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t113282 [printed: Februar 6, 2012 1:18 PM] [saved: Februar 6, 2012 3:24 PM] Group Production Change Testing Workshop_Findings_v0 92.ppt
Agenda
Guiding Principles
Production Services Overview– Group Technology T-Bone Operating Model– Legacy State– Organizational Alignment– Core Responsibilities
Infrastructure Services Leads (ISL) Overview
– Organizational Alignment
– Core Responsibilities
Other Services
– Release Management
– Risk Remediation
– COO/BM
30/60/90 Day Plan
3
t113282 [printed: Februar 6, 2012 1:18 PM] [saved: Februar 6, 2012 3:24 PM] Group Production Change Testing Workshop_Findings_v0 92.ppt
Guiding Principles
• Operate and execute with the client/business partner experience as a top priority
• Deliver high quality service with the correct balance between cost, speed, quality and risk
• Optimize risk and reward tradeoffs to enable growth while protecting the bank
• Provide innovative solutions that enable/support business growth strategies
• Leverage scale and global capabilities in everything we do
• Provide a best in class cost-to-value structure
• Drive adoption of enterprise level strategy, standards and processes
• Objectively serve the company’s interest while enabling the lines of business
• Manage with a risk-based culture to provide service excellence
• Be the best place to work: win through attracting and developing the best, most diverse and empowered team
Guiding Principles
5
t113282 [printed: Februar 6, 2012 1:18 PM] [saved: Februar 6, 2012 3:24 PM] Group Production Change Testing Workshop_Findings_v0 92.ppt
Common Framework Across Group Technology
This approach ensures clear segregation of duties and process adherence
Strong Governance Body to manage change (Release Mgmt)
Execute Segregation of Duties along
decided guidelines & evolve
collaboration model
Align Processes & Tools environment to meet internal & external controls
by using best practices across GT
Ensure execution of Testing Standards
Development
/ Engineering
SDLC
Release M
anag
emen
t
ITIL v3
L1
QA
/ Testing
CTO
PM BA Dev/L3
SDLC Execution
Flexibility Standardization
Production
L2
Production Assurance
Development
/ Engineering
SDLC
Release M
anag
emen
t
ITIL v3
L1
QA
/ Testing
CTO
PM BA Dev/L3
SDLC Execution
Flexibility Standardization
Production
L2
Production Assurance
Group Technology has initiated a program to look at the overall framework for Production Services. The “T-Bone” diagram below highlights the approved Group Technology framework for the overall structure from
Development through Production. Area of focus for IB is Release Management and Production to drive formalized segregation of duties.
Transformation Scope
6
t113282 [printed: Februar 6, 2012 1:18 PM] [saved: Februar 6, 2012 3:24 PM] Group Production Change Testing Workshop_Findings_v0 92.ppt
Excurse: Change vs. Production
Change Related Tasks Planning: Long Term (Master Calendar) & Short Term (8
Week Preview)
Test & Release Coordination
Assessment of Changes: Risk, Evidences, Complexity, Volumes etc)
Approval of Changes & Production Sign Off
Reporting on Changes to facilitate CAB's
Deployment & Verification Lead
Production Related Tasks Incident Management
Problem Management
Standard Service Request Management
Production Assurance and Continuous Improvement of Production
Reporting on Incidents & Problems and its Categories
Verification Support
Task Distribution Change vs. Production
Visualization of Responsibilities of Change vs. Production
Change Production
Plan Build Test DeployWarrantyPeriod
Test Production (IPM)
Responsibility with Change Responsibility with ProductionResponsibilityHandover
Verify
Verify
Su
ccessfu
lly d
ep
loyed
& v
erifie
d
DRAFT
7
t113282 [printed: Februar 6, 2012 1:18 PM] [saved: Februar 6, 2012 3:24 PM] Group Production Change Testing Workshop_Findings_v0 92.ppt
Implementation Priorities of the T-Bone Framework
Implementation Priority
Quality AssuranceRelease
Management Governance
Segregation of Duties
21
L2 Production Support
CABs / Gatekeeper
4
Common Testing Services
Methods, Processes & Tools
Broad 2nd level support (TPS)
Focus: Incident-, problem- and knowledge management for the efficient solving of reoccurring incidents & problems
SLA
1=Business/L1, 2=GTIS (Operational e2e)
OLA (for each solution)
Maintenance contracts
Firewall
For APAC For USFor CH
Strong 1st level support (L1 Utility)
Focus: SPOC & incident management for business processes to support the users in their daily work
Lean 3rd level support (SDU)
Focus: Elimination of errors in applications to enhance quality of delivered applications
For EMEA
Single point of entry for users ofWM&SB IT Solutions
Clients in different regions
External WM&SB IT local and global development:AdNovum, ....
