Prepare and Defend Against a Software Audit
A mishandled audit can result in financial consequences far more severe than a slap on the wrist.
Onsite Workshop
A failed audit can result in:
- Large unexpected punitive fines or injunctions
- Disruption to business continuity
- Follow-on audits (potentially from other vendors)
- Reduced negotiating power with vendors
A proactive approach to audits leads to:
- Reduced risk of non-compliance and avoidance of cost repercussions
- Reduced duration of audit and minimal disruption to business continuity
- Clear understanding of regulatory requirements and licensing strategy as business needs evolve
- Understanding and development of a SAM practice with accurate data for effective decision making
Module 1: Prevent an Audit
The Purpose
- Kick off the project
- Identify challenges and red flags
- Determine maturity and outline internal audit
- Clarify stakeholder responsibilities
- Build and structure audit team
Key Benefits Achieved
- Leverage value from your audit management program
- Begin your proactive audit management journey
- A documented consolidated licensing position, which ensures that you are not blindsided by a sudden audit request
| Activities: | Outputs: | |
|---|---|---|
| 1.1 | Perform a maturity assessment of the current environment |
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| 1.2 | Classify licensing contracts/vendors |
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| 1.3 | Conduct a software inventory |
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| 1.4 | Meter application usage |
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| 1.5 | Manual checks |
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| 1.6 | Gather software licensing data |
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| 1.7 | Reconcile licenses |
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| 1.8 | Create your audit team and assign accountability |
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Module 2: Prepare for an Audit
The Purpose
- Create a strategy for audit response
- Know the types of requests
- Scope the engagement
- Understand scheduling challenges
- Know roles and responsibilities
- Understand common audit pitfalls
- Define audit goals
Key Benefits Achieved
- Take control of the situation and prepare a measured response
- A dedicated team responsible for all audit-related activities
- A formalized audit plan containing team responsibilities and audit conduct policies
| Activities: | Outputs: | |
|---|---|---|
| 2.1 | Use Info-Tech’s readiness assessment template |
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| 2.2 | Define the scope of the audit |
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Module 3: Conduct the Audit
The Purpose
- Overview of process conducted
- Kick-off and self-assessment
- Identify documentation requirements
- Prepare required documentation
- Data validation process
- Provide resources to enable the auditor
- Tailor audit management to vendor compliance position
- Enforce best-practice audit behaviors
Key Benefits Achieved
- A successful audit with minimal impact on IT resources
- Reduced severity of audit findings
| Activities: | Outputs: | |
|---|---|---|
| 3.1 | Communicate audit commencement to staff |
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Module 4: Manage Post-Audit Activities
The Purpose
- Clarify auditor findings and recommendations
- Access severity of audit findings
- Develop a plan for refuting unwarranted findings
- Disclose findings to management
- Analyze opportunities for remediation
- Provide remediation options and present potential solutions
Key Benefits Achieved
- Ensure your audit was productive and beneficial
- Improve your ability to manage audits
- Come to a consensus on which findings truly necessitate organizational change
| Activities: | Outputs: | |
|---|---|---|
| 4.1 | Don't accept the penalties; negotiate with vendors |
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| 4.2 | Close the audit and assess the financial impact |
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Onsite Workshops offer an easy way to accelerate your project. If you are unable to do the project yourself, and a Guided Implementation isn’t enough, we offer low-cost onsite delivery of our Project Workshops. We take you through every phase of your project and ensure that you have a road map in place to complete your project successfully.
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