Change Management Process Flows

High-Level Process Overview

The overall process of managing changes to policy, procedures, and guidelines will involve a set of six interrelated sub-processes that may at times occur together in sequence, but at others occur independently of each other. The figure below shows the high-level interrelationships between the sub-processes. Detailed presentations of each sub-process are contained in the remainder of this document.

Developing Policy, Procedures, and Guidelines

Developing Policy
Determine business requirements for policy Develop draft policy Review and approval of draft policy Finalize policy

Developing Guidelines

Develop Guidelines

Developing Procedures
Develop draft procedures Review and approval of draft procedures Finalize procedures

Maintaining and Updating Policy, Procedures, and Guidelines

Maintaining and Updating Policy
Evaluate requirements for policy update Determine new business requirements for policy Develop draft policy update Review and approval of draft policy update Finalize policy update

Maintaining and Updating Guidelines

Maintain and update guidelines

Maintaining and Updating Procedures

Evaluate requirements for procedure update Determine new business requirements for procedure Develop draft procedure update Review and approval of draft procedure update Finalize procedure update

Change Management Process Flows

Developing Policy
Records Manager

Policy requirements Existing policies Lifecycle management knowledge Litigation management knowledge RM program knowledge Business process knowledge Existing policies

Develop draft policy

Draft policy

Policy feedback and reviews

Finalize policy

Final policy

Determine business requirements for policy

Policy requirements

Collect and incorporate feedback Determine that draft meets policy requirements and is implementable

Legal

Collect candidate requirements Refine and prioritize requirements

Draft policy

Review and approval of draft policy

Policy feedback and reviews

Affected Stakeholders

IT

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Change Management Process Flows

Developing Procedures
Records Manager

Procedure feedback and reviews Draft policy Policy requirements Existing policies Existing procedures

Final procedures

Finalize procedures
Draft procedures

Develop draft procedures

Legal

Collect and incorporate feedback Determine that draft fulfills policy, meets policy requirements, and is implementable

Draft procedures Draft policy

Review and approval of draft procedures

Procedure feedback and reviews

Affected Stakeholders

IT

3 of 11

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Change Management Process Flows

Developing, Maintaining, and Updating Guidelines

Records Manager

Final policy and procedures Existing policies and procedures Unit specific policies, procedures, and practices IT context

Guidelines

Existing guidelines Employee feedback Final policy and procedures Existing policies and procedures Unit specific policies, procedures, and practices IT context

Legal

Develop guidelines

Maintain and update guidelines

Updated guidelines

Affected Stakeholders

IT

Develop and distribute unitspecific and broader (up to corporate-wide) guidelines for implementing relevant policies

Collect feedback on existing and desired guidelines, develop, modify, and distribute unit-specific and broader (up to corporatewide) guidelines for implementing relevant policies

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Change Management Process Flows

Maintaining and Updating Policy

Records Manager
New policy Draft policy requirements Existing policies Develop draft policy update

Determination that policy may require updating Lifecycle management knowledge Litigation management knowledge RM program knowledge Business process knowledge Existing policies

Evaluate requirements for policy update

Initial update recommendations

Initial update recommendations Lifecycle management knowledge Litigation management knowledge RM program knowledge Business process knowledge Existing policies

update Determine new business requirements for policy

New policy requirements

Policy update feedback and reviews

Finalize policy update

Final policy update

Collect and incorporate feedback Determine that draft meets policy requirements and is implementable

Legal

Collect relevant information regarding policy update Go/no go decision on updating policy

Collect new candidate requirements Refine and prioritize requirements

Draft policy update

Review and approval of draft policy update

Policy update feedback and reviews

Affected Stakeholders

IT

5 of 11

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Change Management Process Flows

Maintaining and Updating Procedures

Records Manager
New policy and procedure requirements Draft policy update Existing policies and procedures Initial update recommendations Lifecycle management knowledge Litigation management knowledge RM program knowledge Business process knowledge Existing policies and procedures Draft procedure update

Determination that policy may require updating Lifecycle management knowledge Litigation management knowledge RM program knowledge Business process knowledge Existing policies and procedures

Develop draft procedure update

Procedure update feedback and reviews Final policy update

Finalize procedure update

Final procedure update

Evaluate requirements for procedure update

Initial update recommendations

Determine new business requirements for procedure

New procedure requirements

Collect and incorporate feedback Determine that draft fulfills policy, meets policy requirements, and is implementable

