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Table of Contents
Module
1.
Title
Page
Introduction............................................................................ 3 - 43
1. Assessment ....................................................................... 45 - 47
2.
3.
4.
5.
6.
7.
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INTRODUCTION
Improveme
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Learning Objectives
At the end of this module, participants will be able to:
1. Describe and explain the concept of Service and IT Service
Management.
2. Describe and explain the concept of Best Practice.
3. Describe Internal and External Services, Internal and External
Customers.
4. Describe the concept of Service Provider and explain Service
Provider types.
5. Describe Process Model and Process Characteristics.
6. Identify and Describe Functions and Roles in an organization.
7. Define RACI.
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Basics
1. Business-IT Alignment
2. Best Practice and ITIL
3. Sources and Enablers of Best Practice
4. Why is ITIL successful?
5. Definition of Service
6. Definition of IT Service Management
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01
02
03
04
2.
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3.
4.
IT is a category of business assets that provide a stream of benefits for their owners,
including, but not limited to, revenue, income and profit. IT costs are treated as
investments. Every IT organization should act as a service provider, using the principles
of service management to ensure that they deliver the outcomes required by their
customers.
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Business IT Alignment
1. In simple terms, the alignment between IT and business means
that IT delivers what business needs to their satisfaction and also
is able to play a strategic role in shaping new business strategy.
2. An underlying assumption is that this feat is achieved in a cost
effective manner with a relentless pursuit of absorbing new
technology opportunities for business benefits.
3. IT and business affect each other and, therefore, there is a need
for a closer alignment between the two.
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What is ITIL?
ITIL is part of a suite of best-practice publications for IT service
management (ITSM). ITIL provides guidance to service providers on
the provision of quality IT services, and on the processes, functions
and other capabilities needed to support them.
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ITIL is successful because it describes practices that enable organizations to deliver benefits,
return on investment and sustained success. ITIL is adopted by organizations to enable them
to:
i.
ii. Integrate the strategy for services with the business strategy and customer needs.
iii. Measure, monitor and optimize IT services and service provider performance.
iv. Manage the IT investment and budget.
v.
Manage risk.
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Sources
(generate)
Standards
Employees
Industry practices
Customers
Academic research
Suppliers
Advisers
Internal experience
Drivers
(filter)
Enablers
(aggregate)
Technologies
Substitutes
Competition
Regulators
Compliance
Customers
Commitments
Scenarios
(filter)
Public frameworks and standards are attractive when compared with proprietary
knowledge:
2.
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3.
4.
Publicly available frameworks and standards such as ITIL, LEAN, Six Sigma, COBIT,
CMMI,PRINCE2, PMBOK, ISO 9000, ISO/IEC 20000 and ISO/IEC 27001 are validated
across a diverse set of environments and situations rather than the limited experience
of a single organization. They are subject to broad review across multiple organizations
and disciplines, and vetted by diverse sets of partners, suppliers and competitors.
5.
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ITIL is successful because it describes practices that enable organizations to deliver benefits, return on
investment and sustained success.
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1.
Non-prescriptive ITIL offers robust, mature and time-tested practices that have
applicability to all types of service organization. It continues to be useful and relevant
in public and private sectors, internal and external service providers, small, medium and
large enterprises, and within any technical environment. Organizations should adopt
ITIL and adapt it to meet the needs of the IT organization and their customers.
2.
Best practice ITIL represents the learning experiences and thought leadership of the
worlds best-in-class service providers.
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Service - Definition
1. Services are a means of delivering value to customers by facilitating
the outcomes customers want to achieve without the ownership of
specific costs and risks. Services facilitate outcomes by enhancing
the performance of associated tasks and reducing the effect of
constraints.
2. Customer satisfaction is very important. Customers need to
be satisfied with the level of service and feel confident in the
ability of the service provider to continue providing that level of
service or even improving it over time.
Service - Definition
Services: Services are a means of delivering value to customers by facilitating the outcomes
customers want to achieve without the ownership of specific costs and risks. Services
facilitate outcomes by enhancing the performance of associated tasks and reducing the
effect of constraints. These constraints may include regulation, lack of funding or capacity, or
technology limitations. The end result is an increase in the probability of desired outcomes.
While some services enhance performance of tasks, others have a more direct impact they
perform the task itself.
The preceding paragraph is not just a definition, as it is a recurring pattern found in a wide
range of services. Patterns are useful for managing complexity, costs, flexibility and variety.
They are generic structures useful to make an idea applicable in a wide range of environments
and situations. In each instance the pattern is applied with variations that make the idea
effective, economical or simply useful in that particular case.
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Customer satisfaction is also important. Customers need to be satisfied with the level of
service and feel confident in the ability of the service provider to continue providing that level
of service or even improving it over time. The difficulty is that customer expectations keep
shifting, and a service provider that does not track this will soon find itself losing business. ITIL
Service Strategy is helpful in understanding how this happens, and how a service provider can
adapt its services to meet the changing customer environment. Services can be discussed in
terms of how they relate to one another and their customers, and can be classified as core,
enabling or enhancing.
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IT Service management
1. IT service management (ITSM): The implementation and
management of quality IT services that meet the needs of the
business. IT service management is performed by IT service
providers through an appropriate mix of people, process and
information technology.
2. IT Service: A service provided by an IT service provider. An IT
service is made up of a combination of information technology,
people and process.
IT Service management
ITSM must be carried out effectively and efficiently. Managing IT from a business perspective
enables organizational high performance and value creation. A good relation between an IT
service provider and its customers relies on the customer receiving an IT service that meets
its needs, at an acceptable level of performance and at a cost that customer can afford.
The IT service provider needs to work out how to achieve a balance between these three
areas, and communicate with the customer if there is anything that prevents it from being
able to deliver the required IT service at the agreed level of performance or price.
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Outcome
Outcome: The result of carrying out an activity, following a process,
or delivering an IT service etc. The term is used to refer to intended
results, as well as to actual results
An outcome-based definition of service moves IT organizations
beyond businessIT alignment towards businessIT integration.
Internal dialogue and discussion on the meaning of services is
an elementary step towards alignment and integration with a
customers business.
Outcome
An outcome-based definition of service moves IT organizations beyond businessIT alignment
towards businessIT integration. Internal dialogue and discussion on the meaning of services
is an elementary step towards alignment and integration with a customers business .
Customer outcomes become the ultimate concern of business relationship managers instead
of the gathering of requirements, which is necessary but not sufficient. Requirements are
generated for internal coordination and control only after customer outcomes are well
understood. Customers seek outcomes but do not wish to have accountability or ownership
of all the associated costs and risks. All services must have a budget when they go live and this
must be managed. The service cost is reflected in financial terms such as return on investment
(ROI) and total cost of ownership (TCO). The customer will only be exposed to the overall cost
or price of a service, which will include all the providers costs and risk mitigation measures
(and any profit margin if appropriate). The customer can then judge the value of a service
based on a comparison of cost or price and reliability with the desired outcome.
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Type I internal service provider An internal service provider that is embedded within
a business unit. There may be several Type I service providers within an organization.
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1.
Type II shared services unit An internal service provider that provides shared IT services
to more than one business unit.
2.
Type III external service provider A service provider that provides IT services to external
customers.
ITSM concepts are often described in the context of only one of these types and as if only one
type of IT service provider exists or is used by a given organization. In reality most organizations
have a combination of IT service providers. In a single organization it is possible that some IT
units are dedicated to a single business unit, others provide shared services, and yet others
have been outsourced or depend on external service providers.
Many IT organizations who traditionally provide services to internal customers find that they
are dealing directly with external users because of the online services that they provide. ITIL
Service Strategy provides guidance on how the IT organization interacts with these users, and
who owns and manages the relationship with them.
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Corporate Business
Function
Marketing
R&D Strategic
Planning
Government
affairs
Coatings
(BU)
Plastics
(BU)
Textiles
(BU)
Human
Resources
Finance and
admin
Customer Care
IT
Human
Resources
Finance
and admin
Customer Care
IT
Human
Resources
Finance
and admin
Customer Care
IT
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Coatings
(BU)
Plastics
(BU)
Textiles
(BU)
Business Services
(SSU)
Service
Catalogue
Service
Catalogue
Human Resources
Finance and
Administration
Customer Care
Service
Catalogue
Logistics
Service
Catalogue
Service
Catalogue
Information
Technology
BU: Business Unit
SSU: Shared Services Unit
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Coatings
(BU)
Plastics
(BU)
Textiles
(BU)
External
Providers
Alpha Co.
Beta Inc.
Service
Catalogue
Service
Catalogue
Service
Catalogue
Gamma Ltd
Service
Catalogue
Delta Plc
Service
Catalogue
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Customers Those who buy goods or services. The customer of an IT service provider is
the person or group who defines and agrees the service level targets. This term is also
sometimes used informally to mean user for example, This is a customer-focused
organization.
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2.
Users Those who use the service on a day-today basis. Users are distinct from customers,
as some customers do not use the IT service directly.
3.
Suppliers Third parties responsible for supplying goods or services that are required to
deliver IT services. Examples of suppliers include commodity hardware and software
vendors, network and telecom providers, and outsourcing organizations.
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For example, an airline might obtain consulting services from a large consulting firm. Twothirds of the contract value is paid in cash, and one-third is paid in air tickets at an equivalent
value.
Dealing with External Customers: Many IT organizations who traditionally provide services to
internal customers find that they are dealing directly with external customers because of the
online services that they provide. It is important that the service strategy clearly identifies
how the IT organization interacts with these customers, and who owns and manages the
relationship with them.
It is very important to note that both internal and external customers must be provided
with the agreed level of service, with the same levels of customer service. The way in which
services are designed, transitioned, delivered and improved, however, is often quite different.
The difference between internal and external customers is a theme throughout this publication,
and the differences between them will be make the investments. It is money that belongs to
the organization they both work for, and is not revenue. What business outcomes will this
investment drive, and how will this specific location achieve these objectives more effectively
than the cheaper location? In this case the service provider has an important check-andbalance role to play, while the customer is required to demonstrate what the return will be
on the investment, and to justify to senior management why the cheaper alternative is not
acceptable.
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Internal
Services
External
Services
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External
Customer
The Business
Business Unit
(Internal Customer)
External
Customer
External
Customer
External
Customer
External
Customer
Business Unit
(Internal Customer)
IT
IT Department
IT Department
IT Department
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A better strategy for supporting these business processes is to start by defining the outcomes
and then identifying the IT services that support them, and after that defining how supporting
services will be aligned to support the entire chain of dependencies.
Business services and products provided by other business units: A business service is defined
as a service that is delivered to business customers by business units; for example, delivery of
financial services to customers of a bank, or goods to the customers of a retail store. Successful
delivery of business services often depends on one or more IT services. Although IT is not
directly responsible for the businesss services and products, it is responsible for providing IT
services which will enable the outcomes to be met. Thus it is important that IT knows what
these services are, how the business uses IT services and how these services are measured.
This will directly impact the way in which ITs contribution to the organization is met. One
way of doing this is to define the business activities needed to produce the outcomes as vital
business functions.
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Measurability
Specific results
Customers
Responsiveness
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1.
Specific results: The reason a process exists is to deliver a specific result. This result
must be individually identifiable and countable.
2.
3.
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Process Model
Process control
Process owner
Triggers
Process policy
Process
Process feedback
Process
Process metrics
Process
inputs
Process
procedures
Process roles
Process
improvements
Process work
Process
outputs
Including process
Reports and
reviews
Process enables
Process
Process resources
Process Model
A process is organized around a set of objectives. The main outputs from the process should
be driven by the objectives and should include process measurements (metrics), reports and
process improvement.
The output produced by a process has to conform to operational norms that are derived
from business objectives. If products conform to the set norm, the process can be considered
effective If the activities of the process are carried out with a minimum use of resources, the
process can also be considered efficient.
Inputs are data or information used by the process and may be the output from another
process. A process, or an activity within a process, is initiated by a trigger. A trigger may be the
arrival of an input or other event. For example, the failure of a server may trigger the event
management and incident management processes.
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Processes
A process is organized around a set of objectives.
The main outputs from the process should be driven by the objectives and should
include process measurements (metrics), reports and process improvement.
Inputs are data or information used by the process and may be the output from
another process.
A process may include any of the roles, responsibilities, tools and management
controls required to deliver the outputs reliably.
A process may include any of the roles, responsibilities, tools and management
controls required to deliver the outputs reliably.
Processes
A process may include any of the roles, responsibilities, tools and management controls
required to deliver the outputs reliably. A process may define policies, standards, guidelines,
activities and work instructions if they are needed. Processes, once defined, should be
documented and controlled. Once under control, they can be repeated and managed. Process
measurement and metrics can be built into the process to control and improve the process.
Process analysis, results and metrics should be incorporated in regular management reports
and process improvements.
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Role
A role is a set of responsibilities, activities and authorities granted to a person or team. A role
is defined in a process or function. One person or team may have multiple roles for example,
the roles of configuration manager and change manager may be carried out by a single person.
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Functions: A function is a team or group of people and the tools or other resources they
use to carry out one or more processes or activities. In larger organizations, a function may
be broken out and performed by several departments, teams and groups, or it may be
embodied within a single organizational unit (e.g. the service desk). In smaller organizations,
one person or group can perform multiple functions for example, a technical management
department could also incorporate the service desk function.
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Function
Group A group is a number of people who are similar in some way. Groups are usually not
formal organizational structures, but are very useful in defining common processes across
the organization for example, ensuring that all people who resolve incidents complete the
incident record in the same way.
Team A team is a more formal type of group. These are people who work together to achieve
a common objective, but not necessarily in the same organizational structure.
Division A division refers to a number of departments that have been grouped together,
often by geography or product line. A division is normally self-contained.
Function
For the service lifecycle to be successful, an organization will need to clearly define the roles
and responsibilities required to undertake the processes and activities involved in each lifecycle
stage. These roles will need to be assigned to individuals, and an appropriate organization
structure of teams, groups or functions will need to be established and managed. These are
defined as follows:
Group A group is a number of people who are similar in some way. In ITIL, groups refer to
people who perform similar activities even though they may work on different technologies
or report into different organizational structures or even different companies. Groups are
usually not formal organizational structures, but are very useful in defining common processes
across the organization for example, ensuring that all people who resolve incidents complete
the incident record in the same way.
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Team A team is a more formal type of group. These are people who work together to achieve
a common objective, but not necessarily in the same organizational structure. Team members
can be co-located, or work in multiple locations and operate virtually. Teams are useful for
collaboration, or for dealing with a situation of a temporary or transitional nature. Examples
of teams include project teams, application development teams (often consisting of people
from several different business units) and incident or problem resolution teams.
Department Departments are formal organizational structures which exist to perform
a specific set of defined activities on an ongoing basis. Departments have a hierarchical
reporting structure with managers who are usually responsible for the execution of the
activities and also for day-to-day management of the staff in the department.
Division A division refers to a number of departments that have been grouped together,
often by geography or product line. A division is normally self-contained.
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RACI Model
RACI is an acronym for the four main roles of :
Responsible: The person or people responsible
for getting the job done. Works on the activity.
The Doer
RACI helps in defining Roles and Responsibilities in relation to process and activities.
Director service
Management
Service level
Manager
Problem
Manager
Security
Manager
Procurement
Manager
Activity 1
Activity 2
Activity 3
Activity 4
Activity 5
RACI Model
When designing a service or a process, it is imperative that all the roles are clearly defined. A
trademark of high-performing organizations is the ability to make the right decisions quickly
and execute them effectively. Whether the decision involves a strategic choice or a critical
operation, being clear on who has input, who decides and who takes action will enable the
organization to move forward rapidly.
A key characteristic of a process is that all related activities need not necessarily be limited
to one specific organizational unit. Service asset and configuration management process
activities, for example, can be conducted in departments such as computer operations, system
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Summary
1. Business IT Alignment
2. Service and IT Service Management.
3. Internal and External Customers
4. Internal and External Services
5. Process and Characteristics
6. RACI
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Additional Readings
1. David Nickels, IT Business Alignment: What we know
that we still do not know, 7th Annual conference of the
Southern Association of Information Systems, 2004.
2. Mary Nugent, The Four Phases of IT/Business Alignment,
CIO update, December 2004.
3. Jerry N Luftman, Raymond Papp, and Tom Brier, Enablers
and Inhibiters of Business IT Alignment, Communications
of AIS, Vol I, Article 11, March 1999.
4. Henderson and Venkataraman, Strategic Alignment:
Leveraging information Technology for transforming
organizations, IBM Systems Journal, pp.472-484, 1993.
5. Management by Process, John Jeston, Elsevier Publishing.
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Assessment
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1.
2.
The RACI Model ensures which combination of the following roles is allocated for
processes?
a. Responsible, Accountable, Consulted, Informed
b. Responsible, Achievable, Consulted, Informed.
c. Realistic, Accountable, Consulted, Informed.
d. Responsible, Accountable, Corrected, Informed.
3.
4.
A Process owner has been identified with and I in a RACI matrix. Which of the following
would be expected of them?
a. Tell others about the progress of an activity
b. Perform an activity
c. Be kept up to date on the progress of an activity
d. Manage an activity.
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5.
6.
7.
8.
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Co
Improveme
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Service De
sig
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Tra
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Learning Objectives
After completion of this module participants will be able to:
Identify all the phases of the ITIL Service Lifecycle.
Identify and Understand the Purpose, Objectives and
Scope of Service Strategy, Service Design, Service Transition,
Service Operation and Continual Service Improvement.
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51
2
published in response to significant advancements in technology and emerging challenges
for IT service providers. New models and architectures such as outsourcing, shared services,
utility computing, cloud computing, virtualization, web services and mobile commerce have
become widespread within IT. The process-based approach of ITIL was augmented with the
service lifecycle to address these additional service management challenges. In 2011, as part
of its commitment to continual improvement, the Cabinet Office published this update to
improve consistency across the core publications.
The ITIL framework is based on the five stages of the service lifecycle with a core publication
providing best-practice guidance for each stage. This guidance includes key principles, required
processes and activities, organization and roles, technology, associated challenges, critical
success factors and risks. The service lifecycle uses a hub-and-spoke design, with service
strategy at the hub, and service design, transition and operation as the revolving lifecycle
stages or spokes. Continual service improvement surrounds and supports all stages of the
service lifecycle. Each stage of the lifecycle exerts influence on the others and relies on them
for inputs and feedback. In this way, a constant set of checks and balances throughout the
service lifecycle ensures that as business demand changes with business need, the services
can adapt and respond effectively.
Co
In addition to the core publications, there is also a complementary set of ITIL publications
providing guidance specific to industry sectors, organization types, operating models and
technology architectures.
i nu
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rvice
Improveme
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sig
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Objectives
An understanding of what strategy is
A clear identification of the definition of services and the customers
who use them
The ability to define how value is created and delivered
A means to identify opportunities to provide services and how to
exploit them
Service Strategy Purpose and Objectives
The purpose of the service strategy stage of the service lifecycle is to define the
perspective, position, plans and patterns that a service provider needs to be able to execute
to meet an organizations business outcomes.
The objectives of service strategy include providing:
An understanding of what strategy is.
A clear identification of the definition of services and the customers who use them.
The ability to define how value is created and delivered.
A means to identify opportunities to provide services and how to exploit them.
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A clear service provision model, that articulates how services will be delivered and
funded, and to whom they will be delivered and for what purpose.
The means to understand the organizational capability required to deliver the strategy.
Documentation and coordination of how service assets are used to deliver services, and
how to optimize their performance.
