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This report is intended for use by the management of the Variable Annuity Life Insurance Company ("VALIC") and its subsidiaries.
VALIC Retirement Services Company ("VRSCO") and VALIC Financial Advisors, Inc. ("VFA"), its user entities, and the independent
auditors of its user entities, and is not intended and should not be used by anyone other than these specified parties.
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Once integration testing is complete, the programmer notifies the authorized non-developers that the change is
ready to be moved to acceptance test (via the CMNA system).
Quality assurance testing takes place in the acceptance test environment. Mainframe and distributed application
program changes are tested prior to loading into the production environment and testing approvals are
documented
(12.1)
.
Once test results have been reviewed, the application manager, the QA coordinator, and the appropriate user
approve the move to production in the CMNA system. Appropriate VALIC user management must approve
all mainframe and distributed application program changes before being placed into production
(12.2)
. Move
requests are approved in a change control system.
The acceptance test, production staging, and production servers are protected by user IDs and passwords.
Access to migrate changes to the production environment is limited to authorized VALIC migration personnel
separate from development function
(13.1)
.
Distributed Applications — Emergency Change Management Process
The emergency change management process is similar to the standard change management process with
the exception that approvals can be obtained after the change has been implemented into production. User
acceptance testing, as applicable, is performed in the development environment for emergency moves.
Mainframe and distributed application program changes are tested prior to loading into the production
environment and testing approvals are documented
(12.1)
. Mainframe and distributed application emergency
moves and production fixes are approved by application managers
(12.5)
. However, the components being
moved still migrate physically through the acceptance test environment.
Distributed Applications — Operating Systems Change Management
Changes to operating systems (Windows and Unix) generally consist of patches or fixes. A change request
ticket is opened in the Service Now systemwhere supporting evidence is maintained. Service Now system is a
ticketing system used for managing operating system changes. A change ticket is created for each change and
documentation for testing and approvals are maintained in the Service Now system. Infrastructure changes
performed by CTO are tested and approved
(12.9, 14.6)
. Once the change has been approved it is implemented
into production.
Emergency changes to operating systems follow the same process with the exception that approvals can be
obtained after the change has been implemented into production.
The distributed applications are maintained in the Fort Worth, TX data center. The related servers are managed
per CTO standards as described elsewhere. UVT is a third-party application managed as described for Distributed
Applications, except that code is not stored in TFS and there is only a test and production environment. AWD
applications are managed as a shared service by Life and Retirement for use by all L&R companies. Requests for
application changes are submitted to the Shared Services Unit (SSU) and not managed by Group Retirement.
VALIC by Phone is managed as a shared environment by AIG Global Services. Request for application changes are
submitted to CTO.
The Service Now tool is used to track CTO operating system changes. Change tickets are created in
Service Now tool and require approval by a CTOmanager.
III. Description of the VALIC Defined Contribution Plan Administration System