DEPARTMENT OF CORRECTION SUPPORT Management Services DIRECTIVE NUMBER: SUBJECT: Correctional Integration Systems Change PAGE NUMBER: 1 of 10 Adopted: 12-15-03 01.00.00. POLICY OF THE DEPARTMENT It is the policy of the Board of Correction that the Department of Correction shall establish guidelines for the efficient and appropriate use of computers, electronic mail (e-mail), and the Internet by Department employees. 01.01.00. PURPOSE The change management process is fundamental to the successful delivery of a computer development project. The change management process ensures that each change identified within the project environment is documented, prioritized and resolved within an appropriate time scale. For the purpose of any project, changes are defined as any event which adversely affects the ability of the project to produce the required deliverables. Change management will be introduced to the Correctional Integration Systems (CIS) project through the implementation of five (5) key formalized processes: identification of project changes; logging and prioritization of project changes; assigning change actions; implementation of change actions; and the closure of project changes. 02.00.00. TABLE OF CONTENTS 01.00.00. POLICY OF THE DEPARTMENT 01.01.00. PURPOSE 02.00.00. TABLE OF CONTENTS 03.00.00. REFERENCES 04.00.00. DEFINITIONS 05.00.00. SCOPE 06.00.00. RESPONSIBILITY 07.00.00. PROCEDURE 08.00.00. FLOWCHART 03.00.00. REFERENCES Attachment A, Change Request Form. Attachment B, Change Register.
2 of 10 Department Policy 141, Computer, Electronic Mail, And Internet Use. 04.00.00. DEFINITIONS Change. To pass or make something pass from one state or stage to another; making or becoming different: alteration, variation, or modification, or the result of this. Change Requestor. The person who submits the change request. Department. The state Department of Correction. End User Steering Committee (EUSC). A collective group of individuals chosen to represent each area of the Department. This committee receives, reviews, assesses, and makes recommendations for new and enhancement projects. Stakeholder. One who has a share or an interest in the outcome of a system or project. 05.00.00. SCOPE 05.01.00. Identify Change This process provides the ability for any stakeholder to raise a project-related change. The following procedures are undertaken: Change requestor identifies a change applicable to a particular aspect of the project (e.g. scope, deliverables, time scales, and organization); Change requestor completes a change form and distributes the form to his manager for approval; and Manager approves change request and distributes to project manager. (See sub-section 06.04.00.) 05.02.00. Register Change This process allows the project manager to review all changes raised and determine whether or not each change is applicable to the project. This decision will be primarily based upon whether or not the change: impacts a project performance; impacts the budget deliverable specified; or impacts the time scale specified within the project plan.
3 of 10 If the change is considered by the project manager to be appropriate to the project, then a formal change is raised in the project change register and a change number assigned. If a change is considered by the project manager to be inappropriate to the project, then the specific problem may be escalated to executive management. Detailed notification will be sent to all stakeholders soliciting feedback prior to change actions being assigned. The project manager will either assign the change priority based upon the level of impact of the change to the project or escalate the change to the End User Steering Committee. If the change is determined to be minor, already included in scope but previously missed, or is an enhancement request and does not require a large development effort, the project manager has the authority to approve the change without having to consult the End User Steering Committee. 05.03.00. Assign Change Actions This process involves the formal review of the change register by the End User Steering Committee. The End User Steering Committee will review each change and in turn (based upon change priority) may decide to: close the change in the change register, if there are no outstanding change actions and the change is no longer impacting the project; or raise a project risk if the change is also likely to impact the project in the future; approve and assign change actions. 05.04.00. Implement Change Actions This process involves the implementation of all actions assigned by the project manager or End User Steering Committee. This includes: Scheduling each action for completion; Implementing each action scheduled; Reviewing the success of each action completed;
4 of 10 Communicating the success of each action completed; The regular review of all issues recorded in the change register; The identification of issues which require change requests and/or project risks to be raised; and The determination of what actions must or should be taken to resolve, close, or assign the change for completion. 05.05.00. Close Change A change request can be considered closed when it has no outstanding actions or no longer impacts the project. The project manager maintains and distributes a change register. Upon project completion all change information is included and archived with project documentation. 06.00.00. RESPONSIBILITY 06.01.00. Change Requestor The change requestor initially identifies the change and formally communicates the change to the functional manager. The change requestor is formally responsible for: The early identification of the change within the project; form; The formal documentation of the change, through the completion of the change The submission of the change form to their immediate functional manager for review; and Ensuring change form is complete and contains all applicable data for approval by the appropriate functional manager 06.02.00. Development Staff The development staff are responsible for the following: Gaining a thorough understanding of the identified change request as it is applied to the Department's internal business requirements;
5 of 10 Identifying the scope, benefits, or possible drawbacks of the requested change; Support and research of the outlined changes; Making the actual enhancements to the system; Reporting the system change results to the project manager; Notifying the project manager if the scope of the change is altered by unforeseen challenges; Support and adhere to established Department policies and procedures; and Support the implementation, training, and transition of the change. 06.03.00. End User Steering Committee The End User Steering Committee determines the change status and assigns change resolution actions where appropriate. The End User Steering Committee is formally responsible for: The regular monthly review of all changes escalated in the change register; The identification of changes which require change requests and/or project risks to be raised; The determination of change resolution actions while adhering to proper quality control standards; and Provides approval on change management costs, schedules, and deliverables. 06.04.00. Managers (Subject Matter Experts) Each individual area manager is responsible for the following if the change request that has occurred affects their modules in any way: Reviews and approves user change requests prior to submission; Liaison between the project team and the end user community; Responsible for the coordination of end user participation in the change management process (such as testing newly changed item);
6 of 10 Ensure all user testing is completed in a timely and accurate manner; Work with end users to validate and improve system performance; Support and adhere to established Department policies and procedures; and Knowledge base resource for clarification of complex user functional questions as they apply to change requests. 06.05.00. Project Manager The project manager receives, records, monitors and controls the progress of all changes within a project. The project manager is formally responsible for: Reporting and communicating all decisions made to the End User Steering Committee; Provides detailed change notification to all stakeholders requesting feedback (this must contain the applicable data necessary for each module to determine if the change will have a negative effect); Responsible for ensuring all project team members and stakeholders are aware of change proposals and allow for feedback; Receiving all change forms and identifying which of the changes raised are appropriate to the project; Recording all changes deemed appropriate to the project, in the change register; Prioritizes all changes in the change register as initiated by the End User Steering Committee; The closure of changes which have no outstanding actions and are no longer impacting the project; Monitoring the progress of all change resolution actions assigned; Ensures all change actions are completed in a timely manner; Completion and update of the knowledge registry upon project completion (this document will remain with the project documentation).