Processes that define the strategy of the organization, which services will achieve the
strategy, what level of investment will be required, at what levels of demand and the
means to ensure a working relationship exists between the customer and service provider.
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Enable the service provider to respond quickly and effectively to changes in the business
environment, ensuring increased competitive advantage.
Support the creation and maintenance of a portfolio of quantified services that will
enable the business to achieve positive return on its investment in services.
Facilitate functional and transparent communication between the customer and the
service provider, so that both have a consistent understanding of what is required and
how it will be delivered.
Provide the means for the service provider to organize itself so that it can provide services
in an efficient and effective manner.
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Reduced Total Cost of Ownership (TCO): cost of ownership can only be minimized if all
aspects of services, processes and technology are designed properly and implemented
against the design
Improved consistency of service: as services are designed within the corporate strategy,
architectures and constraints
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Easier implementation of new or changed services: as there is integrated and full Service
Design and the production of comprehensive SDPs
Improved service alignment: involvement from the conception of the service, ensuring
that new or changed services match business needs, with services designed to meet
Service Level Requirements
More effective service performance: with incorporation and recognition of Capacity,
Financial Availability and IT Service Continuity Plans
Improved IT governance: assist with the implementation and communication of a set of
controls for effective governance of IT
More effective Service Management and IT processes: processes will be designed with
optimal quality and cost-effectiveness
Improved information and decision-making: more comprehensive and effective
measurements and metrics will enable better decision-making and continual improvement
of Service Management practices in the design stage of the Service Lifecycle.
Improve quality of service: Both service and operational quality will be enhanced through
services that are better designed to meet the required outcomes of the customer.
Improve alignment with customer values and strategies: For organizations with
commitments to concepts such as green IT or that establish strategies such as the use
of cloud technologies, service design will ensure that all areas of services and service
management are aligned with these values and strategies.
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Objectives
Plan and manage service changes efficiently and effectively.
Manage risks related to new, changed or retired services.
Ensure that service changes create the expected business value.
Successfully deploy service releases into supported environments.
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Consideration is given to
Managing the complexity associated with changes to services and
service management processes
Allowing for innovation while minimizing the unintended
consequences of change
Introducing new services
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Value to business:
Selecting and adopting the best practices in this publication will assist organizations in delivering
significant benefits. It will help readers to set up service transition and the processes that
support it, and to make effective use of those processes to facilitate the effective transitioning
of new, changed or decommissioned services. Adopting and implementing standard and
consistent approaches for Service Transition will:
Enable projects to estimate the cost, timing, resource requirement and risks associated
with the Service Transition stage more accurately.
Result in higher volumes of successful change.
Be easier for people to adopt and follow.
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Enable Service Transition assets to be shared and re-used across projects and services.
Reduce delays from unexpected clashes and dependencies, e.g. in test environments.
Reduce the effort spent on managing the Service Transition test and pilot environments.
Improve expectation setting for all stakeholders involved in Service Transition including
customers, users, suppliers, partners and projects.
Increase confidence that the new or changed service can be delivered to specification
without unexpectedly affecting other services or stakeholders.
Ensure that new or changed services will be maintainable and cost effective.
Improve control of service assets and configurations.
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Objectives
Maintain business satisfaction and confidence in IT through effective and
efficient delivery and support of agreed IT service.
Minimize the impact of service outage on days-to-days business activities.
Ensure that access to agreed IT services is only provided to those
authorized to receive those services.
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and networks, that make up the end-to-end service from a business perspective). These
processes and tools should also detect any threats or failures to service quality. As services
may be provided, in whole or in part, by one or more partner/supplier organizations, the
service operation view of the end-to-end service should be extended to encompass external
aspects of service provision. When necessary, shared or interfacing processes and tools
should be deployed to manage cross-organizational workflows.
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processes focus more on longer term planning and improvement activities, which are
outside the direct scope of service operation; however, service operation provides input
and influences these processes regularly as part of the lifecycle of service management.
Technology: All services require some form of technology to deliver them. Managing
this technology is not a separate issue, but an integral part of the management of the
services themselves. Therefore a large part of ITIL Service Operation is concerned with
the management of the infrastructure used to deliver services.
People: Regardless of what services, processes and technology are managed, they are
all about people. It is people who drive the demand for the organizations services and
products and it is people who decide how this will be done. Ultimately, it is people who
manage the technology, processes and services. Failure to recognize this will result
(and has resulted) in the failure of service management activities.
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Meet the goals and objectives of the organizations security policy by ensuring that
IT services will be accessed only by those authorized to use them.
Provide quick and effective access to standard services which business staff can use to
improve their productivity or the quality of business services and products.
Provide a basis for automated operations, thus increasing efficiencies and allowing
expensive human resources to be used for more innovative work, such as designing
new or improved functionality or defining new ways in which the business can exploit
technology for increased competitive advantage.
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If service and processes are not implemented, managed and supported using clearly defined
goals, objectives and relevant measurements that lead to actionable improvements, the
business will suffer. Depending upon the criticality of a specific IT service to the business,
the organization could lose productive hours, experience higher costs, loss of reputation or,
perhaps, even a business failure. That is why it is critically important to understand what to
measure, why it is being measured and what the successful outcome should be.
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To implement CSI successfully it is important to understand the different activities that can be
applied to CSI. The following activities support a continual process improvement plan:
Reviewing management information and trends to ensure that services are meeting
agreed service levels
Reviewing management information and trends to ensure that the output of the enabling
ITSM processes are achieving the desired results
Periodically conducting maturity assessments against the process activities and roles
associated with the process activities to demonstrate areas of improvement or, conversely,
areas of concern
Periodically conducting internal audits verifying employee and process compliance
Reviewing existing deliverables for relevance
Making ad-hoc recommendations for approval
Periodically proposing recommendations for improvement opportunities
Periodically conducting customer satisfaction surveys
Conducting external and internal service reviews to identify CSI opportunities
Measurements and identifying the values created by CSI improvements
These activities do not happen automatically. They must be owned within the IT organization
which is capable of handling the responsibility and possesses the appropriate authority to
make things happen. They must also be planned and scheduled on an ongoing basis. By
default, improvement becomes a process within IT with defined activities, inputs, outputs,
roles and reporting. CSI must ensure that ITSM processes are developed and deployed in
support of an end-to-end service management approach to business customers. It is essential
to develop an ongoing continual improvement strategy for each of the processes as well as
the services.
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Result in gradual improvement in cost and / or the capability to handle more work at the
same time.
Use monitoring and reporting to identify opportunities for improvement in a lifecycle
stages and in all process.
Identify opportunities for improvements in organizational structures, resourcing
capabilities, partners, technology, staff skills and training, and communications.
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Summary
IT Service Management that give emphasis to the need and significance of
coordination and control across the various processes, functions, and systems
necessary to manage the full Lifecycle of IT services.
The service strategy stage of the service lifecycle is to define the perspective,
position, plans and patterns that a service provider needs to be able to execute
to meet an organizations business outcomes
The Service Design state of the lifecycle is design IT services, together with the
governing IT practices, processes and policies, to realize the service providers
strategy and to facilitate the introduction of these services into supported
environments ensuring quality service delivery, customer satisfaction and cost
effective service provision.
The service transition stage of the service lifecycle is to ensure that new, modified
or retired services meet the expectations of the business as documented in the
service strategy and service design stages of the Lifecycle
Service Operation is to coordinate and carry out the activities and processes
required to deliver and manage services at agreed levels to business users and
customers.
CSI is to continually align and re-align IT services to the changing business needs
by identifying and implementing improvements to IT services that support
business processes.
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Assessment
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1.
Which stage of the service lifecycle is most concerned with defining policies and
objectives?
a. Service Design
b. Service Transition.
c. Service Strategy
d. Service Operation
2.
3.
In which core publications can you find description of Service Catalogue Management,
Information Security Management, Supplier Management.
a. Service Design
b. Service Transition.
c. Service Strategy
d. Service Operation
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4.
5.
Which of the following provides guidance on the design and development of services
and service management processes?
a. Service Operation
b. CSI
c. Service Design
d. Service Transition
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k
an
bl
left
lly
na
nt
en
tio
si
pa
ge
i
is
Th
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Co
SERVICE STRATEGY
Improveme
rvice
nt
l Se
a
itnu
n
Service De
sig
n
n
Tra
n
siti o
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vic
e
Se
Ser
era
ce Op ti on
r vi
vice Stra
gy
te
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Learning Objectives
At the end of this module participants will be able to:
Understand and explain the key concept of Service Strategy.
Understand how Service Strategy processes contribute to the
Service Lifecycle.
Understand the Key Principle of Service Strategy.
Understand and explain the Purpose , Objectives and Scope of:
Service Portfolio Management.
Demand Management.
Financial Management for IT Services.
Business Relationship Management.
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Service Strategy
Service Strategy provides best-practice guidance for the service strategy
stage of the ITIL service lifecycle.
Service Strategy provides guidance on how to view service management
not only as an organizational capability but as a strategic asset. It describes
the principles underpinning the practice of service management which
are useful for developing service management policies, guidelines and
processes across the ITIL service lifecycle.
The purpose of the service strategy stage of the service lifecycle is to define
the perspective, position, plans and patterns that a service provider needs
to be able to execute to meet an organizations business outcomes.
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UTILITY
Performance supported?
OR
T/F
Constraints removed?
Value Created
AND
Available enough?
T/F
Capacity enough?
AND
Connuous enough?
Secure enough?
T/F
WARRANTY
T: True
F: False
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order to deliver the required value to the business. Attempts to design warranty aspects after
a service has been deployed can be expensive and disruptive.
Information about the desired business outcomes, opportunities, customers, utility and
warranty of the service is used to develop the definition of a service. Using anoutcomebased definition helps to ensure that managers plan and execute all aspects of service
management from the perspective of what is valuable to the customer.
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SERVICE STRATEGY
RESOURCES
Management
Financial capital
Organization
Infrastructure
Processes
Applications
Knowledge
Information
People(experience, skills
and relationships)
People
(number of employees)
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There are two types of asset used by both service providers and customers resources
and capabilities. Organizations use them to create value in the form of goods and services.
Resources are direct inputs for production. Capabilities represent an organizations ability
to coordinate, control and deploy resources to produce value. Capabilities are typically
experience-driven, knowledge-intensive, information-based and firmly embedded within an
organizations people, systems, processes and technologies. It is relatively easy to acquire
resources compared to capabilities.
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Types of Services
Core, enabling and enhancing services
All services, whether internal or external, can be further classified in terms of how they
relate to one another and their customers. Services can be classified as core, enabling
or enhancing and examples of these services are provided in table in next page.
Types of Services
Core, enabling and enhancing services: All services, whether internal or external, can be
further classified in terms of how they relate to one another and their customers. To illustrate
this in another context, the core services of a bank could be providing financial capital to
small and medium enterprises. Value is created for the banks customers only when the bank
can provide financial capital in a timely manner (after having evaluated all the costs and risk
of financing the borrower). Enabling services could be:
Aid offered by loan officers in assessing working capital needs and collateral.
The application-processing service.
Flexible disbursement of loan funds.
A bank account into which the borrower can electronically transfer funds.
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As basic factors, enabling services only give the provider an opportunity to serve the
customer. Enabling services are necessary for customers to use the core services satisfactorily.
Customers generally take such services for granted, and do not expect to be additionally
charged for the value of such services. Examples of commonly offered enabling services are
service desks, payment, registration and directory services.
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IT services
(office automation)
IT services
(benefits tracking)
Core service
Enabling service
Enhancing service
Word processing
Download and
installation of
updates
Document publication
to professional printer
for highquality
brochure
Customers can
create and manage a
fitness or weight loss
programme. Customers
who show progress in
their programme are
awarded a discount on
their premiums.
Employees of a company
can monitor the status
of their benefits (such
as health insurance and
retirement accounts).
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Objectives:
Provide a process and mechanisms to enable an organization to
investigate and decide on which services to provide, based on an
analysis of the potential return and acceptable level of risk.
Maintain the definitive portfolio of services provided, articulating
the business needs each service meets and the business outcomes
it supports.
Provide a mechanism for the organization to evaluate how services
enable it to achieve its strategy, and to respond to changes in its
internal or external environments.
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Maintain the definitive portfolio of services provided, articulating the business needs
each service meets and the business outcomes it supports.
Provide a mechanism for the organization to evaluate how services enable it to achieve
its strategy, and to respond to changes in its internal or external environments.
Control which services are offered, under what conditions and at what level of investment.
Track the investment in services throughout their lifecycle, thus enabling the organization
to evaluate its strategy, as well as its ability to execute against that strategy.
Analyse which services are no longer viable and when they should be retired.
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Rered
services
Service catalogue
Customer
porolio
Applicaon
porolio
Customer
agreement
porolio
Project
porolio
CMDB
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Retired Services: Some services in the service portfolio are phased out or retired. There is
a decision to be made by each organization, following a service review, on when to move a
service from catalogue to retired. Some organizations do this when the service is no longer
available to new customers, even though the service is still being delivered to existing
customers. Other organizations will only move the service out of the catalogue when it is no
longer delivered to any customers.
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Demand Management
The Purpose of demand management is to understand, anticipate
and influence customer demand for services and to work with
capacity management to ensure the service provider has capacity
to meet this demand.
Objectives
Identify and analyse patterns of business activity to understand
the levels of demand that will be placed on a service
Define and analyse user profiles to understand the typical profiles
of demand for services from different types of user.
Ensure that services are designed to meet the patterns of business
activity and the ability to meet business outcomes.
Demand Management
The purpose of demand management is to understand, anticipate and influence customer
demand for services and to work with capacity management to ensure the service provider
has capacity to meet this demand. Demand management works at every stage of the lifecycle
to ensure that services are designed, tested and delivered to support the achievement of
business outcomes at the appropriate levels of activity.
This is where the service provider has the opportunity to understand the customer needs and
feed these into the service strategies to realize the service potential of the customer and to
differentiate the services to the customers.
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Identify and analyse patterns of business activity to understand the levels of demand
that will be placed on a service.
Define and analyse user profiles to understand the typical profiles of demand for services
from different types of user.
Ensure that services are designed to meet the patterns of business activity and the ability
to meet business outcomes.
Work with capacity management to ensure that adequate resources are available at
the appropriate levels of capacity to meet the demand for services, thus maintaining a
balance between the cost of service and the value that it achieves.
Anticipate and prevent or manage situations where demand for a service exceeds the
capacity to deliver it.
Gear the utilization of resources that deliver services to meet the fluctuating levels of
demand for those services.
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Demand Management
Scope
The scope of the demand management process is to identify and
analyse the patterns of business activity that initiate demand for
services, and to identify and analyse how different types of user
influence the demand for services.
Demand management activities should include:
Identifying and analysing patterns of business activity associated with
services
Identifying user profiles and analysing their service usage patterns
Identifying, agreeing and implementing measures to influence demand
together with capacity management
Demand Management
Scope: The scope of the demand management process is to identify and analyse the patterns
of business activity that initiate demand for services, and to identify and analyse how
different types of user influence the demand for services. Demand management activities
should include:
Identifying and analysing patterns of business activity associated with services.
Identifying user profiles and analysing their service usage patterns.
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Capacity management
Purpose
Focus
Major
Activities
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Attributes Such as
frequency, volume,
location and
duration.
Requirements Such
as performance,
security, availability,
privacy, latency or
tolerance for delays.
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Classification This indicates the type of PBA, and could refer to where it originates (user
or automated), the type and impact of outcomes supported, and the type of workload
supported.
Attributes Such as frequency, volume, location and duration.
Requirements Such as performance, security, availability, privacy, latency or tolerance for
delays.
Service asset requirements Design teams will draft a utilization profile for each PBA in terms
of what resources it uses, when and how much of each resource. If the quantity of resources
is known, and the pattern of utilization is known, the capacity management process will be
able to ensure that resources are available to meet the demand provided it stays within the
forecast range.
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Demand Management
Example B:
Consulng
company
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SERVICE STRATEGY
500
450
400
350
300
250
200
150
100
50
Time (days)
Demand Management
Figure illustrates a PBA.
In example B in Figure a consulting company relies on a timesheet service to bill consultants
time. Since most consultants complete their timesheets for the entire week at the end of
the week, the later it is in the week the more critical the service, and the more it is utilized.
Consultants may need to be encouraged to log their time at the end of each day, or the
beginning of the next day.
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Paern of
business
acvity
Business
process
Service
process
Service belt
Capacity
management
plan
Delivery schedule
Incenves and
penales to influence
consumpon
Demand
management
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Objectives
Defining and maintaining a framework to identify, manage and
communicate the cost of providing services.
Evaluating the financial impact of new or changed strategies on the
service provider.
Securing funding to manage the provision of services.
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Financial policies and practices within IT must be consistent with those of the rest of the
organization. This is not only a requirement of most financial management legislation,
regulations and best practice, but it also facilitates better communication and reporting
between IT and other business units.
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Charging This is the process required to bill customers for the services
supplied to them. This requires sound IT accounting practices and systems.
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Accounting This is the process that enables the IT organization to account fully for the way
its money is spent (particularly the ability to identify costs by customer, by service and by
activity). It usually involves accounting systems, including ledgers, charts of accounts, journals
etc. and should be overseen by someone trained in accountancy.
Charging This is the process required to bill customers for the services supplied to them. This
requires sound IT accounting practices and systems.
There are two distinct cycles associated with accounting, budgeting and charging:
A planning cycle (annual), where cost projections and workload forecasting form a basis
for cost calculations and price setting
An operational cycle (monthly or quarterly) where costs are monitored and checked
against budgets, bills are issued and revenue collected.
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For example:
The business objectives for commercial provider organizations are usually the objectives
of the business itself, including financial and organizational performance.
The business objectives of an internal service provider should be linked to the business
objectives of the business unit to which the service is being provided, and the overall
corporate objectives.
The business objectives for not-for-profit organizations are usually the objectives for the
constituents, population or membership served as well as financial and organizational
performance.
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Objectives
Ensure that the service provider understands the customers
perspective of service
Ensure high levels of customer satisfaction
Establish and maintain a constructive relationship between the
service provider and the customer
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The way in which services are currently offered including who is responsible for the
services, what levels of service have been agreed, the quality of services delivered and
any changes that are anticipated
Technology trends that could impact current services and the customer, and the nature
of the potential impact
Levels of customer satisfaction, and what action plans have been put in place to deal
with the causes of dissatisfaction
How to optimize services for the future
How the service provider is represented to the customer. This at times means raising
concerns around commitments that the business made to IT but is not meeting.
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Purpose
Focus
Primary
measure
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Unless the relationships between business relationship management and other service
management processes are clearly identified, there is potential for confusion about the
boundaries between them. The main criterion for setting these boundaries is that business
relationship management focuses on the actual relationship between the service provider
and its customers and the levels of customer satisfaction, whereas the other processes focus
on the services themselves, and the extent to which they meet the stated requirements.
This does not mean that business relationship management is unconcerned with the services
themselves, but that it focuses on the overall extent to which the service provider is meeting
the customers needs. It also does not mean that other processes are not concerned with
customer satisfaction, but that they focus on the quality of services and on specific actions
they can take to meet customer expectations for those services. A good example of the
difference between business relationship management and other service management
processes is that of service level management.
Both these processes involve regular interfaces with customers and both are concerned with
ongoing reviews of service and service quality. However, the two processes have different
purposes and the nature and content of the customer interface is different.
It should also be noted that business relationship management is not just concerned with
service delivery and support, but also with the design and building of services. This means
that business relationship management is the primary process for strategic communication
with customers for all departments in the service provider, including application development
teams within the service providers organization.
