Professional Documents
Culture Documents
Procedures
Version1.1
June2011
OperateandMaintainPhaseProcedures
VersionHistory
Version
Number
1.0
ImplementedBy
RevisionDate
ChrisNiedermayer
ApprovedBy
December20,2010
ApprovalDate
Descriptionof
Change
FinalVersion1.0
1.1
ChrisNiedermayer
June27,2011
Updatesto
stylesand
quality
assurance
review
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Contents
1.
OperateandMaintainPhase...............................................................................................................1
1.1
OperateandMaintainPhaseDescription.....................................................................................2
1.1.1
HighLevelOperateandMaintainPhaseProcessFlow.........................................................3
1.1.2
EntryCriteria/Input...............................................................................................................4
1.1.3
ControlGateReviewCriteria................................................................................................4
1.1.4
Tasks......................................................................................................................................4
1.2
OperateandMaintainPhaseTaskDescriptions...........................................................................6
T61 ConductPostDeploymentReview...........................................................................................6
T62 ProvideUserTraining................................................................................................................8
T63 ProvideFunctionalUserSupport..............................................................................................9
T64 ProvideTechnicalSupport......................................................................................................10
T65 MonitorandManageSolutionPerformance..........................................................................11
T66 GatherMetricsandGeneratePerformanceReports..............................................................13
T67 MonitorandMaintainSecurityandPrivacyPosture..............................................................14
T68 PerformRoutineMaintenance...............................................................................................16
T69 ConductAnnualOperationalAnalysis.....................................................................................18
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1. OperateandMaintainPhase
TheDepartmentofHousingandUrbanDevelopments(HUD)ProjectPlanningandManagement(PPM)
LifeCycleistherigorousapplicationofsoundinvestment,projectmanagementprinciplesandbest
practicesfororganizingandmanagingITprojects.AsacomponentofHUDsoverarchingInformation
TechnologyManagement(ITM)Framework,itprovidesthecontextfortheHUDITgovernanceprocess
anddescribestheinterdependenciesbetweenprojectmanagement,investmentmanagement,and
capitalplanningcomponents.
ThePPMLifeCyclecoversallaspectsofaprojectfromtheinitialdevelopmentofanideathroughtoits
decommissioning.Becausethereiswidevarianceinthemethods,techniquesandtoolsneededto
supportanITproject,thePPMLifeCycleisflexibleandcanbetailoredtoaddresstheneedsand
requirementsofeachindividualprojectregardlessofitssize.Itaimstocapturetheminimumlevelof
detailnecessarytoensureprojectsuccess.Eachproject,workinginconjunctionwiththeOfficeofthe
ChiefInformationOfficer(OCIO),willcapturedecisionsaroundPPMLifeCycletailoringintheProject
ProcessAgreement(PPA),whichdocumentsthereasonsforusing,combining,orskippingspecific
artifactsapplicabletotheproject.
ThePPMLifeCycleappliestoallHUDITprojects,includingbutnotlimitedto:
Newprojects
Majorenhancementstoexistingprojects
Projectsassociatedwithoperationsandmaintenanceinvestments
Highpriority,fasttrackITprojects
NewCommercialofftheShelf(COTS)productacquisitions
TherearesevenmajorphasesofthePPMLifeCycle;artifactshavebeencreatedforeachphase.These
artifactsareinterrelated,eitherrollingupotherartifacts,orbuildinguponaconcepttodefinealower
levelofdetail.
ThisdocumentaddressestheprocessesandrelatedproceduresfortheOperateandMaintainPhase,the
sixthphaseinthePPMLifeCycle.
Need/
Concept
Definition
Executionof
Solution
Design
Operate&
Deployment
Maintain
Decommission
Figure1TheOperateandMaintainPhaseRelativetotheEntirePPMLifeCycle
Thepurposeofthisdocumentisto:
Provideadetaileddescriptionofthephase
Identifythetasksandactivitiesthattakeplaceduringthephase
Giveguidanceandtemplatesoncompletingthetasksandactivitiesrequiredtoexitthephase
Detailtherolesandresponsibilitiesassociatedwithcompletingeachofthetasksandactivities
forthisphase
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1.1 OperateandMaintainPhaseDescription
DuringtheOperateandMaintain(O&M)Phase,thecertifiedandaccreditedsolutionrunsinthefull
scaleproductionenvironmentforsustaineduseandoperationsandmaintenancesupport.Inthisphase,
theoperationsprojectteamperformsalldailyactivitiesnecessarytooperatethesolutionandensure
thatitmeetsongoingfunctionalandnonfunctionalneeds.Theseactivitiesincludemonitoringthe
solutionsperformancetoensureadequateresponsetime,availability,security,andproblemfree
operation;providinghelpdesksupport;and,trainingusers.