WM&SB IT global solution development:SDU Clients & Products, SDU Core Banking
WM&SB IT Solutions
WM&SB ITCH
local solutions
WM&SB IT EMEA+
local solutions 2
1
Development Production
CoordinationDeployment Mgmt
FoundationMethods / Processes / Tools
(SDLC based on industry standards RUP/EUP)
MethodsProcesses / Tools ITIL v3 (GTIS ownership)
EoD, EoM, EoY
End
Use
r Su
pp
ort
Pro
du
ctio
n
Sup
po
rt
PSO
ByClients
Development ManagementTest Management
Production Support End User Support
Infrastructure ManagementDeployment & Release
Management
Handover to Production
Implementation Tracking
InformationSecurity
AccessControl Data Transfer
CTO
GISO, DISO, SOX
GIA, Risk and Compliance
Architecture Standards
Tool enhancement
Implementation,Reporting, Controlling
Common Processes & Tools
3
8
t113282 [printed: Februar 6, 2012 1:18 PM] [saved: Februar 6, 2012 3:24 PM] Group Production Change Testing Workshop_Findings_v0 92.ppt
Legacy State
Production capabilities across IB IT were decentralized with structurally and operationally (processes & tools) inconsistencies.
Production Service Managers (PSMs) have been inconsistent in rank, scope, accountability and breadth of representation (i.e. entire sector or only segment). PSM ≠ Production Manager
The federated PSM model is primarily focused on delivering against group-wide efforts. Focus is on group IT “push” efforts from EPA, not management of IB IT Production capabilities. Progress has been made in synchronization across Group IT in terminology, process, tools and reporting for specific functions.
Limited effort and progress has been made in creating a consistent operation model across IB IT. Lack of consistency in process and controls across IB has led to potentially significant operational risks, audit exposures and inefficiencies across the IB.
PSM/Mgr**Mgr
ISLPSM/Mgr Mgr
OperationsFICCEquities IBD & Advisory
PSM PSM/MgrPSM PSM
PS & TT
* Illustrative and representative view only. May or may not accurately reflect precise structure of each organizational area.** Operates ad interim as Global PSM for IB IT in addition to other roles.
MgrMgrMgrMgrDAS
PSM/Mgr
Prod Mgr and Sector PSM
Stream PSM
Prod Mgr (non-PSM)
Legend
Blended Dev/Prod teams
Segregated Development
Segregated Production
9
t113282 [printed: Februar 6, 2012 1:18 PM] [saved: Februar 6, 2012 3:24 PM] Group Production Change Testing Workshop_Findings_v0 92.ppt
IB IT Production Alignment
Responsible for governing
changes to Production
and ensuring process
adherence & risk mgmt of
change. Owner of
CAB.
Responsible for driving
taxonomy, process and
tools changes across
Production Services. Owns
relationship with EPA.
Regional alignment to
provide regional leadership,
escalation, and point of contact
for regional management.
Business aligned production support teams responsible for alignment with business IT development teams to provide L2 support, incident management, problem management, BCM execution of application owner
recovery plans, release scheduling, code deployment, reporting, operational risk management of production, environment management, instrumentation and user
requests.
