IB IT Production Services and Infrastructure (PSI) …€¦ · IB IT Production Services and...

IB IT Production Services and Infrastructure (PSI) Town-hall

Daniel Choi

April 11, 2012

1

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

Guiding Principles

3


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

Production Services Overview

5


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


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


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


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


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


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


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


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


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

ISL Overview

15


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


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


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

Additional Functions Overview

19


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


$0.00

$1.00

$2.00

$3.00

$4.00

$5.00

$6.00

Software CMS Web OS PatchMonitoring USO -Messaging


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


0

2000

4000

6000

8000

10000

12000

14000

16000

18000

20000

Software Web CMS OS PatchMonitoring USO -

Messaging


Sub-Type

CRs


$0.00

$1.00

$2.00

$3.00

$4.00

$5.00

$6.00

Software CMS Web OS PatchMonitoring USO -Messaging


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


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

dit M

an

ag

em

en

t

Secu

rity M

an

ag

em

en

t

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

30/60/90 Day Plan

22


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

23


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

24


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”

25


Questions?

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