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Corporate
Governance
i.e. conformance
Business
Governance
i.e. performance
Value Creation
Resource
Utilization
Accountability
Assurance
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Summary
Defining a strategy whereby a service provider will deliver services to meet a
customers business outcomes and how to manage those services.
Value is defined not only strictly in terms of the customers business outcomes; it
is also highly dependent on customers perceptions and preferences. Perceptions
are influenced by attributes of a service, present or prior experiences with similar
attributes and relative capability of competitors and other peers.
Service Strategy process includes Service Portfolio Management, Demand
Management, Financial Management and Business Relation Management.
Business case, a decision support and planning tool that projects the likely
consequences of a business action. The consequences can take on qualitative
and quantitative dimensions.
BRM and SLM both these processes involve regular interfaces with customers
and both are concerned with ongoing reviews of service and service quality.
However, the two processes have different purposes and the nature and content
of the customer interface is different.
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Assessment
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1.
Which of the following processes contributes MOST to quantifying the financial value
of IT services and assets?
a. Service Level Management
b. Financial Management
c. Demand Management
d. Service Operation
2.
3.
4.
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5.
6.
7.
Which of the following are the two primary elements that create value for customers?
a. Value on Investment
b. Customer and User satisfaction
c. Understanding Service Requirements and Warranty
d. Utility and Warranty
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Co
SERVICE DESIGN
Improveme
rvice
nt
l Se
a
itnu
n
Service De
sig
n
n
Tra
n
siti o
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e
Se
Ser
era
ce Op ti on
r vi
vice Stra
gy
te
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Learning Objectives
After completion of this module participants will be able to:
Understand and explain the key concepts of Service Design.
Explain how Service Design contributes to the Service Lifecycle.
Understand the key principles and models of Service Design.
Explain the high-level objectives, scope, basic concepts and process activities
of the following processes:
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P
People
People Skills
People competencies involved in providing IT services
Processes
Process
Roles
Responsibilities involved in providing IT services
Products
Technology
Tools used in the provision of these services
Partners
Suppliers
Manufacturers
Vendors used to assist in these services
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Business service B
B usiness
Bu sin
essess
Business
Proc
3 3
Proces s1
2 2
process
Business service C
B usiness
Bu sin
ess
Business
Pro
cess 5 6 6
Proce ss4
5
process
SLAs
Service A
Bu sin ess
B usin
ess
Business
Pro
cess 8 9 9
Pro cess7
8
process
IT service provider
Service
strategy
Service management
process
Service management
process
Service
operaon
Connual
service
improvement
Support teams
Design of management
informaon systems and tools
Service design
Design of processes
Service
transion
Service management
process
Service management
process
Service management
process
Service knowledge
management system
Service
porolio
Service
catalogue
Design of measurement
methods and metrics
Suppliers
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In order to develop effective and efficient service solutions that meet and continue to meet
the requirements of the business and the needs of IT, it is essential that all the inputs and
needs of all other areas and processes are reconsidered within each of the Service Design
activities, as illustrated in Figure. This will ensure that all service solutions are consistent and
compatible with existing solutions and will meet the expectations of the customers and users.
This will most effectively be achieved by consolidating these facets of the key processes into
all of these Service Design activities, so that all inputs are automatically referenced every
time a new or changed service solution is produced.
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It is important that holistic, results driven approach to all aspects of design is adopted,
and that when changing or amending any of the individual elements of design are
considered.
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Design the service solutions to the new requirements, including their constituent
components, in terms of the following, and document this design:
The facilities and functionality required, and information required for the monitoring
of the performance of the service or process.
The business processes supported, dependencies, priorities, criticality and impact of
the service, together with the business benefits that will be delivered by the service.
Business cycles and seasonal variations, and the related business transaction levels,
service transaction levels, the numbers and types of users and anticipated future
growth, and the business continuity requirements.
Service Level Requirements and service level targets and the necessary service
measuring, reporting and reviewing activities.
The timescales involved and the planned outcomes from the new service and the
impact on any existing services.
The requirements for testing, including any User Acceptance Testing (UAT) and
responsibilities for managing the test results.
Ensure that the contents of the Service Acceptance Criteria (SAC) are incorporated and
the required achievements planned into the initial design.
Evaluate and cost alternative designs, highlighting advantages as well as disadvantages
of the alternatives.
Agree the expenditure and budgets.
Re-evaluate and confirm the business benefits, including the Return on Investment
(RoI) from the service, including identification and quantification of all service costs and
all business benefits and increased revenues. The costs should cover the Total Cost of
Ownership (TCO) of the service and include start-up costs such as design costs, transition
costs, project budget, and all ongoing operational costs including management, support
and maintenance.
Agree the preferred solution and its planned outcomes and targets (Service Level
Requirement (SLR)).
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Management information system and tools: The most effective way of managing all aspects
of services through their lifecycle is by using appropriate management systems and tools
to support and automate efficient processes. The Service Portfolio is the most critical
management system used to support all processes and describes a providers services in
terms of business value. It articulates business needs and the providers response to those
needs. By definition, business value terms correspond to market terms, providing a means
for comparing service competitiveness across alternative providers.
The Design of Technology and Management architectures and tools required to provide
services: The architectural design activities within an IT organization are concerned with
providing the overall strategic blueprints for the development and deployment of an IT
infrastructure a set of applications and data that satisfy the current and future needs of
the business. Although these aspects underpin the delivery of quality IT services, they alone
cannot deliver quality IT services, and it is essential that the people, process and partner/
supplier aspects surrounding these technological components (products) are also considered.
In essence, architectural design can be defined as:
The development and maintenance of IT policies, strategies, architectures, designs,
documents, plans and processes for the deployment and subsequent operation and
improvement of appropriate IT services and solutions throughout an organization.
The design of the process needed to design, transition, operate and improve services:
A process is a structured set of activities designed to accomplish a specific objective. A
process takes one or more inputs and turns them into defined outputs. A process includes
all of the roles, responsibilities, tools and management controls required to reliably deliver
the outputs. A process may also define or revise policies, standards, guidelines, activities,
processes, procedures and work instructions if they are needed. A process model enables
understanding and helps to articulate the distinctive features of a process.
Process control can be defined as:
The activity of planning and regulating a process, with the objective of performing a process
in an effective, efficient and consistent manner.
The design of Measurement systems, methods and metrics for services, the architectures
and constituent components: In order to manage and control the design processes, they
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have to be monitored and measured. This is true for all aspects of the design processes.
Measurements and metrics are covered in detail in the Continual Service Improvement
publication. This section covers those aspects that are particularly relevant and appropriate
to measuring the quality of the design processes and their deliverables.
The process measurements selected need to be appropriate for the capability and maturity
of the processes being measured. Immature processes are not capable of supporting
sophisticated measurements, metrics and measurement methods. There are four types of
metrics that can be used to measure the capability and performance of processes:
Progress: milestones and deliverables in the capability of the process.
Compliance: compliance of the process to governance requirements, regulatory requirements
and compliance of people to the use of the process.
Effectiveness: the accuracy and correctness of the process and its ability to deliver the right
result.
Efficiency: the productivity of the process, its speed, throughput and resource utilization.
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Objectives
Coordinate all design activities across projects, changes, suppliers and support
teams, and manage schedules, resources and conflicts where required.
Plan and coordinate the resources and capabilities required to design new or
changed services.
Produce service design packages (SDPs) based on service charters and change
requests.
Ensure that appropriate service designs and/or SDPs are produced and that
they are handed over to service transition as agreed.
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Coordinate all design activities across projects, changes, suppliers and support teams,
and manage schedules, resources and conflicts where required.
Plan and coordinate the resources and capabilities required to design new or changed
services.
Produce service design packages (SDPs) based on service charters and change requests.
Ensure that appropriate service designs and/or SDPs are produced and that they are
handed over to service transition as agreed.
Manage the quality criteria, requirements and handover points between the service
design stage and service strategy and service transition.
Ensure that all service models and service solution designs conform to strategic,
architectural, governance and other corporate requirements.
Improve the effectiveness and efficiency of service design activities and processes.
Ensure that all parties adopt a common framework of standard, reusable design practices
in the form of activities, processes and supporting systems, whenever appropriate.
Monitor and improve the performance of the service design lifecycle stage.
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Each organization should define the criteria that will be used to determine the level of rigour
or attention to be applied in design coordination for each design. Some organizations take
the perspective that all changes, regardless of how small in scope, have a design stage, as
it is important that all changes have clear and correct plans for how to implement them. In
this perspective, the lifecycle stage of service design still occurs, even if the designs for simple
standard changes are usually pre-built and are reused frequently and quickly. Sometimes the
stage is quite complex and long and sometimes it is simply a rapid check that the right design
(procedure) is being used. Other organizations take the perspective that only changes that
fit certain criteria, such as those associated with a project or major change, have a formal
service design stage. In this perspective, changes that fail to meet the agreed criteria may be
considered out of the scope of this process.
Whichever perspective is adopted by an organization, the end result should be more
successful changes that deliver the required business outcomes with minimal disruption
or other negative impacts on business operations. If an organizations approach produces
that result, then the organization is performing design coordination correctly. The design
coordination process includes:
Assisting and supporting each project or other change through all the service design
activities and processes.
Maintaining policies, guidelines, standards, budgets, models, resources and capabilities
for service design activities and processes.
Coordinating, prioritizing and scheduling of all service design resources to satisfy
conflicting demands from all projects and changes.
Planning and forecasting the resources needed for the future demand for service design
activities.
Reviewing, measuring and improving the performance of all service design activities and
processes.
Ensuring that all requirements are appropriately addressed in service designs, particularly
utility and warranty requirements.
Ensuring the production of service designs and/ or SDPs and their handover to service
transition.
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Responsibility for any activities or processes outside of the design stage of the service
lifecycle.
Responsibility for designing the detailed service solutions themselves or the production
of the individual parts of the SDPs. These are the responsibility of the individual projects
or service management processes.
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Objectives
Manage the information contained within the service catalogue.
Ensure that the service catalogue is accurate and reflects the current details,
status, interfaces and dependencies of all services that are being run, or being
prepared to run, in the live environment, according to the defined policies.
Ensure that the service catalogue is made available to those approved to
access it in a manner that supports their effective and efficient use of service
catalogue information.
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Ensure that the service catalogue is made available to those approved to access it in a
manner that supports their effective and efficient use of service catalogue information.
Ensure that the service catalogue supports the evolving needs of all other service
management processes for service catalogue information, including all interface and
dependency information.
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Interfaces, dependencies and consistency between the service catalogue and the overall
service portfolio.
Interfaces and dependencies between all services and supporting services within the
service catalogue and the CMS.
Interfaces and dependencies between all services, and supporting components and
configuration items (CIs) within the service catalogue and the CMS.
The service catalogue management process does not include:
Detailed attention to the capturing, maintenance and use of service asset and configuration
data as performed through the service asset and configuration management process.
Detailed attention to the capturing, maintenance and fulfilment of service requests as
performed through request fulfilment.
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Business
process 1
Service A
.. .. .. .. .. .. .. .. .. .. .. .. .. .. .. ..
.. .. .. .. .. .. .. .. .. .. .. .. .. .. .. ..
.. .. .. Service
. . . . . . . . . 1. . . .
. . . .. .. .. .. .. .. .. .. .. .. .. .. ..
Service C
Service B
.. .. .. .. .. .. .. .. .. .. .. .. .. .. .. ..
.. .. .. .. .. .. .. .. .. .. .. .. .. .. .. ..
.. .. .. Service
. . . . . . . . .2. . . .
. . . .. .. .. .. .. .. .. .. .. .. .. .. ..
.. .. .. .. .. .. .. .. .. .. .. .. .. .. .. ..
.. .. .. .. .. .. .. .. .. .. .. .. .. .. .. ..
.. .. .. Service
. . . . . . . . . 3. . . .
. . . .. .. .. .. .. .. .. .. .. .. .. .. ..
.. .. .. .. .. .. .. .. .. .. .. .. .. .. .. ..
.. .. .. .. .. .. .. .. .. .. .. .. .. .. .. ..
.. .. .. ..Service
. . . . . . . . 4. . . .
. . . . .. .. .. .. .. .. .. .. .. .. .. ..
Business
process 3
Business/customer
service catalogue view
Service D
Service E
.. .. .. .. .. .. .. .. .. .. .. .. .. .. .. ..
.. .. .. .. .. .. .. .. .. .. .. .. .. .. .. ..
.. .. .. Service
. . . . . . . . . 5. . . .
. . . .. .. .. .. .. .. .. .. .. .. .. .. ..
.. .. .. .. .. .. .. .. .. .. .. .. .. .. .. ..
.. .. .. .. .. .. .. .. .. .. .. .. .. .. .. ..
.. .. .. Service
. . . . . . . . . 6. . . .
. . . .. .. .. .. .. .. .. .. .. .. .. .. ..
= Customer
.....
facing services ... ... ... ... ... = Supporng services
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Many organizations integrate and maintain their Service Portfolio and Service Catalogue as
part of their CMS. By defining each service as a Configuration Item (CI) and, where appropriate,
relating these to form a service hierarchy, the organization is able to relate events such as
incidents and RFCs to the services affected, thus providing the basis for service monitoring
and reporting using an integrated tool (e.g. list or give the number of incidents affecting
this particular service). It is therefore essential that changes within the Service Portfolio and
Service Catalogue are subject to the Change Management process. The Service Catalogue
can also be used for other Service Management purposes (e.g. for performing a Business
Impact Analysis (BIA) as part of IT Service Continuity Planning, or as a starting place for redistributing workloads, as part of Capacity Management). The cost and effort of producing
and maintaining the catalogue, with its relationships to the underpinning technology
components, is therefore easily justifiable. If done in conjunction with prioritization of the
BIA, then it is possible to ensure that the most important services are covered first.
Some organizations maintain a service catalogue that includes only the customer-facing
services, while others maintain information only on the supporting services. The preferred
situation adopted by the more mature organizations maintains both types of service within a
single service catalogue, which is in turn part of a totally integrated service portfolio. (More
information on the design and contents of a service catalogue is contained in Appendix G.)
Some organizations project more than two views. There is no correct or suggested number of
views an organization should project. The number of views projected will depend upon the
audiences to be addressed and the uses to which the catalogue will be put.
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Service A
.. .. .. .. .. .. .. .. .. .. .. .. .. .. .. ..
.. .. .. .. .. .. .. .. .. .. .. .. .. .. .. ..
.. .. .. .. Service
.. .. .. .. .. .. .. .. 1.. .. .. ..
................
Wholesale
customer 2
Service D
Service C
Service B
.. .. .. .. .. .. .. .. .. .. .. .. .. .. .. ..
.. .. .. .. .. .. .. .. .. .. .. .. .. .. .. ..
.. .. .. ..Service
.. .. .. .. .. .. .. .. 2.. .. .. ..
................
Retail
customer 2
Retail
customer 1
.. .. .. .. .. .. .. .. .. .. .. .. .. .. .. ..
.. .. .. .. .. .. .. .. .. .. .. .. .. .. .. ..
.. .. .. ..Service
.. .. .. .. .. .. .. .. 3.. .. .. ..
................
.. .. .. .. .. .. .. .. .. .. .. .. .. .. .. ..
.. .. .. .. .. .. .. .. .. .. .. .. .. .. .. ..
.. .. .. .. Service
.. .. .. .. .. .. .. .. 4.. .. .. ..
................
Service E
.. .. .. .. .. .. .. .. .. .. .. .. .. .. .. ..
.. .. .. .. .. .. .. .. .. .. .. .. .. .. .. ..
.. .. .. ..Service
.. .. .. .. .. .. .. ..5.. .. .. ..
................
.. .. .. .. .. .. .. .. .. .. .. .. .. .. .. ..
.. .. .. .. .. .. .. .. .. .. .. .. .. .. .. ..
.. .. .. ..Service
.. .. .. .. .. .. .. ..6.. .. .. ..
................
Links to related
informaon
Service assets/configuraon records
Key
= Customer
facing services
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The preferred situation adopted by the more mature organizations maintains both aspects
within a single Service Catalogue, which is part of a totally integrated Service Management
activity and Service Portfolio. The Business Service Catalogue facilitates the development of
a much more proactive or even pre-emptive SLM process, allowing it to develop more into
the field of Business Service Management. The Technical Service Catalogue is extremely
beneficial when constructing the relationship between services, SLAs, OLAs and other
underpinning agreements and components, as it will identify the technology required to
support a service and the support group(s) that support the components. The combination
of a Business Service Catalogue and a Technical Service Catalogue is invaluable for quickly
assessing the impact of incidents and changes on the business.
Note in this example how customer-facing service C appears in both the wholesale view
and the retail view. It is also possible that the different views might reflect hierarchical
relationships beyond one level of customer and one level of supporting service. Services are
also likely to be packaged and then service packages will be shown in the appropriate service
catalogue view(s).
The customer-facing service catalogue view facilitates the development of a much more
proactive or even pre-emptive service level management (SLM) process and supports
close business alignment with clearly defined relationships between services and SLAs. The
supporting service catalogue view is extremely beneficial when constructing the relationship
between services, SLAs, operational level agreements (OLAs) and other underpinning
agreements and components, as it will identify the technology required to support a service
and the support group(s) that support the components. The combination of all views is
invaluable for quickly assessing the impact of incidents and changes on the business.
There is no single correct way to structure and deploy a service catalogue. Each service
provider organization will consider its goals, objectives and uses for the service catalogue
and create a structure that will meet its current and evolving needs appropriately.
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Objectives
Define, document, agree, monitor, measure, report and review the level of IT
services provided and instigate corrective measures whenever appropriate.
Provide and improve the relationship and communication with the business
and customers in conjunction with business relationship management.
Ensure that specific and measurable targets are developed for all IT services.
Monitor and improve customer satisfaction with the quality of service
delivered.
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Provide and improve the relationship and communication with the business and
customers in conjunction with business relationship management.
Ensure that specific and measurable targets are developed for all IT services.
Monitor and improve customer satisfaction with the quality of service delivered.
Ensure that IT and the customers have a clear and unambiguous expectation of the level
of service to be delivered.
Ensure that even when all agreed targets are met, the levels of service delivered are
subject to proactive, cost-effective continual improvement.
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This will enable SLM to ensure that all the services and components are designed and
delivered to meet their targets in terms of business needs. The SLM process should include:
Cooperation with the business relationship management process: this includes
development of relationships with the business as needed to achieve the SLM process
objectives.
Negotiation and agreement of future service level requirements and targets, and the
documentation and management of SLRs for all proposed new or changed services.
Negotiation and agreement of current service level requirements and targets, and the
documentation and management of SLAs for all operational services.
Development and management of appropriate OLAs to ensure that targets are aligned
with SLA targets.
Review of all supplier agreements and underpinning contracts with supplier management
to ensure that targets are aligned with SLA targets.
Proactive prevention of service failures, reduction of service risks and improvement in
the quality of service, in conjunction with all other processes.
Reporting and management of all service level achievements and review of all SLA
breaches.
Periodic review, renewal and/or revision of SLAs, service scope and OLAs as appropriate.
Identifying improvement opportunities for inclusion in the CSI register.
Reviewing and prioritizing improvements in the CSI register.
Instigating and coordinating SIPs for the management, planning and implementation of
service and process improvements.
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SLA
OLA
UC
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The terminology used in the ITIL book is expressed from the point of view of the IT service
provider , particularly as it relates to underpinning contracts and agreements. When an IT
service provider engages a third party supplier to provide goods or services that are needed
for the provision of service to customers, it is important that both parties have clear and
unambigous expectation of how the supplier will meet the IT service provide requirements.