Application Development. Owns overall relationship of the
business supported. Responsible for managing change on behalf
of the business. Manages business CtB activities, KTLO charges to business, function
requirements, development of code and testing.
App Dev
Business
Aligned
Production
Practice Mgmt
Business
Aligned
Production
Business
Aligned
Production
Business
Aligned
Production
Business
Aligned
Production
App DevApp DevApp DevApp Dev
Asia Pac
Release Mgmt EMEA
Americas
OperationsEquities FICC IBD & AdvisoryPrime Services & Treasury
Pro
du
ctio
n S
ervi
ces
Shared Services
Responsible for common services that enable the capabilities across Production Services. Center of excellence for activities including
reporting, metrics, environment management, estate management, instrumentation, “production toolkit”, configuration
management, etc.
10
t113282 [printed: Februar 6, 2012 1:18 PM] [saved: Februar 6, 2012 3:24 PM] Group Production Change Testing Workshop_Findings_v0 92.ppt
IB IT Production AlignmentApp Dev
Business
Aligned
Production
Practice Mgmt
Business
Aligned
Production
Business
Aligned
Production
Business
Aligned
Production
Business
Aligned
Production
App DevApp DevApp DevApp Dev
Asia Pac
Release Mgmt
Release Mgmt EMEA
Americas
OperationsEquities FICC IBD & AdvisoryPrime Services & Treasury
Pro
du
ctio
n S
erv
ices
Shared Services
AmericasRegional Lead
EMEARegional Lead
APACRegional Lead
Exte
rnal
Tea
ms
(i.e.
EPA
, GTI
S) Operational Risk Programs
KPI Management Reports
Workforce Planning
Process & Tools Efficiency
Crisis Mgmt
Escalations
Stability
User RequestsApplication Releases
Disaster RecoveryEngagement & Planning
Business Functions
Shared services provides efficient, cross-functional capabilities that are consistent across all production areas. Leverage “economies of scale” and create “centers of excellence”
Shared Services
Define and champions
best practices, process & tools
consistency, and drives
change
Practice Mgmt
Regional leads provide senior
escalation within region and manage
region specific uniqueness
Regional
Core of production organization. Business aligned production teams focused on operational support of business technology estates. Domain specialist.
Business Aligned
App DevApp DevApp DevApp DevApp Dev
ProductionProductionProductionProductionProduction
Business Continuity Mgmt
Capacity/Service Level Mgmt
Change/Release Mgmt
Incident/Problem Mgmt
Tran
sfor
mat
ion,
Pr
oces
s &
Tool
s
Reporting, Metrics and Analysis
Environment Management
Instrumentation and “Toolkit”
OperationsIBD & AdvPS & TTFICCEquities
Reg
iona
l Man
agem
ent
Gov
erna
nce
& C
ontro
l
Define and champions
best practices, process & tools
consistency, and drives
change
Release Mgmt
11
t113282 [printed: Februar 6, 2012 1:18 PM] [saved: Februar 6, 2012 3:24 PM] Group Production Change Testing Workshop_Findings_v0 92.ppt
Production Services Organization Structure
Dan Choi
IB IT Production Services and
Infrastructure (PSI)
Kent Smith
Release Management
Keith Whiteside
Practice Management
Steve Pegg
Equities Production
Services
Keith Loeffler
FICC Production
Services
Chris Friend
Prime Services and Treasury Technology Production
Services
KarenNorris
IBD & Advisory Production
Services
Keith Whiteside
Operations Production
Services
TBDAsia Pacific
Keith WhitesideEMEA
Keith LoefflerAmericas
NOTE: All Sector Production Heads have also have a reporting line to Business IT Sector Heads (see previous slide)
Nancy Reda
Executive Assistant
TBD
SharedServices
12
t113282 [printed: Februar 6, 2012 1:18 PM] [saved: Februar 6, 2012 3:24 PM] Group Production Change Testing Workshop_Findings_v0 92.ppt
IB IT Production Organizational Model
Sector level Production leads will have a reporting line to the IB IT Production Head and the relevant Business-aligned IT Sector Head.– IB IT Production Head will drive common
taxonomy, processes, tools, and control framework.
