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The CISA® Prep Guide: Mastering the Certified Information Systems Auditor Exam by John Kramer

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2.6. Evaluating Change Management

The governance of change management and the IS organizations philosophy related to managing change provides a good big picture view of the overall control environment and practices actually embraced by an IS organization. A fully implemented change control methodology ensures that the segregation of duties and access to production is strictly controlled, maintained, and provable in an IS audit. This segregation will follow the guidelines defined previously in Figure 2.1 The change of control ensures that there is a clear separation between the production environment and any testing or pilot environments and ensures that the production data has integrity and is not accessed by users or programmers directly. A well-developed change control process puts a gatekeeper between systems development and the production of hardware, software code, and data. This gatekeeper has several roles:

  • Ensures that changes have been approved by process owner

  • Ensures that changes have been thoroughly tested for deployment in the live production environment

  • Ensures that back-off procedures are available, should the change fail

  • Checks that the impacts of the changes have been considered and communicated to the affected parties

  • Ensures that corresponding disaster recovery processes have been updated prior to the implementation of the change

  • Determines that the source and object code match when applicable

  • Records the change and provides an audit trail of the code movement

  • Promotes ...

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