Change Control User Manual
Contents
1. Pricing Funding e What Level of Decisioning is Required The Director must select one of the following buttons when submitting the Change Request Independent If the change does NOT impact other areas and does NOT require leadership buy in select this button Independent changes may require external training and may involve HTS or MIS If New Policy and Procedure Existing Procedure Only or Clarification of Procedure was selected as the Type of the Independent button will NOT appear as a selection Group decisions impact more than one department and require buy in from all Department Managers Directors and Sr Vice President Mortgage Operations If Group is selected the Group Decision Participants field appears This field is for adding the names of the individuals who are impacted by the change know of the change via discussions meetings and agree to the change NO EXCEPTIONS Directors must review all Group changes in the Business Quality Council BQC meeting or the Sr Vice President Mortgage Operations staff meeting Important If anyone other than the Director selects Independent or Group the Technical Writing group may delete the request In addition if the Change Request has aged more than 60 days and has NOT received Approved by the Director the Change Request may be deleted It is the submitter s responsibility to ensure their Director promptly reviews the Change Re2. 3 wholesale information Hamprad O Zerworks JHA Folder SHARE _ ln House Video j Loss Mitigation Kazien Project 5 Desktop MERSINTG _ Metrics 7 j Martgageserv Conversion _ PEAK Mu Documents eu Eran J Praductn j Project Farum RE ca Sras j taskdb e i TET File name Places Files of type Files Cancel Step 3 Navigate to the location of the Word Excel etc file and then click Open The file path appears in the Upload Files section of the change request form regne Ir a E Large 15 2 Ip Lae le aT Des IF the change requires approval from Prlicy and Compliance legal signoff ar Corporate Credit Fisk Management select the Policy and Compliance cherk Filles cick browse button to salgct the file to ba attached 5 Jk Share HeS_Procedures paFault MonthForacios Browse Enrega 50 Copy this farm ta d 13 HSBC Mortgage Services Change Control User Manual Saving Change Request Form as a Draft If a requestor needs to complete a change request at a later time the requestor can save the change request form as a draft document Note Change request forms cannot be saved as drafts after the form is submitted for approval To save a change request form as a draft at the top of the change request form click the Save As
3. ACCESSING THE CHANGE REQUEST REPOSITORY 23 NAVIGATING THE CHANGE REQUEST REPOSITORY 26 Database VieWS 9 J c 26 FOMS VOWS tasa d NUS fete 27 Application Search 27 REPOSITORY REPORTS 28 Exporting Repository Reports a Spreadsheet _ 30 i Proprietary and Confidential HSBC Mortgage Services Change Control User Manual Overview What is Change Control Change Control is a formal method of recognizing accepting documenting and managing changes to policies and procedures Change Control provides a historical audit trail for all changes to policy procedure and practice Changes to the business introduce potential risks If not managed properly these risks may spread to other areas of the business Change Control will effectively and efficiently manage changes to the business An essential factor in Change Control is communication If a change affects other areas of the business it is imperative for departments to communicate these changes to those affected from representative level to the Sr Vice President Mortgage Operations of Operations Change Control Does Not Cover e Business changes not governed by policy or procedure e Staffing changes e Seating changes e Hours of business unless specified in policy Content e Change Request Form e Change Request Repository Page 1 Proprietary and Confidential
4. Revised Published Procedure Name Help b Customer Care Y Default Management Application Search Go i b 2 Bankruptcy Y 3 Foreclosure 3 1 Process Flows wY 5 2 Procedures 3 2 1 Abandoned or vacant Property 3 2 2 Breach 3 2 3 Foreclosure Bid 3 2 4 Foreclosure Monitoring 3 2 5 Sale Notice 3 2 6 Ordering Appraisals and BPOs 3 2 7 Prepping Files for Chargeoff and Write down 4 4 X The procedure opens v H E ipe a1 nleonel spia pureman he old Policies zr Pros dures E HbS Policies Procedures B Bulletin Boards Back Recently BavizadTuhlihar Help Privilaqed amp Confidential Internal Communication Not for External circulation Document key 30515151957 Application Search Bal Date Palilished 06 16 2004 hake Ez ACRES GA UNS HS EM S OH GGG 3008 RH UU 3 GU OR GC GR UNS NH mS UH GO U GR UH ms HR 008 GU UH OH OR mm REN NA GS SS OG 098 OG 0o Page 10 HSBC Mortgage Services Change Control User Manual Step 5 With your mouse highlight the Document Key number and copy it ly Amisad Published B Help Search star Publisher DB5 18 2D04 Privileged amp Confidential Int
