SDLC SOP 1003 - Configuration Management

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SDLC SOP 1003 - Configuration Management

Objective:

The objective of this Standard Operating Procedure (SOP) is to document the procedures for the set-up of platform, network and software components for a release. In addition, this SOP addresses the controlled change and update of the development, QA, FOA/Beta, staging and production environments

Scope:

This SOP defines the activities to perform to manage the development, QA, FOA/Beta, staging and production environments so that they operate in a productive, effective and controlled manner.

Owner:

Chief Technology Officer


Definitions

The SOP addresses the set-up of the platform, network and software components for a release.It also addresses the controlled change and update of the development, QA, FOA/Beta, staging and production environments.The SOP will provide SDLC with a consistent way to effectively plan for a release and to make managed changes to all environments.

The configuration plan, a deliverable of the SOP encompasses the successful forecasting of platform, network and software components for a release. The planning section of this procedure establishes the criteria for reviewing project scope, making initial resource and cost estimates and defining the hardware and software components needed to support the release The procedure also defines criteria for preparing the development and test environments, making plan adjustments as needed, creating final deployment plans and finally, deploying the release to production.

Beyond the configuration planning piece of this procedure involves the active management of the production, QA, staging, FOA/Beta and development environments In order to manage these environments so that they operate in a productive, effective and controlled manner, the Configuration Management Release Engineerworks closely with the Capacity Management Operations Manager.Additionally, this piece of the procedure is an on-going activity that is used in conjunction with the Business Gates System Development Life Cycle (SDLC). A number of business or production events can trigger the execution of the execution of this SOP and require the need for reconfigurations.


Term Definition/Description
Program/Project Management The systematic execution of a System Development Life Cycle (SDLC) for a release or projects that have significant impact on an organization’s service delivery.This procedure oversees the SDLC execution; thus, it relies heavily on defined procedure activities and acceptance criteria for inputs and outputs

Note: Every unit within SDLC interacts with Program/Project Management. Every release of new and enhanced features and functionality requires the commitment and effort from all departments.

Project Manager The focal point throughout a project who ensures that the responsible party has completed with quality and comply with defined acceptance criteria.The Project Manager also acts as the conduit for communicating the progress of the project and decisions made throughout the process to the Project Sponsor Contracting Organization, and the Performing Organization
Program Management Addresses oversight for a group of projects. Program Managers shoulder the responsible for the successful completion of program objectives by supporting and developing project staff.Reporting at this level provides Executive Management with the information necessary to make informed decisions and execute actions that optimize benefits to the organization.
Program Manager The tactical manager who facilitates, monitors and communicates the progress and issues in implementing the strategic objectives of an approved program.The Program Manager works cross-functionally to develop the blueprint that integrates multiple release deliverables that enhance the program’s portfolio.
PMO The PMO is the organization that consolidates all project plans and reports the status to executive management Impacts from individual projects can be seen from an organizational perspective and responded to rapidly. The PMO is where project and program standards, procedures, policies and reporting are established.
Business Gate A defined milestone in a project lifecycle when specific requirements must be met in order to make or validate business decisions relating to the project
Lock-Down The milestone in a project schedule achieved when agreement exists between the Performing Organizations and the Contracting Organizations for the delivery of a defined project scope of work within a defined schedule at a defined cost.
Management Phase Review An event associated with selected business gates where specific decisions concerning the project are made by appropriate levels of management.Deviations in deliverables or timeframe are handled by convening the Gate 6 Review Board. This group will make any decisions concerning scope, cost, and schedule tradeoffs.These business gates are:
  • G-11: Project Strategy Lock-Down
  • G-10: Requirements Scope Lock-Down
  • G-6: Project Lock-Down
  • G-4: Begin Validation
  • G-2: Begin FOA
  • G-0: General Availability
SDLC Business Gates The foundation is Program/Project Management in the SDLC Business Gates. This Systems Development Life Cycle (SDLC) begins at project initiation and moves through deployment to the production environment
Phase A collection of logically related project activities, usually culminating in the completion of a major deliverable. The conclusion of a project phase is generally marked by a review of both key deliverables and project performance in order to determine if the project should continue into its next phase as defined or with modifications or be terminated and to detect and correct errors cost effectively.
Program A defined set of projects containing common dependencies, and/or resources and/or objectives overseen by a Program Manager
Project A temporary endeavor undertaken to create a unique product or service. A project has a defined scope of work (unique product or service), a time constraint within which the project objectives must be completed (temporary) and a cost constraint.In the context of SDLC, a project may be one of

