Change%20control%20plan%20preparation%20guidelines

Change Control Plan
Preparation Guidelines

TABLE OF CONTENTS
1. Purpose of Document _________________________________________________________________1

2. Objectives of Change Control Process ___________________________________________________1

3. Terms, Acronyms and Abbreviations _____________________________________________________1

4. Approval Authority for Changes _________________________________________________________1

5. Change Control Board _________________________________________________________________2

6. Change Control Process _______________________________________________________________2
6.1 Simple Change Control Process Map ................................................................................................4
6.2 Simple Change Control Process Narrative .........................................................................................5
6.3 More Complex Change Control Process Map ....................................................................................6
6.4 More Complex Change Control Process Narrative ............................................................................7

7. Roles and Responsibilities _____________________________________________________________8

Change Control Plan – Preparation Guidelines Table of Contents

1. PURPOSE OF DOCUMENT
Instruction:
This section provides the purpose of the document.

Recommended text:
The purpose of this document is to outline the change control approach for <Insert Project Name>. It provides
standard terminology, clear roles and responsibilities, a detailed description of the approved change control
process, and the standard templates used in that process. It is designed to guide the project team and
stakeholders.

2. OBJECTIVES OF CHANGE CONTROL PROCESS
Instruction:
This section provides readers with the objectives of change control.

Recommended text:
The objectives of the change control process are as follows:
Ensure that changes to the project have a strong business justification.
Monitor and control the cost and other impacts of approved changes.
Obtain the appropriate level of approval for changes.
Ensure that project changes are understood and that team members do not begin work on new or
unplanned tasks before change requests are approved.
Maintain a clear and accurate record of changes made over the life of the project.

3. TERMS, ACRONYMS AND ABBREVIATIONS
Instruction:
This section informs readers where they can access the definitions used in this document.

Recommended Text:
All terms, acronyms, and abbreviations used in this document are defined in the Project Management Glossary
at www.qnpm.gov.qa.

4. APPROVAL AUTHORITY FOR CHANGES
Instruction:
This section outlines who has the authority to approve change requests.

In determining decision-making authority, consider the following:
1. A Project Manager often has the authority to approve change requests under certain limits. What should
these limits be? Does the project require a Change Control Board? If so, which change requests should it
have the authority to approve or deny?

2. Who is governing the project (Sponsor alone or Sponsor with Steering Committee)? Which change
requests should be reviewed and approved by the Sponsor and/or Steering Committee?

3. Who is funding the project? How should the project funder be involved in change request decisions?

Example One: Simple

Role Approval Authority for Changes
Project Manager Approves or denies changes with a low impact. Low impact changes are those
that affect the project budget or schedule by under 10%.

Change Control Plan – Preparation Guidelines Page 1

Project Sponsor Approves or denies changes that are high impact. High impact changes are those
that affect the project budget or schedule by over 10%.
The Project Sponsor also reviews all low impact changes and has the authority to
overturn decisions made by the Project Manager regarding these change
requests.

Example Two: More Complex

Project Manager Approves or denies changes with a low impact. Low impact changes are those
that affect the project budget or schedule by under 10%.
Change Control Board Approves or denies changes that are medium impact. Medium impact changes
are those that affect the project budget or schedule by an amount from 11-25%.
The Change Control Board also reviews all low impact changes and has the
authority to overturn decisions made by the Project Manager regarding these
change requests.
Steering Committee Approves or denies changes that are high impact. High impact changes are those
that affect the project budget or schedule by over 25%.
The Project Sponsor also reviews all medium impact changes and has the
authority to overturn decisions made by the Change Control Board regarding
these change requests.

5. CHANGE CONTROL BOARD
Instruction:
If the project has a Change Control Board, provide the purpose and membership of the Board in the table
provided in the template. Delete this section if the project does not have a Change Control Board.

Recommended Text:
The Change Control Board will oversee the change control process. It will review all low impact changes made
on the project and make decisions on medium impact changes. It will also review high impact changes and
make recommendations to the Steering Committee on whether they should be approved or denied.

6. CHANGE CONTROL PROCESS
Instruction:
This section specifies the change control process for the project and includes how a change request is initiated,
analyzed, logged, tracked, approved, and implemented. It includes a process map (diagram outlining steps) and
a process narrative (text describing each step).

Recommended Text:
This section outlines the change control process for the project and includes how a change request is initiated,
analyzed, logged, tracked, approved, and implemented.

It clearly identifies roles, activities, the sequence of activities, inputs, outputs, and how and where information is
stored.

Tips:
In designing a change control process, aim to make the process as simple as possible while still achieving the
process objectives listed in the purpose section of this document. More complex projects require more complex
project management processes.

