Prepare for Successful Audits: A Change Management Manager Checklist

I T Au d i t C h e c k l i s t S e r i e s
Change
Management
Practical guidance
for managers on
how to prepare for
successful audits
Sponsored by:
www.ITCinstitute.comI T A u d i t C h e c k l i s t S e r i e s
Change Management
About the IT Compliance InstituteThe IT Compliance Institute (ITCi) strive?s to be a Table of Contentsglobal authority on the role of technology in business governance and regulatory compliance. Through 2 Executive Overviewcomprehensive education, research, and analysis 3 Introduction to Change Managementrelated to emerging government statutes and affected business and technology practices, we help organizations 4 What Is Change Management?overcome the challenges posed by today's regulatory environment and find new ways to turn compliance 4 What Are the Benefits of Change Management?efforts into capital opportunities. 6 The Auditor's Perspective on Change Management
ITCi's primary goal is to be a useful and trusted resource 6 Why Audit?for Information Technology professionals seeking to help businesses meet privacy, security, financial account- 7 Who Is Responsible for Change Management?ability, and other regulatory requirements. Targeted at 9 Management's Role in the Audit ProcessCIOs, CTOs, compliance managers, and information technology professionals, ITCi focuses on regional- and 10 What Auditors Want to Seevertical-specific information that promotes awareness 10 Auditors Like...and propagates best practices within the IT community. 10 Auditors Don't Like...For more information, please visit: www.itcinstitute.com 11 How Companies Help (or Hinder) AuditorsComments and suggestions to improve the IT 11 Who Should Talk to the Auditors?Audit Checklists are welcome. Please send your recommendations to editor@itcinstitute.com. 12 Change Management Audit Checklist
12 Audit Planning
All design elements, front matter, and content are copyright © 2007 IT Compliance 12 Audit TestingInstitute, a division of 1105 Media, Inc., unless otherwise noted. All rights are reserved for all copyright holders. 13 ProcessesNo part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, photocopying, recording, scanning, or otherwise, except as permitted under § 107 or 108 of the 13 Steps1976 United States Copyright Act, without the prior written permission of the copyright holder. 14 Controls for Change ManagementLimit of Liability/Disclaimer of Warranty: While the copyright holders, publishers, and authors have used their best efforts in preparing this work, they make no representations or warranties with respect to the accuracy or completeness of 30 Audit Reportingthe contents of this book and specifically disclaim any implied warranties of merchantability or fitness for a particular purpose. No warranty may be created or extended by sales representatives or written sales materials. The advice and 31 Preparing for an Auditstrategies contained herein may not be usable for your situation. You should consult with a professional where appropriate. Neither the publishers nor authors shall be liable for any loss of profit or any other commercial damages, including, but not 32 Communicating with Auditorslimited to, special, incidental, consequential, or other damages.All trademarks cited herein are the property of their respective owners. 33 Appendix A-Change Management Resources
www.ITCinstitute.com 1IT Audit Checklist: C hang e Manag e m e nt

Executive Overview
What Is the IT Audit Checklist Series? Paper ContentsThe ITCI IT Audit Checklists are a series of topical white . Regulations such as Sarbanes-Oxley and Basel II papers that provide practical guidance for IT, compli- have exposed the reality that IT processes do not ance, and business managers on preparing for successful merely underlie business processes: in many cases, internal audits of various aspects of their operations. In they are indistinguishable. As companies have addition to helping managers understand what auditors grown more dependent on interdependent IT look for and why, the IT Audit Checklists can also help systems, the risks associated with untested changes ma... [download for more]