an individual feature

a collection of features making a release

a collection of product releases making up a portfolio

a new product development

System Development Life Cycle (SDLC) A predictable series of phases through which a new information system progresses from conception to implementation. All of the activities involved with creating and operating an information system, from the planning phase and/or the initial concept to the point at which the system is installed in a production environment. The major phases are Release Planning, Definition (Requirements and Specifications), Development, Test (Validation), and Deployment


Process Flow Diagrams

Configuration Management Overview

File:SOP1003-01.gif


Roles and Responsibilities

Role Responsibility
Contract Organization The Contracting Organization works with the Performing Organization to appropriately complete the Scope of Work (SOW) documents as they relate to this SOP.
Performing Organization The Performing Organization is responsible for the following deliverables:
  • Resource and cost estimates
  • Advice on capacity requirement
  • Resource plan
  • Capacity plan


Service Organization The Service Function is responsible for the following deliverables:
  • Tools deployment
  • Load/Update SoftwareProblem
  • Resolution Phone
  • Support Deployment
  • Planning Support



Metrics

Program/Project Management metrics are focused on the measurement of cycle times and defects. Measurements provide the foundation to quickly identify, isolate and remediate inefficient results from activities that do not meet expected performance levels.


Metric Description
Cycle Time The number of days or hours it takes to complete requirements for a SDLC Business Gate and/or milestone.
Defects Instances of failure to pass specific tests or quality measures or to meet specification/acceptance criteria. These are recorded and assessed throughout a project and reported at the end of the project.
Change Agents Individuals who analyse a process and recommend ways to improve it, successful or not in its adoption, will be reported to Engineering Department management.These individuals will receive recognition for their effort to compress cycle times and/or improve quality.



Procedure Activities

The Performing Organizations review the project scope as defined during the Release Planning Procedure (SOP 1005) Working with the Contracting Organization, the Performing Organizations estimates, hardware, software and development requirements that are to be contained within the Scope of Work (SOW) documents. High-level estimates should take into account the anticipated number of simultaneous users, server capacity thresholds and acceptable peak simultaneous users.


Gate/Activity Description

File:SOP1003-02.gif


G-10: Requirements Scope Lock-Down
  • Business Objective: Approve the Scope of Work for which the organization will commit to develop requirements
  • Owner: Project Manager
  • Review Board: Program Sponsor, Program Manager, Project Manager, Contracting Organization(s), and Performing Organization(s)


Project Manager The Project Manager is responsible for ensuring that the following documents are completed with quality and meet acceptance criteria defined in the Release Planning Procedure (SOP 1005).

Contracting Organization (OWN)

  • Initial Portfolio Scope
  • Business Plan Impact Assessment
  • Scope of Work

Performing Organization (OWN)

  • Project Resource Plan

Responsible for scheduling, notification, meeting materials, meeting facilitation and meeting minutes for this formal Review Board meeting.

Review Board Review the results of the concept phase and commit to the definition and planning of a project. Target delivery windows may be established, but this does not constitute a commitment to deliver the project as it is defined at this point.The additional definition and planning which takes place during the definition phase will increase knowledge about the scope, cost and schedule of the project which may result in changes to any or all of those parameters.


Review Board The Review Board’s acceptance of the approved documents by the Receiving Organization moves each SOW document to the Development Function of the Performing Organization for analysis.


Project Manager The Project Manager ensures coordination between Contracting and Performing Organizations.Project Managers facilitate meetings and document meeting outcomes. This effort is focused at reducing cycle time and maintaining the highest level of common understanding between parties. Further, the Project Manager will refine the project plan incorporating data available.


Development must assign resources to work on the Definition Phase of the release. Once the resources are assigned, Development must provide the Project Manager with this resource information. Quality Assurance (QA) develops the quality plan for the release and assigns resources to the plan. QA gives this information to the Project Manager to feed the plan for the Definition Phase Lastly, Operations defines the high-level configuration management plan that feeds the Definition Phase plan developed by the Project Manager.