Theoperationsprojectteamcarriesoutmaintenancetasksincludinginfrastructureupgrades,software
patches,managingandexecutingchangestothesolutionsbaselinecodeandconfiguration,and
resolvingPlansofActionandMilestones(POA&Ms).Periodicallythesolutionwillalsoneedtobere
certifiedandreaccreditedforcontinuedoperationintheproductionenvironment.
Thisphasewillcontinueaslongasthesolutionisinuse.Atleastannually,theteamalsoassistswiththe
operationalanalysisofthesolution.Thisanalysishelpstodetermineifthesolutionshouldcontinue
operatingasis,bemodified/enhancedtomeetchangingbusinessandtechnicalrequirements,or
retired.Whenthetimecomesthatthesolutionisnolongerneededorwillberetired,itmovesintothe
DecommissionPhasewhereaplanforitsfinaldispositionisprepared,approved,andexecuted.
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1.1.1 HighLevelOperateandMaintainPhaseProcessFlow
Figure2HighLevelOperateandMaintainPhaseProcessFlow
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1.1.2 EntryCriteria/Input
BeforetheOperateandMaintainPhasecanbegin,thegovernancebody(ies)musthavereviewedthe
DeploymentPhasepackageandgivenapprovalfortheprojecttobegintheOperateandMaintainPhase.
TheDeploymentPhasepackageconsistsoftheProjectCompletionReport.
Inaddition,theoperationsprojectteamwillutilizeallrelevantdocumentscompletedinearlierphases
ofthePPMLifeCyclewhilethesolutionremainsintheOperateandMaintainPhase.Criticalartifacts
include,butarenotlimitedto:
ProjectCharter
ProjectBusinessValueAnalysis
ProjectSchedule(WBS)
InterfaceControl
ContingencyPlan
SystemSecurityPlan
TrainingManual
UserManual
OperationsandMaintenanceManual
TestReport
1.1.3 ControlGateReviewCriteria
In order to pass through the Operate and Maintain Phase control gate, the project must receive
approvaloftheOperateandMaintainPhasepackage.TheOperateandMaintainPhasepackageconsists
of:
PostDeploymentReport
AnnualOperationalAnalysis
UpdatedOperationsandMaintenanceManual
UpdatedUserManual
MonthlyOperationalStatusReport
ChangeRequestForm(s)
Varioussystemusageandperformancereports
Varioussupportmetricsandreports
Securityselfassessmentandotherupdatedsecurityandprivacyartifacts(intheCyberSecurity
andManagement(CSAM)system)
1.1.4 Tasks
ThefollowingtaskstakeplaceintheOperateandMaintainPhase:
T61
T62
T63
T64
T65
T66
T67
ConductPostDeploymentReview
ProvideUserTraining
ProvideFunctionalUserSupport
ProvideTechnicalSupport
MonitorandManageSolutionPerformance
GatherMetricsandGeneratePerformanceReports
MonitorandMaintainSecurityandPrivacyPosture
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T68
T69
PerformRoutineMaintenance
ConductAnnualOperationalAnalysis
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1.2 OperateandMaintainPhaseTaskDescriptions
T61 ConductPostDeploymentReview
WhatHappens?
ApostdeploymentreviewisconductedandtheresultsdocumentedinthePostDeploymentReport.
WhoDoesWhat?
TheITandbusinessprojectmanagersandothermembersoftheintegratedprojectteam(IPT)conducta
reviewtomeasuretheproject'ssuccessandworktowardcontinuousimprovement.Thereviewteam
presentstheresultsinthePostDeploymentReport.
WhatComesin?
ProjectCharter
ProjectBusinessValueAnalysis
ProjectSchedule(WBS)
LessonsLearned
Userfeedback
Systemusagereports
WhatControlsNeedtobeUsed?
Theteamusesthecontrolslistedbelowtocreatetherelevantartifactsorcompletethetaskactivities:
PostDeploymentReporttemplate,instructions,andchecklist
WhatisProduced?
Work
Product
Responsibilities
Post
Responsible IPT
Deployment
Accountable ITandbusinessPMs
Report
Consulted
Operationsprojectteam
Informed
Projectsponsorand
investmentowner
DetailedTasks
Thefollowingdefinesthedetailedsubtasksthattakeplacewithinthistask:
T61.1 ConductReviewAfteraperiodofsustainedoperation(afteratleastonefullprocessingand
reportingcyclehasbeencompletedandallendusershavebeentrainedonthesolution),theIPT
conductsareviewofthesolutionthatwasreleasedintotheproductionenvironmentto
determineifitisoperatingasexpected.Thereviewteamseekstoascertainthedegreeof
successfromtheproject(inparticular,theextenttowhichitmetitsobjectives,delivered
plannedlevelsofbenefit,andaddressedthespecificrequirementsasoriginallydefined).The
teamexaminestheefficacyofallelementsoftheinstalledsolutiontoseeiffurther
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improvementscanbemadetooptimizethebenefitdelivered,andtolearnlessonsfromthe
projectthatcanbeusedtoimprovefutureprojectworkandsolutions.
