Change Management Regulatory Frameworks & Compliance 2

Question 1

Under Sarbanes-Oxley (SOX) Section 404, which change management control is most critical for IT systems that support financial reporting?

Accepted Answer

Segregation of duties between those who request and those who approve changes

Answer

SOX Section 404 mandates segregation of duties so that no single individual can both initiate and approve changes to financially significant systems.

Question 2

Which U.S. federal regulation specifically governs change management practices in organizations that handle protected health information (PHI)?

Accepted Answer

HIPAA Security Rule

Answer

The HIPAA Security Rule requires covered entities to implement policies and procedures for changes that affect ePHI systems, including formal change control processes.

Question 3

A financial services firm must comply with FFIEC guidelines. During a change freeze window, an emergency patch is needed to fix a critical vulnerability. What is the FIRST step?

Accepted Answer

Obtain emergency change approval per the defined exception process

Answer

FFIEC guidelines require that even emergency changes follow an expedited but documented approval process rather than bypassing controls entirely.

Question 4

In the context of NERC CIP standards, which asset type triggers the most stringent change management requirements?

Accepted Answer

Bulk Electric System cyber assets

Answer

NERC CIP standards impose the strictest change management controls on Bulk Electric System (BES) cyber assets due to their critical infrastructure designation.

Question 5

A company subject to GDPR implements a new data processing system. Which change management consideration is MOST directly required by GDPR?

Accepted Answer

Completing a Data Protection Impact Assessment (DPIA) before deployment

Answer

GDPR Article 35 requires a DPIA for high-risk processing activities before implementation, making it a direct change management gate.

Change Management Practice Test

Change Management Practice Test

Change Management Regulatory Frameworks & Compliance 2