CMS XLC Record of Changes
For instructions on using this template, please see Notes to Author/Template Instructions on page iv. Notes on accessibility: This template has been tested and is best accessible with JAWS 11.0 or higher. For questions about using this template, please contact CMS IT Governance (). To request changes to the template, please submit an XLC Process Change Request (CR) (https://www.cms.gov/Research-Statistics-Data-and-Systems/CMS-Information-Technology/XLC/Downloads/XLCProcessChangeRequestCR.docx).
<Project Name/Acronym
Operations & Maintenance (O&M) Manual
Version X.X
MM/DD/YYYY
Document Number: <document’s configuration item control number>
Contract Number: <current contract number of company maintaining document>
XLC Template Revision History
The following table records information regarding changes made to the XLC template over time. This table is for use by the XLC Steering Committee only. To provide information about the controlling and tracking of this artifact, please refer to the Record of Changes section of this document.
This XLC Template Revision History pertains only to this template. Delete this XLC Template Revision History heading and table when creating a new document based on this template.
Table 1 - XLC Template Revision History
Version Number / Date / Author/Owner / Description of Change /1.0 / 11/13/2007 / J. Shadoan, OIS/DITPPA / Baseline Version
2.0 / 9/23/2009 / K. Maenner, OIS/DITPPA / Changes based on ILC CR58 based on comments from Lockheed-Martin
2.1 / 10/19/2009 / K. Maenner, OIS/DITPPA / · Adjusted List of Tables
· Added Disaster Recovery Appendix
· Renamed Appendix E
· Removed Release Management Section
2.2 / 3/09/2010 / K. Maenner, OIS/DITPPA / Changed format of table 3.2.2 per Lockheed-Martin
2.3 / 12/30/2010 / C. Shaunessy, OIS/EASG/DITG / Changes based on ILC CR090 requested by LM on behalf of Roxanne Byczkowski:
· Adjusted List of Tables
· Added verbiage to the Disaster Recovery Appendix
3.0 / 5/14/2014 / C. Shaunessy, OIS/EASG/DITG / Moved content to new XLC template format
3.1 / 8/7/2014 / C. Shaunessy, OIS/EASG/DITG / · Corrected heading labels on Roles/Responsibilities table in Section 4.
· Adjusted table captions for 508 compliance
· Added Section 5.3: Production Control Procedures
· Other minor formatting and content changes per CR 14-012
3.2 / 02/02/2015 / Surya Potu, CMS/OEI/DPPIG / Updated CMS logo
3.3 / 02/17/2016 / Rick Buske, CMS/OEI/DPPIG / Updated Appendix 8-D with text from Operations & Maintenance (O&M) Manual template version 2.3
4.0 / 04/01/2016 / CMS / · Updated template style sheet for Section 508 compliance
· Added instructional text to all blank cells in tables
· Added instructional text instructing authors to delete the XLC Template Revision History when creating a new document based on this template
· Added header row to Table 5 - Software-to-Hardware Matrix for Section 508 compliance
· Added header row to Table 12 - Embedded Software for Section 508 compliance
· Added Acronym column to Table 18 - Glossary
· Reformatted Table 19 - Approvals for Section 508 compliance
5.0 / 06/22/2016 / C. Shaunessy (OEI/DPPIG) / · Added “Optional” to Appendix 8-F and Appendix 8-G per CR 16-008.
Notes to the Author/Template Instructions
This document is a template for creating an Operations & Maintenance Manual for a given investment or project. The final document should be delivered in an electronically searchable format. The Operations & Maintenance Manual should stand on its own with all elements explained and acronyms spelled out for reader/reviewers, including reviewers outside CMS who may not be familiar with CMS projects and investments.
This template includes instructions, boilerplate text, and fields. The developer should note that:
· Each section provides instructions or describes the intent, assumptions, and context for content included in that section. Instructional text appears in blue italicized font throughout this template.
· Instructional text in each section should be replaced with information specific to the particular investment.
· Some text and tables are provided as boilerplate examples of wording and formats that may be used or modified as appropriate.
When using this template, follow these steps:
- Table captions and descriptions are to be placed left-aligned, above the table.
- Modify any boilerplate text, as appropriate, to your specific investment.
- Do not delete any headings. If the heading is not applicable to the investment, enter “Not Applicable” under the heading.
- All documents must be compliant with Section 508 requirements.
- Figure captions and descriptions are to be placed left-aligned, below the figure. All figures must have an associated tag providing appropriate alternative text for Section 508 compliance.
- Delete this “Notes to the Author/Template Instructions” page and all instructions to the author before finalizing the initial draft of the document.
Record of Changes
Instructions: Use the table below to record information regarding changes made to the document over time.