5. Completed Farms Submitter Status P iate evalo Comments W Tope amy 0 22 2004 Andrew J Needs Exstig Indepandant Please change the following 1 Under E Char McMichael Berger Approval Procedure total unappied 2 it should read After E Configuration only tha funds have been moved bo Unapphad a spreadsheet if to the Financial apolicatien mascch Control Disbursement group to issue che D Gol amy M De D3 2004 andrew J Needs Existing Independent To update the procedure 1 Please Berger Approval Procedure change the cost center to 992493 in step only ang 2 Pleas change tha sentence in step number 7 to read IT the payment reconcilistion department cannot locate tha fund D r3 20p4 Andrew 1 Needs Existing Independent Tn update the procedure 1 Please McMichael Berger Approval Procadura change all raferances From bank account only 2990508100 to 000947127 2 Plaase change all references from bank account 7eo bo 001842620 3 Please change all raleeanc Amy Mi Da D3 20D4 andrew Maeds Existing Indepandant To updata minor changes ta tha Mr Michael Berger approval Procedure depositrericoding procedure 1 after step pnl D in the procedure far morning deposits please add step time and data stame 2 under step 3 in the Bank of america zerti amy 1602004 Andrew J Needs Independent To Update rhe current procedure 1 Berger approval Procedure Plesse
6. Time b MSCHNGPP Application Search Go Page 25 HSBC Mortgage Services Change Control User Manual Navigating the Change Request Repository The change request repository web page is divided into two 2 panes Database Viewsand Forms Database Views The left pane in the change request repository is divided into five 5 main categories Database Views Comments All PAI Forms 0 0 0 You can view all forms by form name approver submitter and status can view all forms You can view all forms by form name approver submitter and status form name approver submitter and status LL MM Forms View all forms with a status of Complete Refer to Change Request Form Status in the previous section for more information on form statuses ToBeProcesed Be Processed View all forms in the Open or Rejected status all forms in the View all forms in the Open or Rejected status or Rejected status Configuration Used by the change request form developers only All Farms by Form Mame by by Submitter by status m Completed Farms To Be Processed m Other m Configuration Page 26 HSBC Mortgage Services Change Control User Manual Forms View Expanding the view A blue arrow next to the form name allows you to expand the form for more detail The arrow is also collapsible Form Name Submitter Submitted Time b MSCHNGPP Farm Name Submitter Submitted Time MSCHNGPP
7. change all of the references to pnly bank accounts to tha now anes Page 30 HSBC Mortgage Services Change Control User Manual Step 2 From the navigation buttons at the top of the report select Generate Excel Settings Farm Edi viw Dale GoTo Al Excel for GotstandinglhangeReaguast _ cel Hanen tor OuistaedingChasgaheqaasi z Submifier Date Submitied Approval Type of Change Level of Decision Comment Please change the folowing Unappled a should mad funds hare been moved to epreadsheal is seni En the aeg Mchichasl Cd Andrey 1 Barger Needs Appeal Existing Procedure oly lnjependent Dish rsemaent To update the procedure 1 the cost cenba S324EG Pleas change the sentence T to mad Frhe payment ra S Amy 0679 3004 Andress J Berger Needs Existing Procedure only Independent departrneni cannot locate t To update ihe procedure 1 al references from bank ac 2990508100 0000047122 change all references fom Miao to 001842820 3 Pleg McMichael DE2004 Andrey Banger Heads Appioval Easting Procadura only Indepgendant Tn update minor change 1d depori encading procedure in ihe procedure for moming pizzze add abep 6 ima 2 Understep 3 in the Bank Amy Mclrichasl ETAN Andrew J Berger Heads Appeal Exisling Procedure onl Independent To update the currant pmreg ch
8. isting of CR routed to inputted in LN Greg for Final Database Completion Approvers ape Request Routed to UMorDM Director Selects Final Approval Director Selects Independent or Group Group to all DSL Change Request Routed to Department Senior Leader or Director DSL adds Technical Writers Technical Writer isti as next Approver to all DSL DSL requests Page 18 HSBC Mortgage Services Change Control User Manual When a change request is initiated the form must be sent to the appropriate approvers UM and above Once the requestor clicks Submit on their change request form a Workflow Information section appears at the top of the form Worth nes infonak C Declina C Fira approve ante Set te vid La nord rinde M 03 08 13 PM OLN 20M Jile FM Reina Deans C Knux Lis Hausebakd PM Chana orifice 4 41 74 3 16 02 PR Cindy SanTord uisHauzabod afi erie feared This section tracks the approval denial history of the change request The Workflow Information is viewable only to Unit Manager Department Manager Directors Technical Writers and Auditors The approval choices are Approve Decline and Final Approve Department Senior Leaders or the Sr Vice President Mortgage Operations should select the Final Approval button Approving Change Requests Approve In the Workflow Informati
