Change Management
Chris Colomb
Trish Fullmer
Jordan Bloodworth
Veronica Beichner
Definition of Change Management
Process of planning, organizing, coordinating and controlling the compositions of the environment, internal and external; to ensure that the process changes are implemented according to approved plans and the overall objectives of introducing the changes are achieved with as little disruption as possible.
Oseni, Ezekiel, 10/26/08, “Change Management in Process Change,” 2007, Journal Online.
Process Changes
Responsibility of top management
Not only have to manage their employees but their whole environment that’s affected:
Suppliers
Customers
Competitors
Can be very draining on finances and people involved
Steps for change:
1) Pre-implementation
Realize the need for change

Determine cost/benefit of new change

Management must support the new change and display this support to others
3 ways to deal with resistance to change
Ignore it
End it by preventing it
Implement crisis management

Steps for change:
2) Implementation
Many companies fail before they make it here
Elect a standing committee
Composed of all departments affected
Meet on a regular basis
Meet when problems arise in order to find solutions

Should appreciate all stakeholders for their patience and understanding

Steps for change:
3) Post-implementation
Make sure project achieved planned results
Problems that arise after implemented are found and dealt with
May still have resistance due to
Lack of training
New culture



Bain & Company Example
www.bain.com
Plan
Lead
Operate
Track
Audit Guidelines for Change Controls
The best practice guidance
Management should use COBiT resources as a source of best practice guidance

COBiT enables the understanding of:
Business objectives
Communication of best practices
Recommendations to be made
Control Objective: Manage Changes
High-level control objective AI6 states:

The management system should provide for the analysis, implementation and follow-up of all changes requested and made to the existing IT infrastructure.
Manage Changes:
The management system should consider the
following:
Identification of changes
Categorization, prioritization and emergency procedures
Impact assessment
Change authorization
Release management
Software distribution
Use of automated tools
Configuration management
Audit Program for Change Controls
Review General Processes
Through interviews, determine:
who prioritizes & justifies changes
how user requests are assigned to programmers
how testing is performed
who approves changes
how edited or new programs are put into production
Adequate guidelines are established to instruct programming personnel in their duties
Source: See Audit Program Change Control (Under extra readings on topics – change management)
Audit Program for Change Controls
Specific Process
Completeness
Validity of changes
Adequate involvement
Access control
Emergency changes
One-time changes
Source: See Audit Program Change Control (Under extra readings on topics – change management)
Audit Program for Change Controls
Review System Testing for:
Testing procedures performed or checked by persons other than those involved in writing the programs
Adequate controls to prevent production files from being used in testing
Adequate testing procedures to prevent any unauthorized coding from being inserted into programs during their modifications
Existence of a structured approach to testing based on the use of test plans
Adequate supervision and segregation of testing activities
Source: See Audit Program Change Control (Under extra readings on topics – change management)
Audit Program for Change Controls
Review User Acceptance Testing
A user acceptance testing sign-off procedure is in place
User acceptance testing is carried out in an appropriate environment, isolated from the production system
Adequate consideration is given to the setting up of test data
There is a structured approach to testing based on the use of test plans
Parallel testing is carried out where practical
Volume testing is carried out
Source: See Audit Program Change Control (Under extra readings on topics – change management)
Audit Program for Change Controls
Review Testing Environment
Access to the test environment is restricted to only authorized individuals
IT testing is carried out in an appropriate environment, isolated from the production system
Adequate consideration is given to the setting up of the test data
Test environment provides an adequate representation of the production environment
Source: See Audit Program Change Control (Under extra readings on topics – change management)
Audit Program for Change Controls
Review Backup and Recovery
Procedures are in place to consider the impact of change on other applications or to determine need for upgrading software
Operations regularly backs up production program libraries, together with a record of changes made between back-ups
Controls to ensure proper recoverability of program libraries should a failure occur and that the recovery process introduces no errors

Source: See Audit Program Change Control (Under extra readings on topics – change management)
Change Management
Change Management ensures:
Standardized methods
Processes and procedures are used for all changes
Facilitation of efficient and prompt handling of all changes
Maintaining proper balance between the need for change and the potential negative impact of changes
Common Traps to avoid!
1. Misstarts
Change is ill-advised and without sufficient commitment. 
2. Making change an option
Management asks for change instead of enforcing change 
3. A focus only on process
Focus on process not results for initial implementation 
4. A focus only on results
Focus completely on the end result with little concern for problems with change 
5. Not involving those expected to implement the change
Management decides on change without consulting employees
6. Delegation outside company
Giving outside consultants complete power for change 
7. No change in reward system
If you reward employees the same way you will get the same work 
8. Leadership doesn`t walk the talk
Leadership preaches change, but does not set the example 
9. Wrong size
Change is too small or big 
10. No follow-through
Management does not clearly define responsibility and thus the change is not executed properly
Source: http://www.ustyleit.com/Change_Management_Best_Practices.htm
Developing a Change Management Plan
Raising and recording of changes
Forecasting the impact, costs, benefits and risk of future changes
Developing business justification and obtaining approval
Managing and coordinating change implementation
Monitoring and reporting on implementation, reviewing and closing change requests
Example
Handout: Change Management Plan

http://pma.doit.wisc.edu/plan/3-4/tools.html