G-9: Definition Phase Plan Approved
  • Business Objective: Approve the plan to execute the definition phase so that the project’s business requirements (scope, timeframe and cost) are met
  • Owner: Project Manager
  • Review Board: Program Sponsor, Program Manager, Project Manager, Contracting Organization(s), and Performing Organization(s)


Project Manager The Project Manager is responsible for ensuring that the following documents are completed with quality and meet acceptance criteria defined in the Requirements Definition Procedure (SOP 1040).

Plan for the Definition Phase – Owner: Project Manager O

Organizations:
  • Performing
  • Contracting
In order to complete the plan for the Definition Phase, the Project Manager requests and receives the items listed below from various areas of both the Contracting and Performing Organizations.Acceptance criteria for each item listed are defined in the Requirements Definition Phase (SOP 1040).

Contracting and Performing Organizations (CON)

  • Detailed Schedule
  • Resources/Costs Assigned
  • Capital Budget
  • Risk Plan Developed

Validation Function of the Performing Organization (CON)

  • Quality Plan

Operations Function of the Performing Organization (CON)

  • Configuration Plan


Project Manager The deliverables for G-9b contribute to the development of the project’s communication plan and project plan by the Project Manager. At this point the Project Manager ensures that all known assumptions, dependencies, constraints, and risks are reflected in the project plan.

The Project Manager sends recommendations to minimize the impact from assumptions, dependencies, constraints, and risks to the Program Sponsor.The Program Sponsor supports the resolution and or mitigation of project barriers by working with OCE and/or Unit Managers.

In order to develop a more refined configuration plan, Operations must refer to Service Level Agreements (SLA's) for any relevant considerations Relevant considerations may include, but are not limited to:

  • Client expectations of maximum load level
  • Client expectations regarding disk space and processor speed


G-8: System Requirements Definition Approved
  • Business Objective: Obtain approval of the system requirements definition(s) from the Contracting Organization(s).
  • Owner: Project Manager
  • Review Board: Program Manager, Project Manager, Contracting Organization(s), and Performing

Organization(s)


Project Manager The Project Manager facilitates the dialog necessary between all parties that participated in the definition of SOW documents for the Development Function of the Performing Organization to complete Systems Requirements Specifications.

The Project Manager has responsibility for ensuring full disclosure of features, functionality and technical constraints that impact the project scope approved at Gate 10.


Review Board The Review Board reviews the approved System Requirements Specifications.


Initial Development and Operations estimates are made based on the Scope of Work (SOW) documents that are generated in the Release Planning Procedure (SOP 1005) and the System Requirements that are created in the Requirements Definition Phase.The initial estimates must include the following:
  • Estimate of risk level
  • Percent of code to be modified
  • Number of beans being changed
  • DDL changes
  • DML changes
  • Time required to deliver work
  • Resources required to deliver work

The estimates are forwarded to the Project Manager to include in the project plan.


G-7: Lock-Down Level
  • Business Objective: Complete the estimates and scope refinement necessary for Lock-Down
  • Owner: Project Manager
  • Review Board: Program Manager, Project Manager, Contracting Organization(s), Architecture Function of the Performing Organization(s), and Development Function of the Performing Organization(s)


Project Manager The Project Manager is responsible for ensuring that the documents in G-7b are completed with quality and meet acceptance criteria defined in the Requirements Definition Procedure (SOP 1040).


Organizations:
  • Performing
  • Contracting

Performing Organization(OWN)

  • Refined Resources Estimates

Architecture Function of the Performing Organization (OWN)

  • Estimation Documentation

Development Function of Performing Organization (OWN)

  • Work Breakdown Structure

Contracting Organization (OWN)

  • Final Portfolio Scope


Project Manager

The Project Manager ensures coordination between Contracting and Performing Organizations.This effort is focused at reducing cycle time and maintaining the highest level of common understanding between parties.

Further, the Project Manager will refine the project plan for the release incorporating data provided through this gate. The Project Manager will communicate the final portfolio scope to all interested areas in the organization.


Operations will identify hardware requirements, hardware and software configurations necessary and the execution plan intended.This information will feed the final Configuration Management plan that will be presented to the Project Manager.This information will then be contained in the release project plan for project management purposes.