This is accompanied by documenting the terms of engagement in an agreement of some
sort and this agreement supports or underpins the service level targets in the SLA with
customer. If the agreement is legally binding it is referred to as contract or more precisely an
underpinning contract.
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Customer-based SLA
This is an agreement with an individual customer group, covering all the services
they use.
Multi-level SLAs
Some organizations have chosen to adopt a multilevel SLA structure. For example, a
three-layer structure might look as follows:
Corporate level: This will cover all the generic SLM issues appropriate to every customer
throughout the organization. These issues are likely to be less volatile, so updates are
less frequently required.
Customer level: This will cover all SLM issues relevant to the particular customer group
or business unit, regardless of the service being used.
Service level: This will cover all SLM issues relevant to the specific service, in relation to
a specific customer group (one for each service covered by the SLA).
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(e.g. head office staff may be connected via a high speed LAN, while local offices may have
to use a lower-speed WAN line). In such cases, separate targets may be needed within the
one agreement.
Difficulties may also arise in determining who should be the signatories to such an agreement.
However, where common levels of service are provided across all areas of the business (for
example, email or telephony), the service-based SLA can be an efficient approach to use.
Multiple classes of service (for example, gold, silver and bronze) can also be used to increase
the effectiveness of service-based SLAs.
Customer-based SLA: This is an agreement with an individual customer group, covering
all the services they use. For example, agreements may be reached with an organizations
finance department covering, say, the finance system, the accounting system, the payroll
system, the billing system, the procurement system, and any other IT systems that they use.
Customers often prefer such an agreement, as all of their requirements are covered in a
single document. Only one signatory is normally required, which simplifies this issue.
Hints and tips: A combination of either customer- or service based SLA structures might be
appropriate, providing all services and customers are covered, with no overlap or duplication.
Multi-level SLAs: Some organizations have chosen to adopt a multilevel SLA structure. For
example, a three-layer structure might look as follows:
Corporate level: This will cover all the generic SLM issues appropriate to every customer
throughout the organization. These issues are likely to be less volatile, so updates are less
frequently required.
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SLA(s)
Business
process
Service A
SLR(s)
SLM
Service
catalogue
Determine, document
and agree requirements
for new services SLRs
and make SLAs
Monitor service
performance against
SLA and produce
service reports
Conduct service
reviews and insgate
improvements within
overall SIP
Service
reports
OLAs
Business
relaonship
management
The business
Business unit B
Suppliers
Teams
(ii)
Support team
(I)
(ii)
Supplier management
Supplier
(I)
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Conduct service review, identifying improvement opportunities for inclusion in the CSI register
and managing appropriate SIPs.
Review and revise SLAs, service scope and OLAs.
Develop and document contacts and relationships with the business, customers and
stakeholders.
Develop, maintain and operate procedures for logging, actioning and resolving all complaints,
and for logging and distributing compliments.
Logging and managing all complaints and compliments.
Provide the appropriate management information to aid performance management and
demonstrate service achievement.
Assisting supplier management to review and revise underpinning contracts and agreements.
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Working with other process owners to ensure there is an integrated approach to the design
and implementation of service catalogue management, service portfolio management,
service level management and business relationship management.
Service Level Management Process Manager: The service level management process
managers responsibilities typically include:
Carrying out the generic process manager role for the service level management process.
Coordinating interfaces between service level management and other processes,
especially service catalogue management, service portfolio management, business
relationship management and supplier management.
Keeping aware of changing business needs.
Ensuring that the current and future service level requirements (service warranty)
of customers are identified, understood and documented in SLA and service level
requirements (SLR) documents.
Negotiating and agreeing levels of service to be delivered with the customer (either
internal or external); formally documenting these levels of service in SLAs.
Negotiating and agreeing OLAs and, in some cases, other SLAs and agreements that
underpin the SLAs with the customers of the service.
Assisting with the production and maintenance of an accurate service portfolio, service
catalogue, application portfolio and the corresponding maintenance procedures.
Ensuring that targets agreed within underpinning contracts are aligned with SLA and SLR
targets.
Ensuring that service reports are produced for ach customer service and that breaches of
SLA targets are highlighted, investigated and actions taken to prevent their recurrence.
Ensuring that service performance reviews are scheduled, carried out with customers
regularly and documented, with agreed actions progressed.
Ensuring that improvement initiatives identified in service reviews are acted on and
progress reports are provided to customers.
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Reviewing service scope, SLAs, OLAs and other agreements on a regular basis, ideally at
least annually.
Ensuring that all changes are assessed for their impact on service levels, including SLAs,
OLAs and underpinning contracts, including attendance at change advisory board (CAB)
meetings if appropriate.
Identifying all customers and other key stakeholders to involve in SLR, SLA and OLA
negotiations.
Developing relationships and communication with customers, key users and other
stakeholders.
Defining and agreeing complaints and their recording, management, escalation (where
necessary) and resolution.
Definition recording and communication of all complaints.
Measuring, recording, analysing and improving customer satisfaction.
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Availability Management
Purpose
The purpose of the availability management process is to ensure that the level
of availability delivered in all IT services meets the agreed availability needs
and/or service level targets in a cost-effective and timely manner.
Objectives
Produce and maintain an appropriate and up-to-date availability plan
that reflects the current and future needs of the business.
Provide advice and guidance to all other areas of the business and IT
on all availability-related issues
Ensure that service availability achievements meet all their agreed targets
by managing services and resources-related availability performance.
Availability Management
Purpose and objectives: The purpose of the availability management process is to ensure
that the level of availability delivered in all IT services meets the agreed availability needs
and/or service level targets in a cost-effective and timely manner. Availability management is
concerned with meeting both the current and future availability needs of the business.
Availability management defines, analyses, plans, measures and improves all aspects of
the availability of IT services, ensuring that all IT infrastructure, processes, tools, roles etc.
are appropriate for the agreed availability service level targets. It provides a point of focus
and management for all availability- related issues, relating to both services and resources,
ensuring that availability targets in all areas are measured and achieved.
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Reactive activities
Proactive activities
Availability management to ensure that all the services and components are designed
and delivered to meet their targets in terms of agreed business needs.
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*100
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to individual component failure (i.e. increasing the component redundancy, for example
by using load-balancing techniques). It is often measured and reported as the mean time
between service incidents (MTBSI) or mean time between failures (MTBF):
Reliability (MTBSI in hours) = Agreed time hours (AST) / Number of breaks
Reliability (MTBF in hours) = Available time in Hours Total Downtime in Hours / Number
of breaks
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recovery time. The downtime in MTRS covers all the contributory factors that make the
service, component or CI unavailable:
Time to record
Time to respond
Time to resolve
Time to physically repair or replace
Time to recover
Serviceability: Serviceability is the ability of a third-party supplier to meet the terms of its
contract. This contract will include agreed levels of availability, reliability and/or maintainability
for a supporting service or component. These aspects and their interrelationships are
illustrated in Figure 4.8.
Although the principal service target contained within SLAs for customers and the business
is availability, as illustrated in Figure 4.8, some customers also require reliability and
maintainability targets to be included in the SLA as well. Where these are included they
should relate to end-to-end service reliability and maintainability, whereas the reliability and
maintainability targets contained in OLAs and contracts relate to component and supporting
service targets and can often include availability targets relating to the relevant components
or supporting services.
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Certain VBFs may need special designs, which are now being used as a matter of course
within service design plans, incorporating:
High availability A characteristic of the IT service that minimizes or masks the effects of
IT component failure to the users of a service.
Fault tolerance The ability of an IT service, component or CI to continue to operate
correctly after failure of a component part.
Continuous operation An approach or design to eliminate planned downtime of an IT
service. Note that individual components or CIs maybe down even though the IT service
remains available.
Continuous availability An approach or design to achieve 100% availability. A continuously
available IT service has no planned or unplanned downtime.
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Availability
management
informaon
system (AMIS)
Availability
management
reports
Proacve acvies
Risk assessment
and management
Risk assessment
and management
Implement
cost-jusfiable
countermeasures
Availability
plan
Availability
design criteria
Availability
tesng
schedule
Connual review
and improvement
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These activities are primarily conducted within the service operation stage of the service
lifecycle and are linked into the monitoring and control activities and incident management
processes.
Proactive activities: The proactive activities of availability management involve the work
necessary to ensure that new or changed services can and will deliver the agreed levels
of availability and that appropriate measurements are in place to support this work. They
include producing recommendations, plans and documents on design guidelines and criteria
for new and changed services, and the continual improvement of service and reduction of risk
in existing services wherever it can be cost-justified. These are key aspects to be considered
within service design activities. Proactive activities include:
Planning and designing new or changed services:
Determining the VBFs, in conjunction with the business and ITSCM.
Determining the availability requirements from the business for a new or enhanced IT
service and formulating the availability and recovery design criteria for the supporting IT
components.
Defining the targets for availability, reliability and maintainability for the IT infrastructure
components that underpin the IT service to enable these to be documented and agreed
within SLAs, OLAs and contracts.
Performing risk assessment and management activities to ensure the prevention and/or
recovery from service and component Unavailability.
Designing the IT services to meet the availability and recovery design criteria and
associated agreed service levels.
Establishing measures and reporting of availability, reliability and maintainability that
reflect the business, user and IT support organization perspectives.
Risk assessment and management:
Determining the impact arising from IT service and component failure in conjunction
with ITSCM and, where appropriate, reviewing the availability design criteria to provide
additional resilience to prevent or minimize impact to the business
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Working with other process owners to ensure there is an integrated approach to the
design and implementation of availability management, service level management,
capacity management, IT service continuity management and information security
management.
Availability Management Process Manager: The availability management process manager
responsibilities typically include:
Carrying out the generic process manager role for the availability management process.
Ensuring that all new services are designed to deliver the levels of availability required by
the business, and validation of the final design to meet the minimum levels of availability
as agreed by the business for IT services.
Assisting with the investigation and diagnosis of all incidents and problems that cause
availability issues or unavailability of services or components.
Participating in the IT infrastructure design, including specifying the availability
requirements for hardware and software.
Specifying the requirements for new or enhanced event management systems for
automatic monitoring of availability of IT components.
Specifying the reliability, maintainability and serviceability requirements for components
supplied by internal and external suppliers.
Being responsible for monitoring actual IT availability achieved against SLA targets, and
providing a range of IT availability reporting to ensure that agreed levels of availability,
reliability and maintainability are measured and monitored on an ongoing basis.
Proactively improving service availability wherever possible, and optimizing the
availability of the IT infrastructure to deliver cost-effective improvements that deliver
tangible benefits to the business.
Creating, maintaining and regularly reviewing an availability management information
system and a forward-looking availability plan, aimed at improving the overall availability
of IT services and infrastructure components, to ensure that existing and future business
availability requirements can be met.
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Ensuring that the availability management process, its associated techniques and
methods are regularly reviewed and audited, and that all of these are subject to continual
improvement and remain fit for purpose.
Creating availability and recovery design criteria to be applied to new or enhanced
infrastructure design.
Working with financial management for IT services, ensuring the levels of IT availability
required are cost-justified.
Maintaining and completing an availability testing schedule for all availability mechanisms.
Ensuring that all availability tests and plans are tested after every major business change.
Assisting security and IT service continuity management with the assessment and
management of risk.
Assessing changes for their impact on all aspects of availability, including overall service
availability and the availability plan.
Attending CAB meetings when appropriate.
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Capacity Management
Purpose:
The purpose of the capacity management process is to ensure that the capacity of
IT services and the IT infrastructure meets the agreed capacity and performancerelated requirements in a cost-effective and timely manner.
Objectives:
Produce and maintain an appropriate and up-to-date capacity plan, which
reflects the current and future needs of the business.
Provide advice and guidance to all other areas of the business and IT on
all capacity- and performance-related issues.
Ensure that service performance achievements meet all of their agreed
targets by managing the performance and capacity of both services and
resources.
Capacity Management
Purpose and objectives: The purpose of the capacity management process is to ensure that the
capacity of IT services and the IT infrastructure meets the agreed capacity and performancerelated requirements in a cost-effective and timely manner. Capacity management is
concerned with meeting both the current and future capacity and performance needs of the
business.
The objectives of capacity management are to:
Produce and maintain an appropriate and up-to-date capacity plan, which reflects the
current and future needs of the business.
Provide advice and guidance to all other areas of the business and IT on all capacity- and
performance-related issues.
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Ensure that service performance achievements meet all of their agreed targets by
managing the performance and capacity of both services and resources.
Assist with the diagnosis and resolution of performance- and capacity-related incidents
and problems.
Assess the impact of all changes on the capacity plan, and the performance and capacity
of all services and resources.
Ensure that proactive measures to improve the performance of services are implemented
wherever it is cost-justifiable to do so.
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Business
capacity management
SLA/SLR
IT service
design
Service
capacity management
Component capacity
management
Capacity management
information system
(CMIS)
Capacity and
performance
reports
Forecasts
Capacity plan
Plan new capacity
Capacity
management tools
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the collected data is recorded, analysed and reported. Wherever necessary, proactive and
reactive action should be instigated, to ensure that the performance of all services meets
their agreed business targets. This is performed by staff with knowledge of all the areas of
technology used in the delivery of end-to-end service, and often involves seeking advice from
the specialists involved in component capacity management. Wherever possible, automated
thresholds should be used to manage all operational services, to ensure that situations where
service targets are breached or threatened are rapidly identified and cost-effective actions to
reduce or avoid their potential impact are implemented.
Component capacity management: The component capacity management sub process
focuses on the management, control and prediction of the performance, utilization and
capacity of individual IT technology components. It ensures that all components within
the IT infrastructure that have finite resource are monitored and measured, and that the
collected data is recorded, analysed and reported. Again, wherever possible, automated
thresholds should be implemented to manage all components, to ensure that situations
where service targets are breached or threatened by component usage or performance are
rapidly identified, and cost-effective actions to reduce or avoid their potential impact are
implemented.
Capacity plan: This is used by all areas of the business and IT management, and is acted on
by the IT service provider and senior management of the organization to plan the capacity
of the IT infrastructure. It also provides planning input to many other areas of IT and the
business. It contains information on the current usage of service and components, and
plans for the development of IT capacity to meet the needs in the growth of both existing
service and any agreed new services. The capacity plan should be actively used as a basis for
decision-making. Too often, capacity plans are created and never referred to or used.
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Understanding the current usage of the infrastructure and IT services, and the maximum
capacity of each component.
Performing sizing on all proposed new services and systems, possibly using modelling
techniques, to ascertain capacity requirements.
Forecasting future capacity requirements based on business plans, usage trends, sizing
of new services etc.
Production, regular review and revision of the capacity plan, in line with the organizations
business planning cycle, identifying current usage and forecast requirements during the
period covered by the plan.
Ensuring that appropriate levels of monitoring of resources and system performance are
set.
Analysis of usage and performance data, and reporting on performance against targets
contained in SLAs.
Raising incidents and problems when breaches of capacity or performance thresholds are
detected, and assisting with the investigation and diagnosis of capacity-related incidents
and problems.
Identifying and initiating any tuning to be carried out to optimize and improve capacity
or performance.
Identifying and implementing initiatives to improve resource usage for example,
demand management techniques.
Assessing new technology and its relevance to the organization in terms of performance
and cost.
Being familiar with potential future demand for IT services and assessing this on
performance service levels.
Ensuring that all changes are assessed for their impact on capacity and performance and
attending CAB meetings when appropriate.
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Producing regular management reports that include current usage of resources, trends
and forecasts.
Sizing all proposed new services and systems to determine the computer and network
resources required, to determine hardware utilization, performance service levels and
cost implications.
Assessing new techniques and hardware and software products for use by capacity
management that might improve the efficiency and effectiveness of the process.
Testing performance of new services and systems.
Preparing reports on service and component performance against targets contained in
SLAs.
Maintaining a knowledge of future demand for IT services and predicting the effects of
demand on performance service levels.
Determining performance service levels that are maintainable and cost-justified.
Recommending tuning of services and systems, and making recommendations to
IT management on the design and use of systems to help ensure optimum use of all
hardware and operating system software resources.
Acting as a focal point for all capacity and performance issues.
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Objectives
Produce and maintain a set of IT service continuity plans that support
the overall business continuity plans of the organization.
Complete regular BIA exercises to ensure that all continuity plans are
maintained in line with changing business impacts and requirements.
Provide advice and guidance to all other areas of the business and IT on
all continuity-related issues.
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ITSCM primarily considers the IT assets and configurations that support the business
processes. If (following a disaster) it is necessary to relocate to an alternative working location,
provision will also be required for items such as office and personnel accommodation,
copies of critical paper records, courier services and telephone facilities to communicate
with customers and third parties. The scope will need to take into account the number and
location of the organizations offices and the services performed in each.
ITSCM does not usually directly cover longer term risks such as those from changes in business
direction, diversification, restructuring, major competitor failure, and so on. While these
risks can have a significant impact on IT service elements and their continuity mechanisms,
there is usually time to identify and evaluate the risk and include risk mitigation through
changes or shifts in business and IT strategies, thereby becoming part of the overall business
and IT change management programme.
Similarly, ITSCM does not usually cover minor technical faults (for example, non-critical
disk failure), unless there is a possibility that the impact could have a major impact on the
business. These risks would be expected to be covered mainly through the service desk and
the incident management process, or resolved through the planning associated with the
processes of availability management, problem management, change management, service
asset and configuration management and business as usual operational management. The
ITSCM process includes:
The agreement of the scope of the ITSCM process and the policies adopted
BIA to quantify the impact loss of IT service would have on the business
Risk assessment and management the risk identification and risk assessment to identify
potential threats to continuity and the likelihood of the threats becoming reality.
This also includes taking measures to manage the identified threats where this can be cost
justified. The approach to managing these threats will form the core of the ITSCM strategy
and plans
Production of an overall ITSCM strategy that must be integrated into the BCM strategy.
This can be produced following the BIA and the development of the risk assessment,
and is likely to include elements of risk reduction as well as selection of appropriate and
comprehensive recovery options.
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Production of an ITSCM plan, which again must be integrated with the overall BCM plans.
Testing of the plans.
Ongoing operation and maintenance of the plans.
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Additional costs
Damaged reputation
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Loss of goodwill
Loss of competitive advantage
Breach of law, health and safety regulations
Risk to personal safety
Immediate and long-term loss of market share
Political, corporate or personal embarrassment
Loss of operational capability, for example, in a command and control environment
How the degree of damage or loss is likely to escalate after a service disruption, and the
times of the day, week, month or year when disruption will be most severe.
The staffing, skills, facilities and services (including the IT services) necessary to enable
critical and essential business processes to continue operating at a minimum acceptable
level.
The time within which minimum levels of staffing, facilities and services should be
recovered.
The time within which all required business processes and supporting staff, facilities and
services should be fully recovered.
The relative business recovery priority for each of the IT services.
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A standard methodology, such as the Management of Risk (M_o_R), should be used to assess
and manage risks within an organization. The M_o_R framework is described in greater detail
in Appendix M. Conducting a formal risk assessment using M_o_R or another structured
method will typically result in a risk profile, containing many risks that are outside the defined
level of acceptable risk. Following the risk assessment it is possible to determine appropriate
risk responses or risk reduction measures (ITSCM mechanisms) to manage the risks, i.e.
reduce the risk to an acceptable level or mitigate the risk. Wherever possible, appropriate
risk responses should be implemented to reduce either the impact or the likelihood, or both,
of these risks from manifesting themselves. In the context of ITSCM, there are a number of
risks that need to be taken into consideration.
