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NERC CIP Change Management and Configuration Control Audit Checklist

A comprehensive checklist for auditing change management practices, configuration control processes, and compliance with NERC CIP standards in energy and utilities companies, focusing on maintaining the integrity and security of critical cyber assets during system modifications and updates.

NERC CIP Change Management and Configuration Control Audit Checklist
by: audit-now
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About This Checklist

The NERC CIP Change Management and Configuration Control Audit Checklist is an essential tool for energy and utilities companies to ensure compliance with critical infrastructure protection standards related to system modifications and updates. This comprehensive checklist addresses the change management and configuration control requirements of NERC CIP, helping organizations assess and improve their processes for planning, implementing, and documenting changes to critical cyber assets. By implementing this checklist, companies can enhance their system integrity, maintain operational stability, and ensure that all changes are properly vetted, tested, and documented in compliance with regulatory standards.

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Industry

Energy and Utilities

Standard

NERC CIP

Workspaces

Control Centers
Data Centers
Substations
Power Plants

Occupations

IT Change Manager
System Administrator
Compliance Officer
Security Analyst
Operations Manager

Change Management Audit Questions

(0 / 5)

1
When was the change implemented?

Select the date when the change was implemented.

To track the timing of changes for compliance and audit purposes.
2
Are rollback procedures documented and tested?

Select 'true' if rollback procedures are documented and tested; otherwise select 'false'.

To ensure that there is a plan to revert changes if they lead to issues.
3
What is the risk assessment score for this change?

Enter a score from 1 to 5, where 1 is 'Very Low Risk' and 5 is 'Very High Risk'.

To evaluate the potential impact of the change on critical infrastructure.
Min: 1
Target: 3
Max: 5
4
What is the description of the change being implemented?

Provide a brief description of the change.

To maintain a record of the changes made for future reference and audits.
5
Is there a documented approval for the change?

Select 'PASS' if the change has been approved, otherwise select 'FAIL'.

To ensure that all changes have been properly authorized before implementation.
6
When was the last configuration review conducted?

Select the date and time of the last configuration review.

To ensure regular reviews of configuration settings for compliance with policies.
7
Have the testing procedures for configuration changes been validated?

Select 'true' if testing procedures have been validated; otherwise select 'false'.

To ensure that all configuration changes are tested before implementation to mitigate risks.
8
How many configuration changes have been made in the last month?

Enter the total number of changes made.

To monitor the frequency of changes and assess potential impact on system stability.
Min: 0
Target: 5
Max: 100
9
What is the ID of the change request associated with this configuration change?

Provide the change request ID.

To trace changes back to specific requests for accountability and audit tracking.
10
Is the configuration documentation up to date?

Select 'PASS' if the documentation is current; otherwise select 'FAIL'.

To verify that configuration documents reflect the current state of systems and are compliant with standards.
11
When is the next review of this change scheduled?

Select the date for the next review.

To ensure ongoing oversight and evaluation of the change's impact.
12
Was a post-implementation review conducted after the change?

Select 'true' if the review was conducted; otherwise select 'false'.

To ensure that the effectiveness of the change was evaluated and lessons learned documented.
13
How many stakeholders were involved in the change process?

Enter the number of stakeholders involved.

To assess the level of collaboration and communication during the change.
Min: 0
Target: 3
Max: 50
14
Who is the owner of the change?

Enter the name of the change owner.

To identify accountability and responsibility for the change process.
15
Was a change impact assessment completed for this modification?

Select 'PASS' if the assessment was completed; otherwise select 'FAIL'.

To confirm that potential impacts of the change on systems and operations were evaluated.
16
When was the last compliance audit conducted?

Select the date and time of the last compliance audit.

To track the frequency of compliance audits for regulatory adherence.
17
Has training been provided to staff regarding compliance with NERC CIP?

Select 'true' if training has been provided; otherwise select 'false'.

To ensure that all relevant personnel are aware of compliance requirements and responsibilities.
18
How many compliance violations were identified during the last review?

Enter the number of identified compliance violations.

To assess the organization's adherence to regulations and identify areas for improvement.
Min: 0
Target: 2
Max: 100
19
What is the reference for compliance documentation related to this change?

Provide the documentation reference number or title.

To maintain a record of compliance references for audits and reviews.
20
Is the change compliant with NERC CIP regulations?

Select 'PASS' if the change is compliant; otherwise select 'FAIL'.

To ensure that all changes adhere to regulatory requirements for critical infrastructure protection.
21
When is the review of the modification scheduled?

Select the date for the modification review.

To ensure that the modification is assessed for effectiveness and compliance after implementation.
22
Were backup procedures followed before the modification?

Select 'true' if backup procedures were followed; otherwise select 'false'.

To ensure that data and configurations are safeguarded prior to making changes.
23
What is the estimated cost associated with this modification?

Enter the estimated cost in currency.

To assess the financial impact of the modification on the organization.
Min: 0
Target: 10000
Max: 1000000
24
Who implemented the system modification?

Enter the names of the team members involved in the implementation.

To track the personnel responsible for executing the modification.
25
Was the system modification approved by management?

Select 'PASS' if the modification was approved; otherwise select 'FAIL'.

To ensure that all system modifications have received the necessary managerial approvals.

FAQs

The checklist covers change request procedures, risk assessment of proposed changes, testing and validation processes, approval workflows, implementation planning, rollback procedures, and post-change documentation and monitoring.

It provides a structured approach to evaluating change management practices, ensuring all modifications to critical cyber assets are properly planned, tested, implemented, and documented in accordance with NERC CIP standards.

The audit should involve IT managers, system administrators, security officers, compliance specialists, and operations personnel to ensure comprehensive coverage of all relevant areas.

While formal NERC audits occur every three years, it's recommended to conduct internal change management audits quarterly, with ongoing monitoring of change processes and configuration baselines.

The checklist helps companies systematically evaluate their change management and configuration control processes, ensure compliance with NERC CIP standards, and maintain the integrity and reliability of critical infrastructure systems while implementing necessary updates and modifications.

Benefits

Ensures compliance with NERC CIP change management and configuration control requirements

Reduces risks associated with system changes and updates to critical cyber assets

Improves tracking and documentation of all modifications to critical infrastructure systems

Enhances system reliability and stability through proper change control processes

Facilitates better coordination between IT, operations, and security teams during system changes