– Business-aligned IT Sector Head will drive the prioritization of effort, areas of focus and criticality of applications.
– Production teams will be aligned with business IT teams to ensure functional knowledge of applications and seamless support.
– Both the IB IT Production Head and Business-aligned IT Sector Heads have a shared responsibility to ensure effective management of the organization.
Formalizes Segregation of Duties within IB IT to meet regulatory and audit requirements.
CIO
Production Lead
Sector A
Business IT Sector Head C
(App Dev)
Business IT Sector Head B
(App Dev)
Business IT Sector Head A
(App Dev)
Production Head
IB
Production Lead
Sector B
Production Lead
Sector C
13
t113282 [printed: Februar 6, 2012 1:18 PM] [saved: Februar 6, 2012 3:24 PM] Group Production Change Testing Workshop_Findings_v0 92.ppt
Production Services Responsibilities
Function Responsibility Changes
Production Strategic Planning
• Works with the CIO, CTO, Application Heads, EPA and other CIO Production Services leads to build a strategic Production Services strategic plan
• Increased focus on executing the Production Services transformation
Service Performance
• Reviews service performance of Production environment and ensure that uptime and availability meet targeted specifications. Works with Application teams to ensure proper non-functional specifications for environment and manages overall production performance of environment
• Increased focus on defined and managed service level performance for IB IT Production environment
Incident & Problem Management
• Manage all IB IT Incidents
• Manage problem management process for IB IT
• Ensure incident and problem management processes are adhered to
• Adherence to Incident and Problem processes. Effective management of IB IT incidents and problems.
Change & Release Management
• Ensure defined change and release management processes exist for IB IT
• Manage changes/releases to IB IT Production environment
• Verify successful implementation of changes/releases
• Increased focus on changes/releases to production and ensuring effective due diligence and review
BCM/DR Readiness
• Execute on behalf of the application owner, the BCM/DR plan for Production systems
• Ensure that all critical production systems have appropriate Systems Recovery Plan
• Heightened focus on ability otmeet BCM requirements for IB
Production Environment Management
• Manage Production environment for IB IT
• Configuration and Asset Management governance
• Identify and Access Management governance
• Increased focus on data accuracy and completeness for successful management of IB’sproduction environment
Production Governance
• Key participant in both business and IB IT Production environment decision making in partnership with the business CTO
• Increased voice in decisions around the governance of IB’sProduction environment
15
t113282 [printed: Februar 6, 2012 1:18 PM] [saved: Februar 6, 2012 3:24 PM] Group Production Change Testing Workshop_Findings_v0 92.ppt
IB IT ISL Alignment
Asia Pac
Equities FICC OperationsIBD & Advisory
Service Delivery Management
Service Performance
Strategic Planning EMEA
Americas
Service Delivery Management (SDM ) Demand Planning
– Develops tactical and strategic views of demand for all infra services
– Support the infrastructure components of the business DMIG process
– Ensure appropriate SMEs are engaged to design ‘fit-for-purpose’ solutions to meet the ‘non-functional’ needs of the business initiatives
Estate Management– Assesses currency and multi-year
suitability of business infrastructure– Maintains mapping of infrastructure
estate to application suites– Plans & drives on-going projects to
maintain estate currency and efficiency Program Prioritization & Management
– Ensures alignment of infrastructure programs to business priorities
– Drives program development, resource estimation, execution planning, project risk mgmt, and DMIG commitments for all business infra initiatives