G-6: Project Lock-Down

(Also described as: Go/No Go Decision or Cross-functional Commitment to the Delivery of a Defined Set of Features and Functionality)

  • Business Objective: Obtain commitment between the Performing Organization(s) and the Contracting Organization(s) for the delivery of a defined project scope of work within a defined timeframe. (This scope is a refinement of the G-10 scope/plan).
  • Owner: Project Manager
  • Review Board: Program Sponsor, Program Manager, Project Manager, Contracting Organization(s), Performing Organization(s), and Service Organization


Project Manager Project Manager is responsible for ensuring that the documents in G-6b are completed with quality and meet acceptance criteria defined in the Requirements Definition Procedure (SOP 1040).


Organizations
  • Project Manager
  • Contracting
  • Performing

Project Manager (OWN)

  • Project Plan

Contracting Organization (OWN)

  • Deployment Plan Business
  • Plan Impact Assessment

Performing Organization (OWN)

  • Service Plan


Project Manager In order to complete the project plan, the Project Manager will request and receive materials listed in G-6d from various areas of both the Contracting and Performing Organizations.Acceptance criteria for each item listed are defined in the Requirements Definition Procedure (SOP 1040).
Organizations:
  • Contracting
  • Performing

High Level Schedule Through Release General Availability

  • Assigned Resources/Cost Profiles Through Release General Availability
  • Risk Plan Release Scope

Program Sponsor, Contracting and Performing Organizations (SUP)

  • Approved Capital Budget

QA Function of the Performing Organization (CON)

  • Quality Plan

Operations Function of the Performing Organization (CON)

  • Configuration Plan


Project Manager The Project Manager is responsible for scheduling, notifying participants, creating meeting materials, facilitating meetings and distributing meeting minutes for this formal Review Board meeting

Note: This gate is a significant step in the System Development Life Cycle as it is the point where both the Contracting and Performing Organizations commit to project scope, cost and schedule.

Review Board The Review Board reviews the results of the definition phase and re-evaluates the business objectives of the project. This review may result in agreed upon changes in scope, cost and/or schedule.The resulting agreement represents a commitment between the Performing and Contracting Organizations to deliver the project as defined within the agreed upon scope, cost and schedule constraints.


Project Manager The Project Manager ensures coordination between the Contracting and Performing Organizations.Further, the Project Manager communicates the project scope and schedule to all interested parties.


After Project Lock-Down has taken place, Operations can begin working on preparing the development test environment.In order to do so, Operations will utilize the Configuration Management Plan developed in the prior gate. Additionally, Operations will be required to obtain the completed functional specification from Development These functional specifications are a more detailed and accurate version of the estimates given to the Project Manager during the Requirements Definition Procedure. Lastly, Operations will use the project plan with detailed tasks provided by the Project Manager in order to create this environment.

The test environment must contain the following:

  • Development test databases
  • Version Control procedures
  • Build schedule

File:SOP1003-03.gif


G-5: Detailed Plans Complete
  • Business Objective: Approve the detailed project plan and commit the appropriate resources to execute the plan.
  • Owner: Project Manager
  • Review Board: Project Sponsor, Program Manager, Project Manager, and Performing Organization


Project Manager The Project Manager is responsible for ensuring that the documents from G-5B are completed with quality and meet acceptance criteria defined in the Detail Design Procedure (SOP 1041).
Performing Organization

Development Function of the Performing Organization (OWN)

  • Project Plan Product
  • Functional Specification

Architecture Function of the Performing Organization (OWN)

  • Allocated Requirements
  • System Interfaces

The Architecture Function of the Performing Organization includes the Development and Operation Functions since they share responsibility for delivery and support of the delivered solution.Development handles the creation of the interface code. Operations manages the receipt, processing and storage or interface data; this includes service level considerations for capacity, turnaround time, and connectivity.

Project Manager In order for the Project Manager to complete the project plan, he/she will

use the project plan from the Development Function of the Performing Organization to update the overall project plan. Acceptance criteria are defined in the Detail Design Procedure (SOP 1041).