T61.2 CreatePostDeploymentReportThereviewteamgeneratesthePostDeploymentReport,
whichdocumentsimplementationexperiences,indicatesifthesolutionisdeliveringthe
specifiedbusinessneeds,recommendssolutionenhancements,andprovidesguidancefor
futureprojects.TheteamusesthePostDeploymentReporttemplate,instructions,andchecklist
todevelopthereport.
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T62 ProvideUserTraining
WhatHappens?
Theoperationsteamprovidesuserswithperiodicrefreshertraining,asneeded.
WhoDoesWhat?
Basedoncontractualrequirementsandtheneedsofthebusinessstakeholders,theoperationsteam
providestrainingonthesolution.Thetrainingmayincludeoneononesessions,webcasts,andclasses.
WhatComesin?
TrainingMaterials
TrainingPlan
WhatControlsNeedtobeUsed?
Theteamusesthecontrolslistedbelowtocreatetherelevantartifactsorcompletethetaskactivities:
TrainingMaterialInstructions
WhatisProduced?
Work
Product
Training
Material
Responsibilities
Responsible
Operationsmanager
Accountable BusinessPM
Consulted
Operationsprojectteam
Informed
Projectsponsorand
investmentowner
Training
Responsible Operationsmanager
Evaluations
Accountable BusinessPM
Consulted
Operationsprojectteam
Informed
Projectsponsorand
investmentowner
DetailedTasks
Thefollowingdefinesthedetailedsubtasksthattakeplacewithinthistask:
T62.1 PerformTrainingNeedsAssessmentReviewproductionsupportticketsand/orsurveythe
stakeholderstoidentifyspecifictrainingneeds.
T62.2 UpdateTrainingMaterialUpdatethetrainingmaterialsbasedontrainingneedsidentifiedin
theassessment.UpdatethesolutionsFrequentlyAskedQuestionswebpage.Distributetraining
materialtothevariousstakeholders.
T61.1 ConductTrainingSessionsConducttrainingsessionsbasedontheTrainingPlandeveloped
earlierinthesolutionslifecycle.
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T63 ProvideFunctionalUserSupport
WhatHappens?
Functionalsupportisprovidedtotheendusersuponrequestandasneeded.
WhoDoesWhat?
Theoperationsteamprovidestheenduserswithsupportonusingthesolutionsfunctionalitiesand
resolvingissuesthattheusersencounter.
WhatComesin?
OperationsandMaintenanceManual
UserManual
WhatControlsNeedtobeUsed?
Theteamusesthecontrolslistedbelowtocreatetherelevantartifactsorcompletethetaskactivities:
Helpdeskprotocolsandguidelines
WhatisProduced?
Supporttickets
Supportmetricsandreports
DetailedTasks
Thefollowingdefinesthedetailedsubtasksthattakeplacewithinthistask:
T63.1 ProvideHelpdeskSupportThehelpdeskteamprovidesthedaytodayfunctionalsupport
requiredbyusersofthesolution.Thisincludesassistingtheuserswithnavigatingthesolution,
identifyingtheappropriateinputsandoutputs,andaddressingerrormessagesanddefects.The
helpdeskdeterminesifdefectsorerrorsindicatesolutionwideissuesthattheyshouldescalate
toHUDmanagement,communicatetotheentireuserbase,and/orforwardtothetechnical
supportteamforresolution.ThehelpdeskusesaHUDstandardrepositoryforloggingsupport
requestsandtrackingthemtoresolution.Therepositoryalsoallowstheteamtoaccumulatea
knowledgebaseofsupportissuesandtheirassociatedresolutions(includingworkarounds)and
servesasasourceofsupportmetrics.
Theoperationsmanagerensuresthatproceduresareinplacetokeepthehelpdeskpersonnel
informedofallchangesormodificationstothesolutionandallowthepersonneltomaintainthe
requiredlevelofproficiencywiththesolution.
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T64 ProvideTechnicalSupport
WhatHappens?
Technicalsupportisprovidedtousers,asneeded.
WhoDoesWhat?
Theoperationsprojectteamprovidestechnicalsupporttoendusers.
WhatComesin?
OperationsandMaintenanceManual
Technicalmanuals
WhatControlsNeedtobeUsed?
Theteamusesthecontrolslistedbelowtocreatetherelevantartifactsorcompletethetaskactivities:
Supportprotocolsandguidelines
WhatisProduced?
Work
Product
Service
Deskor
CHAMP
Tickets
Responsible
Responsibilities
Operationsprojectteam
Accountable Operationsmanager
Consulted
ITPM
Informed
Projectsponsorand
investmentowner
DetailedTasks
Thefollowingdefinesthedetailedsubtasksthattakeplacewithinthistask:
T64.1 ProvideTechnicalSupportTheoperationsprojectteamprovidestechnicalsupporttothe
usersofthesolution.Thissupportmayinvolvegrantingandterminatingaccessrightstothe
solutionasauthorizedbytheprojectmanagerorauthorizeddesignee,setupofworkstationsor
terminalstoaccessthesolution,andmaintenanceoftheoperatingsystemforbothserverand
workstation.TechnicalsupportpersonnelmaybeinvolvedwithissuinguserIDsorloginnames
andpasswords.
