The document discusses how to prepare for an audit by taking several steps: (1) be prepared by documenting all systems, software, licenses, projects and activities; (2) show control over the IT environment by tracking approved uses; (3) create formal procedures for security, backups, and disaster recovery; (4) ensure strong security practices around passwords and access; and (5) test backups and disaster recovery plans to ensure recoverability. Taking these steps will make the audit process smoother and leave a good impression.

1. Don’t be afraid of Auditing
By Francisco Munoz Alvarez

2. Francisco Munoz Alvarez
•
•
•
•
•
•
•
•
•
•
Oracle ACE Director
President CLOUG, LAOUC & NZOUG
IOUC LA Spokesperson
8/9/10g/11g OCP, RAC OCE, AS OCA, E-Business OCP,
SQL/PLSQL OCA, Oracle 7 OCM
Oracle 7, 11GR2 & OVM 3.1 and 3.2 Beta Tester
ITIL Certified
2010 Oracle Ace Director of the year by Oracle Magazine
Blog: http://oraclenz.wordpress.com
Email: mbatec@hotmail.com
Twitter : fcomunoz
Oracle Professional Services Manager
Revera
www.revera.co.nz
2
Copyright 2009

3. Born
here
Grow up
here
Got Married
Here
Mature
here
Now Living
here

4. Going to be Audit?
• PWC ?
• KPMG ?
• Deloitte ?
• ….
4
Copyright 2009

5. Be Prepared!
5
Copyright 2009

6. AGENDA
1
2
3
4
5
6
Be Prepared - Document all
Show Control over Environment
Create Procedures
Ensure Security
Ensure Recoverability
Copyright 2009

7. Be Prepared - Document all
Always have all
documented, it will make
your life more easy and
make a good impression
to the auditors.
7
Copyright 2009

8. Show Control Over Environment
PROJECTS AND ACTIVITIES
SOFTWARE AND LICENSES
Always ensure that any project
which interacts with any
database is well documented.
Always track all software and
licenses in your Environment.
1 2
It is relevant to show that you
really know what is in use, how is it
used, and a key point is to never
forget to include support
information that is key to reduce
any possible risk to the business
continuity.
1 2
8
Copyright 2009

9. Be Proactive –Create Procedures
.
9
Copyright 2009

10. Ensure Security
•
•
•
•
•
10
No share Passwords or Public Passwords
Implement Strong Passwords
Create a Safe Procedure
Control super users
Activate audit
Copyright 2009

11. Ensure Recoverability
•
•
•
•
11
Backup Strategy vs. SLA’s
DRP 1
Backup & Recovery Test and Doc
Involve everyone
Copyright 2009

12. Now you are ready!
12
Copyright 2009

13. Feel free to contact me
Questions? Need More Information?
Francisco Munoz Alvarez
mbatec@Hotmail.com
13
Copyright 2009