G-4: Begin Validation
  • Business Objective: Ensure that the product meets the defined project scope and that the quality of the product is at an acceptable level to proceed to the Validation phase.
  • Owner: Validation Function of the Performing Organization(s)
  • Review Board: Program Manager, Project Manager, Validation function of the Performing Organization(s), and Development Function of the Performing Organization(s)
Project Manager The Project Manager is responsible for ensuring that the documents and activities in G-4b are completed with quality and meet acceptance criteria defined in the Development Procedure, Training and Documentation (SOP 1101) and Quality Function procedures (SOP 1210).


Performing Organization

Development Function of the Performing Organization (OWN)

  • Product (contains all defined scope and under configuration management)
  • Development testing results
  • Systems integration results
  • Preliminary product documentation
  • Field performance criteria

Validation Function of the Performing Organization (OWN)

  • Test preparation complete

Gate 4 requires a formal management review by the Performing Organization.


Review Board Before commencing validation, the quality of the product and documentation emerging from the development phase is evaluated by the Review Board to assess the risk associated with entering the next phase. The level of management involved at this review may be lower than at the other management phase reviews since the issues being addressed at this review are internal to the Performing Organization.A key consideration at this review is to determine whether the product and documentation quality is high enough to allow the testing function to make significant progress. It is also possible at this review that decisions may need to be made concerning scope, cost and schedule tradeoffs if the project performance to date has deviated from the baseline established at G-6.Such decisions should not, however, be deferred until this point in the project’s lifecycle but should be actively addressed as soon as the need for a decision becomes apparent.

At any point in the life cycle, if there are decisions concerning scope, cost and schedule tradeoffs, the Gate 6 Review Board will formally review the situation


Project Manager Should the Gate 6 Review Board need to assemble, the Project Manager is responsible for scheduling, notifying participants, creating meeting materials, facilitating meetings and distributing meeting minutes for this formal Review Board meeting. The Project Manager updates any resulting changes to the project plan. This may lead to the request and collection of revised estimates from Performing, Contracting, and Service Organizations.


G-3: Begin System Certification

(Product Acceptance Testing)

  • Business Objective: Approve release of the product to System Certification Testing.
  • Owner: Contracting Organization(s)
  • Review Board: Program Manager, Project Manager, Contracting Organization(s), System Certification Function of the Contracting Organization(s), and Validation Function of the Performing Organization(s)


Project Manager The Project Manager is responsible for ensuring that the validation testing in G-3b is completed with quality and meets acceptance criteria defined in the Training and Documentation Procedures (SOP 1101) and Quality Function Procedures (SOP 1210).


Validation Function of the Performing Organization The Validation Function of the Performing Organization completes a review and validation of the Preliminary Documentation provided by the Development Function of the Performing Organization. Acceptance by the Validation Function of the Performing Organization is required prior to beginning system certification.

Project Manager

The Project Manager has responsibility for verifying completion and obtaining signoff from the Validation Function of the Performing Organization.


G-2: Begin FOA/Beta

(Client Acceptance Testing)

  • Business Objective: Approve release of the product for first office application
  • Owner: Contracting Organization(s)
  • Review Board: Project Sponsor, Program Manager, Project Manager, Contracting Organization(s), System Certification Function of the Contracting Organization(s), Performing Organization(s), Validation Function of the Performing Organization(s), and Service Organization


Project Manager

The Project Manager is responsible for ensuring that the documents and activities in G-2b are completed with quality and meet acceptance criteria defined in the Quality Function Procedure (SOP 1210).


Organizations:

  • Performing
  • Contracting
  • Support
  • Training

Development Function of the Performing Organization (OWN)

  • Product and Documentation

Validation Function of the Performing Organization

  • Product and Documentation Test results

Contracting Organization

  • Certification test results
  • ImplementationDeployment Plan
  • Deployment Plan
  • Customer Site
  • Market Analysis

Training Organization

  • Service Training

Service Organization

  • Deployment Tools


Review Board

Gate 2 requires a formal management review. The Deployment Phase represents a significant milestone to the customers in the lifecycle of a project. There is also significant risk associated with this milestone. The project product is expected to be of commercial quality at this time and any data from the validation phase that indicates otherwise must be carefully analysed in terms of its potential impact to the selected customer site.Options at this review include approval to deploy the project product, approval to deploy with exceptions due to some subset of the scope having failed validation, and approval of a schedule delay (and consequent additional cost) to correct problems that are known to exist.


