Change Management Guide v 1-1 – EPA

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Office of Technology
                                                                                         Operations
                                                            
                                                            
 

Change Management Guide (Version 1.1) 
    1) Purpose 
 

    The purpose of this document is to provide guidance to bridge the gap between the change 
    management process and procedures description documentation, Change Management Process and 
    Procedures, and the detailed Remedy technical change management users' guides, OTOP Change 
    Management Quick Guide  Submitters (and  Approvers). 


    2) Background 
 

    As a result of the development of a more ITIL compliant environment in OTOP, with associated 
    common processes across the operating divisions, the change management approval and 
    implementation processes in NCC and EDSD have been realigned into a single, integrated process.  
    Additionally, a single Change Advisory Board (CAB) has been established with members from both 
    NCC and EDSD, chaired by the OTOP Deputy Director. This realignment necessitated the 
    development of new processes and procedures prescribing how information technology system 
    changes are submitted and approved. 


    3) Customer Impact 
 

    Customer impact must be considered for all submitted changes.  As described in paragraph 4.a.1 
    below, notification timeframes have been establish by the OTOP Director whenever an outage or 
    customer impact could result from a change implementation.  In order to minimize customer 
    impact, change submitters should make every effort to meet these timeframes and also attempt to 
    keep most changes categorized as normal changes. 




                                                            
 
                           Page 1 of 14  Change Management Guide (V. 1.1  August 1, 2011) 
 

                                                                                     Office of Technology
                                                                                     Operations
                                                        
                                                        
 
    4) Submitting a Request For Change (RFC) 

         a. Change Types 
            Four change types are in use in the OTOP environment: Normal, Standard, Expedited, 
            and Emergency (defined as Latent in the Remedy system).  The Change Management 
            Process and Procedures document provides descriptions, process flow charts for these 
            change types and considerable detail.  Changes are submitted via the Remedy system 
            and are accompanied by a supporting Request for Change (RFC) document.  

               Normal Changes: Normal changes are the most common type of change.  These are 
                changes which do not require any special considerations and can be applied within 
                the timeframe established by the Change Management Process and Procedures 
                document. Changes that will require an OEI Notification, Agency Mass Mailer or CTS 
                Notification due to a system outage or significant system changes affecting 
                customers require a ten business day lead time for notification to the customers. 
                Keep this time requirement in mind when determining how soon in advance to 
                submit the change. Normal changes will be prioritized automatically by Remedy as 
                defined in paragraph 4.b below. The workflow for a Normal Change is shown in 
                Appendix A. 

                 Normal Changes Key Highlights: 

                              Request submitted via Remedy 

                              Approval process (Functional Approvers)  3 business days  

                              High & medium priority (significance) requests approved electronically 
                               by functional staff, then routed for CAB approval. 

                              Low priority (significance) requests are approved electronically by 
                               Functional Approvers only. 

                              CAB has the final approval on high and medium changes. 
                                
                              Formal meeting is held  changes are not approved electronically via 
                               Remedy until after CAB meeting. 
                 
               Expedited Changes  Electronic Approvals by the OTOP CAB: Expedited changes are 
                categorized as nonemergency changes (see paragraph 4.a.4 for Emergency Change 
                description) that must be implemented in a time frame that does not allow them to 
                                                        
 
                       Page 2 of 14  Change Management Guide (V. 1.1  August 1, 2011) 
 

                                                                         Office of Technology
                                                                         Operations
                                            
                                            
 
    go through the normal approval cycle/timeframe (e.g., customer request, change 
    directed by EPA management, vendors availability).  For instance, a change may 
    require that an external vendor also be available when the change is implemented.  
    The external vendor may only be available on the 3rd business day after the change 
    is submitted, which could be before the next scheduled Change Advisory Board 
    meeting.   
     
    After the Functional Approvers approve the expedited change request, a Remedy 
    notification will be sent to the five primary OTOP CAB members along with their 
    four designated backups.  The Change Coordinator or Change Manager will send a 
    followup reminder notification to the OTOP CAB and the four designated backups.    
     
    The OTOP CAB (primary Branch Chief) member who owns the change request 
    should respond via email within one business day to Rebecca Forbes (Change 
    Coordinator) and Tom Lagrassa (Change Manager) with the answer of approve, 
    reject, or need more information. The OTOP CAB member should also cc the other 
    CAB members and the Communication Specialist if a user notification is needed.   
     