9. required the choices the form are System Enhancements or Reports Search Audit Result View all Success and Defect change requests Search Requests View all Department and HR training requests Requiring Training Search Requests View all System Enhancements and Reports development requests Requiring Development By Impacted Department View change requests for a particular department These reports are derived from the Who will be Impacted by the Change check boxes on the change request form By Type of Change View all change requests with a type of New Existing or Clarification to Policy Procedure or Online Letter Writer Report Outstanding View all change requests with a Needs Approval or Open status This report can Change Requests be generated to an editable spreadsheet format Report Outstanding View all online letter change requests with a Needs Approval or Open status This Online Letter Change report can be generated to an editable spreadsheet format Requests Report Rejected View all change requests with a systemic status of Rejected This report can be Change Requests generated to an editable spreadsheet format Report Completed View all change requests with a systemic status of Complete This report can be Change Requests generated to an editable spreadsheet format Report Change Control View the number of change requests by systemic status Open Complete Pend
10. s status will change to Needs Approval e After the requestor selects the appropriate approver and clicks Submit e After Approve is selected Page 21 HSBC Mortgage Services Change Control User Manual Complete A change request form s status will change to Complete after Internal Auditor completes the Auditor s Section and selects Audit Done on the change request form Auditor s Section Audit Result Success C Defect Audit Comments Notes e After a document receives a final approval from the Director the Audit fields will be viewable to individuals set up as Auditors The Auditor will review the form and select the appropriate Audit Result of Success or Defect The Auditor can add additional comments about the audit if necessary e fthe change request received final approval but the Auditor defected the request the status will be Complete Rejected A change request form s status will change to Rejected if the change request form was declined and Internal Audit selects Defect and then Audit Done on the change request form Page 22 HSBC Mortgage Services Change Control User Manual Change Request Repository The change request repository stores all change request forms for a period of two 2 years It also provides links to commonly used reports Accessing the Change Request Repository Step 1 Log on to Connect From the Company Information drop down box select Mortgage Services Hews Traini
11. David G Marsh 01 13 2004 06 48 42 Susan Bankowski 01 14 2004 12 21 56 PM Marcile J Gabriel 01 20 2004 08 08 26 Kathy L Huston 1 22 2004 04 11 27 PM Shawn C Brown U1 22 2004 04 21 52 PM Imran B Abdulaziz 01 26 2004 02 22 13 Shawn C Brown 1 27 2004 04 25 20 PM Shawn C Brown 01 29 2004 02 48 44 Navigation Buttons The navigation buttons at the top of the Forms view allow you to e Expand collapse a form by clicking Expand or Collapse e View additional or previous pages of forms by clicking Next or Previous Application Search If you need to locate a form enter any search criteria in the Application Search box and then select Go Application Search Go Page 27 HSBC Mortgage Services Change Control User Manual Repository Reports You can access change request repository reports from the Database Views A few reports such as all forms by name all forms by approver all forms by submitter and all forms by status can be accessed under Forms Database Views Ali Forms ny Form Mame by Approver by submitter by status Completed Forms Be Processed m Other m Configuration The majority of reports in the change request repository appear under the Other database view Departmental Forms Repository Database Views B AI Farms m Completed Farms am ra cescen m cCantfiguratian Application Search Go Previous MSCHAGPP MSCHNGPP MSCHN
12. Draft button Household Forms Form Save as Draft Get Document Key E ubmit Form Help Show Hide denotes required field MORTGAGE SERVICES CHANGE REQUEST FORM Requestor Info LAF Refer to the Repository Reports section of this user manual for information on accessing saved change requests Department Manager Director Section of Change Request Form All change requests forms require the Director s review and approval Some change requests may require approval by more than one Director VP Group changes require the approval of the Sr Vice President Mortgage Operations The Change Request form is divided into two parts Requestor section and Director section The bottom half of the form with the exception of the Upload Files section is to be completed by the Department Manager and reviewed revised by the Director and or Sr Vice President Mortgage Operations Note Although the bottom section of the form is for Directors there is no system limitation as to who can complete these fields The following fields should be completed by the Department Manager and reviewed revised by Directors VPs and or Sr Vice President Mortgage Operations e Financial Impact Describe potential financial impact and includes associated costs if known The following section is to be completed by Che Director or above ONLY Financial Impact Description Describa the potential financial Impact including the assoc
