3. Change management process

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The process of managing the SRF includes the processes for managing changes to the SRF, managing the preparation of releases of the SRF, and managing the process of publication of a new release of the SRF.

The following sections provide an outline of those processes, including the goal of the process,  preconditions, actors, workflow, and triggers. The change management process comprises five phases:

change management process

For the second phase (i.e. request resolution), different processes are followed for every type of change. The third phase (i.e. request resolution approval) is only applicable for the changes on the supporting instruments and the major changes. The rest of the phases follow a common process for managing the changes.

3.1        Request handling

This section describes the handling of Requests for Change (RFCs).

·        The Operational Team (OT) gathers the requests submitted by the stakeholders via Joinup.

·        The OT evaluates the requests, and accepts or discards them.

·        The OT classifies the accepted requests by type of change (see Section 2.4).

Requests that have been accepted and classified will be resolved according to the requests resolution process outlined in section  3.2.

request handling

The flow consists of the following steps, executed by their corresponding actor:

Step

Description

Actor

1

Receive RFCs

Operational Team

2

Evaluate RFCs

Operational Team

3

Classify RFCs

Operational Team

Precondition: RFCs for aspects of the SRF that is published on Joinup and is publicly available.

Trigger: Stakeholder submission of RFC.

Goal: To ensure that change requests are processed in an open yet controlled fashion.

Primary Actors:

·        Stakeholders: Submit RFCs.

·        Operational Team: Evaluates and classifies the RFCs.

Workflow:

·        In step 1, receive RFCs, the OT acknowledges receipt of all the requests submitted by the stakeholders on Joinup.

·        In step 2, evaluate RFCs, the OT performs an eligibility check, verifying whether the RFC describes clearly what the requirement is and which change is requested.

·        In step 3, classify RFCs, the OT classifies the accepted RFCs based on the type of change.

3.2        Request resolution

This section describes the resolution of RFCs for each type of change. The resolution process differs depending on the type of change. Therefore, the process is presented for each type of change.

Based on the classification of the RFCs performed at the request handling phase (see Section 3.1), the request resolution phase starts with the definition of the proposed resolution and the further enrichment of the information already provided by the submitter(s). The request resolution phase ends with the reflection of the changes and updating of the SRF. The SRF is updated and maintained offline until the scheduling of a new release, which also involves the new release’s preparation, endorsement, and publication.

3.2.1       Editorial changes

For such a change, the OT defines changes for each RFC. The OT notifies the Governance Committee (GC) and applies all the necessary updates on the SRF. Finally, the OT informs the submitters about the acceptance of their RFC and its future inclusion in the SRF.

The following streamlined process is applied to editorial changes.

request resolution editorial changes

The flow consists of the following steps, executed by their corresponding actor:

Step

Description

Actor

1

Define the change

Operational Team

2

Notify the Governance Committee

Operational Team

3

Apply change and update the SRF

Operational Team

4

Notify submitters

Operational Team

Trigger: RFCs that specify an editorial issue are submitted, accepted, and scheduled for release.

Goal: To ensure that small editorial changes are captured and performed once per year (release cycle).

Primary Actors:

·        Operational Team: Makes all the editorial changes to the SRF and notifies the submitters of the RFCs.

Workflow:

·        In step 1, define the change, the OT provides a solution for every RFC.

·        In step 2, notify the Governance Committee, the OT notifies the GC about the editorial changes that will be included in the SRF.

·        In step 3, apply change and update the SRF, the OT incorporates the editorial change in the SRF.

·        In step 4, notify submitters, the OT notifies all the submitters about the final decision regarding the inclusion or rejection of their RFC in the next release of the SRF.

3.2.2       Changes on the supporting instruments

For this type of changes, the OT elaborates the supporting instruments received and publishes the ones approved by the GC on Joinup. The approved supporting instruments are added to an existing list of supporting instruments on a webpage maintained under the Sharing and Reuse of IT solutions community. In addition, when evaluating the supporting instruments to be published on Joinup, the GC accepts or rejects the inclusion of the published supporting instruments in the SRF. After the review of supporting instruments by the GC and their publication on Joinup, the OT notifies the submitters about the final decision regarding the inclusion or rejection of their supporting instrument. Finally, the OT advises the Steering Committee (SC) on the inclusion of the supporting instruments in the SRF. As soon as the OT advises the SC, the process continues with the request resolution approval (see Section 3.3).

The following process is applied to changes to the supporting instruments (i.e.when a stakeholder recommends a new supporting instrument).

Request resolution - changes on the supporting instruments

The flow consists of the following steps, executed by their corresponding actor:

Step

Description

Actor

1

Elaborate the supporting instrument

Operational Team

2

Review the supporting instrument (accept/reject)

Governance Committee

3

Apply necessary changes on Joinup

Operational Team

4

Notify submitters

Operational Team

5

Advise on the inclusion of the supporting instrument in the SRF

Operational Team

Trigger: RFCs that specify changes on the supporting instruments are submitted and accepted.

Goal: To ensure that all the changes on Joinup regarding supporting instruments are made transparently and that the GC approves or rejects their inclusion in the SRF.

Primary Actors:

·        Governance Committee: Supervises the whole process and approves the publication of changes on Joinup and their inclusion in the new release of the SRF.

·        Operational Team: Notifies submitters and advises the SC on the inclusion of supporting instruments in the SRF.

Workflow:

·        In step 1, elaborate the supporting instrument, the OT elaborates each of the supporting instruments for which an RFC was submitted by the stakeholders. The OT describes the supporting instrument in order to fit the quality criteria for inclusion in the SRF.