Table 2 - Record of Changes
Version Number / Date / Author/Owner / Description of Change /<X.X> / <MM/DD/YYYY> / CMS / <Description of Change>
<X.X> / <MM/DD/YYYY> / CMS / <Description of Change>
<X.X> / <MM/DD/YYYY> / CMS / <Description of Change>
O&M Manual Version X.X 3 <Project and release name>
CMS XLC List of Tables
Table of Contents
1. Introduction 1
1.1 System Manual Identification 1
2. Referenced Documents 2
3. System Overview 3
3.1 Functional System Overview 3
3.1.1 Application/System Dependency 3
3.2 Physical System Overview 3
3.2.1 Physical Architecture 3
3.2.2 System Software to Hardware Specifications 4
3.2.3 System Firewall Specifications 6
3.3 System User Overview 6
3.3.1 Estimated Users 6
3.3.2 Peak Processing Time 6
3.3.3 Hours of Operation 6
3.3.4 User Impact for System Failure 6
3.4 Processing Overview 6
3.4.1 Data Flow Diagram 7
3.4.2 Data Sources 7
3.4.3 Data Refresh/System Updates 7
3.4.4 Reporting Requirements 7
3.4.5 Service Level Agreements (SLAs) 7
3.5 Security and Privacy Overview 8
4. O&M Roles and Responsibilities 9
5. Operation Procedures 10
5.1 Operations Sequence 10
5.2 Operations Procedures 10
5.3 Production Control Procedures 10
5.4 Input/Output Procedures 10
5.5 Diagnostic and Problem Handling Procedures 11
5.6 Backup Procedures 11
5.7 Restart/Recovery Procedures 11
5.8 Monitoring Procedures 11
5.9 Maintenance Procedures 11
6. Data and Database Administration 12
6.1 Data Administration Procedures 12
6.2 Database Administration Procedures 12
7. Configuration Management 13
Appendix 8-A: Software Licensing 14
Appendix 8-B: Service Desk Scripts 15
Appendix 8-C: Service Desk FAQ 17
Appendix 8-D: Disaster Recovery Procedures 18
Appendix 8-E: Application Validation Procedures 20
Appendix 8-F: Server Start-up and Shutdown Procedures: Scripts 21
Appendix 8-G: Server Build Documentation 22
Appendix 8-H: Contact List 23
Appendix 8-I: Acronyms 24
Appendix 8-J: Glossary 25
Approvals 26
List of Figures
No table of figures entries found.
List of Tables
Table 1 - XLC Template Revision History ii
Table 2 - Record of Changes v
Table 3 - Referenced Documents 2
Table 4 - Application/System Dependency 3
Table 5 - Software-to-Hardware Matrix 5
Table 6 - Application Special Server Table 6
Table 7 - Firewall Information 6
Table 8 - Data Sources 7
Table 9 - Database Refresh Schedule 7
Table 10 - Roles and Responsibilities 9
Table 11 - Database Administration Team 12
Table 12 - Embedded Software 14
Table 13 - Problem-Solving Scenarios 15
Table 14 - Application Support Contacts 15
Table 15 - IT Support Responsibilities 16
Table 16 - Contact List 23
Table 17 - Acronyms 24
Table 18 - Glossary 25
Table 19 - Approvals 26
O&M Manual Version X.X 3 <Project and release name>
CMS XLC System Overview
1. Introduction
Instructions: Provide full identifying information for the automated system, application, or situation for which the O&M Manual applies, including as applicable, Also identify the type(s) of computer operation involved (e.g., desktop, mainframe, client/server, Web-based, online and/or batch transaction processing and/or decision support). Summarize the purpose of the document, the scope of activities that resulted in its development, its relationship to other relevant documents (e.g., the System Security Plan (SSP) and/or Information Security (IS) Risk Assessment (RA), System Design Document (SDD), Interface Control Document (ICD), Database Design Document, Data Conversion Plan, Release Plan, Version Description Document (VDD), Implementation Plan, Test Plan, User Manual, etc., if they exist), the intended audience for the document, and expected evolution of the document.
1.1 System Manual Identification
Instructions: Provide identifications number(s), title(s)/name(s), abbreviation(s)/acronym(s), version number(s), and release number(s).
2. Referenced Documents
Instructions: Provide identifying information for all documents used to arrive at and/or referenced within the O&M Manual (e.g., related and/or companion documents, prerequisite documents, relevant technical documentation, etc.). At a minimum, the current Version Description Document (VDD) should be identified as a referenced, companion document.
Table 3 - Referenced Documents
Document Name / Document Number and/or URL / Issuance Date /<Document Name> / <Document Location and/or URL> / <MM/DD/YYYY>
<Document Name> / <Document Location and/or URL> / <MM/DD/YYYY>
<Document Name> / <Document Location and/or URL> / <MM/DD/YYYY>
3. System Overview
Instructions: Provide a description of the system, including its purpose and uses. Describe the relevant benefits, objectives and goals as precisely as possible. Include a high-level context diagram(s) for the system and subsystem. This section should also describe at a high-level overview of the business background, i.e., what the system is, why it is being created, for whom it is being created, and where it will exist.