13. GPP MSCHNGPP MSCHNGPP MSCHNGPP MSCHNGPP MSCHNGPP MSCHNGPP MSCHNGPP MSCHNGPP MSCHNGPP MSCHNGPP MSCHNGPP MSCHNGPP MSCHNGPP MSCHNGPP MSCHN GPP MSCHNGPP MSCHNGPP Next nd Colla pse New Settin qs Form Reports Audit Result Requests requiring Training Requests requiring Development Search Audit Result Search Requests requiring Training Search Requests requiring Development Dratt Documents Group Independent Policy and Compliance By Impacted Department By Type of Change Report Qutstanding Change Requests Report Outstanding Online Letter Change Requests Report Rejected Change Requests Report Completed Change Requests Report Change Control Summary Report Needs Approval Change Request Pending with Technical writers Pending with Auditor To view a report click the red report link Page 28 HSBC Mortgage Services Change Control User Manual Report Description Audit Result View all change request forms by month and status success defect that have been audited by Internal Audit Requests Requiring View all change request forms by month where training was requested on the form Training in the Is Training Required field If training is required the choices on the form Department Training or HR Training Requests Requiring View all change request forms by month where development was requested on the Development form in the ls Development Required If development is
14. HSBC HSBC Mortgage Services Change Control User Manual 2005 Please note that this document is approaching completion and there will be a final copy accessible on Connect in the near future with existing User Manuals and other using the Policy and Procedure Manuals link listed under Related Topics Policy and Procedure documentation linked on the Mortgage Services page You will find Change Control documentation via the Prepared by Technical Writing Group Continual Process Improvement January 26 2005 TABLE OF CONTENTS OVERVIEW 1 WHAT IS CHANGE CONTROL 1 CHANGE CONTROL DOES NOT COVER 1 CONTENT O 1 CHANGE REQUEST FORM 2 CHANGE REQUEST PREREQUISITES 2 ACCESSING THE CHANGE REQUEST FORM gt 2 MORTGAGE SERVICES CHANGE REQUEST FORM assesses 5 REQUE 6 ieee DEMNM M 5 ODINA I 6 GETTING DOCUMENT 7 ATTACHING DOCUMENTS TO A CHANGE REQUEST FORM 12 SAVING CHANGE REQUEST FORM AS ADRAFT 14 DEPARTMENT MANAGER DIRECTOR SECTION OF CHANGE REQUEST 14 CHANGE REQUEST PROCESS FLOW 18 Approving Change RequestS 19 Declining Change RequestS 20 Changing the Workflow of a Change Request Form 20 CHANGE REQUEST FORM STATUS 21 21 Pending Needs Approval 21 COMPIERE 22 Helecteg 22 CHANGE REQUEST REPOSITORY 23
15. HSBC Mortgage Services Change Control User Manual Change Request Form Change Request Prerequisites Before a requestor initiates a Change Request form the following must occur Requestor meets with impacted parties and discusses the proposed change Requestor approvers and impacted parties determine if the idea is cost beneficial increases efficiency and quality and is a process improvement If the request is for a new procedure the requestor must draft the procedure in Word so it can be attached to the Change Request form Requestor is responsible for following up to ensure their Unit Manager Department Manager Director reviews their submitted Change Request The Change Control group may delete change Requests that are outstanding for more than 60 days Assistance with initiating Change Requests can be obtained by sending an email to technical writers us hsbc com Accessing the Change Request Form After the above requirements are met and impacted parties approve the idea the requestor completes the Change Request form To access the Change Control Request form Step 1 Log on to Connect and select Forms Catalog Hews Training Jobs Complete Reward Employee Directory Enter Last Mame Tools NC OE YE Services Welcome to the Mortgage Services page access resources that assist you with performing your job mare efficiently please use the li below Related Sites Household Mortgage
16. Services public consumer website Household 2 public B2B website D1 Online public B2B website The Forms Catalog Search text box appears Preemie Sacre Page 2 HSBC Mortgage Services Change Control User Manual Step 2 In the Search field enter either MSCHNGPP or change control and then press search A list of Search results appears Enter Last Marne Start new search Search these rezultz Hews Training Jobs Complete Reward Employee Directory Tools Tip Vou can type In your queny using Mele iangasne or just use Forms Catalog Company Information Select Business Unit Step 3 Keywords Change control wine See all farm Results for change control control 5 416 results found sorted by relevance ing date hide summaries HTSPORTS To Request Port Changes On The Network Swit Ches This Form ls Also Used Request Add tional Cards To Be Placed In The Switches http philwcu household conforms fonmreso nsiformantsoonts 15 3KB HTSECPRJ the purpose of this questionnaire iz ta determine the technical requirements of each new project request by developers http philwcul household formreno 25 8KDB HI Form Mschngpp Use this Request farm to request change to existing policies or procedures provide clarification ta existing policies and procedures ar submit a new policy or procedure http obese household com forms mschngpp n