– On-going reprioritization of the portfolio of work to meet the objectives
Strategic Planning Strategic Planning
– Works with CIO, CTO, Application Heads and GTIS Plan/Build heads to build a strategic infrastructure plan and an associated annual demand plan
– Conducts estate analytics in support of strategy definition and estate planning– Partners with Execution team to assess currency and multi-year suitability of
business infrastructure– Ensures alignment of infrastructure programs to business priorities
Infrastructure Governance– Key participant in both business and GTIS infrastructure decision making in
partnership with the business CTO– Represent LoB IT at technology governance forums / product working groups– Represent LoB IT at GTIS Program working groups/forums
including datacentre strategy, DEEP
Service Performance Financial Management
– Manage Capex, T&E and run-rate forecast for LoB– Provide financial oversight for all programs and projects– Partner with GTIS to ensure infra billing is accurate & on-time– Drive service catalog strategy and implementation process
Service Management– Establish and drive service reviews with clients and GTIS– Partner with GTIS to standardize tools and centralize reporting– Define and oversee operational/metrics reporting
Change and Problem Management– Develop framework for Problem and Incident management– Coordinate resourcing for Infrastructure and BCP weekends– Hold Incident & CBP reviews and oversee reporting process
Project Management– Manage successful delivery of PUSH projects– Partner with Execution and Prod Services to ensure adequate & available
resourcing to execute projects on-time– Develop framework for tracking all projects and programs
16
t113282 [printed: Februar 6, 2012 1:18 PM] [saved: Februar 6, 2012 3:24 PM] Group Production Change Testing Workshop_Findings_v0 92.ppt
ISL Organization Structure
Dan Choi
IB IT Production Services and
Infrastructure (PSI)
Chris Mills
Service Performance
Mark Threadgold
Equities ISL
Keith Loeffler*
FICC ISL
Anthony Caracciolo
IBD & Advisory ISL
LakshminNagalingam
Operations ISL
Dan Eastwood**Asia Pacific
Mark ThreadgoldEMEA
Lakshmin NalalingamAmericas
Nancy Reda
Executive Assistant
* “Operational” Manager for ISL. Manages day-to-day activities for ISL** Formal reporting line to GTIS Asia Pacific Regional Manager. Extended member of IB IT ISL leadership
17
t113282 [printed: Februar 6, 2012 1:18 PM] [saved: Februar 6, 2012 3:24 PM] Group Production Change Testing Workshop_Findings_v0 92.ppt
ISL Responsibilities
Function Responsibility Changes
Infrastructure Strategic Planning
• Works with the CIO, CTO, Application Heads and GTIS Plan/Build heads to build a strategic infrastructure plan and an associated annual demand plan
• Increased focus on executing the infrastructure transformation
Overall Service Performance
• Chairs Service Reviews to assess: Consumer bill, delivery against Service Requests, service stability, GTIS programme delivery, Product Plan/Build status, Operational Risk items
• Exact duties of the ISL role in relation to the new PSM roles will need refinement in each business
Demand Planning
• Develops tactical and strategic views of demand for all infra services
• Support the infrastructure components of the business DMIG process
• Ensure appropriate SMEs are engaged to design ‘fit-for-purpose’ solutions to meet the ‘non-functional’ needs of the business initiatives
• Increased focus on delivery of a cost efficient and scalable (up & down) infrastructure
Financial Management
• Ensures CIO infrastructure costs are fair and optimised• Verifies consumer bills delivered by GTIS CFO/COO• Provides requirements and reviews impact of Service Catalogue revisions• Defines cost opportunities and drives optimisation plans for consumption
• Increased focus on identification of efficiency and ‘value for money’ opportunities for the business
