Prepare and Defend Against a Software Audit

A mishandled audit can result in financial consequences far more severe than a slap on the wrist.

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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
  • Maturity assessment
1.2 Classify licensing contracts/vendors
1.3 Conduct a software inventory
1.4 Meter application usage
1.5 Manual checks
1.6 Gather software licensing data
1.7 Reconcile licenses
  • Effective license position/license reconciliation
1.8 Create your audit team and assign accountability
  • Audit team RACI chart

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
  • Readiness assessment
2.2 Define the scope of the audit
  • Audit scoping email template

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
  • Audit launch email template

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
4.2 Close the audit and assess the financial impact
  • A consensus on which findings truly necessitate organizational change

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