TheteamusesaHUDstandardrepositorysuchastheHITSServiceDeskortheCentralizedHUD
AccountManagementProcess(CHAMP)systemtologrequestsandproblemsandtotrackissues
throughtoresolution.
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T65 MonitorandManageSolutionPerformance
WhatHappens?
Theoperationsteammonitorsthedailyoperationofthesystemtoensurethefollowing:
Capacityoftheplatformisnotexceeded
Solutionisoperatingwithsufficientresponsetime
Securitycontrolsarefunctioningproperly
Sufficienttransactionthroughputoccurs
Downtimeisminimized(e.g.,meantimebetweenfailuresandmeantimetofailure)
Solutionisoperatingefficiently
WhoDoesWhat?
Theoperationsmanager,networkmanager,andtelecommunicationsmanageranalyzethesystem,
network,anddatabaseutilizationreportstodetermineareasthatmayrequiretuningtoimproveoverall
performance,responsiveness,andavailability.
WhatComesin?
Solutionutilizationreports
Networkutilizationreports
Databaseutilizationreports
SolutionrelatedServiceDesktickets
WhatControlsNeedtobeUsed?
Theteamusesthecontrolslistedbelowtocreatetherelevantartifactsorcompletethetaskactivities:
Configurationmanagementguidelines
WhatisProduced?
Thefollowingdefinesthedetailedsubtasksthattakeplacewithinthistask:
Work
Must Should Should Must
Must
Responsibilities
Product
Create Create Update Update Complete
Responsible
Change
Request
Operationsmanager
Accountable ITPM
Consulted
Operationsprojectteam
Informed
Projectsponsorand
investmentowner
DetailedTasks
Thefollowingdefinesthedetailedsubtasksthattakeplacewithinthistask:
T65.1 MonitorSolutionPerformanceTheoperationsmanagerreviewsthesolutionperformance
reports.Ifthereportsindicatethatthesolutionisperformingbelowacceptablethresholds,the
operationsprojectteamanalyzestheissuesandidentifiesaresolution.Iftheresolutioninvolves
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makingachangetothesolution,theoperationsmanagerordesigneecompletesaChange
Requestform.Nochangetothesolutionisallowedwithoutgoingthroughthechangerequest
process,whichisdescribedintheConfigurationManagementPlan.
T65.2 ScheduleRoutineMaintenanceIftheoperationsprojectteamdiscoversthatroutine
maintenancejobsneedtoberun(e.g.,bouncetheserver,installsystemsoftwarepatches,
executedatareorganizationjobs/scripts)toimproveperformance,theteamfollowsthe
establishedprocessforperformingsystem(notapplicationsoftware)maintenance.
T65.3 GatherUserFeedbackTheoperationsprojectteamschedulesandconductsperiodicsurveys
ofthesolutionsuserstodeterminetheirlevelofsatisfactionwiththecurrentoperation.
T65.4 IdentifyNewRequirementsandRecommendImprovementsTheoperationsprojectteam
generatesorsolicitsrecommendationsforupdatingthesolutiontomeetnewrequirementsor
improveperformance.Theygathersufficientdetailtoenabletheteam(oraseparate/future
projectdevelopmentteam)togeneratethechangerequestandmakethenecessary
modifications.Theyensurerecommendationsincludechangestosystemdocumentationaswell
astosoftwareandhardware.
T65.5 ProcessandManageChangeRequestsTheconfigurationmanageroverseesthechange
requestprocessandfacilitatestherequestedchangeswhenapprovedbytheChangeControl
Board(CCB).Theteamdocumentsproposedchangestobaseline(controlled)softwareaffecting
thesolutioninasoftwarechangerequestandsubmitstherequesttotheCCBforreviewand
approvalbeforeproceeding.
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T66 GatherMetricsandGeneratePerformanceReports
WhatHappens?
The operations project team gathers needed metrics and creates the Monthly Operational Support
Report.
WhoDoesWhat?
Theoperationsteamcollectsmeasurementdataregardingtheoperationsandmaintenanceactivities
forthesolution.
WhatComesin?
SolutionrelatedServiceDesk,CHAMP,andothersupporttickets
Operationsmeasurementreports
WhatControlsNeedtobeUsed?
Theteamusesthecontrolslistedbelowtocreatetherelevantartifactsorcompletethetaskactivities:
Reportingguidelines
WhatisProduced?
