This document is intended to define a change as understood by the company and to set
for the company’s change of management procedure. This form provides a formal
process for submission, review, risk assessment, approval, implementation, and post-
implementation review of the proposed change. This document is useful to any
company seeking to establish a change in management process and procedure and can
be customized to fit the needs of any company, including industry specific requirements
or regulatory requirements such as Sarbanes Oxley compliance.
Change Management Procedure Sample
20___
(Name)
Company Logo Department Effective Date:
Doc Number Owner:
Uncontrolled/Controlled Author:
Retention Date: (__) years Related Docs:
CHANGE MANAGEMENT PROCEDURE
Purpose
To define a Change as understood by the Company and describe the accepted Change
Management procedure.
Definition
A “change” as that term is used herein is “any change that may affect financial reporting,
operations, or compliance.” This includes the Control Environment (i.e., all systems business
processes, including IT, that may impact on the above). The key activities required are:
Monitoring,
Informing and communicating,
Control activities (reviews and reports),
Risk Assessments, and
Control Environment (e.g., passwords, user access).
In order to demonstrate that we have adequate control over our financial systems we must also be
able to demonstrate control over the wider operational environment.
Scope
This procedure is intended for all Department Managers who have identified a Change
requirement. Only Department Managers and the Management Executive Committee may request
a Change.
Risk
If not properly controlled, changes could be made that negatively impact the business and prevent
people from fulfilling their roles. Changes could be made by individuals who are not fully aware of
the impact on other areas of the business. If change is not controlled the business could be
exposed to fraudulent activities.
Responsibility
The Department Manager ensures that changes follow the Change Management Procedure. The
Director of Central Services reviews the Change Management Schedule monthly to ensure all
changes follow the Change Management Procedure. The Management Executive Committee
reviews the Change Management Schedule quarterly to ensure changes follow the Change
Management Procedure.
Roles
The Change Management Controller’s role is to facilitate communications between the Department
Manager requesting the change and any other affected Department Managers, who will be
referred to as the Stakeholders. The Change Management Controller will coordinate all of the
documentation, acquisition of requirements, formulations of plans, and scheduling of projects and
tasks. It is the role of the requesting Department Manager and other Stakeholders to review,
comment on and authorize documents relating to the change, instruct staff, and participate in
meetings to ensure that the change goes as smoothly as possible and that compliance is retained.
Company Logo Department Effective Date:
Doc Number Owner:
Uncontrolled/Controlled Author:
Retention Date: (__) years Related Docs:
CHANGE MANAGEMENT PROCEDURE
Change Procedure
For ________ compliance purposes all communications need to be in writing. As such, minutes
must be taken at meetings. This documentation will be retained by the Change Management
Controller and filed with the Change Documentation relating to the change. For this reason verbal
requests and authorization are not acceptable.
1. Submit the Change Request Form
Complete a Change Request Form. This Form, and information about how to complete it,
can be found at: .
Enter as much detail as possible in the Request Details section. If this change will affect
other departments please enter the names of the Department Managers in the Other
Departments Affected section.
Once the Change Request Form has been completed, use the office or branch scanner to
scan the authorized form and email it to the IT Help desk. They will log the form and pass it
to the Change Management Controller, who will then schedule the change.
If your change is urgent please see the Emergency Change Procedure, which can be found at:
2. Review the Specification
The Change Management Controller will review the Change Request Form, gather additional
information, add Department Managers dee