17. al Mortgage Services Change Request Form When a requestor opens a new Change Request form the following fields are automatically populated based on the user s Connect login e Date e Document Log Number e ID e Name Required Fields When a requestor initiates a change via the Change Request form they must complete the following required fields e Phone Number area code and dashes permitted e Department e Your Position e Approver requestor must select their Unit Manager Department Manager or Director The icon to the right of the Approver field opens the HSBC Name and Address book e Type of Change nine 9 choices Clarification of Existing Policy A Clarification of Existing Procedure Existing Policy and Procedure Existing Procedure Only New Policy and Procedure New Procedure Only Clarification of Existing Online Letter Writer Existing Online Letter Writer New Online Letter Writer Note If the change affects an existing policy or procedure a Document Key field appears This allows the requestor to search for the existing policy or procedure and copy the associated document key number in this field Refer to Getting Document Key in this user manual for more information of Change Select from list FClarification of Existing Policy Select the Get Document Key button at the top of the form Locate the existing policy or procedure The Document Key numbe
18. ange all of ihe reference ro the ne ones 001942920 7976 10 000846 Amy DEVCELCXYO4 Andre J Barger Hoods Approval Existing Procedura ony Independant 001842730 2 Please updat Note You can format the columns save and or print the spreadsheet as you would normally do in any spreadsheet software application Page 31
19. e browser window opens to the Policy and Procedures Manuals web site E HHS Policies and Procedures Microsoft Internet Explorer provided by Household HMS Policies and Procedures Database Views m AMS Policies AMS Procedures Bulletin Boards Previnus Next Expand Collapse State Guidelines Recently Revised Published Policy Name B Help b Cash b Customer Care Application Search T b Delinquency Management o b Due Diligence b Escrow Administration b General Policies b Loan Administration Loan Integrity b Policy amp Compliance Support b Records Administration b Special Loans b Telesales b Tutorials Step 2 In the left pane select HSBC Mortgage Services formerly HMS Procedures The Procedure view appears E 5 Policies and Procedures Microsoft Internet Explorer provided by Household HMS Policies and Procedures Database Yiews m HMS Policies OMS Procedures EE lo LI 2 Bulletin Boards Previous Next Expand Collapse State Guidelines Recentl Revised Published Procedure Name m Help b Customer Care b Default Management Application Search b Default Support Go b Escrow Administration b General Procedures b Glossary b HSBC Control Docs b Lehman Control Docs Loan Administration b MIS b Payment Management b Policy amp Compliance Support b Records Administration b Special Loans Page 8 HSBC Mor
20. edure using the Track Changes functionality within MS Word Page 6 HSBC Mortgage Services Change Control User Manual When the requestor completes the Change Control Request form they click Submit Getting Document Key If you have a change request for an existing procedure or policy you will need to link your change request to the existing procedure or policy on the Policy and Procedure Manuals web site When you select the following types of change on the Change Request form you will need to copy and paste the document key number from the existing policy or procedure e Clarification of Existing Policy e Clarification of Existing Procedure e Existing Policy and Procedure e Existing Procedure Only Type of Change Select from list Existing Procedure only Select the Get Document Key button at the top of the form Locate the existing policy or procedure The Document Key number appears in tha top right corner of the policy or procedure Enter that number in this field Existing Procedure Document Key Step 1 To obtain the Document Key on the Change Request form scroll to the top of the form and click the Get Document Key button at the top of the form Household Forms Form Catalog Close Save as Draft Get Document Key Submit Form Help Show Hide denotes required field MORTGAGE SERVICES CHANGE REQUEST FORM Page 7 HSBC Mortgage Services Change Control User Manual A separat
21. ernal Communication Not for External Cis Document key Step 6 Open the Change Request form browser and paste the Document Key number in the Existing Document Key field of Change feo 0151 Select the Get Document Key button at the top of the form Locate the existing policy or procedure Tha Document Kay number appears in the tap ight corner of the or procedure Enter that number in this Existing Procedure Document Ray 40516151052 When you have completed the Change Request form and have clicked Submit the Document Key will display as a link for the next approver Ivpe of Change Select from list Existing Procedure only Existing Procedure Document Key 31120114220 Click here far tha link Page 11 HSBC Mortgage Services Change Control User Manual Attaching Documents to a Change Request Form Word Excel etc documents can only be attached to a change request form by the requestor who initiated the form In other words after the requestor clicks Submit no other attachments can be added to a change request form You can attach up to five 5 documents on one change request form Attachments are for view only purposes You can make changes to the document and save the attachment to your hard drive or network location but the changes will not be reflected in the change request form Note Future enhancements will provide additional functionality The requestor may