Work
Product
Responsible
Responsibilities
Operationsmanager
Monthly
Accountable BusinessPM
Operational
Consulted
Operationsprojectteam
Status
Report
Projectsponsorand
Informed
investmentowner
DetailedTasks
Thefollowingdefinesthedetailedsubtasksthattakeplacewithinthistask:
T66.1 CreateaMonthlyOperationalStatusReportTheoperationsmanagercreatesamonthly
OperationalStatusReportthatprovideskeymetricsaroundhelpdeskandproductionoperations
support.Forexample,helpdeskmetricsmayincludenumberofreportedproblems,numberof
ServiceDeskandCHAMPSticketsclosed,averageproblemresolutiontime,problemseverity
levels,andrecommendationsonwaystoreduceorcorrectrecurringproblems.Operations
metricsmayincludesolutiondowntime/uptime,databaseandnetworkperformancemetrics,
etc.
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T67 MonitorandMaintainSecurityandPrivacyPosture
WhatHappens?
AllcomponentsofthesolutionaremonitoredtoensurethatthesolutioncontinuestomeetFederaland
HUDsecurityandprivacyrequirementsandstandards.Securitydocumentationisupdated/createdas
necessary.
WhoDoesWhat?
Thesecurityspecialistandoperationsprojectteammonitorthesolutionanditsoperatinglandscapeto
ensurecontinuedcompliancewithsecurityandprivacyrequirements,supportrecertificationand
accreditationefforts,keepdocumentationcurrent,andremediateweaknesses.
WhatComesin?
Securityandprivacyartifacts
ContingencyPlan
WhatControlsNeedtobeUsed?
HUDITsecuritystandardsandguidelines
FederalITsecuritystandardsandguidelines
WhatisProduced?
WorkProduct
Responsible
Updated
security
artifacts
Incident
reports
Responsibilities
ITsecurityspecialist
Accountable Operationsmanager
Consulted
Operationsprojectteam
Informed
Projectsponsorand
investmentowner
Responsible
ITsecurityspecialist
Accountable Operationsmanager
Consulted
Operationsprojectteam
Informed
Projectsponsorand
investmentowner
DetailedTasks
Thefollowingdefinesthedetailedsubtasksthattakeplacewithinthistask:
T67.1 MonitorSecurityandPrivacyControlsTheoperationsprojectteamperformsperiodicreviews
ofthesolution(software,hardware,communications,personnel,procedures,standards,and
contingencyplans)toensurethesecurityandprivacycontrolsarestillperformingasdesigned.
Thisincludesthefollowingactivities:
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Monitorinformationsecuritycontrolsandperformancestatistics,reporttheresults,and
escalateproblemswhentheyoccur.
Onanongoingbasis,verifythatsecurityincidentsarereportedassoonastheyare
detectedandthattheyareresolvedincompliancewithHUDandNationalInstituteof
StandardsandTechnology(NIST)policiesandprocedures.
Monitortheproductionenvironmenttoidentifychangesthatmayintroducenew
privacyrisks.InaccordancewithOMBandHUDrequirements,theyupdatethe
solutionsPrivacyImpactAssessments(PIAs)asnecessarytoreflectneworchanged
informationcollectionauthorities,businessprocesses,orotherfactorsaffectingthe
collectionandhandlingofinformationinidentifiableform.
AnychangestoHUDsecurityrequirementsrequireadditionalreviewstobeperformedonthe
systemtoensurethesystemmeetsthenewrequirements.
T67.2 ConductAnnualSelfAssessmentsTheoperationsprojectteamconductsannualassessments
ofthemanagement,technicalandoperationalsecuritycontrolstoensurethatthesolution
operatesatanacceptablelevelofrisk.
T67.3 SupportContingencyPlansTheoperationsprojectteamensurescontingencyplanningfor
disasterrecoveryiscurrent,tested,andfunded.
T67.4 SupportC&AActivitiesTheoperationsprojectteamsupportsthesolutionsrecertification
andreaccreditationefforts.
T67.5 MaintainSecurityDocumentationTheoperationsprojectteamensuresthatsecurityrelated
documents,includingriskassessmentsandsecurityplansareupdatedasnecessaryinresponse
tocontinuoustestingandmonitoring.
T67.6 AddressSecurityWeaknessesIncollaborationwiththeITsecurityspecialistandtheHUD
OfficeofITSecurity,theoperationsprojectteamfacilitatestheremediationofinformation
securityweaknesses,andprovideameansfor:
Planningandmonitoringcorrectiveactions
Definingrolesandresponsibilitiesforweaknessresolution
Assistinginidentifyingtheinformationsecurityfundingrequirementsnecessaryto
mitigateweaknesses
Trackingandprioritizingresources
Informingdecisionmakers
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T68 PerformRoutineMaintenance
WhatHappens?
Theroutinemaintenanceactivitiesaremanagedandimplemented,includingtheapplicationof
hardwareandsoftwareupgrades.
Releaseupgradesofthesystemsoftwareandhardwareintotheproductionenvironment,when
required,toensurethesystemremainsresponsivetotheusersneeds.Suchupgradesmayincorporate
improvedoradditionalfunctionsordata,enhancedsecuritymeasures,updatedsystemhardware,
increasedcapacityorimprovedsystemperformance.