Legal

Collect relevant information regarding procedure update Go/no go decision on updating procedure

Draft procedure update Draft policy update

Review and approval of draft procedure update

Procedure update feedback and reviews

Affected Stakeholders

IT

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Change Management Process Flows

Developing Policy Business Unit Specific

Records Manager

Determination that policy may be required Lifecycle management knowledge Litigation management knowledge RM program knowledge Business process knowledge Existing policies

Evaluate requirements for new policy

Initial recommendations Lifecycle management knowledge Litigation management knowledge RM program knowledge Business process knowledge Initial Existing policies recommendations

Determine new business requirements for policy

New policy requirements

Legal

Collect relevant information regarding policy creation Go/no go decision on updating policy

Collect new candidate requirements Refine and prioritize requirements

Draft policy

Review and approval of draft policy

Draft policy feedback and reviews

IT

Affected Stakeholders

New policy requirements Existing policies

Suggest proposed policy for approval New policy

submission

Develop draft policy

Draft policy feedback and reviews

Final policy

Finalize policy
Draft policy

Collect and incorporate feedback Determine that draft meets policy requirements and is implementable

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Change Management Process Flows

Developing Procedures Business Unit Specific

Records Manager

Determination that procedure may be required Lifecycle management knowledge Litigation management knowledge RM program knowledge Business process knowledge Existing policies and procedures

Evaluate requirements for new procedure

Initial recommendations

Initial recommendations Lifecycle management knowledge Litigation management knowledge RM program knowledge Business process knowledge Existing policies and procedures

Determine new business requirements for procedure

New procedure requirements

Legal

Collect relevant information regarding procedure creation Go/no go decision on updating procedure

Draft procedure Draft policy update

Procedure draft feedback and reviews Review and approval of draft procedure

IT

Affected Stakeholders

Suggest proposed procedure for approval

New policy and procedure requirements Draft policies Existing policies and procedures New procedure submission

Develop draft procedure

Procedure draft feedback and reviews Final policy update Draft procedure

Finalize procedure

Final procedure update Final procedure

Collect and incorporate feedback Determine that draft fulfills policy, meets policy requirements, and is implementable

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Change Management Process Flows

Maintaining and Updating Policy Business Unit Specific

Records Manager

Determination that policy may require updating Lifecycle management knowledge Litigation management knowledge RM program knowledge Business process knowledge Existing policies

Evaluate requirements for policy update

Initial update recommendations

Initial update recommendations Lifecycle management knowledge Litigation management knowledge RM program knowledge Business process knowledge Existing policies

Determine new business requirements for policy

New policy requirements

Legal

Collect relevant information regarding policy update Go/no go decision on updating policy

Collect new candidate requirements Refine and prioritize requirements

Draft policy update

Policy update feedback and reviews Review and approval of draft policy update

IT

Affected Stakeholders

Suggest proposed policy update for approval

Policy update submission

New policy requirements Existing policies

Develop draft policy update

Policy update feedback and reviews Draft policy update

Finalize policy update

Final policy update

Collect and incorporate feedback Determine that draft meets policy requirements and is implementable

9 of 11

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Change Management Process Flows

Maintaining and Updating Procedures Business Unit Specific

Records Manager Determination that policy may require updating Lifecycle management knowledge Litigation management knowledge RM program knowledge Business process knowledge Existing policies and procedures

Evaluate requirements for procedure update

Initial update recommendations

Initial update recommendations Lifecycle management knowledge Litigation management knowledge RM program knowledge Business process knowledge Existing policies and procedures

Determine new business requirements for procedure

New procedure requirements

Legal

Collect relevant information regarding procedure update Go/no go decision on updating procedure

Review and approval of draft procedure Draft procedure Procedure update update update feedback and reviews Draft policy update

IT

Affected Stakeholders

Suggest proposed procedure update for approval

New policy and procedure requirements Draft policy update Existing policies and procedures Procedure update submission

Develop draft procedure update

Draft procedure update

Procedure update feedback and reviews Final policy update

Finalize procedure update

Final procedure update

Collect and incorporate feedback Determine that draft fulfills policy, meets policy requirements, and is implementable

10 of 11

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