22. iated cast if known Castinatey Page 14 HSBC Mortgage Services Change Control User Manual e Who will be Impacted by the Change Select the departments that are impacted by the change The check boxes are tied to the change control groups in the HSBC Name and Address Book NAB An email will be sent to a set of individuals as defined in the NAB if the check box is selected and the procedure policy has been published The Change Control group in the NAB is updated twice a month by thr Departmentis mpacted by the type af change Note Traning will need ta provided for al departmants selacted if thie res Check box wee Selected under T Training Required Chargeott cash Management collections Front End Collections Midrange Corporate Accounting investor Raporting Credit Fisk I qmt Customer Care CPU Customer Care Distribution Customer Care Customer Care Phones Customer Care Support Customer Transactions Escrow Customer Transactions Rasaanch C customer Transactions Special Loans Gustomer Transactions Taxes Default Bankruptcy Dafault Foraclasura Default Lass titiqatibn Default vendor Management piiganra Flow Acquiitiorr He Training Loan Administration Scquettions Loan Administration Boarding Loan Administration Pre Bo ardna Operations amp Finance Comtral C other Policy amp Compliance
23. ing Summary Rejected as well as by Level of Decisioning Group Independent Policy and Compliance This report can be generated to an editable spreadsheet format Report Needs Approval View all outstanding change requests with Needs Approval status This report can Change Requests be generated to an editable spreadsheet format Pending with Technical View all change requests with an Open status Writers Pending with Auditors View all change requests with an Open status where the Technical Writers have indicated on the change request form that the change is or is not implemented Page 29 HSBC Mortgage Services Change Control User Manual Exporting Repository Reports to a Spreadsheet Six 6 reports in the change request repository can be generated to an Excel like spreadsheet The reports that can be generated to a spreadsheet have the word Report preceding the report name MECHNGPP Report Outstanding Change Requests MSCHNGPP Report Outstanding Online Letter Change Requests MECHNGPP Report Rejected Change Requests MECHNGPP Report Completed Change Requests MSCHNGPP Report Change Control Summary MSCHNGPP Report Needs Approval Change Request To Generate a Report to a Spreadsheet Step 1 In the Other database view select one of the six 6 reports links that is prefaced with Report The report displays on the web page Departmental Fortes Resoatory sache ens B Fome
24. ng Jobs C Tools Company Information select Business Unit Select Business Unit Insurance Services lt Refund Lending Retail Services Technology amp Services Page 23 HSBC Mortgage Services Change Control User Manual The Mortgage Services web page appears af HOUSEHOLD 7 Carik TST Oe Lid Wewe Training tobe Gomplete Reward Employer Directory Enter Lact Mama 99 Teale Mortgage Services Welcome bo lhe Services page o access nezouarcez thet uni essit yo wih performing oue joi mare eiiieaen ples us fe inks Clckhereto THIN Riplated Sites Household pisi B2B website eee a D1 Online publie waste anviston Crow Related Topics 17 20804 1 Pamina Branch ferorbs p1 oriri Corres oning Posi Cinzin Company information Select Business Lil Step 2 Select the Policy and Procedure Change Request Repository link Select Business Unit D1 Reporting Batch Forms and Files Directory Policy and Procedure Change Request Repository Page 24 HSBC Mortgage Services Change Control User Manual The Policy and Procedure Change Request Repository web page appears Departmental Forms Repository Database Yiews Collapse New Settings Form Sm All Forms m Completed Forms m Be Processed m Other m Configuration Form Status Submitter Submitted
25. on section of the change request form click Approve Workflow Information C Approve X Decline Final Approve Decision Reviewer List Approve Cindy M Sanford US Household For Review Deana KnoxfUS Househald Change Workflow Approver History t 1 7 04 3 16 02 PM Cindy M Sanford Us gt comments entered Notes e Unit Managers and Department Managers should only select Approve or Deny never Final Approve e If the request is for a Group change the Director selects Approve Only the Sr Vice President Mortgage Operations or the Director of Policy and Compliance should select Final Approve for Group changes Page 19 HSBC Mortgage Services Change Control User Manual Final Approve In the Workflow Information section of the change request form select Final Approve Workflow Information C Approve DeclineX Final Approve Decision ser List Approve Cindy M Sanfard Us Hausehald Review Deana Enax ls Haussehald Change Workflow Approver History t 1 7 04 3 16 02 PM Cindy M Sanford Na comments entered Notes e Only the Sr Vice President Mortgage Operations should select Final Approve e Department Senior Leaders should select Final Approve for Independent changes e changes can be made to a change request form after Final Approve is selected Declining Change Requests If a change request is declined the change request form canno
