Office of Technology Operations

ChangeManagementGuide(Version1.1)
1) Purpose
Thepurposeofthisdocumentistoprovideguidancetobridgethegapbetweenthechange managementprocessandproceduresdescriptiondocumentation,ChangeManagementProcessand Procedures,andthedetailedRemedytechnicalchangemanagementusersguides,OTOPChange ManagementQuickGuideSubmitters(andApprovers).

2) Background
AsaresultofthedevelopmentofamoreITILcompliantenvironmentinOTOP,withassociated commonprocessesacrosstheoperatingdivisions,thechangemanagementapprovaland implementationprocessesinNCCandEDSDhavebeenrealignedintoasingle,integratedprocess. Additionally,asingleChangeAdvisoryBoard(CAB)hasbeenestablishedwithmembersfromboth NCCandEDSD,chairedbytheOTOPDeputyDirector.Thisrealignmentnecessitatedthe developmentofnewprocessesandproceduresprescribinghowinformationtechnologysystem changesaresubmittedandapproved.

3) CustomerImpact
Customerimpactmustbeconsideredforallsubmittedchanges.Asdescribedinparagraph4.a.1 below,notificationtimeframeshavebeenestablishbytheOTOPDirectorwheneveranoutageor customerimpactcouldresultfromachangeimplementation.Inordertominimizecustomer impact,changesubmittersshouldmakeeveryefforttomeetthesetimeframesandalsoattemptto keepmostchangescategorizedasnormalchanges.

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4) SubmittingaRequestForChange(RFC)
a. ChangeTypes
FourchangetypesareinuseintheOTOPenvironment:Normal,Standard,Expedited, andEmergency(definedasLatentintheRemedysystem).TheChangeManagement ProcessandProceduresdocumentprovidesdescriptions,processflowchartsforthese changetypesandconsiderabledetail.ChangesaresubmittedviatheRemedysystem andareaccompaniedbyasupportingRequestforChange(RFC)document. NormalChanges:Normalchangesarethemostcommontypeofchange.Theseare changeswhichdonotrequireanyspecialconsiderationsandcanbeappliedwithin thetimeframeestablishedbytheChangeManagementProcessandProcedures document.ChangesthatwillrequireanOEINotification,AgencyMassMailerorCTS Notificationduetoasystemoutageorsignificantsystemchangesaffecting customersrequireatenbusinessdayleadtimefornotificationtothecustomers. Keepthistimerequirementinmindwhendetermininghowsooninadvanceto submitthechange.NormalchangeswillbeprioritizedautomaticallybyRemedyas definedinparagraph4.bbelow.TheworkflowforaNormalChangeisshownin AppendixA. NormalChangesKeyHighlights: RequestsubmittedviaRemedy Approvalprocess(FunctionalApprovers)3businessdays High&mediumpriority(significance)requestsapprovedelectronically byfunctionalstaff,thenroutedforCABapproval. Lowpriority(significance)requestsareapprovedelectronicallyby FunctionalApproversonly. CABhasthefinalapprovalonhighandmediumchanges. Formalmeetingisheldchangesarenotapprovedelectronicallyvia RemedyuntilafterCABmeeting.

ExpeditedChangesElectronicApprovalsbytheOTOPCAB:Expeditedchangesare categorizedasnonemergencychanges(seeparagraph4.a.4forEmergencyChange description)thatmustbeimplementedinatimeframethatdoesnotallowthemto

