Flinders University

Change Management Procedure for Normal & Complex

Changes

Controlled Document

Owner: Change Manager

Author: Lee Crawford/Mark Carrocci

Version 0.2
TABLE OF CONTENTS

1.0 DOCUMENT CONTROL ...................................................................... 3

1.1 Document History.................................................................................................. 3
1.2 Document Review/Approval/Implementation ........................................................ 3
1.3 Document Sign-off ................................................................................................ 3
1.4 Document Distribution following Sign-off ............ Error! Bookmark not defined.3

2.0 INTRODUCTION .................................................................................34

2.1 Purpose ................................................................................................................. 4
2.2 Objectives ............................................................................................................. 4
2.3 Related Primary Document ................................................................................... 5
2.4 Competency/Training ............................................................................................ 5

3.0 ROLES AND RESPONSIBLILITES ..................................................... 6

3.1 Change Manager .................................................................................................. 6
3.2 Change Initiators ................................................................................................... 6
3.3 Internal Resolver Groups ...................................................................................... 7
3.4 Change Assessors ................................................................................................ 7
3.5 Change Advisory Board ........................................................................................ 7

4.0 PROCEDURE WORKFLOW Normal Change .................................... 8

5.0 PROCEDURE WORKFLOW Complex Change CAB Approval ........ 9

5.0 PROCEDURE ACTIVITY DETAILS ....................................................10

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1.0 DOCUMENT CONTROL

1.1 Document History

Version Date Summary of Change Author/Reviewed by
0.1 19.03.15 First Draft Lee Crawford/Mark
Carrocci
0.2 19.03.15 Updated following document review Lee Crawford/Mark
Carrocci

1.2 Document Review/Approval/Implementation

Name Service Area

1.3 Document Sign-off

Name Service Area Date

1.4 Document Distribution following Sign-off

NOTE: This document will only be distributed to the following.

Name/Group Service Area

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2.0 INTRODUCTION

2.1 Purpose

This document defines the detailed procedure to support Flinders University for managing
changes to identified ICT services, processes, technical configurations and controlled
environments.

A Normal change is associated with the Category 3 change and a Complex change is
associated with the Category 2 change on the Change Control Process located on the
Flinders Change Management webpage.
http://www.flinders.edu.au/isd-
files/documents/CSC%20form%20library/Change%20Control%20Process.pdf

2.32.2 Objectives

The objective of this procedure is:

“To plan, record, evaluate, control and manage all changes to the ICT Services production
environments in order to minimise the risk and impact on the business operations.”

The main objective of Change Management is to control and manage the progress of all
changes and retain ownership of them. The success of Change Management is dependent
on support received from the resolver groups and approvers during the life cycle of the
change.

 To ensure RFC is received via a central point and that a change record is created in the
Assyst toolset.
 To ensure that the RFC contains the correct information to allow it to continue to the next
stage.
 To ensure that changes are allocated appropriate resources according to their urgency.
 To ensure the correct level of assessment and approval is obtained, based on the impact
and risk of the change.
 To ensure that a technical and business impact assessment is provided, independent of
the change initiator.
 To obtain approval of a RFC.
 To ensure that CAB members have detail relating to the change prior to the CAB
meeting.
 To ensure that changes are scheduled effectively and that change owners are notified
that they can commence work.
 To ensure the change initiator has tested that the change is fit for purpose and meets the
requirements in the change
 To confirm that the change meets all requirements prior to implementation in the
production environment
 To ensure that unsuccessful changes follow the agreed back out procedure.
 To ensure that all records are up-to-date prior to the Post Implementation Review (PIR)
 To review the success or otherwise of the change and learn from any issues arising for
future changes.
 To update the implementation tasks once the change is complete.
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2.42.3 Related Primary Document

This procedure supports the implementation and delivery of the Change Management
process.

2.52.4 Competency/Training

Based on the activity details outlined in this document, staff must be sufficiently competent to
carry out this procedure; or, as part of their personal development plan (PDP), undertake the
necessary training outlined in the table below.

Competency Training and Development Method

Knowledge of the following Self-study (reading)
processes: Awareness raising through shadowing
Change Management,
Configuration Management

Knowledge of this Self-study (reading)

procedure
Operation of Assyst
Influencing Skills
Knowledge of SLAs
Technical Training relevant
to Internal Resolving Group
Awareness raising through shadowing
Self-study
Training Courses
Learning and Development Training Course
Self Study of SLA documentation on document management
system
Coaching
Learning and Development Training Course
Self-Study

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3.0 ROLES AND RESPONSIBLILITES

This section outlines the key roles involved in delivering this procedure and summarises the
associated activities each key role is responsible for.

3.1 Change Manager

 The Change Manager is the process owner and is responsible for its effective
operation, maintenance, for the day-to-day execution of the process and
managing the schedule of work within.
 Effective development, implementation, maintenance and communication of
policy, process, procedures and working practices.
 Chairing weekly CAB.
 Resolving change scheduling issues, managing any rescheduling requirements.
 Maintaining the Forward Schedule of Change (FSC).
 Managing issues arising from change conflict.
 Identifying and managing exceptions and deviations to the standard process.
 Identifying who should participate in the impact assessment of change.
 Providing training and guidance when necessary.

3.2 Change Initiators

 Accountable for the individual changes they raise in terms of quality and
implementation success.
 Responsible for change from planning to successful implementation
 Providing detailed change record and ensuring:
o Prerequisites for the change are considered and completed.
o Approval sought for any service level impacts.
o Assigning correct change risk and impact.
o Informing affected support areas of the change details.
 Avoiding conflict with other changes where possible
 Obtaining appropriate resource for all tasks.
 Ensuring an appropriate communication plan to ITS staff, business owners and
customers is implemented.
 Ensuring testing is carried out.
 Ensuring change is authorised, attending any review meeting as required.
 Ensuring any rejected changes are amended and in a fit state prior to
resubmission.
 Planning the change within the required lead times.
 Inputting to post change review process.

