AI1  Manage Changes
Control over the IT process of ...
managing changes
    with the business goal
    of minimising the likelihood of disruption, unauthorised alterations and errors
     
      is enabled by
      • a management system which provides for the analysis, implementation and follow-up of all changes requested and made to the existing IT infrastructure

        and takes consideration

        • Critical Success Factors that leverage
        • specific IT Resources and is measured by
        • Key Performance Indicators

Record of Assessment
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  Control Objective:

Manage Changes  
CRITICAL SUCCESS FACTORS
Selected Status
Description
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Change policies are clear and known and they are rigorously and systematically implemented
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Change management is strongly integrated with release management and is an integral part of configuration management
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There is a rapid and efficient planning, approval and initiation process covering identification, categorisation, impact assessment and prioritisation of changes
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Automated process tools are available to support workflow definition, pro-forma workplans, approval templates, testing, configuration and distribution
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Expedient and comprehensive acceptance test procedures are applied prior to making the change
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A system for tracking and following individual changes, as well as change process parameters, is in place
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A formal process for hand-over from development to operations is defined
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Changes take the impact on capacity and performance requirements into account
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Complete and up-to-date application and configuration documentation is available
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A process is in place to manage co-ordination between changes, recognising interdependencies
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An independent process for verification of the success or failure of change is implemented
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There is segregation of duties between development and production
KEY GOAL INDICATORS
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Reduced number of errors introduced into systems due to changes
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Reduced number of disruptions (loss of availability) caused by poorly managed change
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Reduced impact of disruptions caused by change
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Reduced level of resources and time required as a ratio to number of changes
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Number of emergency fixes
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KEY PERFORMANCE INDICATORS
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Number of different versions installed at the same time
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Number of software release and distribution methods per platform
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Number of deviations from the standard configuration
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Number of emergency fixes for which the normal change management process was not applied retroactively
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Time lag between the availability of the fix and its implementation
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Ratio of accepted to refused change implementation requests
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  Conclusions:
* Non-existent 
There is no defined change management process and changes can be made with virtually no control. There is no awareness that change can be disruptive for both IT and business operations, and no awareness of the benefits of good change management.
* Optimised 
The change management process is regularly reviewed and updated to keep in line with best practices. Configuration information is computer based and provides version control. Software distribution is automated and remote monitoring capabilities are available. Configuration and release management and tracking of changes is sophisticated and includes tools to detect unauthorised and unlicensed software. IT change management is integrated with business change management to ensure that IT is an enabler in increasing productivity and creating new business opportunities for the organisation.
* Managed and Measurable 
The change management process is well developed and consistently followed for all changes and management is confident that there are no exceptions. The process is efficient and effective, but relies on considerable manual procedures and controls to ensure that quality is achieved. All changes are subject to thorough planning and impact assessment to minimise the likelihood of post-production problems. An approval process for changes is in place. Change management documentation is current and correct, with changes formally tracked. Configuration documentation is generally accurate. IT change management planning and implementation is becoming more integrated with changes in the business processes, to ensure that training, organisational changes and business continuity issues are addressed. There is increased co-ordination between IT change management and business process re-design.
* Defined Process 
There is a defined formal change management process in place, including categorisation, prioritisation, emergency procedures, change authorisation and release management, but compliance is not enforced. The defined process is not always seen as suitable or practical and, as a result, workarounds take place and processes are bypassed. Errors are likely to occur and unauthorised changes will occasionally occur. The analysis of the impact of IT changes on business operations is becoming formalised, to support planned rollouts of new applications and technologies.
* Repeatable but Intuitive 
There is an informal change management process in place and most changes follow this approach; however, it is unstructured, rudimentary and prone to error. Configuration documentation accuracy is inconsistent and only limited planning and impact assessment takes place prior to a change. There is considerable inefficiency and rework.  
* Initial / Adhoc 
It is recognised that changes should be managed and controlled, but there is no consistent process to follow. Practices vary and it is likely that unauthorised changes will take place. There is poor or non-existent documentation of change and configuration documentation is incomplete and unreliable. Errors are likely to occur together with interruptions to the production environment caused by poor change management.
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