Estate Planning
• Assesses currency and multi-year suitability of business infrastructure
• Maintains mapping of infrastructure estate to application suites
• Plans & drives on-going projects to maintain estate currency and efficiency
• Estate Planning becomes a proactive activity coordinated with GTIS, the CTO, and Development teams
Program Prioritization and Management
• Ensures alignment of infrastructure programs to business priorities
• Drives program development, resource estimation, execution planning, project risk mgmt, and DMIG commitments for all business infra initiatives
• On-going reprioritization of the portfolio of work to meet the objectives
• Increased focus on development of programs and reprioritization of work to meet business objectives
Infrastructure Governance
• Key participant in both business and GTIS infrastructure decision making in partnership with the business CTO
• Increased representation on GTIS and CTO decision making forums needed
19
t113282 [printed: Februar 6, 2012 1:18 PM] [saved: Februar 6, 2012 3:24 PM] Group Production Change Testing Workshop_Findings_v0 92.ppt
19
Release Management
1. Planning & Coordination:– Short & long-term planning – Coordination of Change Control
activities– Support CAB with according
Material– Release Manager Role
2. CABs– Risk Analysis of Changes– Decide on Changes– Manage Escalations
3. Reporting– Reporting on Change & Releases– Process and Evidence Controls
4. Change & Release Mgmt Board– Review of Change & Release
Process– Continuous improvement of
Change & Release Management
ProductionDevelopment /
Engineering
Continuously rising involvement of Gatekeeper Function
Managing the GT Master Calendar (Long Term View)
NT
NT
NT
NT
NT
NT
NT
NTRelationship Management PMO
(COO), QA and Production & Short Term Change View
Gatekeeper
PMO
Production
QA
Managing the CAB Process for Standard Changes & Emergencies
1
.
N
CAB Levels
Thursday
Wednesday
Tuesday
Monday
Timing
Thursday
Wednesday
Tuesday
Monday
Timing
ResultsResults
Low
Medium
High
Very High
ChangeVolume
Low
Medium
High
Very High
ChangeVolume
2
ResultsResults
ResultsResults
1
.
N
CAB Levels
Thursday
Wednesday
Tuesday
Monday
Timing
Thursday
Wednesday
Tuesday
Monday
Timing
ResultsResults
Low
Medium
High
Very High
ChangeVolume
Low
Medium
High
Very High
ChangeVolume
2
ResultsResults
ResultsResults
Re
lea
se M
an
ag
em
en
t
Planning
Coordination
Control &Execution
TexBoard
Change & ReleaseMgmt Board
ProductionBoard
Permit to Operate• CAB will approve
deployment verifying sign off
• Project is fully responsible to get sign off from all affected stakeholders (QA, Production etc)
Permit to Operate• CAB will approve deployment
verifying sign off
• Project is fully responsible to get sign off from all affected stakeholders (QA, Production etc)
2
1
4
CABs
Reporting & Continuous Improvement
Metrics Dashboard
Metric % Met Status
Metric 1 67%
KPI 98%
Metric 2 85%
Metric 3 93%
Forecasted Changes
Activity Name Projected Risk Package ID Owner
Dashboard Geographic Analysis Time to Implement Financial Analysis
Alerts
Alerts from last 7 days
Modify WASD GPO
PMIM-PowerKeeper Bug Fix
New Issues Management
BACKUP FUNDREQ FILE
Monthly CR Volumes
1Q10 Security Release
Activation of RACF Classes
Add 60GB to Doc Harbor
LHPD Exemption 003 –CRM
NOC3 IDF9S PSU replacement
Page 1 | Page 2 | Page 3
more...
Top Priority
Item 1 $12,236
Item 2 $67,009
Item 4 $33,000
Item 5 $10,900
Item 3 $19,500
Action Items
1.Design a reporting tool
2.Enable monitoring and trend analysis
3.Data clean-up exercise to improve data accuracy
4.Make proactive changes in process of recording change
5.Compare geographical and business level process
6.Forecast trending patterns by type and sub-type where feasible
Average Time by Status (May)
CR Forecasting
7/12/2010
7/15/2010
7/23/2010
8/1/2010
8/1/2010
23000
45112
89778
12110
34000
Bill S.
Kent S.
Frank J.
Tony G.
