Presentation to the Austin ISACA Chapter on best practices in the art of organizational change. Focused on COBIT BAI05 - Organizational Change Enablement - March 1, 2016

1. Best Practices: Change
Management
Do we really know how to change?
Corporate Compliance Seminars
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Control. Comply. Communicate.
David S. Marshall, MBA, CISA, CFE, CFS / 708-205-2366 / dmarshall@compliance-seminars.net
John C. Blackshire, CPA / 479-200-4373 / jblackshire@compliance-seminars.net

2. Accountant, Auditor, IT Project Manager, Compliance Assessor, Sales Director, Trainer
• The Accountware Group / Corporate Compliance Seminars
• Training, system design, implementation, security, customization, support,
documentation, change management
• Walker Interactive Products
• Financial system implementation, integration, user support, sales, training
• Insurance Systems of America
• Created and managed internal consulting organization, developed system
implementation methodology, deployed systems to over 150 sites
• KPMG
• Auditor of insurance, financial services, manufacturing clients
• Past Meeting Coordinator - IIA International Conference
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4.  Change itself is a process –
managing it, leading it, achieving it
is also a process. To be successful
it helps to dispel the myths. So,
what are some of the change
management myths you’ve
experienced?
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5. “Technology will fix all the
problems!”
Newbie
“We can make this happen fast”
CEO to the Board of Directors
“Executive leadership does not need to be involved in the
whole process.”
Former Director IT
“Only a few stakeholders
will resist and they can not
derail things.”
Project Manager
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6. “Change is easy!”
“Hope and Change”
B.H.O.
“We can just follow the COBIT
5.0 Build, Acquire and
Implement guidance.”
“We do not need to consult with our customers.”
Controller
“If they resist we get rid
of them or minimize their
roles.”
Project Manager
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7. • Alphabetic Keyboard – 1860’s
• Qwerty – Solution to jamming (Basis Design Concept)
• Dvorak – 1930’s – (16 Miles vs 1 Mile)
• “Touch” keyboards (keyless)
• Virtual keyboards
• No keyboards--voice dictation, etc.
Do we really like to change?
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8. 8
“The management of change and development
within a business or similar organization.”
“The controlled identification and
implementation of required changes
within a computer system.”
Change Management Definitions
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“Tradecraft is the artwork to get things done.”
“COBIT is the science of creating changes
within an information technology environment.”
The Art and The Science
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BAI01 - Manage programs and projects
BAI02 - Manage requirements definition
BAI03 - Manage solutions identification and build
BAI04- Manage availability and capacity
BAI05 - Manage organizational change enablement.
BAI06 - Manage changes
BAI07 - Manage change acceptance and transitioning
BAI08 - Manage knowledge
BAI09 - Manage assets
BAI10 - Manage configuration
COBIT Domain: “Build, Acquire and Implement”

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08. Adequate use of applications,
information and technology solutions
13. Delivery of programs delivering
benefits, on time, on budget,
and meeting requirements
and quality standards
17. Knowledge, expertise
and initiatives for business innovation
• Percent of business process owners satisfied with supporting IT Products
and services
• Level of business user understand of how technology solutions support
their processes
• Satisfaction level of business users with training and user manuals
• NPV showing business satisfaction level of the quality and usefulness of
the technology solutions.
• Number of Programs/Projects on time and within budget
• Percent of stakeholders satisfied with program/project quality
• Number of programs needing significant rework due to quality defects
• Cost of application maintenance vs. overall IT cost
• Level of business executive awareness and understanding of IT
innovation possibilities
• Level of stakeholder satisfaction with levels of IT innovation expertise
and ideas
• Number of approved initiatives resulting from innovative IT ideas
“Maximize the likelihood of successfully implementing sustainable enterprise wide
organizational change quickly and with reduced risk, covering the complete life cycle of the
change and all affected stakeholders in the business and IT.”
IT Related Goal Related Metrics
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1. Stakeholder desire for the change
has been understood.
2. Implementation team is competent
and able to drive the change.
3. Desired changes is understood
and accepted by stakeholders.
• Level of stakeholder desire for the change
• Level of senior management involvement
• Satisfaction ratings of implementation team by affected stakeholders
• Number of identified skills or capacity issues
• Stakeholder feedback on level of understanding
• Number of queries received
“Maximize the likelihood of successfully implementing sustainable enterprise wide
organizational change quickly and with reduced risk, covering the complete life cycle of the
change and all affected stakeholders in the business and IT.”
Process Goal Related Metrics
4. Role players are empowered to
deliver the change.
• Percent of role players with appropriately assigned authority
• Role player feedback on level of empowerment
5. Role players are enabled to operated,
use and maintain change.
6. The change is embedded and
sustained.
• Percent of role players trained
• Role player self-assessment of relevant capabilities
• Level of satisfaction of role players operating, using and maintaining
the change
• Percent of users appropriately trained for the change
• Level of satisfaction of users with adoption of the change
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BAI05.01 Establish the desire to change.
BAI05.02 Form an effective implementation team.
BAI05.03 Communicate desired vision.
“Maximize the likelihood of successfully implementing sustainable enterprise wide
organizational change quickly and with reduced risk, covering the complete life cycle of the
change and all affected stakeholders in the business and IT.”
Key Management Practice
BAI05.04 Empower role players and identify short-term wins.
BAI05.05 Enable operation and use.
BAI05.06 Embed new approaches.
BAI05.07 Sustain changes.
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14. 1. Create Urgency
4. Communicate the Vision
7. Build on the Change
6. Create Short-Term Wins
5. Remove Obstacles
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3. Create a Vision for Change
2. Form a Powerful Coalition
Communication
8. Anchor the Changes in Corporate Culture

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The “Tradecraft” is very important.
Change is the only constant. - Heraclitus
The “Methodology” is useful with getting the details right.
What Are We To Do?
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16. • Next Meeting - Thursday, March 10, 2016
• Improving Critical Infrastructure – The Art of
Detection
• Glori Euwer – Filly Intelligence LLC
• Signature Science LLC – 8329 North Mopac
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© 2016 Corporate Compliance Seminars
Control. Comply. Communicate.
Property of Corporate Compliance Seminars
www.compliance-seminars.com
David S. Marshall, MBA, CISA, CFE, CFS / 708-205-2366 / dmarshall@compliance-seminars.net
John C. Blackshire, CPA / 479-200-4373 / jblackshire@compliance-seminars.net