Project Manager

Deviations in deliverables or timeframe are handled using a formal process with the results communicated by the Project Manager to all areas participating in the effort.

Any decisions concerning scope, cost and schedule tradeoffs, the Gate 6 Review Board shall formally review the situation Should the Gate 6 Review Board need to assemble, the Project Manager is responsible for scheduling, notifying participants, creating meeting materials, facilitating meetings and distributing meeting minutes for this formal Review Board meeting. The Project Manager updates any resulting changes to the project plan.This may lead to the request and collection of revised estimates from Performing, Contracting, and Service Organizations.

G-1: Begin Controlled Rollout

  • Business Objective: Approve the release of the product for controlled rollout. This gate is only required when a controlled rollout (CRO) is planned as an integral phase of the project.
  • Owner: Contracting Organization(s)
  • Review Board: Project Sponsor,

Program Manager, Project Manager, Contracting Organization(s), Performing Organization(s), and Service Organization


Project Manager

The Project Manager is responsible for ensuring that the documents and activities in G-1b are completed with quality and meet acceptance criteria defined in the Training and Documentation (SOP 1101) and Deployment and Post Implementation procedures (SOP 1220).


Organizations

  • Contracting
  • Performing

Performing Organization (OWN)

  • FOA test results
  • Service training
  • Client acceptance

Contracting Organization (OWN)

  • Implementation Deployment Plan
  • Customer Site
  • Marketing Analysis
  • Risk Mitigation Plan


Project Manager

Since a controlled rollout occurs in the production environment, the documents in G-1b must meet quality and acceptance criteria defined in the Training and Documentation (SOP 1101) and Deployment and Post Implementation Procedures (SOP 1220). When a controlled rollout is an integral phase of the project plan it is mandatory, otherwise, this gate is optional.


G-0

  • Business Objective: Approve the release of the product for general availability.
  • Owner: Contracting Organization(s)
  • Review Board: Project Sponsor, Program Manager, Project Manager, Contracting Organization(s), Performing Organization(s), and Service Organization


Project Manager

The Project Manager is responsible for ensuring that the documents and activities G-0b are completed with quality and meet acceptance criteria defined in the Deployment and Post Implementation Procedures (SOP 1220).


Organizations:

  • Contracting
  • Service
  • Performing
  • Training

Contract Organization (OWN)

  • Product and Documentation
  • Deployment plan complete
  • Marketing information
  • Market Analysis
  • Risk Mitigation Plan

Service (OWN)

  • General Availability Implementation Deployment Plan Template

Performing (OWN)

  • Service training
  • FOA test results
  • Order entry system
  • Client acceptance

Training (OWN)

  • Customer Training


Review Board

Gate 0 requires a formal review process.It is the final management phase review that occurs upon completion of initial field deployments (First Office Application and Controlled Rollout) which are intended to provide final validation of the project product in a live system environment.This review effectively marks completion of the project and acceptance by the Contracting Organizations from the Performing Organization.

The Review Board reviews and approves completion of the Gate 0requirements.Deviations in deliverables or timeframe are handled by convening the Gate 6 Review Board. This group will make any decisions concerning scope, cost, and schedule tradeoffs.


Project Manager

Should the Gate 6 Review Board need to assemble, the Project Manager is responsible for scheduling, notifying participants, creating meeting materials, facilitating meetings and distributing meeting minutes for this formal Review Board meeting. The Project Manager updates any resulting changes to the project plan. This may lead to the request and collection of revised estimates from Performing, Contracting, and Service Organizations

The Project Manager is responsible for attending the Program/Project Management post implementation review on the project and holds a meeting with other Program and Project Managers to review lessons learned.Trends and issues encountered over a number of projects are discussed as wells as new techniques that proved successful.


Performing Organization

The Validation Function of the Performing Organization conducts a project post-implementation review in which representatives from all areas participating in the project review the project.Quality issues and their root cause are discussed.

The Quality Assurance group documents the post implementation meeting and distributes to all attendees, all Project Managers Program Managers as well as the PMO


Forms

  • See Hardcopy


Exceptions

  • None at this time


Tools/Software/Technology Used

  • None at this time


Attachments

  • None at this time


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