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gothroughthenormalapprovalcycle/timeframe(e.g.,customerrequest,change directedbyEPAmanagement,vendorsavailability).Forinstance,achangemay requirethatanexternalvendoralsobeavailablewhenthechangeisimplemented. Theexternalvendormayonlybeavailableonthe3rdbusinessdayafterthechange issubmitted,whichcouldbebeforethenextscheduledChangeAdvisoryBoard meeting. AftertheFunctionalApproversapprovetheexpeditedchangerequest,aRemedy notificationwillbesenttothefiveprimaryOTOPCABmembersalongwiththeir fourdesignatedbackups.TheChangeCoordinatororChangeManagerwillsenda followupremindernotificationtotheOTOPCABandthefourdesignatedbackups. TheOTOPCAB(primaryBranchChief)memberwhoownsthechangerequest shouldrespondviaemailwithinonebusinessdaytoRebeccaForbes(Change Coordinator)andTomLagrassa(ChangeManager)withtheanswerofapprove, reject,orneedmoreinformation.TheOTOPCABmembershouldalsocctheother CABmembersandtheCommunicationSpecialistifausernotificationisneeded. NOTE:IftheOTOPCABmemberwhoownsthechangerequestisnotavailable, thentheirdesignatedbackupshouldrespond.IfneithertheprimaryOTOPCAB membernorhis/herbackupisavailablethentheotherprimaryand/ordesignated backupCABmemberwithinthesamedivisionshouldrespond.Ifnoneofthe primaryCABmembersortheirdesignatedbackupsareavailableinthesamedivision thenoneoftheotherCABmembersfromtheotherdivisionshouldrespond.The ChairwilladdressconflictsandrespondwhennoneofthedivisionalOTOPCAB membersareavailable. TheChangeCoordinatororManagerwillupdatetheRemedysystemonbehalfof theCABmemberandperformanynecessaryfollowupifneeded. NOTE:Dependingonwhentheexpeditedrequestwassubmitted,itmaybe discussedattheOTOPCABmeetinginsteadofbeingapprovedelectronicallybyone CABmember.Ifdiscussedatthemeeting,thentheentireOTOPCABwouldvoteon therequestthesamewaytheCABvotesonnormalchangerequest. ApprovedexpeditedchangerequestsarepresentedtothefullCABinaPostChange ImplementationReviewatthenextscheduledCABmeeting.TheExpeditious
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Changeroutingshouldbeusedassparinglyaspossible.Theworkflowforan ExpeditedChangeisshowninAppendixB. ExpeditedChangesKeyHighlights: Follownormalprocessflowwithfasterreviewtime(1businessday)for FunctionalApprovers. ElectronicallyapprovedbyCAB(onlyoneCABapproverneeded)forhigh andmediumpriority.NoformalCABmeetingrequired.(1businessday) CommunicationSpecialistisnotifiedifausernotificationisrequired becauseofanoutageand/orifsystemoperationswillbeaffected. LowpriorityrequestsareapprovedelectronicallybyFunctionalApprovers only.

StandardChanges:AStandardChangeisanormalchangethatwillbeimplemented onaroutine,recurringbasis(e.g.certainDominosystemsmonthlypatches).These changesaresubmittedasNormalChangesthefirsttimetheyareconsidered,but aredesignatedtobecomeaStandardChange.TheChangeSubmittershould indicateintheSummaryfieldthattheyarerequestingthatthisnormalrequest becomeastandardandtheprioritymustbemediumorhighinorderforthechange requesttoberoutedtotheCAB.IfapprovedbytheCABasanewstandardchange, astandardtemplateiscreatedinRemedywithachangenumber.Whenitstimeto implementthestandard,theChangeSubmittershouldresubmittherequestin Remedyusingtheappropriatestandardtemplate.Thischangewillnotgothrough theCABreviewandapprovalprocessagain,however,itwillbeplacedonthe ForwardScheduleofChanges.TheworkflowforaStandardChangeisshownin AppendixC. StandardChangesKeyHighlights: Standardpreapproved,lowrisk,routinechange Followsnormalprocessflowforinitialrequestonly.

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AfterCABapproval,thestandardrequestisresubmittedwhenitstimeto implementthechange.However,itisdoesnothavetobeapprovedagain bytheFunctionalApproversorCAB. CommunicationSpecialistisnotifiedifausernotificationisrequired becauseofanoutageand/orifsystemoperationswillbeaffected. ThesubmitterwillselectthestandardtemplateinRemedyandthechange requestwillbeplacedontheforwardscheduleofchangereport.