Joe F.
Cost by Sub-Type (May) Volume by Sub-Type (May)
Type by RiskFailure Modes
0
2000
4000
6000
8000
10000
12000
M A M J J A S O
N. AM EMEA APAC
0.00
100.00
200.00
300.00
400.00
500.00
600.00
700.00
800.00
900.00
1000.00
Veto Open Reject Pending N/A InProgress
ApprovedImplement Failed
Status
Hou
rs
Mandatory Implementation
0
2000
4000
6000
8000
10000
12000
14000
16000
18000
20000
Software Web CMS OS PatchMonitoring USO -
Messaging
Network DatabaseHardware
Sub-Type
CRs
Mandatory Implementation
$0.00
$1.00
$2.00
$3.00
$4.00
$5.00
$6.00
Software CMS Web OS PatchMonitoring USO -Messaging
Network DatabaseHardware
Mill
ions
Sub-Type
CRs
Implementation Mandatory
0
500
1,000
1,500
2,000
2,500
4/1
4/2
4/3
4/4
4/5
4/6
4/7
4/8
4/9
4/10
4/11
4/12
4/13
4/14
4/15
4/16
4/17
4/18
4/19 4/20
4/21 4/22
4/23
4/24
4/25
4/26
4/27
4/28
4/29
4/30
Sub-Type
CRs
Implementation Mandatory Linear (Mandatory) Linear (Implementation)
NetworkCMS
426
Monitoring
370
USO - Messaging
273Web
376
Database
288
Software
311
OS Patc h
249
Hardware
191
Network CMS Moni toring USO - Messaging Web
Database Software OS Patch Hardware
Metrics Dashboard
Metric % Met Status
Metric 1 67%
KPI 98%
Metric 2 85%
Metric 3 93%
Forecasted Changes
Activity Name Projected Risk Package ID Owner
Dashboard Geographic Analysis Time to Implement Financial Analysis
Alerts
Alerts from last 7 days
Modify WASD GPO
PMIM-PowerKeeper Bug Fix
New Issues Management
BACKUP FUNDREQ FILE
Monthly CR Volumes
1Q10 Security Release
Activation of RACF Classes
Add 60GB to Doc Harbor
LHPD Exemption 003 –CRM
NOC3 IDF9S PSU replacement
Page 1 | Page 2 | Page 3
more...
Top Priority
Item 1 $12,236
Item 2 $67,009
Item 4 $33,000
Item 5 $10,900
Item 3 $19,500
Action Items
1.Design a reporting tool
2.Enable monitoring and trend analysis
3.Data clean-up exercise to improve data accuracy
4.Make proactive changes in process of recording change
5.Compare geographical and business level process
6.Forecast trending patterns by type and sub-type where feasible
Average Time by Status (May)
CR Forecasting
7/12/2010
7/15/2010
7/23/2010
8/1/2010
8/1/2010
23000
45112
89778
12110
34000
Bill S.
Kent S.
Frank J.
Tony G.
Joe F.
