OperateandMaintainPhase

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

Must Should Should Must

Must
Create Create Update Update Complete

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

Must Should Should Must

Must
Create Create Update Update Complete

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

Must Should Should Must

Must
Create Create Update Update Complete

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

Must Should Should Must

Must
Create Create Update Update Complete

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

Must Should Should Must

Must
Create Create Update Update Complete

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

Must Should Should Must

Must
Create Create Update Update Complete

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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