    NOTE:  If the OTOP CAB member who owns the change request is not available, 
    then their designated backup should respond.  If neither the primary OTOP CAB 
    member nor his/her backup is available then the other primary and/or designated 
    backup CAB member within the same division should respond.   If none of the 
    primary CAB members or their designated backups are available in the same division 
    then one of the other CAB members from the other division should respond.  The 
    Chair will address conflicts and respond when none of the divisional OTOP CAB 
    members are available.   
     
    The Change Coordinator or Manager will update the Remedy system on behalf of 
    the CAB member and perform any necessary followup if needed.   
     
    NOTE: Depending on when the expedited request was submitted, it may be 
    discussed at the OTOP CAB meeting instead of being approved electronically by one 
    CAB member.  If discussed at the meeting, then the entire OTOP CAB would vote on 
    the request the same way the CAB votes on normal change request. 
     
    Approved expedited change requests are presented to the full CAB in a Post Change 
    Implementation Review at the next scheduled CAB meeting.  The Expeditious 

                                            
 
           Page 3 of 14  Change Management Guide (V. 1.1  August 1, 2011) 
 

                                                                             Office of Technology
                                                                             Operations
                                                
                                                
 
        Change routing should be used as sparingly as possible. The workflow for an 
        Expedited Change is shown in Appendix B. 
         
         
        Expedited Changes Key Highlights: 

              Follow normal process flow with faster review time (1 business day) for 
               Functional Approvers.  

              Electronically approved by CAB (only one CAB approver needed) for high 
               and medium priority. No formal CAB meeting required. (1 business day) 

              Communication Specialist is notified if a user notification is required 
               because of an outage and/or if system operations will be affected.  

              Low priority requests are approved electronically by Functional Approvers 
               only. 
         
       Standard Changes: A Standard Change is a normal change that will be implemented 
        on a routine, recurring basis (e.g. certain Domino systems monthly patches). These 
        changes are submitted as Normal Changes the first time they are considered, but 
        are designated to become a Standard Change.  The Change Submitter should 
        indicate in the Summary field that they are requesting that this normal request 
        become a standard and the priority must be medium or high in order for the change 
        request to be routed to the CAB. If approved by the CAB as a new standard change, 
        a standard template is created in Remedy with a change number. When it's time to 
        implement the standard, the Change Submitter should resubmit the request in 
        Remedy using the appropriate standard template.  This change will not go through 
        the CAB review and approval process again, however, it will be placed on the 
        Forward Schedule of Changes. The workflow for a Standard Change is shown in 
        Appendix C. 
         
        Standard Changes Key Highlights: 

              Standard preapproved, low risk, routine change  

              Follows normal process flow for initial request only. 




                                                
 
               Page 4 of 14  Change Management Guide (V. 1.1  August 1, 2011) 
 

                                                                              Office of Technology
                                                                              Operations
                                                 
                                                 
 
               After CAB approval, the standard request is resubmitted when it's time to 
                implement the change.  However, it is does not have to be approved again 
                by the Functional Approvers or CAB. 

               Communication Specialist is notified if a user notification is required 
                because of an outage and/or if system operations will be affected.   

               The submitter will select the standard template in Remedy and the change 
                request will be placed on the forward schedule of change report.  

       Emergency Changes: An Emergency Change is a change to correct a "Break/Fix" 
        condition (e.g. a major security issue has been found in an operating system and a 
        patch must be applied immediately).  The EPA Functional Approver must get a 
        verbal or written approval from an OTOP CAB member to proceed with the 
        emergency request.  Once the required approval is received, the Functional 
        Approver can give authorization to a Technical Point of Contact to proceed with the 
        change.  The emergency request would then be entered into Remedy within one 
        business day following the change implementation.  A notification will go out via 
        Remedy to the primary Functional Approvers, OTOP CAB, EDSD and NCC 
        Communication Specialists, Change Coordinator, and Change Manager.  Emergency 
        changes will be reviewed by the CAB at the next scheduled CAB meeting through 
        the Post Change Implementation Review process. The workflow for an Emergency 
        Change is shown in Appendix D. 

        Emergency (break/fix) Changes Key Highlights: 

               Only one CAB member required to approve (< 1 business day)  approvals 
                received from Functional Approver verbally or via email.   

               Communication Specialist notified if a user notification is required because 
                of an outage and/or system operations are affected.  

               Request entered in Remedy within 1 business day after change is 
                implemented. 

               Broadcast notification that an emergency change has been implemented 
                will be sent to the CAB, Communication Specialist, primary Functional 
                Approvers, Change Coordinator and Change Manager. 



                                                 
 
                Page 5 of 14  Change Management Guide (V. 1.1  August 1, 2011)
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