EmergencyChanges:AnEmergencyChangeisachangetocorrectaBreak/Fix condition(e.g.amajorsecurityissuehasbeenfoundinanoperatingsystemanda patchmustbeappliedimmediately).TheEPAFunctionalApprovermustgeta verbalorwrittenapprovalfromanOTOPCABmembertoproceedwiththe emergencyrequest.Oncetherequiredapprovalisreceived,theFunctional ApprovercangiveauthorizationtoaTechnicalPointofContacttoproceedwiththe change.TheemergencyrequestwouldthenbeenteredintoRemedywithinone businessdayfollowingthechangeimplementation.Anotificationwillgooutvia RemedytotheprimaryFunctionalApprovers,OTOPCAB,EDSDandNCC CommunicationSpecialists,ChangeCoordinator,andChangeManager.Emergency changeswillbereviewedbytheCABatthenextscheduledCABmeetingthrough thePostChangeImplementationReviewprocess.TheworkflowforanEmergency ChangeisshowninAppendixD. Emergency(break/fix)ChangesKeyHighlights: OnlyoneCABmemberrequiredtoapprove(<1businessday)approvals receivedfromFunctionalApproververballyorviaemail. CommunicationSpecialistnotifiedifausernotificationisrequiredbecause ofanoutageand/orsystemoperationsareaffected. RequestenteredinRemedywithin1businessdayafterchangeis implemented. Broadcastnotificationthatanemergencychangehasbeenimplemented willbesenttotheCAB,CommunicationSpecialist,primaryFunctional Approvers,ChangeCoordinatorandChangeManager.

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b. Remedy
Anyonechargedwithsubmittingorapprovingachangerequestwillrequireaccessto theRemedysystem(Note:CABapprovalisfacilitatedbytheChange Coordinator/Managersupportpositions).ChangesubmitterslogintoRemedyandare promptedtoenterthechange.Detailedproceduresforenteringandapprovingthe changeinRemedyarecontainedintheRemedyusersguides,OTOPChange ManagementQuickGuideSubmitters(andApprovers).Userssubmittingachange musthaveanawarenessoftheusercommunityandsystemsbeingimpacted,asthe Remedysystemwillrequirethemtoevaluateuserimpactandoverallrisk.Remedy userswillanswerthefollowingfiveriskrelatedquestionsinanonlineforminthe system(byclickingthescaleicon)toassistthemindeterminingtheriskratingonthe DeterminationofUrgency/Prioritymatrix: 1) Isthechangeimplementationplandocumentedtothelevelsothatmorethanone individualcouldexecuteit? 2) Istherollbackplandocumentedtothelevelsothatmorethanoneindividualcould executearollback? 3) Isthereawrittenverificationtestplanthatwillbeexecutedimmediatelyatthe conclusionofthechangetoverifysuccess? 4) Hasthechangebeentestedinanonproductionenvironment? 5) Will thischangebeimplementedoutsideofcorebusinesshours? Userswillalsoassesstheimpact(affectonthepopulationofusers)ofimplementinga proposedchange.TheDeterminationofUrgency/Prioritymatrixhasrisklevelonone axisandimpact(Low,MediumandHigh)ontheother.Impactisdefinedasbelow. ImpactLevel Low Medium High RemedyValue 4Minor/Localized 3Moderate/Limited 2Significant/Large QuantityAffected <150Users 1501,500Users >1,500Users

Basedontheimpactandtheanswerstotheriskquestionnaire,theChangeSubmitter willbeabletodeterminetheurgency(high,mediumorlow).Settingurgencywill automaticallyalsosetthepriorityfield.Thepriorityistheratingofsignificanceofthe changerequestnecessarytodeterminewhetherCABinvolvementintheapproval processisappropriate.HighandmediumprioritychangeswillberoutedtotheChange AdvisoryBoardforreviewandapproval.LowprioritychangesbypasstheCAB,butare

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subjecttoreviewatthenextregularlyscheduledCABmeeting.Thepreviously describedmatrixisillustratedbelow.
V. 2