26. participants from the HSBC Name and Address Book who will be impacted by the change Group Decision Participants Please enter the names of all involved in the group decision meeting Notes It is ultimately the responsibility of the Department Manager to inform their Directors of change requests that they will be forwarding to their Director For example in the Operations Control and Finance department Department Managers are required to meet with their Director before submitting the change control to that Director Directors are also responsible for forwarding their Change Control items to the Department Senior Leader This ensures the Department Senior Lead is aware of the change and is prepared to discuss the change at the Business Quality Council BQC meeting or Sr Vice President Mortgage Operations staff meeting It is the responsibility of the Director to arrange meetings with impacted departments and gain approval from appropriate parties No change requests for new existing procedures will be discussed at the BQC or Sr Vice President Mortgage Operations staff meeting without the Department Senior Leader requesting that the change be added to the meeting agenda The Department Senior Leader is responsible for presenting Group Change Requests at the or the weekly staff meeting Page 17 HSBC Mortgage Services Change Control User Manual Change Request Process Flow Technical Writers Update Writers for CR with
27. quest Page 15 HSBC Mortgage Services Change Control User Manual Compliance DMs Directors should only select if the change is for a policy or a policy and procedure If New Procedure Only Existing Procedure Only or Clarification of Procedure was selected as the Type of Change the Policy and Compliance button will NOT appear as a selection C qTdepandent C Gow C Polcy and Complance What Lowe Fesquine dz independent changes may be made if other department riot inigectad by rhe procedure charge Group changes affect more than department and require buy in from all Directors and the Fansgng Drector 1f this e a Group change select the nest to Group If the changa requires approval fram Policy and Compliance legal signoff ar Coporate Pisk Management select the Policy and Comphance Check Important If the change affects a policy or a policy and procedure member of the Compliance department must be included in the approval routing If the change affects a policy and the Director selects Group without including a member of Compliance in the approval routing the Compliance department will know nothing about the change request Page 16 HSBC Mortgage Services Change Control User Manual Group Decision Participants this field is displayed only when Group is selected in the What Level of Decision is Required field The Director is responsible for selecting the names of the
28. quired If the requestor selects Yes two additional check boxes appear HR Training and Department Training No email is generated to the HR Training department if HR Training is selected Instead a report can be viewed in the Change Control Repository e Is Development Required If the requestor selects Yes two additional check boxes appear System Enhancements and Reports No email is generated to the MIS department Instead a report can be viewed in the Change Control Repository e Additional Communication An email is sent to the groups selected in the Who will be Impacted by the Change field when the change is implemented This field allows for additional communication If Other is checked a text field appears allowing the requestor to provide details e Additional Comments use this field to provide additional details of the change and or enter the names of who should approve the change request e Upload Files Requestors can attach documents Five 5 documents can be attached to one Change Control Request form Notes Once a requestor submits a change request the Upload Files field is no longer available YOU CANNOT ATTACH ANY OTHER FILES ONCE SUBMIT IS CLICKED For Procedures that are being modified the person initiating the Change Request may obtain a MS Word version of an existing Procedure by emailing the Technical Writers at technical writers us hsbc com Modify this Word version of the proc
29. r appears in the top right corner af the policy or procedure Enter that number in this field Existing Policy Document Key 5 HSBC Mortgage Services Change Control User Manual If the change affects an existing online letter the requestor will enter the online letter number in the Existing Letter Number field of Change Select from list Existing Online Letter Existing Letter Number e Change Request Details the requestor should summarize the change in this field If the requestor is not providing an attached Word document all details of the change must be entered in this field A Summary report in the Change Control Repository will display the first few sentences of this field e Level of Effort Minor Major or Moderate Definitions of what comprises a minor major or moderate change can be found in the online help e Risks and or Benefits financial information is not necessary in this field The requestor should briefly state the risks and or benefits of making or not making this change e Change Required by What Date Requestors can either type in a date or use the calendar icon and select a date The default is 30 days from the date the change request form was initiated Optional Fields Although the requestor is NOT required to complete the following fields these fields are useful for reporting purposes e Location this should be the site location e g Brandon e Is Training Re