WhoDoesWhat?
Theoperationsprojectteam,incoordinationwiththeHITSteam,conductsallscheduled,routine
maintenancetasksinaccordancewithHUDstandardsandguidelines.
WhatComesin?
Infrastructureupgradenotification
HUDApplicationReleaseTrackingSystem(HARTS)submissions
WhatControlsNeedtobeUsed?
Vendorsuppliedupgradeinstructions
WhatisProduced?
Work
Product
Upgrades
tosystem
software
and
hardware
Responsibilities
Responsible
Operationsmanager
Accountable BusinessPM
Consulted
Informed
Operationsprojectteam
ITPM
Networkmanager
Servermanager
Projectsponsorand
investmentowner
DetailedTasks
Thefollowingdefinesthedetailedsubtasksthattakeplacewithinthistask:
T68.1 DevelopandImplementMaintenanceRoutineTheoperationsprojectteamassessesthe
currenthardwareandsoftwareconfigurationsandestablishesroutinemaintenanceand
preventiveschedules.Theteamalsoestablishesmonitoringroutines.Theteamaimsfora
proactiveapproachtomaintenance,anticipatingwheresoftwareandhardwareproblemsmay
occursothattheycanbecorrectedbeforedisruptionoccurs.
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T68.2 PlanUpgradesWhennewversionsofsoftwareandhardwarebecomeavailable,the
operationsprojectteamidentifiesaffectedusers,establishesthescheduleforthe
implementation,identifiesanyadministrativechangesnecessary,andensuresconfiguration
managementhasallnecessaryinformationtoimplementtheplan.
T68.3 UpgradeHardwareTheoperationsprojectteamcoordinateswiththeHITSteamtoperform
periodicmonitoringtodetermineifanupgradeorreplacementofhardwareisrequired.If
hardwareneedstobereplacedorupgraded,theteamdevelopsaplandetailingthetypeof
upgrade,theimpactonthesolution,andthetimeframeformakingtheupgrade.Theteam
collaborateswithallaffectedusergroupstoensurethattheupgradeoccursatatimeandin
suchamannerastobeminimallydisruptivetobusinessoperations.Theteamobtainsall
necessaryapprovalsandconcurrencesandperformsthehardwareupgradeorreplacementin
accordancewithvendorsupplieddirectionsandestablishedHUDITprocedures.Theteam
coordinatesthetestingtoensurethattheupgradehadnonegativeimpactonthesolution.
T68.4 UpgradeSoftwareTheoperationsprojectteamcoordinateswiththeHITSteamtodetermine
ifasoftwareupgradeorpatchisrequired.Ifsoftwareneedstobepatchedorupgraded,the
teamdevelopsaplandetailingtherequiredchange,theimpactonthesolution,andthe
timeframeformakingthechange.Theteamcollaborateswithallaffectedusergroupstoensure
thattheupgrade/patchoccursatatimeandinsuchamannerastobeminimallydisruptiveto
businessoperations.Theteamobtainsallnecessaryapprovalsandconcurrencesandperforms
thesoftwareupgradeorpatchinaccordancewithvendorsupplieddirectionsandestablished
HUDITprocedures.Theteamcoordinatesthetestingtoensurethattheupgrade/patchhadno
negativeimpactonthesolution.
T68.5 PerformEmergencyDataFixesTheoperationsprojectteamsupportsemergencyfixesfor
productiondataissues.Theteamcoordinateswiththedevelopmentteamtoidentifythe
resolutiontotheissue,createandtesttherequiredscript(s),andobtainapprovalfromtheCCB
orotherappropriatebodytoimplementthefix.Theteamforwardsthechangerequest
(includingthescript(s)andallsupportingdocumentation)totheHITSteamforimplementation,
conductsthenecessaryfollowupteststoverifythatthefixwasdeployedsuccessfully,and
communicatestheresultstotheaffectedusergroup(s).Allfilesanddocumentationarestored
intheconfigurationmanagementsystem.
T68.6 ScheduleforMaximumUseofSolutionResourcesTheoperationsmanagerensuresthat
operationspersonnelareawareoftheusercommunitysrequirements(includingperiodsof
highdemandusage)andtheoperationsandmaintenancescheduleallowstheusersaccessto
thesolutionwhenneeded.Theoperationsprojectteamschedulesallactivitiesthatmayresult
inaninterruptionofservicetotheusers(e.g.,systembackupandupdates)duringthehours
havingtheleastimpactonusersneeds.
T68.7 ReduceMaintenanceDowntimeAlthoughperiodicmaintenanceisrequiredtokeepthe
solutionresponsivetousersneeds,theoperationsprojectteamperformssuchmaintenancein
amannerthatwillreducetheamountofdowntime.Thismaymeanconsolidatingsolution
updatessothattheycanbeperformedallatonce,thusreducingthenumberoftimesthe
solutionneedstobebroughtdownorperformingmaintenanceduringoffhourswhentheuser
haslittleornoneedforthesystem.