Factors contributing to project complexity include the following: team size, budget size, timeline length, strategic
or political importance, impact on stakeholders, number of agencies and suppliers involved, number of
dependencies on other projects.


In designing a change control process, consider the following:
Approval authority: Who are all the decision-makers in the process and what is their level of decision-
making authority? Note that this should be outlined in Section 4 above.
Exceptions for urgent changes: How should the team get decisions to urgent change requests when the
sponsor or CCB is not available?
Required Documentation:
− Simple: change information is recorded in the Change Log and Status Report only.
− More complex: in addition to the Change Log and Status Report, Change Request Forms and
Change Impact Statements are used. Note that this additional documentation can help
communicate more clearly across bigger teams and multiple levels of decision-making authority
(i.e. Change Control Boards and Steering Committees).
Storage: where should the Change Log, Change Request Forms, and Change Impact Statements be
stored? As soft copies, hard copies, or both?
Definition of “closed” Change Request:
− Simple: either when (i) change request is denied or (ii) change request is approved, team is
informed, and Plan, Schedule, and Budget are updated.
− More complex: when it has been verified that a change has been implemented correctly and
this verification is communicated to the Change Control Board or Steering Committee.
Level of detail for tracking a Change Request:
− Simple: two types of project status: (i) open, which means it is awaiting decision and (ii) closed,
which means a decision has been made and the team understands required action to
implement.

More complex: seven types of project status as described below.

Status Meaning
Submitted The Requestor has submitted a Change Request.
Analyzed The Evaluator has conducted an impact analysis and produced a Change Impact Statement.
Approved The appropriate person or group has agreed to the change and assigned action to implement the
change.
Denied The appropriate person or group has decided not to implement the change.
Cancelled The appropriate person or group has decided to cancel an approved request and reverse the
changes.
Implemented The requested and approved change has been implemented.
Verified An authorized person has confirmed that the change has been implemented correctly.
Closed The change has been closed in the log based on verification.

Automation: Will any steps of the process be automated? Use of enterprise project management applications
can automate some aspects of a change control process.

Examples:
Two examples of a change control process follow.

The first is a simple process and is appropriate for a relatively small and simple project. The second is more
complex and is appropriate for a relatively large and complex project.


6.1 Simple Change Control Process Map
The following process map depicts a simple, manual change control process that only involves a Project Manager and Project Sponsor. Documentation is limited to the
Change Log and Status Report, and a change is considered closed when it is (i) denied or (ii) approved and the team is informed, and the Plan, Schedule, and Budget are
updated. There are two types of change request status: (i) open, which means it is awaiting decision and (ii) closed, which means a decision has been made and the team
understands required action to implement.

Change
1. Analyze Impact of 2. Approve or Deny 3. Implement
Request
Change Request Change Request Change Request
Submitted

1.1 Enter change request in 3.1 Formulate action plan to
2.1 implement change request
Change Log Change Log Action Plan
Decide to approve or approve
Project Manager deny change request Project Manager
Project Project
Server Manager
1.2 Assess impact of change on 3.2 Communicate required
scope, schedule, budget, deny action to team
quality etc + required action Project Manager
to implement 2.2 Close Change Request
Status Report
Project Manager Project Manager
3.3 Update Change Log
and Status Report Change Log
1.3 Status Report Change Log
Project Manager
Determine
low Project
if impact is high or low Project Server
Project Server
3.3 Update project Plan, Budget,
Manager and Schedule as required
high Project Manager Schedule

1.4 Prepare recommendation to
2.3 Review change request, Project
approve or deny change request
impact, and recommendation Server
for Project Sponsor
Project Sponsor
Project Manager Plan Budget

1.5 Update Change Log 2.4
and Status Report 3.4 Close Change Request
Decide to approve or deny
deny change request Project Manager
Project Manager
Project
Sponsor
Status Report Change Log Status Report Change Log
approve
Project Project
Server Server
Go to 3.1


6.2 Simple Change Control Process Narrative
The following table describes the steps in the change control process. Note that an activity assigned to the
Project Manager can be completed by the Project Manager or a designate.