Impact
<150 users 4-Minor/Localized 150-1,500 users 3-Moderate/Limited >1,500 users 2-Significant/Large

Risk Level 4 or 5

Impact 4-Minor/Localized Risk Level 4 or 5 URGENCY SET TO MEDIUM

Impact 3-Moderate/Limited Risk Level 4 or 5 URGENCY SET TO HIGH

Impact 2-Significant/Large Risk Level 4 or 5 URGENCY SET TO HIGH

Risk Level

Risk Level 2 or 3

Impact 4-Minor/Localized Risk Level 2 or 3 URGENCY SET TO LOW

Impact 3-Moderate/Limited Risk Level 2 or 3 URGENCY SET TO MEDIUM

Impact 2-Significant/Large Risk Level 2 or 3 URGENCY SET TO HIGH

Risk Level 1

Impact 4-Minor/Localized Risk Level 1 URGENCY SET TO LOW

Impact 3-Moderate/Limited Risk Level 1 URGENCY SET TO LOW

Impact 2-Significant/Large Risk Level 1 URGENCY SET TO ` MEDIUM

a. RFCDocument
Eachnormal,emergency,expeditedandstandardchangesubmittedintoRemedymust beaccompaniedbyanattachedRequestforChange(RFC)document,RFCForm2.1.The RFCcontainsdetailedinformationabouttheproposedchange,suchasdescriptionof thechange,affectedsystems,nameoftheimplementer,proposedchangedate, implementationplan,backoutplan,andotherrelevantinformation.Certain informationintheRFCduplicatesinformationthatiscontainedintheRemedychange record(e.g.,RiskLevel).ThisduplicateinformationshouldbeconsistentandtheRFC documentmustbeattachedbeforethechangerecordissubmittedintothereview process.ProceduresforfillingouttheRFCandhowtoattachitinRemedyaredescribed
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intheRFCdocumentitself.Itcontainsdetailedinstructionsforcompletionalongwith embeddedhelptips.

6) TheChangeManagementProcessafterSubmission
a. FunctionalandTechnicalReview
1) AftersubmissioninRemedy,normalchangeswillbegiventhreedaystobe reviewedbyanestablishedlistofFunctionalApproversinbothNCCandEDSD. Functionalreviewersmaychoosetoconsultwiththeirtechnicalstaffduringthis period,butmustapproveordisapprovethechangewithinthethreedayreview period.TheRFCformissubmittedwithchangesrequestsandattachedtothe Remedychangerecord.TheRFCformcanbeseparatelydistributedtoappropriate partiestosupporttechnicalreviewforthosethatdonothavethenecessary Remedyprivilegestoviewthechangerecorddirectly.Thiscanbeaccomplishedby: a. TheFunctionalApproverdownloadingtheRFCfromRemedyandforwardingit tothetechnicalsupportstaff, b. Or,thetechnicalsupportstaffrequestingtheChangeManagerorCoordinator toforwardtheRFCtothem. 2) Expeditedchangesaregivenaonedayreviewperiod.Again,FunctionalApprovers maycoordinatewiththeirtechnicalsupportteam. 3) Standardchangesarepreapprovedandarenotsubjecttofunctionalreviewother thanduringtheirinitialsubmission. 4) Emergencychangesdonotgothroughthefunctionalreviewprocess. FunctionalApproversareexpectedtoparticipate,eitherinpersonorbyteleconference, intheCABmeetingsinordertoansweranyquestionsortoprovideadviceand assistanceasrequested. IfoneormoreFunctionalApproversdisapproveachangerequest,thechangerequest willbereturnedtotherequestorformoreinformationandresubmittal.Onceachange isrejected,itcannotberesubmittedbytheChangeSubmitter/Initiator.Anewchange requestmustbecompletedandthechangerequestshouldincludetheoriginalchange requestnumber,whytherequestwasrejected,andhowtheissuewasrectified.Care shouldbetakenbyFunctionalApproversnottorejectinadequatelydocumented requests,initially.Thefirstresponsetoinsufficientinformationshouldbetorequest moreinformationviatheRemedysystem.