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T69 ConductAnnualOperationalAnalysis
WhatHappens?
Theannualoperationalanalysisreviewisperformedtoevaluateusersatisfactionwiththeoperational
asset,itsperformance,andadaptabilitytochangingbusinessneeds,andnewtechnologiesthatmight
improvetheasset.ThereviewsultimatelydeterminewhethertheITinvestmentshouldcontinue,be
modified,orberetired.TheAnnualOperationalAnalysisreportisgenerated.
WhoDoesWhat?
Theinvestmentowner,businessPM,ITPM,andotherstakeholdersschedulethereview,gatherthe
supportingartifacts,anddocumentthereviewresultsintheAnnualOperationalAnalysisreport.
WhatComesin?
ProjectBusinessValueAnalysis
Capitalplanningandinvestmentcontrol(CPIC)metrics
Userfeedback(includingsurveyresults)
Costinformation
PreviousAnnualOperationalAnalysisreport(s)
WhatControlsNeedtobeUsed?
Theteamusesthecontrolslistedbelowtocreatetherelevantartifactsorcompletethetaskactivities:
AnnualOperationalAnalysisReporttemplate,instructions,andchecklist
WhatisProduced?
Thefollowingdefinesthedetailedsubtasksthattakeplacewithinthistask:
Work
Must Should Should Must
Must
Responsibilities
Product
Create Create Update Update Complete
Responsible
Investmentowner
BusinessPM
Annual
Operational Accountable ITPM
Analysis
Consulted
Operationsprojectteam
Report
Informed
IRC
DetailedTasks
Thefollowingdefinesthedetailedsubtasksthattakeplacewithinthistask:
T69.1 InitiatetheReviewTheinvestmentowner,businessprojectmanager,andothermembersof
thereviewteamestablishastrategyandscheduleforcompletingtheoperationalanalysis
activities.Theteamalsodeterminesthemethodsforcollectingandanalyzingthedataneeded
tocompletetheanalysis,andidentifiesandobtainstherequiredresources(e.g.,personneland
informationsourcesincludingartifacts).Themethodologychosenmustbeinalignmentwith
HUDsplanningprocessandmustbuildontheDepartmentsmemory.
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T69.2 AssessCustomerSatisfactionInanalyzingcustomerresults,thereviewteamfocuseson
whethertheinvestmentisfullymeetingthecustomersneedsandwhetherthecosttothe
customerisaslowasitcouldbefortheresultsdelivered.Thefocushereissimplyonwhether
theinvestmentisdeliveringtheservicesthatitisintendedtodeliver.
T69.3 MeasureStrategicandBusinessResultsStrategicandbusinessresultsmeasuretheeffectof
theinvestmentontheperformingorganizationitself.Thereviewteamassessestheseresultsto
measurehowwelltheinvestmentismeetingbusinessneeds,andwhetheritiscontributingto
theachievementofHUDsstrategicgoalsandcontinuestobealignedwithHUDsstrategic
direction.Thisportionoftheoperationalanalysisaddressesquestionssuchas:
DoesthisinvestmenthelpHUD(oraspecificbusinessarea)getitsjobdone?
Whatstrategicgoaldoesthisinvestmentaddress,andhowdoesithelpHUDachieve
thatgoal?
Isthereanotherinvestment(office,businessarea,solution,service,etc.)thatcouldbe
doingthisworkbetter,moreefficiently,oratlowercost?
T69.4 ReviewFinancialPerformanceInmeasuringthefinancialperformance,theoperational
analysiscomparescurrentperformancewithapreestablishedcostbaseline.Financial
performanceistypicallyaveryquantitativemeasureandshouldbesubjectedtoaperiodic
reviewforreasonablenessandcostefficiency.Thereviewteamexaminesthecurrent
performanceoftheinvestment.
Isperformancewithinacceptablelimitsofvarianceforcostandschedule?
Ifnot,whatcorrectiveactionsarewetakingtogetbackontrack?
Hasexecutivemanagementconcurredontheplannedcorrectiveactions?
T69.5 TrackInnovationsAddressinginnovationintheoperationalanalysisisanopportunityto
conductaqualitativeanalysisoftheinvestmentsperformanceintermsofthethreeprevious
factors.Thereviewteamdemonstratesthattheyhaverevisitedalternativemethodsof
achievingthesamecustomerresultsandstrategicgoals.Thisaspectoftheoperationalanalysis
addressesquestionssuchas:
Howcouldwebettermeetthecustomerneeds?
Couldwemeetthesesamecustomerneedsatlowercost?
HowcouldwecombinethisinvestmentwithotherstobettermeetHUDsstrategic
goals?
Howcouldwemakebetteruseoftechnologytoprovideahigherlevelofserviceat
lowercost?
