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.

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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 - Critical Infrastructure Protection

Workspaces

Data Centers
Power Plants
Control Centers
Utility Facilities

Occupations

IT Change Manager
System Administrator
Compliance Officer
Security Analyst
Operations Manager
1
Is there a documented approval for the change?
2
What is the description of the change being implemented?
3
What is the risk assessment score for this change?
Min1
Target3
Max5
4
Are rollback procedures documented and tested?
5
When was the change implemented?
6
Is the configuration documentation up to date?
7
What is the ID of the change request associated with this configuration change?
8
How many configuration changes have been made in the last month?
Min0
Target5
Max100
9
Have the testing procedures for configuration changes been validated?
10
When was the last configuration review conducted?
11
Was a change impact assessment completed for this modification?
12
Who is the owner of the change?
13
How many stakeholders were involved in the change process?
Min0
Target3
Max50
14
Was a post-implementation review conducted after the change?
15
When is the next review of this change scheduled?
16
Is the change compliant with NERC CIP regulations?
17
What is the reference for compliance documentation related to this change?
18
How many compliance violations were identified during the last review?
Min0
Target2
Max100
19
Has training been provided to staff regarding compliance with NERC CIP?
20
When was the last compliance audit conducted?
21
Was the system modification approved by management?
22
Who implemented the system modification?
23
What is the estimated cost associated with this modification?
Min0
Target10000
Max1000000
24
Were backup procedures followed before the modification?
25
When is the review of the modification scheduled?

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 of NERC CIP Change Management and Configuration Control Audit Checklist

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