IT service continuity strategy: The results of the BIA and the risk assessment will enable
appropriate business and IT service continuity strategies to be produced in line with the
business needs. The strategy will be an optimum balance of risk reduction and recovery or
continuity options. This includes consideration of the relative service recovery priorities and
the changes in relative service priority for the time of day, day of the week, and monthly
and annual variations. Those services that have been identified as high impacts in the short
term within the BIA will want to concentrate efforts on preventive risk reduction methods
for example, through full resilience and fault tolerance while an organization that has low
short-term impacts would be better suited to comprehensive recovery options.
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Objective
The objective of information security management is to protect the interests of
those relying on information, and the systems and communications that deliver
the information, from harm resulting from failures of confidentiality, integrity
and availability.
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resulting from failures of confidentiality, integrity and availability. For most organizations, the
security objective is met when:
Information is observed by or disclosed to only those who have a right to know
(confidentiality).
Information is complete, accurate and protected against unauthorized modification
(integrity).
Information is available and usable when required, and the systems that provide it can
appropriately resist attacks and recover from or prevent failures (availability).
Business transactions, as well as information exchanges between enterprises, or with
partners, can be trusted (authenticity and nonrepudiation).
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Management of all security breaches, incidents and problems associated with all systems
and services
The proactive improvement of security controls, and security risk management and the
reduction of security risks
Integration of security aspects within all other ITSM processes.
To achieve effective information security governance, management must establish and
maintain an information security management system (ISMS) to guide the development
and management of a comprehensive information security programme that supports the
business objectives.
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A document
classification policy
A remote access
policy
An access control
policy
An information
classification policy
An asset disposal
policy
A password control
policy
An anti-virus policy
A records retention
policy
An email policy
An internet policy
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The policy should cover all areas of security, be appropriate, meet the needs of the business
and should include:
An overall information security policy.
Use and misuse of IT assets policy.
An access control policy.
A password control policy.
An email policy.
An internet policy.
An anti-virus policy.
An information classification policy.
A document classification policy.
A remote access policy.
A policy with regard to supplier access to IT service, information and components.
A copyright infringement policy for electronic material.
An asset disposal policy.
A records retention policy.
In most cases, these policies should be widely available to all customers and users, and
their compliance should be referred to in all SLRs, SLAs, OLAs, underpinning contracts and
agreements. The policies should be authorized by top executive management within the
business and IT, and compliance with them should be endorsed on a regular basis. All security
policies should be reviewed and, where necessary, revised on at least an annual basis.
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Objectives
Obtain value for money from suppliers and contracts.
Manage relationships with suppliers Manage supplier performance.
Negotiate and agree contracts with suppliers and manage them
through their lifecycle.
Ensure that contracts with suppliers are aligned to business needs, and support and align
with agreed targets in SLRs and SLAs, in conjunction with SLM.
Negotiate and agree contracts with suppliers and manage them through their lifecycle.
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Contract review,
renewal and
termination
Development,
negotiation and
agreement of contracts
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to value generation and the implementation of the overall business strategy. The greater the
contribution the supplier makes to business value, the more effort the service provider should
put into the management of the supplier and the more that supplier should be involved in
the development and realization of the business strategy. The smaller the suppliers value
contribution, the more likely it is that the relationship will be managed mainly at an operational
level, with limited interaction with the business. It may be appropriate in some organizations,
particularly large ones, to manage internal teams and suppliers, where different business
units may provide support of key elements.
The supplier management process should include:
Implementation and enforcement of the supplier policy.
Maintenance of an SCMIS.
Supplier and contract categorization and risk assessment.
Supplier and contract evaluation and selection.
Development, negotiation and agreement of contracts.
Contract review, renewal and termination.
Management of suppliers and supplier performance.
Identification of improvement opportunities for inclusion in the CSI register, and the
implementation of service and supplier improvement plans.
Maintenance of standard contracts, terms and conditions.
Management of contractual dispute resolution.
Management of sub-contracted suppliers.
IT supplier management often has to comply with organizational or corporate standards,
guidelines and requirements, particularly those of corporate legal, finance and purchasing.
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In order to ensure that suppliers provide value for money and meet their service targets,
the relationship between each supplier should be owned by an individual within the service
provider organization. However, a single individual may own the relationship for one or
many suppliers. To ensure that relationships are developed in a consistent manner and that
suppliers performance is appropriately reviewed and managed, roles need to be established
for a supplier management process owner and a contracts manager. In smaller organizations,
these separate roles may be combined into a single responsibility.
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MODULE
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High
Opera onal
Medium
suppliers
Low
Commodity
suppliers
Strategic
suppliers
Tac cal
suppliers
Opera onal
suppliers
Low
Medium
High
Supplier Categorization
The supplier management process should be adaptive and managers should spend more time
and effort managing key suppliers than less important suppliers. This means that some form
of categorization scheme should exist within the supplier management process to categorize
the supplier and their importance to the service provider and the services provided to the
business.
Suppliers can be categorized in many ways, but one of the best methods for categorizing
suppliers is based on assessing the risk and impact associated with using the supplier, and the
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value and importance of the supplier and its services to the business. The amount of time
and effort spent managing the supplier and the relationship can then be appropriate to its
categorization:
Strategic For significant partnering relationships that involve senior managers sharing
confidential strategic information to facilitate long-term plans. These relationships
would normally be managed and owned at a senior management level within the service
provider organization, and would involve regular and frequent contact and performance
reviews. These relationships would probably require involvement of service strategy and
service design resources, and would include ongoing specific improvement programmes
(e.g. a network service provider supplying worldwide networks service and their support).
Tactical For relationships involving significant commercial activity and business interaction.
These relationships would normally be managed by middle management and would
involve regular contact and performance reviews, often including ongoing improvement
programmes (e.g. a hardware maintenance organization providing resolution of server
hardware failures).
Operational For suppliers of operational products or services. These relationships would
normally be managed by junior operational management and would involve infrequent
but regular contact and performance reviews (e.g. an internet hosting service provider,
supplying hosting space for a low-usage, low-impact website or internally used IT service).
Commodity For suppliers providing low-value and/or readily available products and
services, which could be alternatively sourced relatively easily (e.g. paper or printer
cartridge suppliers).
Strategically important supplier relationships are given the greatest focus. It is in these cases
that supplier managers have to ensure that the culture of the service provider organization is
extended into the supplier domain so that the relationship works beyond the initial contract.
The rise in popularity of outsourcing, and the increase in the scope and complexity of some
sourcing arrangements, has resulted in a diversification of types of supplier relationship. At
a strategic level, it is important to understand the options that are available so that the most
suitable type of supplier relationship can be established to gain maximum business benefit
and evolves in line with business needs.
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A number of factors, from the nature of the service to the overall cost, determine the
importance of a supplier from a business perspective. As shown later, the greater the business
significance of a supplier relationship, the more the business needs to be involved in the
management and development of a relationship. A formal categorization approach can help
to establish this importance.
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Working with service owners and other process managers to ensure the smooth running
of services.
Monitoring and reporting on process performance.
Identifying improvement opportunities for inclusion in the CSI register.
Working with the CSI manager and process owner to review and prioritize improvements
in the CSI register.
Making improvements to the process implementation.
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Summary
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Assessment
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1.
2.
3.
Service Design emphasizes the importance of Four Ps, which of the following is a correct
list of these Four Ps?
a. People, Perceptions, Products and Partners
b. People, Perspectives, Products and Partners
c. People, Portfolio, Products and Partners
d. People, Processes, Products and Partners
4.
Which process is responsible for discussing reports with customers showing whether
services have met their targets?
a. Continual Service Improvement
b. Business Relationship Management
c. Service Level Management
d. Availability Management.
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5.
6.
7.
8.
Which of the following does not provide guidance on what needs to be protected by
Information Security Management?
a. IT Management
b. Service Desk Manager
c. Business Management.
d. The Change Manager
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9.
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k
an
bl
left
lly
na
nt
en
tio
si
pa
ge
i
is
Th
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SERVICE TRANSITION
Co
SERVICE TRANSITION
Improveme
rvice
nt
l Se
a
itnu
n
Service De
sig
n
n
Tra
n
siti o
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vic
e
Se
Ser
era
ce Op ti on
r vi
vice Stra
gy
te
er
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Learning Objectives
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Objectives
Plan and coordinate the resources to ensure that the requirements
of service strategy encoded in service design are effectively
realized in service operation.
Coordinate activities across projects, suppliers and service teams
where required.
Establish new or changed services into supported environments
within the predicted cost, quality and time estimates.
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Establish new or modified management information systems and tools, technology and
management architectures, service management processes, and measurement methods
and metrics to meet requirements established during the service design stage of the
lifecycle.
Ensure that all parties adopt the common framework of standard re-usable processes and
supporting systems in order to improve the effectiveness and efficiency of the integrated
planning and coordination activities.
Provide clear and comprehensive plans that enable customer and business change
projects to align their activities with the service transition plans.
Identify, manage and control risks, to minimize the chance of failure and disruption
across transition activities; and ensure that service transition issues, risks and deviations
are reported to the appropriate stakeholders and decision makers.
Monitor and improve the performance of the service transition lifecycle stage.
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Planning the budget and resources needed to fulfil future requirements for service
transition.
Reviewing and improving the performance of transition planning and support activities.
Ensuring that service transition is coordinated with programme and project management,
service design and service development activities.
Transition planning and support is not responsible for detailed planning of the build, test
and deployment of individual changes or releases; these activities are carried out as part of
change management and release and deployment management.
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Objective
Respond to the customers changing business requirements
Respond to the business and IT requests for change that will align
the services with the business needs.
Ensure that changes are recorded and evaluated and that authorized
changes are planned, tested, implemented, documented and
reviewed in a controlled manner.
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Ensure that changes are recorded and evaluated, and that authorized changes are
prioritized, planned, tested, implemented, documented and reviewed in a controlled
manner.
Ensure that all changes to configuration items are recorded in the configuration
management system.
Optimize overall business risk it is often correct to minimize business risk, but sometimes
it is appropriate to knowingly accept a risk because of the potential benefit.
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Management information systems and tools, especially the service portfolio, for the
management and control of services through their lifecycle.
Technology architectures and management architectures required to provide
the services .
Processes needed to design, transition, operate and improve the services.
Measurement systems, methods and metrics for the services, the architectures, their
constituent components and the processes.
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Service provider
Supplier
Strategic
change
Manage the
business
Manage IT services
Manage the
suppliers
business
Taccal
change
Manage the
business
processes
Service
porolio
Manage
external
services
Service
operaons
External
operaons
Service
change
Operaonal
change
Manage
business
operaons
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levels. It covers interfaces to internal and external service providers where there are
shared assets and configuration items that need to be under change management. Change
management must interface with business change management and with the suppliers
change management (to the right in the figure). This may be an external supplier within a
formal change management system, or the project change mechanisms within an internal
development project.
The service portfolio provides a clear definition all current, planned and retired services.
Understanding the service portfolio helps all parties involved in the service transition to
understand the potential impact of the new or changed service on current services and other
new or changed services.
Strategic changes are brought in via service strategy and the service portfolio management
process in the form of change proposals. Changes to a service will be brought in via service
design, continual service improvement, service level management and service catalogue
management. Corrective change, resolving errors detected in services, will be initiated from
service operation and may route via support or external suppliers into a formal RFC.
Change management is not responsible for coordinating all of the service management
processes to ensure the smooth implementation of projects. This activity is carried out by
transition planning and support.
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Emergency Change:
A change that must be implemented as soon as possible, for example to resolve a
major incident or implement a security patch.
Normal Change:
Any service change that is not a standard change or an emergency change.
Changes are often categorized as Major, Significant or minor, depending on the level of
cost and risk involved, and on the scope and relationship to other changes.
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Change Record:
A record containing the details of a change. A change record is created for every request for
change that is received, even those that are subsequently rejected. Change records should
reference the configuration items that are affected by the change.
Remediation Planning:
Actions taken to recover after a failed change or release. Remediation may include backout, invocation of service continuity plans, or other actions designed to enable the business
process to continue.
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No change should be authorized without having explicitly addressed the question of what
to do if it is not successful. Ideally, there will be a back out plan, which will restore the
organization to its initial state, often through the reloading of a baselined set of CIs, especially
software and data. However, not all changes are reversible, in which case an alternative
approach to remediation is required. This remediation may require a revisiting of the change
itself in the event of failure, or may be so severe that it requires invoking the organizations
business continuity plan. Only by considering what remediation options are available before
instigating a change, and by establishing that the remediation is viable (e.g. it is successful
when tested), can the risk of the proposed change be determined and appropriate
decisions taken.
Change implementation plans should include milestones and other triggers for implementation
of remediation in order to ensure that there is sufficient time in the agreed change window
for back-out or other remediation when necessary.
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Implementation of security patches for desktop operating systems that require specific
testing and guaranteed deployment to large numbers of targets, some of which may not
be online
Service requests that may be authorized and implemented with no further involvement
from change management.
The change model includes:
Steps that should be taken to handle the change, including handling issues and
unexpected events.
The chronological order in which these steps should be taken, with any dependences or
co-processing defined.
Responsibilities who should do what (including identification of those change
authorities who will authorize the change and who will decide whether formal change
evaluation is needed).
Timescales and thresholds for completion of the actions.
Escalation procedures who should be contacted and when.
These models are usually input to the change management support tools; the tools then
automate the handling, management, reporting and escalation of the process.
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clear understanding across the whole range of stakeholder needs. Some of these may be
permanent members of the CAB; others will be invited to participate when they are needed
because of the particular changes that are being discussed.
The change manager will normally chair the CAB, and potential members include
Customer(s).
User manager(s).
User group representative(s).
Business relationship managers.
Service owners.
Applications developers/maintainers.
Specialists and/or technical consultants.
Services and operations staff, e.g. service desk, test management, IT service continuity
management, information security management, capacity management .
Facilities/office services staff (where changes may affect moves/accommodation and
vice versa).
Contractors or third parties representatives, e.g. in outsourcing situations.
Other parties as applicable to specific circumstances (e.g. police if traffic disruptions are
likely, marketing if public products could be affected).
It is important to emphasize that a CAB:
Will be composed of different stakeholders depending on the changes being considered.
May vary considerably in makeup, even across the range of a single meeting.
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Change Schedule:
A document that lists all authorized changes and their planned implementation dates, as
well as the estimated dates of longer-term changes.
A change schedule is sometimes called a forward schedule of change, even though it also
contains information about changes that have already been implemented.
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Create RFC
Change
iniator
Change
proposal
(oponal)
Record RFC
Change
management
Change
management
Change
management
Rejected
Change
authority
Rejected
Change
management
Change
authority
Change
management
Requested
Review RFC
Ready for evaluaon
Assess and
evaluate change
Ready for decision
Authorize change
build and test
Work flows
Authorized
Coordinate change
build and test*
Created
Authorize change
deployment
Work flows
MODULE
SERVICE TRANSITION
Scheduled
Coordinate change
deployment*
Implemented
Review and close
change record
Work flows
Closed
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Evaluate the business justification, impact, cost, benefits and risk of changes
Submit a Request for evaluation to initiate activity from change evaluation process.
Authorize the change:
Obtain authorization/rejection
Communicate the decision with all stakeholders, in particular the initiator of the
Request for Change
Plan updates
Coordinate change implementation
Review and close change:
Collate the change documentation, e.g. baselines and evaluation reports
Review the change(s) and change documentation
Ensure the details of lessons learned have been entered into the service knoweldge
management system
Close the change document when all actions are completed.have been authorized as
change proposals.
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Change
authority
Level of
risk/impact
Level 1
Business
execuve board
High cost/risk
change requires
decision from
execuves
Level 2
IT
management board
or IT steering group
Change impacts
mulple services or
organizaonal
divisions
Level 3
CAB or
ECAB
Change which
only affects local
or service group
Level 4
Change manager
Level 5
Local authorizaon
Standard change
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delegated authority may exist within an authorization level, e.g. delegating authority to a
change manager according to preset parameters relating to:
Anticipated business risk.
Financial implications.
Scope of the change (e.g. internal effects only, within the finance service, specific
outsourced services).
An example of a change authorization hierarchy is shown in above Figure. Each organization
should formally document its own change authorization hierarchy, which may be very
different to the example shown here. All change authorities should be documented in the
CMS. If change assessment at level 2, 3 or 4 detects higher levels of risk, the authorization
request is escalated to the appropriate higher level for the assessed level of risk. The use
of delegated authority from higher levels to local levels must be accompanied by trust in
the judgement, access to the appropriate information and supported by management. The
level at which change is authorized should rest where accountability for accepting risk and
remediation exist. Should disputes arise over change authorization or rejection, there should
be a right of appeal to the higher level. Changes that have been rejected should be formally
reviewed and closed.
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Working with other process owners to ensure that there is an integrated approach to
the design and implementation of change management, service asset and configuration
management, release and deployment management, and service validation and testing.
Change Management Process Manager: The change management process managers
responsibilities typically include:
Carrying out the generic process manager role for the change management process.
Planning and managing support for change management tools and processes.
Maintaining the change schedule and projected service outage.
Coordinating interfaces between change management and other processes especially
service asset and configuration management and release and deployment management.
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Objectives:
Ensure that assets under the control of the IT organization are identified,
controlled and properly cared for throughout their lifecycle.
Identify, control, record, report, audit and verify services and other
configuration items (CIs).
Maintain accurate configuration information on the historical, planned
and current state of services and other CIs.
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Ensure the integrity of CIs and configurations required to control the services by
establishing and maintaining an accurate and complete configuration management
system (CMS).
Maintain accurate configuration information on the historical, planned and current state
of services and other CIs.
Support efficient and effective service management processes by providing accurate
configuration information to enable people to make decisions at the right time for
example, to authorize changes and releases.
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The scope of SACM includes management of the complete lifecycle of every CI. Service asset
and configuration management ensures that CIs are identified, baselined and maintained
and that changes to them are controlled. It also ensures that releases into controlled
environments and operational use are done on the basis of formal authorization. It provides
a configuration model of the services and service assets by recording the relationships
between configuration items. SACM may cover on-IT assets, work products used to develop
the services and CIs required to support the service that would not be classified as assets by
other parts of the business.
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SKMS
The CMS is
part of the
SKMS
Configuraon
records are
stored in
CMDBs in
the CMS
CMS
Each configuraon
record points to and
describes a CI
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document or photograph), and these should be stored in the SKMS. For example, a service
CI will include the details such as supplier, cost, purchase date and renewal date for licences
and maintenance contracts; related documentation such as SLAs and underpinning contracts
will be in the SKMS.
Figure above shows the relationship between configuration records, stored in the CMS, and
the actual CIs, which may be stored in the SKMS or may be physical assets outside the SKMS.
Changes to every configuration item must be authorized by change management and all
updates must include updates to the relevant configuration records. In some organizations,
authority to modify CIs within the SKMS is assigned to configuration librarians, who are also
responsible for modifying the configuration records in the CMS. In other organizations there
is a separation of duties to ensure that no one person can update both the asset in the SKMS
and the corresponding configuration record in the CMS.
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Electronic CIs
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Objectives:
Define and agree release and deployment management plans with
customers and stakeholders.
Create and test release packages that consist of related configuration
items that are compatible with each other.
Ensure that all release packages can be tracked, installed, tested, verified
and/or uninstalled or backed out if appropriate.
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Deploy release packages from the DML to the live environment following an agreed plan
and schedule.
Ensure that all release packages can be tracked, installed, tested, verified and/or
uninstalled or backed out if appropriate.
Ensure that organization and stakeholder change is managed during release and
deployment activities.