Step
Responsible Action
Number
1. Analyze Impact of Change Request
1.1 Project Manager Once a Change Request is received, the Project Manager enters it into the Change
Log, which is stored on the project server. Note that the request can come from many
different sources, including the Project Manager.
1.2 Project Manager The Project Manager assesses the impact of the requested change on the project
scope, budget, schedule and quality and any other relevant impact. This step includes
determining what action would have to be taken to implement the change.
1.3 Project Manager Using the pre-determined levels of decision-making authority and definitions for low
and high impact, the Project Manager determines if the impact is high or low. If the
impact is low, the Project Manager has decision-making authority for the request and
proceeds to step 2.1. If the impact is high, the Project Manager proceeds to step 1.4.
1.4 Project Manager If the impact of the change is high, it is too great for the Project Manager to make a
decision. In this step, the Project Manager prepares a recommendation to approve or
deny the request and submits it to the Project Sponsor for a decision.
1.5 Project Manager The Project Manager updates the Change Log and Status Report with information
regarding the impact of the change request. These documents are stored on the
project server.
2. Approve or Deny Change Request
2.1 Project Manager Having determined that the change request has a low impact and is therefore within
the Project Manager’s decision making authority, the Project Manager approves or
denies the change request. If the change request is approved, the Project Manager
proceeds to 3.1, if it is denied, the next step is 2.2.
2.2 Project Manager When a change request is denied, the change request is closed, which involves
updating the Change Log and reporting the change request closed in that period’s
Status Report. These documents are stored on the project server.
2.3 Project Sponsor For change requests with a high impact, the Sponsor reviews the change request, its
impact as assessed by the Project Manager, and the recommendation of the Project
Manager.
2.4 Project Sponsor The Project Sponsor approves or denies the change request. If the change request is
approved, the process proceeds to 3.1, if it is denied, the next step is 2.2.
3. Implement Change Request
3.1 Project Manager Once the change request is approved, the Project Manager is responsible for
formulating an action plan to implement the change request.
3.2 Project Manager The Project Manager communicates to the team what action is required to implement
the change.
3.3 Project Manager The Project Manager updates the status of the change request in the Change Log and
the Status Report for that period. These documents are stored on the project server.
3.4 Project Manager If required, the Project Manager updates the Project Plan, Schedule, and Budget to
reflect the impact of the approved change request. These documents are stored on
the project server.
3.5 Project Manager Once a change request is approved and actions are assigned to team members, the
change request is closed. Closing a change request involves updating the Change
Log and reporting the change request closed in that period’s Status Report. These
documents are stored on the project server. The progress of action against revised
plans, schedules, and budgets is monitored in the Status Reporting Process.


6.3 More Complex Change Control Process Map
The following process map depicts a more complex manual change control process with a Project Manager, Change Control Board, and Steering Committee. Documentation
includes a Change Log, Status Report, Change Request Form, and Change Impact Statement. There are eight types of change request status: submitted, analyzed,
approved, denied, cancelled, implemented, verified, and closed.

Change
1. Receive Change 2. Analyze Impact of 3. Approve or Deny 4. Implement
Request
Request Change Request Change Request Change Request
Submitted
2.1 Write Change Impact 4.1 Formulate action plan
1.1 Orient Requestor in Change Impact 3.1 Review Change Request,
Statement to implement change
completing Change Request Statement and related information
request Action Plan
Form if required Evaluator
High Impact: Steering Comm
Status Report Project Manager
Project Manager Med Impact: CCB
2.2 File Change Impact Low Impact: Project Manager
Statement and update Change
Change Log
Log and Status Report
4.2 Communicate required
1.2 Complete Change Project Manager action to team
Change Request Request Form and submit Project
Server Project Manager
Form to Project Manager 3.2
2.3 Submit Change Request and Decide to approve
Requestor Impact Statement to Change Status Report
approve or deny
Control Board Chair Go to 4.1
High Impact: Steering Comm 4.3 Update Change Log
Project Manager Change Log
Status Report Med Impact: CCB and Status Report
1.3 File form and update Low Impact: Project Project Manager
Change Log and Manager
Change Log 2.4 Project
Status Report
Determine if 2.5 Instruct Project Manager Server
Project Manager change should proceed Yes to proceed to steps 4.1 and
Project 4.2 only but not 4.3
Server on urgent basis 4.4 Update project Plan,
Change Control Change Control Board Chair deny Budget, and Schedule Schedule
Board as required
1.4 Submit Change Request
Chair
Form to Change Control 3.3 Project Manager
Board Chair No Plan
Determine if
yes
Project Manager change request has
3.4 Instruct team to
2.6 med already been implemented Budget
low reverse changes
2.7 Refer to Project Manager Determine if impact 2.8 Refer to Change Control on an urgent basis as 4.5 Verify that change has
for decision Is high, medium, or low Board for decision per step 2.4 Project Manager
been implemented and report
Change Control
high Project Manager to Change Control Board Project
1.5 Review Change Change Control Board Change Control Board Chair
Board Server
Request Form Project Manager
Chair
and assign an Evaluator high no
Change Control Board Chair Go to 3.1 Go to 3.1
2.9 Refer to Change Control
3.5 Close Change Request 4.6 Close Change Request
Board for recommendation to
Steering Committee Project Manager Project Manager
c