06.06.00. Project Team 7 of 10 The project team undertakes all change resolution actions delegated by the project manager. 06.07.00. Quality Assurance Lead (if applicable) The quality assurance lead is responsible for overseeing the validation of the system and ensuring that quality assurance standards are adhered to during the change management process: Manages the adherence to defined software development and quality assurance standards and reporting status to project manager; Obtains a thorough understanding of the business problem that initiated the change request, user objectives and expectations; and Works closely with development staff to prepare user documentation changes (if applicable) prior to change being made in production environment. 07.00.00. PROCEDURE The change request form should be completed by the change requestor, validated and signed off by his manager (if applicable) and formally distributed to the project manager for review. The project manager will determine whether or not the form provides adequate information and whether the change requires escalation to the End User Steering Committee for approval. The project manager may request that more information be provided. Following the completion of information gathering, the change documentation will be presented to the End User Steering Committee for review and detailed information will be forwarded to all stakeholders for review and feedback. If the End User Steering Committee determines the change to be beyond their scope, will extend the project timeline greater than a month, or requires additional funding of greater than fifteen thousand dollars ($15,000), the change will be referred to the executive management team for a decision.
8 of 10 The project manager will monitor the status of the change request and communicate the final decision to the End User Steering Committee, change requestor, and all stakeholders. 08.00.00. FLOW CHART The following diagram provides an overview of the change processes and procedures to be undertaken in order to effectively manage project-related changes. Change management roles have also been allocated. (See Flow Chart located on page nine.)
9 of 10 Change identification Change identified by requestor Approved by Manager Yes No Change Form submitted to PM Change review ed by PM Within PM authority to assign? Register change Detailed notification sent to stakeholders Feedback Received? No Change review ed by EUSC Yes Assign change actions Change actions assigned Implement change actions Does chg require escalation? Does chg raise new risk? Yes Refer to risk mgmt plan Yes No No Executive team Review Yes Change actions completed Is chg approved? no Close chg request and update register Update know ledge registry
141.03.04.001 SUBJECT: Change Management 10 of 10 Administrator, Support Date
Idaho Department Of Correction Change Request Form In order to initiate a change request, please complete the following form. All applicable sections MUST be completed. Attach to this form any supporting documentation, which may assist the review of this change request. Please sign and date the Change Request Form and forward it along with any supporting documentation to the Project Manager for review. (See Change Request Form on next page.) 1410304001, Attachment A, Page 1 12-11-03
Change Number (unique number based upon project): e.g. project number followed by Department and issue number 295 TES1 Change Request Form Business Area/Location: Change Requestor: Project Name: Change Request Date: Project Manager: Change Urgency: Critical High medium low Change Description: Add a brief description of the project changes requested. This should include any changes to resources, deliverables, timescales and/or budgets Business Drivers: List any business drivers which necessitate this change (e.g. recent change in safety policy) Business Impact: Describe the impact to the business if this change is implemented (e.g. additional resources required, reduce process efficiency, organizational structure changes required) Change Benefits: Describe the financial and non-financial benefits associated with the implementation of this change (e.g. reduced transaction costs, improved performance, enhanced customer satisfaction) System Drivers: (IS will evaluate if required) List any system drivers which necessitate this change (e.g. reduction in system performance, lack of vendor support) Systems Impact: (IS will evaluate if required) Describe the impact to IT systems if this change is implemented (e.g. integration required, temporary down-time, new systems processes required) if applicable user will have to contact technical services for this information. Change Costs: Describe the financial and non-financial costs associated with the implementation of this change (i.e. budget required, temporary reduction in staff performance) Supporting Documentation: Add any documentation references which may substantiate this change Signature: Date: / / PLEASE FORWARD TO YOUR FUNCTIONAL MANAGER FOR APPROVAL PRIOR TO SUBMISSION TO THE PROJECT MANAGER 1410304001, Attachment A, Page 2 12-11-03
Idaho Department Of Correction Change Register The Change Register is the log within which all issues are registered and tracked through to resolution. Status A=Active H= Hold C=Complete Change Register KEY L = Low M = Medium H = High C = Critical Project Name: Project Manager: Date Raised Raised By Assessed By Status Description of Change Description Approval Implementation Description of Impact Impact Rating (L/M/H/C) Change Approver(s) Approval Status Approval Date Actions Undertaken Completion Date Review Date 1410304001, Attachment B 12-11-03