Ensure that a new or changed service and its enabling systems, technology and
organization are capable of delivering the agreed utility and warranty.
Record and manage deviations, risks and issues related to the new or changed service
and take necessary corrective action.
Ensure that there is knowledge transfer to enable the customers and users to optimize
their use of the service to support their business activities.
Ensure that skills and knowledge are transferred to service operation functions to enable
them to effectively and efficiently deliver, support and maintain the service according to
required warranties and service levels.
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Release Package:
A release package is a set of configuration items that will be built,
tested and deployed together as a single release.
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IT service A
A1
A2
A3
A2.1
A2.2
A3.1
A2.1.1
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User
documentaon
Web client
Customer
service A
Applicaon
release unit
Database
Change
Release
Documentaon
Central server
Soware
SSA
SSB
SSAU1
A3.1
SSAU2
SSAU3
SSAU4
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The storage available in the build, test, distribution and live environments.
A release package may be a single release unit or a structured set of release units such
as the one shown in Figure 4.19. A release package may contain only part of one or more
release units. This would only happen in exceptional circumstances, for example when
creating an emergency release. The example in Figure 4.19 shows an application with its
user documentation and a release unit for each technology platform. On the right there
is the customer service asset that is supported by two supporting services SSA for the
infrastructure service and SSB for the application service. These release units will contain
information about the service, its utilities and warranties and release documentation. Often
there will be different ways of designing a release package, and consideration should be given
to establishing the most appropriate method for the identifiable circumstances, stakeholders
and possibilities. Where possible, release packages should be designed so that some release
units can be removed if they cause issues in testing.
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The mechanism to automate the build, installation and release distribution processes to
improve re-use, repeatability and efficiency.
How the configuration baseline for the release is captured and verified against the actual
release contents, e.g. hardware, software, documentation and knowledge.
Exit and entry criteria and authority for acceptance of the release into each Service
Transition stage and into the controlled test, training, disaster recovery and production
environments.
Criteria and authorization to exit early life support and handover to Service Operations.
A release that consists of many different types of service assets may involve many people,
often from different organizations. The typical responsibilities for handover and acceptance of
a release should be defined and then they can be modified as required for specific transitions.
The main roles and responsibilities at points of handover should be defined to ensure that
everyone understands their role and level of authority and those of others involved in the
release and deployment process. All releases should have a unique identifier that can be
used by Configuration Management and the documentation standards. The types of release
should be defined as this helps to set customer and stakeholder expectations about the
planned releases.
A typical example is:
Major releases, normally containing large areas of new functionality, some of which may
eliminate temporary fixes to problems. A major upgrade or release usually supersedes all
preceding minor upgrades, releases and emergency fixes.
Minor releases, normally containing small enhancements and fixes, some of which
may already have been issued as emergency fixes. A minor upgrade or release usually
supersedes all preceding emergency fixes.
Emergency releases, normally containing the corrections to a small number of known
errors or sometimes an enhancement to meet a high priority business requirement.
A release policy may say, for example, that only strict emergency fixes will be issued in
between formally planned releases of enhancements and non-urgent corrections.
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Phased Approach
Head Office
Release 1
Branch 1
Release 2
Release 1
Rel. 3
R. 3
Release 2
Branch 2
Release 1
Release 2
Branch 3
Release 1
Release 2
Month
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Pull Approach
Software releases where the software is made available in a central
location but users are free to pull the software down to their own
location at a time of their choosing or when a user workstation
restarts.
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Auth
Authorize
release planning
Authorize
build and test
Release and
deployment
planning
Release
build and
test
Auth
Auth
Auth
Auth
Auth
Authorize
deployment/
transfer/rerement
Authorize
ceck- in to DML
Deployment
Post
Implementaon
review
Review and
close
Deployment
Deployment
Deployment
Auth
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Deployment: The release package in the DML is deployed to the live environment. This phase
starts with change management authorization to deploy the release package to one or more
target environments and ends with handover to service operation functions and early life
support. There may be many separate deployment phases for each release, depending on
the planned deployment options.
Review and close: Experience and feedback are captured, performance targets and
achievements are reviewed and lessons are learned.pushed to all known users.
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Objectives
Improve the quality of management decision making by ensuring that
reliable and secure knowledge.
Enable the service provider to be more efficient and improve quality
of service.
Maintain a service knowledge management system (SKMS) that
provides controlled access to knowledge.
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Ensure that staff have a clear and common understanding of the value that their services
provide to customers and the ways in which benefits are realized from the use of those
services.
Maintain a service knowledge management system (SKMS) that provides controlled
access to knowledge, information and data that is appropriate for each audience.
Gather, analyse, store, share, use and maintain knowledge, information and data
throughout the service provider organization.
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Wisdom
Why?
Knowledge
How?
Informaon
Who, what,
When, where?
Data
Understanding
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Knowledge is composed of the tacit experiences, ideas, insights, values and judgments of
individuals. People gain knowledge both from their own and from their peers expertise,
as well as from the analysis of information (and data). Through the synthesis of these
elements, new knowledge is created. Knowledge is dynamic and context based. Knowledge
puts information into an ease of use form, which can facilitate decision making. In Service
Transition this knowledge is not solely based on the transition in progress, but is gathered
from experience of previous transitions, awareness of recent and anticipated changes and
other areas that experienced staff will have been unconsciously collecting for some time.
An example of knowledge is that the average time to close priority 2 incidents has increased
by about 10% since a new version of the service was released.
Wisdom makes use of knowledge to create value through correct and well-informed decisions.
Wisdom involves having the application and contextual awareness to provide strong common
sense judgement. An example of wisdom is recognizing that the increase in time to close
priority 2 incidents is due to poor-quality documentation for the new version of the service.
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Configura
on management system
Configura
on management
database
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many different types of data, information and knowledge. Examples of items that should be
stored in an SKMS include:
The service portfolio.
The configuration management system (CMS).
The definitive media library (DML).
Service level agreements (SLAs), contracts and operation level agreements (OLAs).
The information security policy.
The supplier and contract management information system (SCMIS), including suppliers
and partners requirements, abilities and expectations.
The experience of staff.
Records of peripheral matters, e.g. weather, user numbers and behavior, organizations
performance figures.
Suppliers and partners requirements, abilities and expectations.
Typical and anticipated user skill levels.
The capacity plan and capacity management information system (CMIS).
The availability plan and availability management information system (AMIS).
Service continuity invocation procedure.
Service reports.
A discussion forum where practitioners can ask questions, answer each others questions,
and search for previous questions and answers.
An indexed and searchable repository of project plans from previous projects.
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A known error database provided by a vendor which lists common issues in their product
and how to resolve them.
Skills register, and typical and anticipated user skill levels.
Diagnostic scripts.
A managed set of web-based training courses.
Weather reports, needed to support business and IT decision-making (for example, an
organization may need to know whether rain is likely at the time of an outdoor event).
Customer/user personal information, for example to support a blind user who needs to
have specific support from the service desk.
Many of these knowledge and information assets are configuration items. Changes to CIs
must be under the control of the change management process, and details of their attributes
and relationships will be documented in the CMS.
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Summary
Optimizing Service Transition
Transition Planning and Support
Change Management
Change Proposal, Change Types, CAB, RFC, Change Record
Service Asset and Configuration Management
CI, CMDB, CMS, DML,
Release and Deployment Management
Release Unit, Deployment Options, Release Model
Knowledge Management
DIKW, SKMS
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an
bl
left
lly
na
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Assessment
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1.
2.
What type of baseline captures the structure, contents and details of the infrastructure
and represents a set of items that are related to each other?
a. Configuration Baseline
b. Project Baseline
c. Change Baseline
d. Asset Baseline.
3.
4.
Which stage of change management process deals with what should be done if the
change is unsuccessful?
a. Remediation Planning
b. Categorization
c. Prioritization
d. Review and close
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5.
Which process or function is responsible for the Definitive Media Library and Definitive
Spares?
a. Facilities Management
b. Access Management
c. Request Fulfilment
d. Service Asset and Configuration Management.
6.
Which of the following statements about Service Asset and Configuration Management
is/are CORRECT?
1. A configuration item (CI) can exist as part of any number of other CIs at the same
time.
2. Choosing which CIs to record will depend on the level of control an organization
wishes to exert.
a. 1 only
b. 2 only
c. Both of the above
d. Neither of the above.
7.
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8.
Which of the following groups should have access to the change schedule?
1. Service Desk
2. Business Management
3. All IT Staff
4. IT Management
a. 2,3 and 4 only
b. 1, 2 and 4 only
c. 1,3 and 4 only
d. All of the above.
9.
Which of the following statements about a Definitive Media Library are CORRECT?
1. The DML includes a physical store.
2. The DML holds definitive hardware spares.
3. The DML includes master copies of controlled documentation.
a. All of the above
b. 1 and 2 only
c. 2 and 3 only
d. 1 and 3 only
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SERVICE OPERATION
Improveme
rvice
nt
l Se
a
itnu
n
Service De
sig
n
n
Tra
n
siti o
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Learning Objectives
After the completion of this module, you will be able to:
Understand and explain the value to the business provided by Service
Operation.
Understand and explain the position of Service Operation and how
it contributes to the Service Lifecycle.
Understand the key concepts and definitions of Service Operation.
Understand and Explain the key principles of Service Operation.
Understand and explain the Service Operation functions of: :
Service Desk.
Technical Management.
Application Management.
IT Operations Management.
Understand and explain the processes of:
Incident Management.
Event Management.
Request Fulfillment.
Problem Management.
Access Management.
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and networks, that make up the end-to-end service from a business perspective). These
processes and tools should also detect any threats or failures to service quality. As services
may be provided, in whole or in part, by one or more partner/supplier organizations, the
service operation view of the end-to-end service should be extended to encompass external
aspects of service provision. When necessary, shared or interfacing processes and tools
should be deployed to manage cross-organizational workflows.
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Event
Management
Incident
Management
Problem
Fanagement
Request
Fulfilment
Access
management
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Service desk
Technical
management
Mainframe
Server
Network
Storage
IT operaons management
IT operaons control
Console management /
operaons bridge
Job scheduling
Backup and restore
Print and output management
Facilies management
Recovery sites
Contracts
Data centers
Consolidaon
Applicaon
management
Financial
apps
HR
apps
Business
apps
Database
Directory
services
Desktop
Middleware
Internet/web
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Event:
An event can be defined as any change of state that has significance for the
management of a configuration item (CI) or IT service. Events are typically
recognized through notifications created by an IT service, CI or monitoring tool.
Alert:
Incident: service. Failure of a configuration item that has not yet affected service is also an
incident for example, failure of one disk from a mirror set.
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with the service desk. Service requests may be linked to a request for change as part of
fulfilling the request.
Urgency: A measure of how long it will be until an incident, problem or change has significant
impact on the business. For example, a high impact incident may have low urgency if the
impact will not affect the business until the end of the financial year. Impact and urgency are
used to assign priority.
Priority: A category used to identify the relative importance of an incident, problem or
change. Priority is based on impact and urgency, and is used to identify required times for
action to be taken.
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Objective:
Increase visibility and communication of incidents to
business and IT support staff .
Enhance business perception of IT through use of
a professional approach in quickly resolving and
communicating incidents when they occur.
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Both incidents and service requests are reported to the service desk, this
does not mean that they are the same.
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Timescales must be agreed for all incident-handling stages (these will differ
Timescales: depending upon the priority level of the incident) based upon the overall
incident response and resolution targets within SLAs and captured as targets
within OLAs and Underpinning Contracts (UCs).
Incident
Models:
Many incidents are not new they involve dealing with something that has
happened before and may well happen again. For this reason, many organizations
will find it helpful to pre-define standard Incident Models and apply them to
appropriate incidents when they occur.
Major
incidents:
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Incident Models: Many incidents are not new they involve dealing with something that has
happened before and may well happen again. For this reason, many organizations will find it
helpful to pre-define standard Incident Models and apply them to appropriate incidents
when they occur. An Incident Model is a way of pre-defining the steps that should be taken
to handle a process (in this case a process for dealing with a particular type of incident) in an
agreed way. Support tools can then be used to manage the required process. This will ensure
that standard incidents are handled in a predefined path and within pre-defined timescales.
Incidents which would require specialized handling can be treated in this way (for example,
security-related incidents can be routed to Information Security Management and capacityor performance-related incidents that would be routed to Capacity Management. The
Incident Model should include:
The steps that should be taken to handle the incident.
The chronological order these steps should be taken in, with any dependences or coprocessing defined.
Responsibilities: who should do what.
Timescales and thresholds for completion of the actions.
Escalation procedures; who should be contacted and when.
Any necessary evidence-preservation activities (particularly relevant for security- and
capacity-related incidents).
The models should be input to the incident-handling support tools in use and the tools should
then automate the handling, management and escalation of the process.
Major incidents: A separate procedure, with shorter timescales and greater urgency, must
be used for major incidents. A definition of what constitutes a major incident must be
agreed and ideally mapped on to the overall incident prioritization system such that they
will be dealt with through the major incident process. Note: People sometimes use loose
terminology and/or confuse a major incident with a problem. In reality, an incident remains
an incident forever it may grow in impact or priority to become a major incident, but an
incident never becomes a problem. A problem is the underlying cause of one or more
incidents and remains a separate entity always!
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Some lower-priority incidents may also have to be handled through this procedure due to
potential business impact and some major incidents may not need to be handled in this
way if the cause and resolutions are obvious and the normal incident process can easily cope
within agreed target resolution times provided the impact remains low! Where necessary,
the major incident procedure should include the dynamic establishment of a separate major
incident team under the direct leadership of the Incident Manager, formulated to concentrate
on this incident alone to ensure that adequate resources and focus are provided to finding
a swift resolution. If the Service Desk Manager is also fulfilling the role of Incident Manager
(say in a small organization), then a separate person may need to be designated to lead the
major incident investigation team so as to avoid conflict of time or priorities but should
ultimately report back to the Incident Manager.
If the cause of the incident needs to be investigated at the same time, then the Problem
Manager would be involved as well but the Incident Manager must ensure that service
restoration and underlying cause are kept separate. Throughout, the Service Desk would
ensure that all activities are recorded and users are kept fully informed of progress. While
the service desk may be accountable for ensuring that the incident/major incident record
is always up-to-date, responsibility may also lie elsewhere (such as with the other technical
teams).
Incident status tracking: Incidents should be tracked throughout their lifecycle to support
proper handling and reporting on the status of incidents. Within the incident management
system, status codes may be linked to incidents to indicate where they are in relation to the
lifecycle. Examples of these might include:
Open An incident has been recognized but not yet assigned to a support resource for
resolution
In progress The incident is in the process of being investigated and resolved
Resolved A resolution has been put in place for the incident but normal state service
operation has not yet be
Closed The user or business has greed that the incident has been resolved and that
normal state operations have been restored.
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Web interface
Phone Call
Is this really
an incident?
Yes
No
Incident logging
Incident
iden fica on
To request fulfilment
(if this is a service
request) or service
porolio management
(if this is a change
proposal)
Incident
categoriza on
Incident
priori za on
Major incident
procedure
Yes
Major incident
No
Ini al diagnosis
Func onal
escala on
Yes
Func onal
escala on
Yes
No
Escala on
Needed?
No
No
Management
escala on
Yes
Hierarchic
escala on
No
Inves ga on
And diagnosis
Resolu on
iden fied?
Yes
Resolu on and
recovery
Incident closure
End
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incident has to be referred to other support group(s), the will have all relevant information to
hand to assist them. The information needed for each incident can include:
Unique reference number If service desk and/or support staff visit the customers to deal
with one incident, they may be asked to deal with further incidents while they. It is
important that if this is done, a separate incident record is logged for each additional
incident handled, to ensure that a historical record is kept and credit is given for the work
undertaken.
Incident categorization (often broken down into between two and four sub-categories).
Incident urgency.
Incident impact.
Incident prioritization.
Date/time recorded.
Name/ID of the person and/or group recording the incident.
Method of notification (telephone, automatic, email, in person etc.).
Name/department/phone/location of user.
Call-back method (telephone, mail etc.).
Description of symptoms.
Incident status (active, waiting, closed etc.).
Related CI.
Support group/person to which the incident is allocated.
Related problem/known error.
Activities undertaken to resolve the incident and when these took place.
Resolution date and time.
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Closure category.
Closure date and time.
Note that if the service desk does not work 24/7 and responsibility for first-line incident
logging and handling passes to another group, such as IT operations or network support, out
of service desk hours, then these staff need to be equally rigorous about logging of incident
details. Full training and awareness needs to be provided to such staff on this issue.
As further activities to resolve an incident occur, the incident record should be updated with
relevant information and details so that a full history is maintained. Examples of this might
include changing the categorization or priority once further diagnosis or escalation activities
have occurred.
Incident categorization: Part of the initial logging must be to allocate suitable incident
categorization coding so that the exact type of incident is recorded. This will be important
later when looking at incident types/ frequencies to establish trends for use in problem
management, supplier management and other ITSM activities.
Note that the check for service requests in this process does not imply that service requests
are incidents. This is simply recognition of the fact that service requests are sometimes
incorrectly logged as incidents (e.g. a user incorrectly enters the request as an incident from
the web interface). This check will detect any such requests and ensure that they are passed
to the request fulfilment process.
Incident categorization may change throughout the lifecycle of an incident. For example,
upon discovery and logging of the incident, initial categories may reflect symptoms (e.g.
service unavailable or performance slow). Upon later analysis, categories may reflect the
actual CIs at fault such as server or disk drive. For this reason, multi-level categorization can
be used to identify multiple levels of categories that can be associated with an incident. The
capability to track chosen categories as they change throughout the lifecycle of an incident
may also prove useful when looking for potential improvements. Multi-level categorization is
available in most tools usually to three or four levels of granularity.
All organizations are unique and it is therefore difficult to give generic guidance on the
categories an organization should use, particularly at the lower levels. However, there is a
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technique that can be used to assist an organization achieve a correct and complete set of
categories if they are starting from scratch! The steps involve:
i.
Hold a brainstorming session among the relevant support groups, involving the service
desk supervisor and incident and problem managers.
ii. Use this session to decide the best guess top level categories, ideally with the
customer in mind, so that service (or worst case, application) heads the list and
include an other category. Set up the relevant logging tools to use these categories for
a trial period.
iii. Use the categories for a short trial period (long enough for several hundred incidents to
fall into each category, but not too long that an analysis will take too long to perform).
iv. Perform an analysis of the incidents logged during the trial period. The number of
incidents logged in each higher-level category will confirm whether the categories
are worth having and a more detailed analysis of the other category should allow
identification of any additional higher-level categories that will be needed.
v. A breakdown analysis of the incidents within each higher-level category should be used
to decide the lower-level categories that will be required.
vi. Review and repeat these activities after a further period of, say, one to three months
and again review regularly to ensure that they remain relevant. Be aware that any
significant changes to categorization may cause some difficulties for incident trending
or management reporting, so they should be stabilized unless changes are genuinely
required.
If an existing categorization scheme is in use, but is not thought to be working satisfactorily,
the basic idea of the technique suggested above can be used to review and amend the
existing scheme.
Initial diagnosis: If the incident has been routed via the service desk, the service desk analyst
must carry out initial diagnosis, typically while the user is still on the telephone if the call
is raised in this way to try to discover the full symptoms of the incident and to determine
exactly what has gone wrong and how to correct it. It is at this stage that diagnostic scripts
and known error information can be most valuable in allowing earlier and accurate diagnosis.
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If possible, the service desk analyst can resolve an incident while the user is still on the
telephone and close the incident if the resolution and recovery are agreed to be successful.