30. request a Word version of an existing procedure from the Technical Writing group To ease the communication of changes the requestor may red line the document and attach the new version with the changes incorporated To obtain a copy of a document email technical writers us hsbc com To attach a document to a change request form Step 1 Scroll to the Upload Files section at the bottom of the form gh en ne in cen oo M policy amp Compliance C Pneng Furding ality Mgmi CSi Sigma Racprdz Recovery REQ Salas Telesales f I ndependent C Group Required independent changes may be mace if other departments are not mpscted by the procedure change Group changes affect more than one dapartmant and require buy in from all Directors and tha Managing Cireactor If this is a Group change select tha bas next ta Graup If tha change requires approval from Policy and Compllarice lagal siom ar Carparate Credit Risk Management select the Policy and Compliance check box Click on browse button to select the file to be attached mmm Poo Erase NN Anos es Copy this form to Page 12 HSBC Mortgage Services Change Control User Manual Step 2 Click the Browse button to search your hard drive or the network location for the draft procedure you want to attach The Choose File dialog box appears Choose file AHMCHELFK
31. st mschngop openpage Select the HI Form Mschngpp link HI Form Mschngpp Use this Change Control Request form to request change to existing policies or procedures provide clarification to existing policies and procedures or submit a new policy or procedure http philwcuz household com torma maschngon nsb mschngep onenpage Example who makes the best Document count change 116 control 364 change 110 P 30 Jul O4 Find Similar TER 30 Jul 04 Find Similar 21 May 04 Find Similar 2 May 04 Find Similar Page 3 HSBC Mortgage Services Change Control User Manual The MSCHNGPP Mortgage Services Change Request Form appears Hamas T T MSCHNGPP gt O Formel Shoa Hider denotes required feld MORTGAGE SERVICES CHANGE REQUEST FORM Rasquigsbar Info Nen Nichole D Carrillo phone Nurnitsar Ext cit Position 7 Approve e Select Your immediate of Chang Ramo irm Bet Vala Dekalb The Mirsi sentenca of bo should summanze the change for report If thig is a rw procedure provide step by step metnactian If this ig an procedure or a rlanficatinn ridicate where in the 4 HSBC Mortgage Services Change Control User Manu
32. t be activated again An email will be sent to the requestor and a carbon copy sent to previous approvers Workflow Information C Approv amp Decline J Final Approve De cisi on VENGUE List Approve Cindy M Sanfard Us Hausehald W For Review Deana C Knox US Household Change Workflow Approver History t 1 7 04 3 16 02 PM Cindy M Sanford Na comments entered Changing the Workflow of a Change Request Form Unit Managers Department Managers Directors and Technical Writers have the ability to route a form to any user as long as the form has NOT received final approval The Approver History tracks all routing in the Change Control database Page 20 HSBC Mortgage Services Change Control User Manual Change Request Form Status A change request form has four 4 statuses e Open e Pending Needs Approval e Complete e Rejected Household Forms Form Help show Hide t denotes required field Submitted By HFPS8670 01 29 2004 08 27 02 Docum Status Open Comments Edit History t Workflow Information The status of a change request form is controlled systemically Open A change request form s status will change to Open e After Final Approve is selected e After Decline is selected A change request in the Open status indicates the change request form needs to be reviewed by the Technical Writers and Auditors Pending Needs Approval A change request form
33. tgage Services Change Control User Manual Step 3 Select the blue arrow next to the appropriate department category and department to expand the categories Then expand the Procedurescategory In this example Default Management has been expanded E HMHS Policies and Procedures Microsoft Internet Explorer provided by Household HMS Policies and Procedures Database Vievis HMS Policies AMS Procedures B Bulletin Boards Previous Next Exp Recentl Revised Published Procedure Name Help b Customer Care Default Management Application Search b 1 Collections Go b 2 Bankruptcy 3 Foreclosure 3 1 Process Flows 3 2 Procedures x 3 2 1 Abandoned or vacant Property New 3 2 2 Breach Mew 3 2 3 Foreclosure Bid Revised 3 2 4 Foreclosure Monitoring New 3 2 5 Sale Notice 3 2 6 Ordering Appraisals and BPOs 3 2 7 Prepping Files for Chargeoff and Write down New x 3 2 8 Processing Chargeofts 3 2 9 Property Preservation on Redemption Accounts 3 2 10 Receiving Appraisals and BPOs x 3 2 11 Receiving Sales Results New 3 2 12 Referrals New 3 2 13 Submitting Loans from REO Mew 3 2 14 Fallawing the First Mortgage m Page 9 HSBC Mortgage Services Change Control User Manual Step 4 Select the New or Revised link next to the procedure that contains the Document Key you are searching for
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