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b. ChangeAdvisoryBoardReview
TheCABwillnormallymeetonceaweek.Allhighandmediumpriority(significance) normalchangesareroutedtothechangeadvisoryboardforapproval.Inadditionto reviewingandapprovingnormalchanges,theCABperformsthefollowingfunctions: 1) Provideenterpriseriskmanagement,communicationsmanagement,andprocess compliancemanagementtothechangeprocessenvironment. 2) EnsurethatchangestotheEPAinfrastructureorcontractedEPAsystemsare reviewedandprocessedinaccordancewithestablishedChangeManagement processesandprocedures. 3) EnsureallchangesadheretoEPApolicy,aredocumented,tested,andapproved. 4) ProvideoversighttoensurethatEPAChangeManagementprocessdocumentsare maintainedasaConfigurationItem(CI)componentandplacedunderconfiguration managementcontrol. 5) ReportingontheeffectivenessofChangeManagementactivitiestoexecutive leadership. 6) OverruleanyapprovalsordisapprovalsoftheFunctionalApproversonindividual changerequests. ExpeditedchangerequestsnormallybypasstheCABmeetingprocessduetothequick turnaround,butarestillpresentedtooneoftheCABmembersforanelectronic approval.ThefullCABwillreviewexpeditedchanges(alongwithstandardand emergencychanges)atthenextregularlyscheduledCABmeeting. TheDeputyDirectorOTOPisthedesignatedCABChairperson.TherearealsotwoCAB memberseachfromNCCandEDSD.

c. ChangeManager/CoordinatorRole
SubmittedchangeswillbemonitoredbytheChangeManagerand/orChange Coordinator.Thesecontractorsupportpersonnelwillperiodicallyreviewtheprogress ofsubmittedchanges,ensureFunctionalApproversarereviewingandactingonchange requests,andwillcollateandsubmitchangestotheCAB.TheChangeCoordinatorwill alsofacilitatetheCABmeeting,presentingreportssuchastheNext14DayChange Schedule,thePastSevenDaysChangeSchedule,andtheForwardScheduleofChange. Theywillperiodicallyinteractwithfunctionaland/ortechnicalapproverstoshepherd changesthroughthechangeprocessandwillalsoassistandadvisefunctional/technical personnelandCABmembersonprocessandproceduresmatters.AdditionalChange
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ManagerandChangeCoordinatorresponsibilitiesareoutlinedintheChange ManagementProcessandProceduresdocument.

d. ChangeImplementation
OnceanormalchangehasbeenapprovedbytheCAB,itcanbeimplementedin accordancewiththeschedulethatwasapprovedbytheCAB.Ifanychangefails, presentsissues,orcannotbeimplementedforanyreason,aChangePost ImplementationReview(CPIR)formwillbepreparedandtheChangeManagerand/or CoordinatorwillpresentthechangeforreviewatthenextscheduledCABmeeting.

7) CommentsandFeedback
a. Commentsand/orfeedbackonthisdocumentortheChange Managementprocessaresolicitedandshouldbesubmittedtothe following(currentasofAugust1,2011;thesearecontract positionssupportingOTOPChangeManagementoperationsand continuousprocessimprovement):
1) 2) 3) 4) [email protected] [email protected] [email protected] [email protected]

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AppendixA

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AppendixB

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AppendixC
StandardChange ProcessFlow
Technical Peer Review Functional Review Approve?

YES

RFC Raised

First Time Submitted Through Normal Change Process

Initial Requirement for Standard Change

NO

Has to be entered in Remedy as a No Impact

CAB Approval?

YES

Standard Change w/ Unique Identifier Assigned

Forward Schedule of Changes

Change Implemented

Close Change Record

NO

End Process Review and Correct Issues

RFC Raised

Complete Change Record

CAB Notified

Subsequent Standard Change Requirement

Must be entered in Remedy in time to be in the Forward Schedule of Change Report for the next CAB meeting.

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AppendixD

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