

Contractual documents guaranteeing certain minimum levels of
service provided by vendors
Must be reviewed and, in some cases, mandated to support
incident, disaster, and continuity planning
Should contain information on:
What the provider is promising
How the provider will deliver on those promises
Who will measure delivery and how
What happens if provider fails to deliver as promised
How the SLA will change over time
Refer to sample at end of chapter
Edition
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57
Definition of Applicable Parties
Introductory paragraph in any legal document
Serves to identify to whom the document applies
Contractual legal documents
Long formal names of the parties may be replaced with
abbreviated names
Example: “the Client” “the Vendor” or “the Service Provider”
Edition
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Services to be Provided by the Vendor

Vendor or service provider specifies exactly what the client
receives in exchange for payment
If not explicitly identified, vendor not required to provide it
Verbal agreements, compromises, or special arrangements must
be fully documented
Specifies protection and restoration of services if incident or
disaster occurs
May include contingency operations
Refer to Sample Service Agreement at end of chapter
Edition
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59
Fees and Payments for These Services
Indicates what vendor receives in exchange for the services
rendered
Most common exchange: financial
May see exchange of services, goods, or other securities
Contract terms and any special fees specified
Common inclusion: “2/10 net 30”
Two percent discount if paid within 10 days
Net payment due in 30 days
Usually for shipped goods paid by invoice
Edition
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Statements of Indemnification

Statements indicating vendor not liable for actions taken by the
client
If vendor incurs financial liability based on use of the vendor’s
services
Client responsible for those costs
Failure to include such statements
May result in additional legal fees from both parties as vendor
sues to recoup its losses
Edition
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61
Nondisclosure Agreements and Intellectual Property Assurances
Covers information confidentiality from everyone unless court
mandated
Vendors certify document validity
Provides information as required
Client and vendor must formalize expectations
Regarding protection of confidentiality of the services and
business information to be shared
Laws permit provider to view clients’ system contents in routine
business conduct and maintenance
Edition
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Noncompetitive Agreements (Covenant Not to Compete)
Not essential to a service agreement

Customary client agreements
Not to use the vendor’s services to compete directly with the
vendor
Not to use vendor information to gain a better deal with another
vendor
Edition
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Chapter Summary
CP: prepare for the unexpected, keep business alive
Business resumption (BR) elements: DR, BC plans
Components come into play at specific times
Five key procedural mechanisms
Delayed protection, real-time protection, server recovery,
application recovery, and site recovery
Backup plan is essential
Types: full, differential, and incremental
Determine how long data should be stored
RAID systems overcome tape backup limitations
Edition
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Chapter Summary (cont’d.)
Cloud backups ensure data availability for quick restoration
Software as a Service (SaaS), Platform as a Service (PaaS), and

Infrastructure as a Service (IaaS)
Databases require special considerations when planning backup
and recovery procedures
Must restore system to operational state
Server support features
Mirroring and duplication of server data storage with RAID
techniques
Edition
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Chapter Summary (cont’d.)
Methods of transferring data off-site
Electronic vaulting (e-vaulting), remote journaling, and
database shadowing
Business resumption strategies
Hot sites, warm sites, cold sites, time-share, service bureaus,
and mutual agreements
Service agreements
Contractual documents guaranteeing certain minimum service
levels provided by vendors
Edition
66

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