Go to 2.1 Change Control Board Chair

2.10 Formulate
recommendation and submit
Status Report Change Log Status Report Change Log
to Steering Committee
c

Change Control Board
Project Project
Server Server
Go to 3.1


6.4 More Complex Change Control Process Narrative

Step
Responsible Action
Number
1. Accept Change Request
1.1 Project Manager If someone making a change request (the Requestor) is unfamiliar with the change
control process, the Project Manager provides guidance on how to complete a
written Change Request.
1.2 Requestor The Requestor is responsible for completing and submitting a Change Request
Form. This may be done with the assistance of the Project Manager.
1.3 Project Manager The Change Request Form is filed, and the Change Request is entered into the
Change Log and the Status Report for the period. These documents are stored on
the project server.
1.4 Project Manager The Project Manager provides the Change Request Form to the Change Control
Board Chair.
1.5 Change Control The Change Control Board Chair is responsible for reviewing Change Requests
Board Chair and assigning someone to evaluate the impact (the Evaluator). This may be the
Project Manager or someone else with subject matter expertise or stakeholder
knowledge.
2. Analyze Impact of Change Request
2.1 Evaluator The Evaluator assesses the impact of the requested change on the project scope,
budget, schedule and quality and any other relevant impact. This step includes
determining what action would have to be taken to implement the change.
Conclusions are summarized in a Change Impact Statement, which is submitted to
the Project Manager.
2.2 Project Manager The Change Impact Statement is filed, and information from the statement is used
to update the Change Log and the Status Report for the period. These documents
are stored on the project server.
2.3 Project Manager The Change Request and Change Impact Statement are provided to the Change
Control Board Chair for review and further action.
2.4 Change Control The Chair determines if the change request is urgent and must be acted upon
Board Chair before the Change Control Board can meet to consider the change request.
2.5 Project Manager If a Change Request is considered urgent and must be acted on before the Change
Control Board can meet to consider the change, the Chair instructs the Project
Manager to complete process steps 4.1 and 4.2 but not proceed to step 4.3 until
further instruction.
2.6 Change Control Based on the Change Impact Statement and pre-determined definitions for low,
Board Chair medium, and high impact, the Change Control Board Chair determines the impact
level of the change and assigns it to the Project Manager or Change Control Board
for further action.
2.7 Change Control If the change request is of low impact, it is referred to the Project Manager for
Board Chair decision and further action.
2.8 Change Control If the change request is of medium impact, it is put on the agenda of the next
Board Chair Change Control Board meeting for discussion and decision.
2.9 Change Control If the change request is of high impact, it is put on the agenda of the next Change
Board Chair Control Board meeting for discussion and recommendation formulation.
2.10 Change Control A recommendation regarding high impact changes is formulated and submitted to
Board the Steering Committee.
3. Approve or Deny Change Request
3.1 Varies by level of The person or group with decision-making authority for the change request reviews
change impact related change request information. (High Impact: Steering Comm.,
Med Impact: CCB, Low Impact: Project Manager)
3.2 Varies by level of The person or group with decision-making authority decides to approve or deny the
change impact change request. (High Impact: Steering Comm. , Med Impact: CCB, Low Impact:
Project Manager)


Step
Responsible Action
Number
3.3 Project Manager Determine if the change request has already been acted upon on an urgent basis.
3.4 Project Manager If a change request has been acted upon on an urgent basis without approval at
the proper level of authority, the team is instructed to reverse the change.
3.5 Project Manager When a change request is denied, the change request is closed, which involves
updating the Change Log and reporting the change request closed in that period’s
Status Report.
4. Implement Change Request
4.1 Project Manager Once the change request is approved, the Project Manager is responsible for
formulating an action plan to implement the change request.
4.2 Project Manager Project Manager communicates to the team what action is required to implement
the change.
4.3 Project Manager The Project Manager updates the Change Log and the Status Report for that
period. These documents are stored on the project server.
4.4 Project Manager If required, the Project Manager updates the Project Plan, Schedule, and Budget to
reflect the impact of the approved change request. These documents are stored on
the project server.
4.5 Project Manager The Project Manager verifies that the change has been implemented through an
inspection of work completed.
4.6 Project Manager Once a change has been verified as completed, the change request can be closed,
which involves updating the Change Log and reporting the change request closed
in that period’s Status Report.

7. ROLES AND RESPONSIBILITIES
Instruction:
This section describes roles and responsibilities for change control.

Include roles and responsibilities in the table provided in the template.


APPENDIX A: CHANGE REQUEST FORM
Insert the Change Request Form template if one is required in the change control process documented in this
Plan. A sample template is available at www.qnpm.gov.qa


APPENDIX B: CHANGE IMPACT STATEMENT
Insert the Change Impact Statement template if one is required in the change control process documented in
this Plan. A sample template is available at www.qnpm.gov.qa


APPENDIX C: CHANGE LOG
Insert the Change Log to be used in the change control process documented in this Plan. A sample template is available at www.qnpm.gov.qa


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