• Document No.

  • Audit Title

  • Client / Site

  • Conducted on

  • Prepared by

  • Location
  • Personnel

  • Select date

Overview of the IT environment

  • In this section you should describe the operating environment

Manage changes

  • Conduct a walk though of the change management process.

    Describe the controls that operate. pay particular attention to the following controls:
    MC1: changes implemented have been requested and approved through a process to ensure that only the right changes are implemented.
    MC2: changes are tested
    MC3: changes are approved by management before they are implemented into the production environment. For emergency I changes these should include approval as soon as possible after the implementation of the change.
    MC4: a segregation of duties exists between those developing changes and those implementing the changes into production.
    MC5: management reviews, periodically, the changes moved into production to confirm that only approved changes are in production.

    Other controls may exist. Where these controls complement controls MC1 - MC5 then they should be documented.

  • Draw a flow chart of the process

  • Does MC1 exist?

Test manage changes

  • Approximately how many changes are implemented per year?

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