3.1 Functional System Overview
Instructions: Briefly describe the high-level capabilities and operation of the system (i.e., what the system does (and doesn’t do, if necessary). Itemize each functional component with a description. Provide functional hierarchy diagram if applicable.] Describe the basic flow of the system and include a Dataflow and Logical architecture design. This should include a design of the architecture and how the data flows through the system.
3.1.1 Application/System Dependency
Instructions: Provide any dependencies of the application/system and the impact.
Table 4 - Application/System Dependency
Dependent Application/System / Function / Impact (If Application is Down) /<Dependent Application/System Name> / <Function> / <Impact if Application is Down>
<Dependent Application/System Name> / <Function> / <Impact if Application is Down>
<Dependent Application/System Name> / <Function> / <Impact if Application is Down>
3.2 Physical System Overview
Instructions: Provide a brief description of the system architecture and the major system components essential to the operation of the system in the production environment. Provide identifying and descriptive information for all hardware and software components, including purpose/operation of each component and the amount of memory and auxiliary storage needed, as appropriate. For online transaction-based processing, provide an inventory of all software components that must be loaded for the software system to be operational. Identify software necessary to resume operation of the system in case of emergency. Identify all permanent files and databases that are referenced, created, or updated by the system, including retention schedule and disposition.
3.2.1 Physical Architecture
Instructions: Provide any charts, diagrams, and/or graphics as necessary to depict system organization and production operational interrelationships. All diagrams should include all server names (Physical/Virtual), IP addresses, Application Layers, Operating Systems, Firewall/Ports, etc.
Diagram should be labeled as items with corresponding descriptions given (i.e. item 1 of Figure X, Item 2 of Figure X etc.)
3.2.2 System Software to Hardware Specifications
Instructions: Provide table to identify ALL servers in the Physical Production Architecture. For each server identified, the Server Name, OS, Primary Function and whether the server is dedicated should be provided. Virtual Server information should also be provided if applicable. Please note if any servers are owned/operated by a different company, i.e. ATT, etc.
O&M Manual Version X.X 4 <Project and release name>
CMS XLC System Overview
Table 5 - Software-to-Hardware Matrix
Item / Server 1 / Server 2 / Server 3 / Server 4 / Server 5 /Server Name/Type / <Server 1 data> / <Server 2 data> / <Server 3 data> / <Server 4 data> / <Server 5 data>
Rack/Zone / <Server 1 data> / <Server 2 data> / <Server 3 data> / <Server 4 data> / <Server 5 data>
Internet Protocol (IP) Address / <Server 1 data> / <Server 2 data> / <Server 3 data> / <Server 4 data> / <Server 5 data>
Infrastructure Zone / <Server 1 data> / <Server 2 data> / <Server 3 data> / <Server 4 data> / <Server 5 data>
Primary Function / <Server 1 data> / <Server 2 data> / <Server 3 data> / <Server 4 data> / <Server 5 data>
Dedicated / <Server 1 data> / <Server 2 data> / <Server 3 data> / <Server 4 data> / <Server 5 data>
Software Type / <Server 1 data> / <Server 2 data> / <Server 3 data> / <Server 4 data> / <Server 5 data>
Software Name/Version / <Server 1 data> / <Server 2 data> / <Server 3 data> / <Server 4 data> / <Server 5 data>
Environment / <Server 1 data> / <Server 2 data> / <Server 3 data> / <Server 4 data> / <Server 5 data>
Volume Manager (Local) / <Server 1 data> / <Server 2 data> / <Server 3 data> / <Server 4 data> / <Server 5 data>
Volume Manager (Storage Area Network (SAN)) / <Server 1 data> / <Server 2 data> / <Server 3 data> / <Server 4 data> / <Server 5 data>
Redundant Array of Independent Disks (RAID) Level (Local) / <Server 1 data> / <Server 2 data> / <Server 3 data> / <Server 4 data> / <Server 5 data>
Central Processing Unit (CPU) / <Server 1 data> / <Server 2 data> / <Server 3 data> / <Server 4 data> / <Server 5 data>
Memory / <Server 1 data> / <Server 2 data> / <Server 3 data> / <Server 4 data> / <Server 5 data>
Primary Hard Disk / <Server 1 data> / <Server 2 data> / <Server 3 data> / <Server 4 data> / <Server 5 data>
Operating System (OS) / <Server 1 data> / <Server 2 data> / <Server 3 data> / <Server 4 data> / <Server 5 data>
System / <Server 1 data> / <Server 2 data> / <Server 3 data> / <Server 4 data> / <Server 5 data>
O&M Manual Version X.X 5 <Project and release name>