·        In step 2, review the supporting instrument (accept/reject), OT notifies the GC about the received supporting instrument that is suggested to be published on Joinup. The GC reviews the supporting instrument and accepts or rejects its publication on Joinup and inclusion in the new release of the SRF.

·        In step 3, apply necessary changes on Joinup, the OT updates the supporting instrument that is accepted by the GC in the list of supporting instruments on Joinup.

·        In step 4, notify submitters, once every six months, the OT notifies all the submitters about the final decision regarding the publication or rejection of their supporting instruments on Joinup.

·        In step 5, advice on the inclusion of the supporting instrument in the SRF, OT advises the SC for the review and approval of the supporting instrument to be included in the new release of the SRF.

3.2.3       Major changes on generic recommendations, detailed recommendations, and recommended measures for central bodies

For this type of changes, the OT elaborates the major change, and the GC reviews the RFCs. As soon as the GC reviews the RFCs, the process continues with the request resolution review (see Section 3.3).

The following process is applied to major changes on generic recommendations, detailed recommendations, and recommended measures for central bodies.

Request resolution - major changes on generic recommendations

The flow consists of the following steps, executed by their corresponding actor:

Step

Description

Actor

1

Elaborate on the major change

Operational Team

2

Review the resolution for the major changes (accept/reject)

Governance Committee

Trigger: RFCs that specify major changes on generic recommendations, detailed recommendations, and recommended measures for central bodies have been submitted and accepted.

Goal: To ensure that all the changes are reviewed and approved by the GC.

Primary Actors:

·        Governance Committee: Supervises the whole process and approves the inclusion of the changes in the SRF.

·        Operational Team: Elaborates on the major changes.

Workflow:

·        In step 1, elaborate on the major change, the OT elaborates on the proposed solution for the RFC provided by the stakeholders.

·        In step 2, review the resolution for the major changes, the GC reviews the proposed solution and approves it.

3.3       Request resolution approval

This section describes the approval of the resolution for the following types of change:

·        Changes to the supporting instruments

·        Major changes on generic recommendations, detailed recommendations, and recommended measures for central bodies

The editorial changes do not follow the request resolution approval phase, as for editorial changes there is only a notification to be sent to the Governance Committee (GC).

The Steering Committee (SC) reviews the resolution of the RFCs regarding the supporting instruments and the major changes. After the feedback from the SC, the Operational Team (OT) applies all the changes and updates to the SRF. As soon as the OT applies all the necessary changes, the process continues with the release preparation and endorsement (see Section 3.4).

A diagram of the request resolution approval is included below.

Request resolution approval

The flow consists of the following steps, executed by their corresponding actor:

Step

Description

Actor

1

Review the resolution(accept/reject)

Steering Committee

2

Apply necessary changes and update the SRF

Operational Team

Trigger: Resolution for RFCs to the supporting instruments (see Section 3.2.2) and major changes (see Section 3.2.3) are submitted to the SC.

Goal: To ensure that all the changes (i.e. regarding the supporting instruments and the major changes) are made transparently and provide the opportunity to the SC to comment on a new proposed release.

Primary Actors:

·        Steering Committee: Reviews the resolution and provides approval for the next release of SRF.

·        Operational Team: Applies all necessary changes to the SRF.

Workflow:

·        In step 1, review the resolution (accept/reject), the SC accepts or rejects the inclusion of the supporting instruments and the major changes in the new release of the SRF.

·        In step 2, apply necessary changes and update the SRF, the OT incorporates the updates in the SRF.

3.4        Release preparation and endorsement

This section describes the release preparation process. In this phase, the OT reviews the SRF and notifies the Governance Committee (GC) that the new release is ready for publication. In addition, the OT requests endorsement by the Steering Committee (SC), and the SC discusses the new release and endorses its publication.

After the verification of the release preparation and verification, the process continues with the release publication. A diagram of the release preparation process is included below.

Release preparation and endorsement

The flow consists of the following steps, executed by their corresponding actor:

Step

Description

Actor

1

Review the SRF

Operational Team

2

Review the SRF (accept/reject)

Governance Committee

3

Prepare release

Operational Team

4

Endorse the new release (accept/reject)

Steering Committee

Trigger: Revised SRF is available for release.

Goal: To ensure that all relevant documents and supporting information are finalised in order for the SC to be able to endorse the release.

Primary Actors:

·        Governance Committee: Checks the proposed revision against strategic objectives and policies and accepts or rejects the revision.

·        Operational Team: Reviews the SRF and prepares the new release.

·        Steering Committee: Decides on the endorsement of the new release.

Workflow:

·        In step 1, review the SRF, the OT reviews the SRF before handing it over to the GC for acceptance.

·        In step 2, review the SRF (accept/reject), the GC decides to accept or reject the revision.

·        In step 3, prepare release, the OT prepares all documentation necessary for endorsement and publication.

·        In step 4, endorse the new release (accept/reject), the OT submits the new release to the SC with a request to endorse the new release. The SC accept or rejects the new release.

3.5        Release publication

This section describes the publication process depicted in the figure below.

Following endorsement by the Steering Committee (SC), the Operational Team (OT) publishes the new release and notifies the stakeholders and the wider public of its availability.

Release publication

The flow consists of the following steps, executed by their corresponding actor:

Step

Description

Actor

1

Publish release

Operational Team

2

Notify stakeholders and community

Operational Team

Trigger: Endorsement of the new release.

Goal: To make sure that the updates are documented and published properly.

Primary Actors

·        Operational Team that publishes the new release of the SRF.

Secondary Actors

·        Stakeholders that are notified of the release.

Workflow:

·        In step 1, publish release, the OT makes the release available for access by the stakeholders and the wider community.

·        In step 2, notify stakeholders, the OT issues a message to the stakeholders and to the wider community with the link to the new release of the SRF.

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