T69.6 MakeRecommendationsonFutureStatusofInvestmentThereviewteams
recommendationsreflectathoroughexaminationoftheneedfortheinvestment,the
performancebeingachievedbytheinvestment,theadvisabilityofcontinuingtheinvestment,
andalternativemethodsofachievingthesameinvestmentresults.Theteamsanalysismay
demonstratethattheoperationalassetisdeliveringexpectedvalueefficientlyandeffectively;
contributingtoHUDsperformance,cost,andstrategicgoals;andmeetingtheserviceneedsof
itscustomers.Alternatively,theteammaydeterminethattheassetneedstobemodified,
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modernized,replaced,orremovedfromserviceifownershipcostsarehigherthananticipated,if
supporttrendsarebecomingtoocostly,oriftheassetisnotmeetingperformancegoals.TheIT
InvestmentReviewSubcommittee(IRC)considersthereviewteamsrecommendationand
decideswhethertoapproveorrejectit.
T69.7 CreatetheAnnualOperationalAnalysisReportThereviewteamdocumentstheresultsofthe
analysesintheAnnualOperationalAnalysisreportusingtheassociatedtemplate,instructions
andchecklistasguides.
IftheIRCdecidesthatthesolutionshouldberetired,thesolutionmovesintotheDecommission
PhaseofthePPMLifeCycle.Otherwise,itremainsintheOperateandMaintainPhase.
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T610 CompileandSubmitOperateandMaintainPhasePackageforGo/NoGoDecision
Uponcompletionoftheannualoperationalassessment,arecommendationismadeforthefutureofthe
solution.Iftherecommendationistoretirethesolution,acontrolgatereviewisnecessarytoensure
approvalofthisdecision.Thecompletedandreviewedprojectdocumentsarecompiledintothe
OperateandMaintainPhasePackageandarepresentedtothegovernancebodiesforaGo/NoGo
controlgatedecision.
WhoDoesWhat?
TheIPTcompilestheOperateandMaintainPhaseprojectdocumentationintotheOperateandMaintain
PhasePackage.Thepackagevariesdependingonthesizeandcomplexityoftheproject,andmay
include:
PostDeploymentReport
AnnualOperationalAnalysisReport
UpdatedOperationsandMaintenanceManual
UpdatedUserManual
MonthlyOperationalStatusReport
ChangeRequestForm
Varioussystemusageandperformancereports
Varioussupportmetricsandreports
Securityselfassessmentandotherupdatedsecurityandprivacyartifacts(intheCyberSecurity
andManagement(CSAM)system)
Alongwiththispackage,theIPTsubmitsaformalrequesttotheITgovernancebodiesforreviewand
approvaloftheprojectsOperateandMaintainPhaseartifacts.
Afterreviewingtheprojectartifactsforretiringsystems,theTRCapprovestheprojecttomoveintothe
DecommissionPhase,allowstheprojecttoproceedsubjecttocertainconditions,orrejectsthe
recommendation.Iftherecommendationisrejected,theIPTfollowstheappealsprocesstoresubmit
theprojectforreview.(Thecontrolgatereviewalsomayinvolvedeterminingifanewprojectlifecycle
shouldbeinitiated,startingattheNeed/ConceptPhase.)
IftheprojectrequiresadditionaloversightfromtheCCCand/ortheEIB,theTRCforwardstheproject
artifactstotherelevantgovernancebodyalongwithaControlGateReviewDecisionFormreflectingthe
TRCsrecommendation.
WhatComesin?
OperateandMaintainPhasepackage
WhatControlsNeedtobeUsed?
UsersofthePPMLifeCycleutilizethecontrolslistedbelowwhencreatingtherelevantartifacts:
ProjectGo/NoGodecisionmeetingguidelines
ControlGateReviewDecisionFormtemplate
WhatisProduced?
ApprovedOperateandMaintainPhasepackage
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DecisionbyTRC/CCC/EIBtoproceedtotheDecommissionPhase(orNeed/ConceptPhase,if
applicable)
DetailedTasks:
Thefollowingdefinesthedetailedsubtasksthattakeplacewithinthistask:
T610.1 AssembleOperateandMaintainPhasePackageTheIPTcompilestheOperateandMaintain
Phasepackageandforwardsit,alongwiththeformalrequestforreview,totheTRCfor
approval.
T610.2 ObtainGo/NoGodecisionTheTRCreviewstheOperateandMaintainPhasepackageand:
ApprovestheprojecttomoveintotheDecommissionorNeed/ConceptPhase,
Approvestheprojecttoproceedwithconditions,or
Rejectstheproject
If the project requires additional oversight from the CCC or EIB as identified in Tier 2 of the
ProjectProcessAgreement,theTRCcommunicateswiththechairoftheappropriatebodyand
providesthenecessarydocumentationforreview.
T610.3 ResolveanyConditionsforProjectApprovalIftheTRC,CCC,orEIBhasapprovedtheproject
withconditions,theIPTadjudicatestheircommentsandresubmitsthechangesforapproval.
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