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3.3 Internal Resolver Groups

 Are accountable for technically reviewing, approving or rejecting change requests

based upon assessment.
 Ensure appropriate risk and impact analysis has been undertaken by considering
the accuracy and appropriateness of the change details in conjunction with
individual knowledge and expertise of the production environment and in light of
any existing problems and other scheduled changes.
 Ensuring any support for which they are responsible is available for
implementation/monitoring of the change.
 Participating in post implementation reviews.
 Communicating and circulating request for change to required change assessors
within their area of responsibility.
 Attending appropriate change review meetings e.g. CAB when requested to do
so.
 Reviewing and approving change requests when requested to do so in
accordance with the priority allocated.

3.4 Change Assessors

 Are responsible for providing a business and technical impact assessment of the
change prior to the change being passed forward for approval in CAB or forward
for implementation.
 Ensuring the change is technically valid and will not introduce errors into the
production environment.
 Ensuring resource available and skilled to appropriate level for implementation
and ongoing management/operation.

3.5 Change Advisory Board

 Ensure appropriate risk and impact analysis has been undertaken by considering
the accuracy and appropriateness of the change details in conjunction with
individual knowledge and expertise of the production environment and in light of
any existing problems and other scheduled changes.
 Ensuring any support for which they are responsible is available for
implementation/monitoring of the change.
 Participating in post implementation reviews.

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4.0 PROCEDURE WORKFLOW Normal Change
Normal Change
Assyst Processing State changes in blue Phase

Yes
Start

03.01.03 Assessment Stage

More info
Successful
Required?
Sent for assessment Network
Middleware
Planning Stage (default IRG) services
No

Approve or Success
Implementor & IRG

Normal RFC No
Selected from list of Service Desk DBA Server Team Reject
change types

Approval
CMDB Update
Stage
Assessment Implementation
Process not Started
stage
CMDB Update
Implement
Change

PIR Implementation
yes Stage
Change Management

Verification stage Reject

03.01.06 PIR
Completion Close

Verified by Change More info

Management Required?

End

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5.0 PROCEDURE WORKFLOW Complex Change CAB Approval
Complex Change
Phase

Yes
Start Implementation
Assessment Stage Stage
More info
Required?
Planning Stage
Sent for assessment Network Implement Change
Middleware
(default IRG) services No
Implementor & IRG

Normal RFC
Selected from list of Approve or
Successful
change types Reject
Service Desk DBA Server Team No

Process not Started Approved Reject CMDB Update

Stage
Assessment
CMDB Update

03.01.04 CAB Assessment

Request more
CAB

Yes information or No Approve Yes

request delay

yes PIR Implementation

Stage
Change Management

Verification Stage
PIR Completion

Close
Verified by Change More info
Management Required?

End

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5.0 PROCEDURE ACTIVITY DETAILS

Activity Name Designated Activity Details

Role
Planning Stage Change Initiator Change Initiator raises and schedules RFC on
toolset.
Verification Stage Change  Review and verify RFC to ensure enough
Management information is provided and that it is correct.
 Make any amendments necessary to clarify
the RFC
 Check the schedule time of change and the
configuration item being changed (e.g.,
does not conflict with other changes in the
system)
 Change Manager confirms all information is
correct and if any anomalies discusses with
Change Initiator.
 Change Manager identifies and sends RFC
to IRGS required to assess.
Assessment Stage Change initiator  Change initiator ensures all assessment
tasks have been closed.
 Any rejections/issues are raised with the
IRG assessing the change.
Set status to “Approval” Workflow / (if Normal Minor) Once the RFC has been
CAB Approved Change Team/ approved by all the change assessors the
CAB RFC moves to implement status on the
toolset. (See Workflow Normal change)

If Major or significant The RFC is then

presented to CAB for their approval. See
Workflow Complex change) All approved
RFCs are then moved to Implement Stage via
the workflow.
Implementation Stage Workflow /  If approved toolset moves the RFC to
Change initiator/ Implement Status.
IRG  Workflow generates a notification to let the
Change Initiator know that the RFC has
received approval.
 The change initiator will be responsible for
ensuring the implementation task is
completed in a timely fashion.
 The change initiator will be responsible for
ensuring the implementation task is
completed in a timely fashion.
 Should the change be unsuccessful it
should be backed out. If back out is not
possible, a fix is implemented.

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Activity Name Designated Activity Details
Role
CMDB update Change Initiator  Once the implementation task is completed
the toolset generates a new task for the
CMDB update to take place. The initiator
will be responsible for ensuring the tasks
are completed in a timely fashion.
 Where a change has been successful and
there has been new equipment/systems
implemented, the details will be added or
amended within the CMDB in Assyst.
PIR completion CAB/  A Post Implement Review is undertaken to
(if applicable) Change Team / confirm that the change was either
Change initiator/ successful, unsuccessful or abandoned.
IRG The RFC is updated and closed on the
toolset.
 Where a change has caused a major
service outage / impact. The Problem
Management Team will investigate to
identify the root cause of failure. All Change
Outages will be investigated by Change
Team.

Note:
At any time during the workflow process it is possible for the Change Initiator / Change Analyst to
abandon the change and the workflow is halted. Once abandoned, there is no restart process.
The change record is closed with the reason why it was abandoned. The Change Initiator has to
resubmit a new change and the workflow begins once more.

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