If the service desk analyst cannot resolve the incident while the user is still on the telephone,
but there is a prospect that the service desk may be able to do so within the agreed time
limit without help from other support groups, the analyst should inform the user of their
intentions, give the user the incident reference number and attempt to find a resolution.
Investigation and diagnosis: A reported incident is likely to require some degree of
investigation and diagnosis. Each of the support groups involved with the incident handling
will investigate and diagnose what has gone wrong and all such activities (including details
of any actions taken to try to resolve or recreate the incident) should be fully documented
in the incident record so that a complete historical record of all activities is maintained at
all times. Note that valuable time can often be lost if investigation and diagnostic action (or
indeed resolution or recovery actions) are performed serially. Where possible, such activities
should be performed in parallel to reduce overall timescales and support tools should
be designed and/ or selected to allow this. However, care should be taken to coordinate
activities, particularly resolution or recovery activities, otherwise the actions of different
groups may conflict or further complicate a resolution! This investigation is likely to include
such actions as:
Establishing exactly what has gone wrong or is being sought by the user.
Understanding the chronological order of events.
Confirming the full impact of the incident, including the number and range of users
affected.
Identifying any events that could have triggered the incident (e.g. a recent change, some
user action?).
Detailed knowledge searches looking for previous occurrences by searching incident/
problem records and/or known error databases (KEDBs) or manufacturers/suppliers
error logs or knowledge databases. These matches may not have been obvious during
initial diagnosis.
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Resolution and recovery: When a potential resolution has been identified, this should be
applied and tested. The specific actions to be undertaken and the people who will be involved
in taking the recovery actions may vary, depending upon the nature of the fault, but could
involve:
Asking the user to undertake directed activities on their own desktop or remote
equipment .
The service desk implementing the resolution either centrally (say, rebooting a server) or
remotely using software to take control of the users desktop to diagnose and implement
a resolution.
Specialist support groups being asked to implement specific recovery actions (e.g.
network support reconfiguring a router).
A third-party supplier or maintainer being asked to resolve the fault.
Even when a resolution has been found, sufficient testing must be performed to ensure that
recovery action is complete and that normal state service operation has been restored. Note
that in some cases it may be necessary for two or more groups to take separate, though
perhaps coordinated, recovery actions for an overall resolution to be implemented. In such
cases incident management must coordinate the activities and liaise with all parties involved.
Regardless of the actions taken, or who does them, the incident record must be updated
accordingly with all relevant information and details so that a full history is maintained. The
resolving group should pass the incident back to the service desk for closure action.
Incident closure: The service desk should check that the incident is fully resolved and that
the users are satisfied and willing to agree the incident can be closed. The service desk should
also check the following:
Closure categorization: Check and confirm that the initial incident categorization was
correct or, where the categorization subsequently turned out to be incorrect, update
the record so that a correct closure categorization is recorded for the incident seeking
advice or guidance from the resolving group(s) as necessary.
User satisfaction survey: Carry out a user satisfaction call-back or email survey for the
agreed percentage of incidents.
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Incident documentation: Chase any outstanding details and ensure that the incident
record is fully documented so that a full historic record at a sufficient level of detail is
complete.
Ongoing or recurring problem?: Determine (in conjunction with resolver groups) whether
the incident was resolved without the root cause being identified. In this situation, it is
likely that the incident could recur and require further preventive action to avoid this.
In all such cases, determine if a problem record related to the incident has already been
raised. If not, raise a new problem record in conjunction with the problem management
process so that preventive action is initiated.
Formal closure: Formally close the incident record.
Note that some organizations may choose to utilize an automatic closure period on specific,
or even all, incidents (e.g. incident will be automatically closed after two working days if no
further contact is made by the user). Where this approach is to be considered, it must first be
fully discussed and agreed with the users and widely publicized so hat all users and IT staff
are aware of this. It may be inappropriate to use this method for certain types of incidents,
such as major incidents or those involving VIPs etc.
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Escalation
IT Service
Manager
Service Desk
Manager
Service Desk
Support Team
Hierarchical (authority)
MODULE
SERVICE OPERATION
2nd Line
Manager
2 nd Line
Support Team
3rd Line
Manager
3rd Line
Support Team
Funconal (competence)
Escalation:
Functional escalation: As soon as it becomes clear that the service desk is unable to resolve
the incident itself (or when target times for first-point resolution have been exceeded
whichever comes first), the incident must be immediately escalated for further support. If
the organization has a hierarchy of support groups with more time or specialist skills that the
service desk believes can resolve the incident, it should refer the incident to the appropriate
next level support group in that hierarchy. If it is obvious that the incident will require deeper
technical knowledge or a support group has not been able to resolve the incident within
agreed target times (whichever comes first), the incident must be immediately escalated to
the next appropriate support group in the hierarchy. The rules for escalation and handling
of incidents must be agreed in OLAs and UCs with internal and external support groups,
respectively.
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Some incidents may require multiple support groups to resolve. Support groups may
be internal, but they may also be third parties such as software suppliers or hardware
manufacturers or maintainers. The rules for handling of incidents across support groups
and between third-party support providers must also be agreed in OLAs and UCs with each
support group, respectively. Note that incident ownership remains with the service desk!
Regardless of where an incident is referred to during its life, ownership of the incident must
remain with the service desk at all times. The service desk remains responsible for tracking
progress, keeping users informed and ultimately for incident closure.
Hierarchic escalation: If incidents are of a serious nature (for example, high-priority incidents)
the appropriate IT managers must be notified, for informational purposes at least. Hierarchic
escalation is also used if the investigation and diagnosis and resolution and recovery steps
are taking too long or proving too difficult. Hierarchic escalation should continue up the
management chain so that senior managers are aware and can be prepared and take any
necessary action, such as allocating additional resources or involving suppliers/maintainers.
Hierarchic escalation is also used when there is contention about who the incident is allocated
to. Hierarchic escalation can, of course, be initiated by the affected users or customer
management, as they see fit that is why it is important that IT managers are made aware so
that they can anticipate and prepare for any such escalation. The exact levels and timescales
for both functional and hierarchic escalation need to be agreed, taking into account SLA
targets, and embedded within support tools which can then be used to police and control
the process flow within agreed timescales. The service desk should keep the user informed of
any relevant escalation that takes place and ensure the incident record is updated accordingly
to keep a full history of actions.
Incident prioritization: Another important aspect of logging every incident is to agree and
allocate an appropriate prioritization code, as this will determine how the incident is handled
both by support tools and support staff. Prioritization can normally be determined by taking
into account both the urgency of the incident (how quickly the business needs a resolution)
and the level of business impact it is causing. An indication of impact is often (but not always)
the number of users being affected. In some cases, and very importantly, the loss of service
to a single user can have a major business impact it all depends upon who is trying to do
what so numbers alone are not enough to evaluate overall priority! Other factors that can
also contribute to impact levels are:
The number of services affected may be multiple services.
The level of financial losses.
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KPI Percentage of incidents closed by the service desk without reference to other levels
of support (often referred to as first point of contact).
KPI Number and percentage of incidents resolved remotely, without the need for a visit.
KPI Number of incidents resolved without impact to the business (e.g. incident was raised
by event management and resolved before it could impact the business).
CSF Maintain quality of IT services:
KPI Total numbers of incidents (as a control measure).
KPI Size of current incident backlog for each IT service.
KPI Number and percentage of major incidents for each IT service.
CSF Maintain user satisfaction with IT services.
KPI Average user/customer survey score (total and by question category).
KPI Percentage of satisfaction surveys answered versus total number of satisfaction
surveys sent.
CSF Increase visibility and communication of incidents to business and IT support staff:
KPI Average number of service desk calls or other contacts from business users for
incidents already reported.
KPI Number of business user complaints or issues about the content and quality of
incident communications.
CSF Align incident management activities and priorities with those of the business:
KPI Percentage of incidents handled within agreed response time (incident response
time targets may be specified in SLAs, for example, by impact and urgency codes).
KPI Average cost per incident.
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CSF Ensure that standardized methods and procedures are used for efficient and prompt
response, analysis, documentation, ongoing management and reporting of incidents to
maintain business confidence in IT capabilities.
KPI Number and percentage of incidents incorrectly assigned
KPI Number and percentage of incidents incorrectly categorized
KPI Number and percentage of incidents processed per service desk agent
KPI Number and percentage of incidents related to changes and releases.
It is also helpful to break down and categorize incident metrics by category, timeframe,
impact, urgency, service impacted, location and priority and compare these with previous
periods. This can provide input to problem management, CSI and other processes seeking
to identify issues, problem trends or other situations. Reports should be produced under
the authority of the incident manager, who should draw up schedule and distribution list, in
collaboration with the service desk and support groups handling incidents. Distribution lists
should at least include IT services management and specialist support groups. Consider also
making the data available to users and customers, for example via SLA reports.
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Problem Management
Purpose
Purpose: The purpose of problem management is to manage the
lifecycle of all problems from first identification through further
investigation, documentation and eventual removal.
To minimize the adverse impact of incidents and problems
on the business that are caused by underlying errors within the IT
Infrastructure.
Objectives
Prevent problems and resulting incidents from happening.
Eliminate recurring incidents.
Minimize the impact of incidents that cannot be prevented..
Problem Management
Purpose: The purpose of problem management is to manage the lifecycle of all problems
from first identification through further investigation, documentation and eventual removal.
Problem management seeks to minimize the adverse impact of incidents and problems on the
business that are caused by underlying errors within the IT Infrastructure, and to proactively
prevent recurrence of incidents related to these errors. In order to achieve this, problem
management seeks to get to the root cause of incidents, document and communicate known
errors and initiate actions to improve or correct the situation.
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Problem Management
Responsible for ensuring
that the resolution is
implemented through
the appropriate change
procedures.
Includes activities to
diagnose the root cause of
problems.
SCOPE
Works hand in hand with
Incident Management
Problem Management
Scope: Problem Management includes the activities required to diagnose the root cause
of incidents and to determine the resolution to those problems. It is also responsible for
ensuring that the resolution is implemented through the appropriate control procedures,
especially Change Management and Release and Deployment Management.
Problem Management will also maintain information about problems and the appropriate
workarounds and resolutions, so that the organization is able to reduce the number and
impact of incidents over time. In this respect, Problem Management has a strong interface
with Knowledge Management, and tools such as the Known Error Database will be used for
both. Although Incident and Problem Management are separate processes, they are closely
related and will typically use the same tools, and may use similar categorization, impact and
priority coding systems. This will ensure effective communication when dealing with related
incidents and problems.
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Problem Management
Scope
Problem Management consists of two major processes:
Reactive Problem Management.
Is commonly executed as part of Service Operation.
Proactive Problem Management.
Is initiated in Service Operation, typically driven as part of Continual Service
Improvement.
Problem Management
Reactive problem management is concerned with solving problems in response to one or
more incidents.
Proactive problem management is concerned with identifying and solving problems and
known errors before further incidents related to them can occur again.
While reactive problem management activities are performed in reaction to specific
incident situations, proactive problem management activities take place as ongoing
activities targeted to improve the overall availability and end user satisfaction with IT
services. Examples of proactive problem management activities might include conducting
periodic scheduled reviews of incident records to find patterns and trends in reported
symptoms that may indicate the presence of underlying errors in the infrastructure.
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Conducting major incident reviews where review of How can we prevent the recurrence?
can provide identification of an underlying cause or error.
Conducting periodic scheduled reviews of operational logs and maintenance records
identifying patterns and trends of activities that may indicate an underlying problem
might exist.
Conducting periodic scheduled reviews of event logs targeting patterns and trends of
warning and exception events that may indicate the presence of an underlying problem.
Conducting brainstorming sessions to identify trends that could indicate the existence of
underlying problems.
Using check sheets to proactively collect data on service or operational quality issues
that may help to detect underlying problems.
Reactive and proactive problem management activities are generally conducted within the
scope of service operation. A close relationship exists between proactive problem management
activities and CSI lifecycle activities that directly support identifying and implementing service
improvements. Proactive problem management supports those activities through trending
analysis and the targeting of preventive action. Identified problems from these activities will
become input to the CSI register used to record and manage improvement opportunities.
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With reactive problem management, process activities will typically be triggered in reaction
to an incident that has taken place. Reactive problem management complements incident
management activities by focusing on the underlying cause of an incident to prevent its
recurrence and identifying workarounds when necessary.
With proactive problem management, process activities are triggered by activities seeking to
improve services. One example might be trend analysis activities to find common underlying
causes of historical incidents that took place to prevent their recurrence. Proactive problem
management complements CSI activities by helping to identify workarounds and improvement
actions that can improve the quality of a service.
By redirecting the efforts of an organization from reacting to large numbers of incidents to
preventing incidents, an organization provides a better service to its customers and makes
more effective use of the available resources within the IT support organization.
Problem models: Many problems will be unique and will require handling in an individual
way but it is conceivable that some incidents may recur because of dormant or underlying
problems (for example, where the cost of a permanent resolution will be high and a decision
has been taken not to go ahead with an expensive solution but to live with the problem). As
well as creating a known error record in the KEDB to ensure quicker diagnosis, the creation
of a problem model for handling such problems in the future may be helpful. This is very
similar in concept to the idea of incident or request models described in previous chapters,
but applied to problems.
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and allow a billing process to complete satisfactorily, but it is important that work on a
permanent resolution continues where this is justified in this example the reason for the file
becoming corrupted in the first place must be found and corrected to prevent this happening
again.
When a workaround is found, it is therefore important that the problem record remains open
and details of the workaround are documented within the problem record. In some cases
there may be multiple workarounds associated with a problem. As problem investigation and
diagnosis activities carry on, there may be a series of improvements that do not resolve the
problem, but lead to a progressive improvement in the quality of the workarounds available.
These may impact on the prioritization of the problem as successive workaround solutions
may reduce the impact of future related incidents, either by reducing their likelihood or
improving the speed of their resolution.
Raising a known error record: A known error is defined as a problem with a documented
root cause and workaround. The known error record should identify the problem record it
relates to and document the status of actions being taken to resolve the problem, its root
cause and workaround. All known error records should be stored in the KEDB.
As soon as the diagnosis is complete, and particularly where a workaround has been found
a known error record must be raised and placed in the KEDB so that if further incidents or
problems arise, they can be identified and the service restored more quickly. In some cases
it may be advantageous to raise a known error record even earlier in the overall process,
even though the diagnosis may not be complete or a workaround found. This might be used
for information purposes or to identify a root cause or workaround that appears to address
the problem but hasnt been fully confirmed. Therefore, it is inadvisable to set a concrete
procedural point for exactly when a known error record must be raised. It should be done as
soon as it becomes useful to do so!
Known Error Database: The purpose of a KEDB is to allow storage of previous knowledge
of incidents and problems and how they were overcome to allow quicker diagnosis and
resolution if they recur. The known error record should hold exact details of the fault and
the symptoms that occurred, together with precise details of any workaround or resolution
action that can be taken to restore the service and/or resolve the problem. An incident count
will also be useful to determine the frequency with which incidents are likely to recur and
influence priorities etc.
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It should be noted that a business case for a permanent resolution for some problems may
not exist. For example, if a problem does not cause serious disruption and a workaround
exists and/or the cost of resolving the problem far outweighs the benefits of a permanent
resolution, then a decision may be taken to tolerate the problem. However, it will still be
desirable to diagnose and implement a workaround as quickly as possible, which is where
the KEDB can help.
It is essential that any data put into the database can be quickly and accurately retrieved. The
problem manager should be fully trained and familiar with the search methods/algorithms
used by the selected database and should carefully ensure that when new records are added,
the relevant search key criteria are correctly included.
Care should be taken to avoid duplication of records (i.e. the same problem described in two
or more ways as separate records). To avoid this, the problem manager should be the only
person able to enter a new record. Other support groups should be encouraged to propose
new records, but these should be vetted by the problem manager before entry to the KEDB. In
large organizations where a single KEDB is used (recommended) with problem management
staff in multiple locations, a procedure must be agreed to ensure that duplication of KEDB
records cannot occur. This may involve designating just one staff member as the central KEDB
manager.
The KEDB should be used during the incident and problem diagnosis phases to try to speed
up the resolution process and new records should be added as quickly as possible when a
new problem has been identified and diagnosed. All support staff should be fully trained and
conversant with the value that the KEDB can offer and the way it should be used. They should
be able readily to retrieve and use data.
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Trending of historical incident records to identify one or more underlying causes that if
removed, can prevent their recurrence. In this case, a problem record is raised once the
underlying trend or cause is discovered.
Activities taken to improve the quality of a service that result in the need to raise a
problem record to identify further improvement actions that should be taken.
Frequent and regular analysis of incident and problem data must be performed to identify any
trends as they become discernible. This will require meaningful and detailed categorization of
incidents/problems and regular reporting of patterns and areas of high occurrence. Top ten
reporting, with drill-down capabilities to lower levels, is useful in identifying trends.
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Problem logging: Regardless of the detection method, all the relevant details of the problem
must be recorded so that a full historic record exists. This must be date and time stamped
to allow suitable control and escalation. A cross-reference must be made to the incident(s)
which initiated the problem record and all relevant details must be copied from the incident
record(s) to the problem record. It is difficult to be exact, as cases may vary, but typically this
will include details such as:
User details.
Service details.
Equipment details.
Date/time initially logged.
Priority and categorization details.
Incident description.
Incident record numbers or other cross reference.
Details of all diagnostic or attempted recovery actions taken.
Problem categorization: Problems should be categorized in the same way as incidents (and
it is advisable to use the same coding system) so that the true nature of the problem can be
easily traced in the future and meaningful management information can be obtained. This
also allows for incidents and problems to be more readily matched.
Problem prioritization: Problems should be prioritized the same way using the same reasons
as incidents. The frequency and impact of related incidents must also be taken into account.
The coding system (which combines incident impact with urgency to give an overall priority
level) can also be used to prioritize problems. Definition and guidance should be provided to
support staff on what constitutes a problem, and the related service targets for each priority
code level in the table. Problem prioritization should also take into account the severity of
the problems.
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on a permanent resolution continues where this is justified in this example the reason for
the file becoming corrupted in the first place must be found and corrected to prevent this
happening again.
When a workaround is found, it is therefore important that the problem record remains open
and details of the workaround are documented within the problem record. In some cases
there may be multiple workarounds associated with a problem. As problem investigation and
diagnosis activities carry on, there may be a series of improvements that do not resolve the
problem, but lead to a progressive improvement in the quality of the workarounds available.
These may impact on the prioritization of the problem as successive workaround solutions
may reduce the impact of future related incidents, either by reducing their likelihood or
improving the speed of their resolution.
Raising a known error record: A known error is defined as a problem with a documented
root cause and workaround. The known error record should identify the problem record it
relates to and document the status of actions being taken to resolve the problem, its root
cause and workaround. All known error records should be stored in the KEDB. As soon as the
diagnosis is complete, and particularly where a workaround has been found (even though it
may not yet be a permanent resolution), a known error record must be raised and placed in
the KEDB so that if further incidents or problems arise, they can be identified and the service
restored more quickly. In some cases it may be advantageous to raise a known error record
even earlier in the overall process, even though the diagnosis may not be complete or a
workaround found. This might be used for information purposes or to identify a root cause or
workaround that appears to address the problem but hasnt been fully confirmed. Therefore,
it is inadvisable to set a concrete procedural point for exactly when a known error record
must be raised. It should be done as soon as it becomes useful to do so!
