Change Management Escalated Approval Process

PURPOSE ▪ SCOPE ▪ PROCESS DESCRIPTION ▪ PROCESS DIAGRAM ▪ PROCESS INPUTS/OUTPUTS ▪ PROCESS RELATIONSHIPS ▪ ROLES AND RESPONSIBILITIES ▪ SUPPORTING DOCUMENTATION ▪ REVISION HISTORY

Process Owner: Manager, IT Performance Achievement

Note: An owner must be a PCES-level manager or higher.

This process is to establishes standard tools and processes for change management escalated approval within the Postal Service Technical Environment.

1. PURPOSE

The purpose of the Change Management Escalated Approval process is to establish a standard process for requesting changes to technology solutions during “freeze” periods established to support business needs.

2. SCOPE

The Change Management Escalated Approval Process applies to specified applications and their supporting infrastructure during “freeze” periods as outlined below:

Freeze Time Frame Description
Finance Fiscal Year-End September 1 – October 15 Applicable to all application code and infrastructure changes with the potential to affect any expense or revenue system. This includes, but is not limited to, applications listed within the Financial Impact Systems document.
Operational Holiday Season November 15 through the 2nd Sunday in January Applicable to all application code and infrastructure changes with the potential to affect operational systems (supporting movement of mail). This includes, but may not be limited to, applications listed within the Operational Holiday Season Freeze document.
SOX System Q3 and Q4 Applicable for SOX Systems application code, infrastructure, and data changes with potential to affect SOX Controls. (Note: Escalated Approval is not required to implement Priority Urgent and Problem Ticket related changes to fix production issues.)
 

3. PROCESS DESCRIPTION

PROCESS FOR FINANCIAL YEAR-END FREEZE AND OPERATIONAL HOLIDAY SEASON FREEZE

Step 1:

Submit Email to IT Portfolio Manager for Approval:

The Change Requestor submits an email to the IT Portfolio Manager requesting a change to a technology solution. 

The email submitted is to include the following information:

  • Purpose/Reason for Change
  • The impact of delaying change until freeze period expires
  • Supporting documentation as applicable
  • Infrastructure related requests must include complete list of applications impacted
Step 2:

Submit Email to VP, IT Operations for Approval:

The IT Portfolio Manager reviews the email and any supporting documentation.  If approved, the IT Portfolio Manager forwards the email to the VP, IT Operations.
Step 3:

VP, IT Operations Approves/Denies Request:

The VP, IT Operations reviews the email and any supporting documentation.  The VP, IT Operations then approves or denies the request.
Step 4:

Change Request Process:

Upon receipt of VP, IT Operations approval, the Change Requestor may then begin the Plan/Schedule Change phase of the Change Management Process.  The email with VP, IT Operations approval must be submitted along with the change plan to the Change Control Board (CCB) for approval.

PROCESS FOR SOX SYSTEM FREEZE PERIOD

Step 1:

Submit Request to SOX PMO:

Complete SOX Impact Assessment Form (available on TSLC Templates page of IT Website) and submit to SOX PMO.
Step 2:

Obtain Approval:

SOX PMO sign-off of SOX Impact Assessment Form must be obtained prior to implementing change during freeze period.

4. PROCESS DIAGRAM

The process steps are stacked vertically in the center; as each process step is completed, there is a downward arrow to the next process step in the sequence. On the left side are Inputs to the process steps in the center, from which there are Outputs. There is only one input for this process (Email to IT Portfolio Manager) and one output (Approve/Deny Email from VP, IT Operations). The first process step is “Submit Email with Change Request to IT Portfolio Manager”; this process step has one corresponding input (the Email to IT Portfolio Manager), but no outputs. The second process step is a decision point. If the Change Request is not approved, this ends the process. If the Change Request is approved, the third process step follows. The third process step is “Submit Email to VP, IT Operations, for Approval”, for which there are no additional inputs or outputs. The fourth process step is a decision point. If the Change Request is not approved, this ends the process. If the Change Request is approved, the fifth process step follows. The output from this process step is “Approve/Deny Email from VP, IT Operations”. The fifth process step is “Begin Change Management Process”, for which there are no additional inputs or outputs. There are no further process steps for this process.

5. PROCESS INPUTS/OUTPUTS

Inputs

Outputs

6. PROCESS RELATIONSHIPS

The following image is the Change Management Escalated Approval process relationships diagram. On the left side is a box labeled “Change Management Process”. Inside this box, steps are stacked in the following order from top to bottom: “Initiate/Create Change”, “Plan/Schedule Change”, “Review/Approve/Assign Change”, “Implement Change”, and “Resolve/Close Change”. On the right side is a box labeled “Change Management Escalated Approval Process”. Inside this box, steps are stacked in the following order from top to bottom: “Submit Email to IT Portfolio Manager for Approval” and “Submit Email to VP, IT Operations, for Approval”. The “Initiate/Create Change” step on the left is connected to the “Submit Email to IT Portfolio Manager for Approval” step on the right by a right directional arrow labeled “During Freeze Periods”. The “Plan/Schedule Change” step on the left is connected to the “Submit Email to VP, IT Operations, for Approval” step on the right by a right directional arrow labeled “Approvals Granted”. There is no additional information in this diagram.

7. ROLES AND RESPONSIBILITIES

8. SUPPORTING DOCUMENTATION

For access to the following documents, contact the US Postal Service. See Publication 5, Let's Do Business for further information about local US Postal Service contacts.

9. REVISION HISTORY

Version #1.0
Section(s) Revised:        N/A
Revision Description:      Baseline
Revision Date:               

Version #1.1
Section(s) Revised:        Scope
Revision Description:      Operational Freeze timeframe revised
Revision Date:                12/04/2008

Version #1.2
Section(s) Revised:        All
Revision Description:     This document was made Section 508 compliant and was converted to HTML.
Revision Date:               FY12/Q3