Cost by Sub-Type (May) Volume by Sub-Type (May)
Type by RiskFailure Modes
0
2000
4000
6000
8000
10000
12000
M A M J J A S O
N. AM EMEA APAC
0.00
100.00
200.00
300.00
400.00
500.00
600.00
700.00
800.00
900.00
1000.00
Veto Open Reject Pending N/A InProgress
ApprovedImplement Failed
Status
Hou
rs
Mandatory Implementation
0
2000
4000
6000
8000
10000
12000
14000
16000
18000
20000
Software Web CMS OS PatchMonitoring USO -
Messaging
Network DatabaseHardware
Sub-Type
CRs
Mandatory Implementation
$0.00
$1.00
$2.00
$3.00
$4.00
$5.00
$6.00
Software CMS Web OS PatchMonitoring USO -Messaging
Network DatabaseHardware
Mill
ions
Sub-Type
CRs
Implementation Mandatory
0
500
1,000
1,500
2,000
2,500
4/1
4/2
4/3
4/4
4/5
4/6
4/7
4/8
4/9
4/10
4/11
4/12
4/13
4/14
4/15
4/16
4/17
4/18
4/19 4/20
4/21 4/22
4/23
4/24
4/25
4/26
4/27
4/28
4/29
4/30
Sub-Type
CRs
Implementation Mandatory Linear (Mandatory) Linear (Implementation)
NetworkCMS
426
Monitoring
370
USO - Messaging
273Web
376
Database
288
Software
311
OS Patc h
249
Hardware
191
Network CMS Moni toring USO - Messaging Web
Database Software OS Patch Hardware
3
Release Management
20
t113282 [printed: Februar 6, 2012 1:18 PM] [saved: Februar 6, 2012 3:24 PM] Group Production Change Testing Workshop_Findings_v0 92.ppt
Risk Remediation
IBIT Operational Risk Management
FICC
Cross-IBIT Operational Risk Identification & Assessment
Stream Risk ManagementSector Operational Risk Identification &
Assessment
Equ
ities
Prime Services
Ad
visory &
IBD
Op
eration
s
Qu
ant
Instru
men
t Data
Treasury
Research
Au
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Risk Remediation
Shared Services
IT RISK
• Project Management of risk remediation activities across IBIT
• Work in partnership with Risk Identification and Assessment to manage operational risks to IB IT
• Ensure appropriate remediation plans are in place for documented ORIs, SEEM entries, CARAT entries.
• Track Progress against stated objectives for remediation efforts
IB IT Risk Remediation
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t113282 [printed: Februar 6, 2012 1:18 PM] [saved: Februar 6, 2012 3:24 PM] Group Production Change Testing Workshop_Findings_v0 92.ppt
30 Day Plan
30 Day Plan
All• Finalize organizational objectives• HRi, Financial, budgetary and OU/CC clean-up
Production Services• Target state operating model for Production Services• Finalize plan for completion of delivery of Segregation of Duties
ISL• Deliver against infrastructure plan
Release Management• Create function• Migrate CAB to align with Group Technology plans• Build roadmap for function
Risk Remediation• Agree on interaction model with IT Risk• Review outstanding ORI, SEEM and CARAT items verify plans are in place to remediate
COO/BM• Identify and hire COO/BM for PSI
Shared Services• Day 2 deliverable – no focus at this time
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t113282 [printed: Februar 6, 2012 1:18 PM] [saved: Februar 6, 2012 3:24 PM] Group Production Change Testing Workshop_Findings_v0 92.ppt
60 Day Plan
60 Day Plan
Production Services• Complete Change Management process for IB• Deliver against Segregation of Duties• Align target state with Group Technology plans• Define roles and responsibilities for each functional area
ISL• Deliver against infrastructure plan• Plan migration of Production Services responsibilities to Production Services
Release Management• Migrate CAB to new dates (May 23) for IB• Begin building planning calendar for upcoming releases• Plan any changes to Release process and governance
Risk Remediation• Track and deliver against Risk Remediation plans
COO/BM• Complete financial, budget and OU/CC clean up
Shared Services• Define function
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t113282 [printed: Februar 6, 2012 1:18 PM] [saved: Februar 6, 2012 3:24 PM] Group Production Change Testing Workshop_Findings_v0 92.ppt
90 Day Plan
90 Day Plan
Production Services• Complete Segregation of Duties• Review processes and tools and agree on “go forward” strategy• Plan consolidation on processes and tools
ISL• Deliver against infrastructure plan• Migration of Production Services responsibilities to Production Services
Release Management• Migrate CAB to new dates (May 23) for IB• Begin building planning calendar for upcoming releases• Implement plans for function
Risk Remediation• Track and deliver against Risk Remediation plans
COO/BM• Build management routines for PSI
Shared Services• Migration of functions from core teams to shared services to provide “centers of excellence”