Problem resolution: Once a root cause has been found and a solution to remove it has been
developed, it should e applied to resolve the problem. In reality, safeguards may be needed
to ensure that the resolution does not cause further difficulties. If any change in functionality
is required, an RFC should be raised and authorized before the resolution can be applied.
If the problem is very serious and an urgent fix is needed for business reasons, then an
emergency RFC should be raised. The resolution should be applied only when the change has
been authorized and scheduled for release. In the meantime, the KEDB should be used to
help resolve quickly any further occurrences of the incidents/ problems that occur.
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There may be some problems for which a business case for resolution cannot be justified (e.g.
where the impact is limited but the cost of resolution would be extremely high). In such cases
a decision ay be taken to leave the problem record open but to use a workaround description
in the known error record to detect and resolve any recurrences quickly. Care should be taken
to use the appropriate code to flag the open problem record so that it does not count against
the performance of the team performing the process and so that unauthorized rework does
not take place. In some cases, workarounds may be in place to mitigate the impacts of the
problem without a final resolution being found. In this event, the problem should be reprioritized based on the impact of the workarounds applied and investigative and diagnostic
activities should be continued.
Problem closure: When a final resolution has been applied, the problem record should be
formally closed as should any related incident records that are still open. A check should
be performed at this time to ensure that the record contains a full historical description of
all events and if not, the record should be updated. The status of any related known error
record should be updated to show that the resolution has been applied.
Major problem review: After every major problem (as determined by the organizations
priority system), and while memories are still fresh, a review should be conducted to learn
any lessons for the future. Specifically, the review should examine:
Those things that were done correctly.
Those things that were done wrong.
What could be done better in the future.
Whether there has been any third-party responsibility and whether follow-up actions are
needed.
Such reviews can be used as part of training and awareness activities for support staff and
any lessons learned should be documented in appropriate procedures, work instructions,
diagnostic scripts or known error records. The problem manager facilitates the session and
documents any agreed actions.
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Major problem reviews can also be a source of input to proactive problem management
through identification of underlying causes that may be discovered in the course of the
review.
The knowledge gained from the review should be incorporated into a service review meeting
with the business customer to ensure the customer is aware of the actions taken and the
plans to prevent future major incidents from occurring. This helps to improve customer
satisfaction and assure the business that service operation is handling major incidents
responsibly and actively working to prevent their future recurrence.
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Event Management
Purpose:
Purpose: The purpose of event management is to manage events throughout
their lifecycle. This lifecycle of activities to detect events, make sense of them
and determine the appropriate control action is coordinated by the event
management process.
Objectives:
Detect all changes of state that have significance for the management of a
CI or IT service.
Determine the appropriate control action for events and ensure these
are communicated to the appropriate functions.
Provide the trigger, or entry point, for the execution of many service
operation processes and operations management activities.
Event Management
Purpose: The purpose of event management is to manage events throughout their lifecycle.
This lifecycle of activities to detect events, make sense of them and determine the appropriate
control action is coordinated by the event management process.
Objectives: The objectives of the event management process are to:
Detect all changes of state that have significance for the management of a CI or IT service.
Determine the appropriate control action for events and ensure these are communicated
to the appropriate functions.
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Provide the trigger, or entry point, for the execution of many service operation processes
and operations management activities.
Provide the means to compare actual operating performance and behaviour against
design standards and SLAs
Provide a basis for service assurance and reporting; and service improvement.
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Event Management
Scope
Configuration Items .
Environmental Conditions .
Normal activity (e.g. tracking the use of an application or the
performance of a server).
Event Management
Scope: Event management can be applied to any aspect of service management that needs
to be controlled and which can be automated. This includes:
Configuration items (CIs):
Some CIs will be included because they need to stay in a constant state (e.g. a switch
on a network needs to stay on and event management tools confirm this by monitoring
responses to pings).
Some CIs will be included because their status needs to change frequently and event
management can be used to automate this and update the configuration management
system (CMS) (e.g. the updating of a file server).
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Event Management
Types of Events
Informational: Successful Completion of an Activity.
Ex : User Logging In, Email Reaching Recipient.
Exceptional: Does not always represent an Incident or Problem.
Ex: User attempts to login With incorrect password.
Warning: When service or device is Approaching threshold
Sometimes not raised for Device failure if device is redundant.
Informational Events:
A scheduled workload has completed.
A user has logged into an application.
An email has reached its intended recipient.
Warning Events:
A servers memory utilization reaches within 5% of its highest acceptable performance
level.
The completion time of a transaction is 10% longer than normal.
Warning events signify unusual, but not exceptional operation. These are an indication
that the situation may require closer monitoring.
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Exception Events:
A user attempts to log on to an application with the incorrect password.
An unusual situation as occurred in a business process that may indicate an exception
requiring further business investigation.
A devices CPU is above the acceptable utilization rate.
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Request Fulfillment
Purpose:
Purpose: Request fulfilment is the process responsible for managing the lifecycle
of all service requests from the users.
Objectives:
Maintain user and customer satisfaction through efficient and professional
handling of all service requests.
Provide a channel for users to request and receive standard services.
Event Management
Purpose: Request fulfilment is the process responsible for managing the lifecycle of all service
requests from the users.
Objectives: The objectives of the request fulfilment process are to:
Maintain user and customer satisfaction through efficient and professional handling of all
service requests.
Provide a channel for users to request and receive standard services for which a
pre-defined approval and qualification process exists.
Provide information to users and customers about the availability of services and the
procedure for obtaining them
Source and deliver the components of requested standard services (e.g. Licenses and
software media)
Assist with general information, complaints or comments.
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Request Fulfillment
Scope
The process needed to fulfill a request will vary depending upon exactly what is
being requested but can usually be broken down into a set of activities that have
to be performed.
Some organizations will be comfortable letting the service requests be handled
through their incident management process (and tools) with service requests
being handled as a particular type of incident.
Request Fulfillment
Scope: The process needed to fulfill a request will vary depending upon exactly what is being
requested but can usually be broken down into a set of activities that have to be performed.
For each request, these activities should be documented into a request model and stored in
the SKMS.
Some organizations will be comfortable to let the Service Requests be handled through
their Incident Management processes (and tools) with Service Requests being handled
as a particular type of incident (using a high-level categorization system to identify those
incidents that are in fact Service Requests). Note, however, that there is a significant
difference here an incident is usually an unplanned event, whereas a service request is
usually something that can and should be planned!
Therefore, in an organization where large numbers of Service Requests have to be handled,
and where the actions to be taken to fulfill those requests are very varied or specialized, it
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may be appropriate to handle Service Requests as a completely separate work stream and
to record and manage them as a separate record type.
This may be particularly appropriate if the organization has chosen to widen the scope of the
Service Desk to expand upon just IT-related issues and use the desk as a focal point for other
types or request for service for example, a request to service a photocopier or even going so
far as to include, for example, building management issues, such as a need to replace a light
fitment or repair a leak in the plumbing.. Note: It will ultimately be up to each organization to
decide and document which request it will handle through the Request Fulfillment process
and which others will have to go through more formal Change Management. There will
always be grey areas which prevent generic guidance from being usefully prescribed.
The value of Request Fulfillment is to provide quick and effective access to standard services
which business staff can use to improve their productivity or the quality of business services
and products.. Request Fulfillment effectively reduces the bureaucracy involved in requesting
and receiving access to existing or new services, thus also reducing the cost of providing
these services. Centralizing fulfillment also increases the level of control over these services.
This in turn can help reduce costs through centralized negotiation with suppliers, and can
also help to reduce the cost of support.
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Eventual fulfilment of the service request will be undertaken by the appropriate service
operation team(s) or departments and/or by external suppliers, as appropriate. Often,
facilities management, procurement and other business areas aid in the fulfilment of the
service request.
In most cases there will be no need for additional roles or posts to be created. In exceptional
cases where a very high number of service requests are handled, or where the requests are
of critical importance to the organization, it may be appropriate to have one or more of the
incident management team dedicated to handling and managing service requests.
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Access Management
Purpose
To provide the right for users to be able to use a service or group of services. It
is therefore the execution of policies and actions defined in information security
management.
Objectives
Manage access to services based on policies and actions defined in
information security management.
Efficiently respond to requests for granting access to services, changing
access rights or restricting access, ensuring that the rights being provided.
Oversee access to services and ensure rights being provided are not
improperly used.
Access Management
Purpose: The purpose of access management is to provide the right for users to be able to
use a service or group of services. It is therefore the execution of policies and actions defined
in information security management.
Objectives: The objectives of the access management process are to:
Manage access to services based on policies and actions defined in information security
management (see ITIL Service Design).
Efficiently respond to requests for granting access to services, changing access rights
or restricting access, ensuring that the rights being provided or changed are properly
granted.
Oversee access to services and ensure rights being provided are not improperly used.
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Access
Identity
Rights
Service
Groups
Directory
Services
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Services or service groups: Services or service groups. Most users do not use only one
service, and users performing a similar set of activities will use a similar set of services.
Instead of providing access to each service for each user separately, it is more efficient to
be able to grant each user or group of users access to the whole set of services that
they are entitled to use at the same time.
Directory services: Directory services refer to specific types of tools that are used to
manage access and rights.
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During service operation, these teams will typically perform access management for the
systems under their control. It is unusual for teams to have a dedicated person to manage
access management, but each manager or team leader will ensure that the appropriate
procedures are defined and executed according to the process and policy requirements.
Technical and application management will also be involved in dealing with incidents and
problems related to access management.
If access management activities are delegated to the service desk or IT operations
management, technical and application management must ensure that the staff are
adequately trained and that they have access to the appropriate tools to enable them to
perform these tasks.
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IT organization! It is therefore very important that the correct calibre of staff be used on the
service desk and that IT managers do their best to make the desk an attractive place to work
to improve staff retention.
The exact nature, type, size and location of a service desk will vary, depending upon the type
of business, number of users, geography, and complexity of calls, scope of services and many
other factors. In alignment to customer and business requirements, the IT organizations
senior managers should decide the exact nature of its required service desk (and whether it
should be internal or outsourced to a third party).
Justification and role of the service desk: Very little justification is needed today for a
service desk, as many organizations have become convinced that this is by far the best
approach for dealing with first-line IT support issues. One only needs ask the question What
is the alternative? to make a compelling case for the service desk concept. Where further
justification is needed, the following benefits should be considered:
Improved customer service, perception and satisfaction.
Improved teamwork and communication.
Enhanced focus and a proactive approach to service provision.
Improved usage of IT support resources and increased productivity of business personnel.
More meaningful management information for decision support.
It is common practice that the service desk provides entry-level positions for ITSM staff.
Working on the service desk is an excellent grounding for anyone wishing to pursue a
career in service management. However, this could also present challenges with people
who do not understand the business or technology.
Users calling the service desk should be able to speak to someone who is able to address
their needs, and service desk analysts should not be burned out in less than a year because
of undue stress. Care should be taken to select appropriately skilled individuals with a good
understanding of the business and to provide adequate training thus preventing reduction
in levels of support due to a lack of knowledge at the first line.
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User
User
User
User
Customer Site
Service Desk
Technical
management
Applicaon
management
IT operaons
management
Third-party
support
Request
fulfilment
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There may, however, be some valid reasons for maintaining a local desk, even where call
volumes alone do not justify this. Reasons might include:
Language and cultural or political differences.
Different time zones.
Specialized groups of users.
The existence of customized or specialized services that require specialist knowledge.
VIP/criticality status of users.
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User
User
User
User
User
User
User
User
Customer site 2
Customer site 1
User
User
User
User
Customer site 3
Service desk
Technical
management
Applicaon
management
IT operaons
management
Third - party
support
Request
fulfilment
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San Francisco
service desk
Rio de
Janeiro
service desk
Paris
service desk
Virtual
Service desk
Sydney
service desk
Beijing
service desk
Service
Knowledge
Management
system
London
service desk
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Follow the sun: Some global or international organizations may wish to combine two or more
of their geographically dispersed service desks to provide a 24-hour follow-the-sun service.
For example, a service desk in the Asia-Pacific may handle calls during its standard office
hours and at the end of this period it may hand over responsibility for any open incidents
to a European-based desk. That desk will handle these calls alongside its own incidents
during its standard day and then hand over to a USA-based desk which finally hands back
responsibility to the Asia-Pacific desk to complete the cycle.
This can give 24-hour coverage at relatively low cost, as no desk has to work more than a
single shift. However, the same safeguards of common processes, tools, shared databases of
information and culture must be addressed for this approach to proceed and well-controlled
escalation and handover processes are needed.
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Note on building a single point of contact: to fulfil an organizations overall service desk
structure, individual users should be in no doubt about who to contact if they need assistance
or where they can access self-help support. A single telephone number (or a single number
for each group if separate desks are chosen) should be provided and well publicized, as well
as a single email address and a single web service desk contact page. There are several ways
to help publicize the service desk telephone number and email address, and make them
easily available when users are likely to need them, such as:
Including the service desk telephone number on hardware CI labels, attached to the
components the user is likely to be calling about.
Printing service desk contact details on telephones.
For PCs and laptops, using a customized background or desktop with the service desk
contact details, together with information read from the system that will be needed
when calling (such as IP address, OS build number etc.) in one corner.
Printing the service desk number on freebies (pens, pencils, mugs, mouse mats etc.).
Prominently placing these details on service desk internet/intranet sites.
Including them on any calling cards or satisfaction survey cards left with users when a
desk visit has been necessary.
Repeating the details on all correspondence sent to users (together with call
reference numbers).
Placing the details on notice boards or physical locations that users are likely to regularly
visit (entrances, canteens, refreshment areas etc.).
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Technical
management
Mainframe
Server
Network
Storage
IT operaons management
IT operaons control
Console management /
operaons bridge
Job scheduling
Backup and restore
Print and output management
Facilies management
Recovery sites
Contracts
Data centers
Consolidaon
Applicaon
management
Financial
apps
HR
apps
Business
apps
Database
Directory
services
Desktop
Middleware
Internet/web
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Another strategy in larger organizations is to leverage specialist staff out of central pools
so that specialists can be well utilized and provide an economy of scale to the organization
and minimize the need to hire in contractors. Specialized skills should be identified among
resources in the IT organization, then leveraged for specific needs as they arise, analogous
to a special tactical unit, whose members also perform regular duties but who are assigned
to tasks needing their specialized skills. This type of resource utilization is particularly useful
both for project teams and problem resolution.
An additional, but very important role played by Technical Management is to provide
guidance to IT Operations about how best to carry out the ongoing operational management
of technology. This role is partly carried out during the Service Design process, but it is also
a part of everyday communication with IT Operations Management as they seek to achieve
stability and optimum performance.
Technical Management Objectives: The objectives of technical management are to help
plan, implement and maintain a stable technical infrastructure to support the organizations
business processes through:
Well designed and highly resilient, cost-effective technical topology.
The use of adequate technical skills to maintain the technical infrastructure in optimum
condition.
Swift use of technical skills to speedily diagnose and resolve any technical failures that
do occur.
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IT Operations
Control
Facilities
Management
IT Operations Control
Console Management, which refers to defining central observation and
monitoring capability and then using those consoles to exercise monitoring and
control activities Job Scheduling, or the management of routine batch jobs or
scripts
Backup and Restore on behalf of all Technical and Application Management
teams and departments and often on behalf of users
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Backup and Restore on behalf of all Technical and Application Management teams and
departments and often on behalf of users.
Print and Output management for the collation and distribution of all centralized printing
or electronic output.
Performance of maintenance activities on behalf of Technical or Application Management
teams or departments.
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All IT operations staff understand exactly how the performance of the technology
affects the delivery of IT services.
A value, rather than cost, based Return on Investment strategy.
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It provides the actual resources to support the ITSM Lifecycle. In this role, Application
Management ensures that resources are effectively trained and deployed to design, build,
and transition, operate and improve the technology required to deliver and support IT
services.
By performing these two roles, Application Management is able to ensure that the organization
has access to the right type and level of human resources to manage applications and thus
to meet business objectives. This starts in Service Strategy and is expanded in Service Design,
tested in Service Transition and refined in Continual Service Improvement (see other ITIL
publications in this series). Part of this role is to ensure a balance between the skill level and
the cost of these resources.
In additional to these two high-level roles, Application Management also performs the
following two specific roles:
Providing guidance to IT Operations about how best to carry out the ongoing operational
management of applications. This role is partly carried out during the Service Design
process, but it is also a part of everyday communication with IT Operations Management
as they seek to achieve stability and optimum performance.
The integration of the Application Management Lifecycle into the ITSM Lifecycle.
Application Management objectives: The objectives of Application Management are
to support the organizations business processes by helping to identify functional and
manageability requirements for application software, and then to assist in the design and
deployment of those applications and the ongoing support and improvement of those
applications. These objectives are achieved through:
Applications that are well designed, resilient and cost-effective.
Ensuring that the required functionality is available to achieve the required business
outcome.
The organization of adequate technical skills to maintain operational applications in
optimum condition.
Swift use of technical skills to speedily diagnose and resolve any technical failures that
do occur.
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Summary
Service Operations Principles
Service Operations Processes
Incident Management
Problem Management
Access Management
Event Management
Request Fulfilment Process
Service Operations Functions
Service Desk Function
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MODULE
SERVICE OPERATION
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Assessment
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1.
2.
3.
Which of the following can include steps that will help to resolve an Incident?
1. Incident Model
2. Known Error Record.
a. 1 only
b. 2 only
c. Both of the above.
d. Neither of the above
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4.
5.
Which process is responsible for low risk, frequently occurring, low cost changes?
a. Demand Management
b. Incident Management
c. Release and Deployment Management
d. Request Fulfilment Management
6.
7.
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9.
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12. Which processes will contribute MOST to enabling effective problem detection?
a. Incident and Financial Management.
b. Change and Release Management.
c. Incident and Event Management.
d. Knowledge and Service Level Management.
13. Which of the following should be documented in an Incident Model?
1. Details of the Service Level Agreement pertaining to the incident.
2. Chronological order of steps to resolve the incident.
a. 1 only
b. 2 only
c. Both of the above
d. None of the above
14. Which of the following processes are performed by Service Desk?
1. Capacity Management.
2. Request Fulfilment.
3. Demand Management
4. Incident Management.
a. All of the above
b. 2, 3 and 4 only
c. 2 and 4 only
d. 2 only
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Co
Improveme
rvice
nt
l Se
a
itnu
n
Service De
sig
n
n
Tra
n
siti o
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e
Se
Ser
era
ce Op ti on
r vi
vice Stra
gy
te
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Learning Objective
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Output
Feedback
Lessons learned
for improvement
Service design
Plans to create and modify
services and service
management processes
Output
Feedback
Lessons learned
for improvement
Feedback
Lessons learned
for improvement
Service transion
Manage the transion of a
new or changed service
and/or service management
process into producon
Output
Feedback
Lessons learned
for improvement
Feedback
Lessons learned
for improvement
Service operaon
Day -to-day operaon of
services and service
management processes
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With ongoing improvement, CSI draws on the check and act stages to
monitor, measure, and review and implement initiatives.
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424
Maturity level
MODULE
Project Plan
Project
Audit
New acons
PLAN
Business
IT
alignment
CHECK
DO
Effecve quality
improvement
Consolidaon of the level reached
i.e. baseline
Timescale
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The PDCA Cycle is critical at two points in CSI: implementation of CSIs, and for the application
of CSI to services and service management processes. At implementation, all four stages of
the Deming Cycle are used. With ongoing improvement, CSI draws on the check and act
stages to monitor, measure, and review and implement initiatives.
The seven-step improvement process fully described later can be viewed as an example
of an implementation of the PDCA cycle, with each of the steps falling within one of the
phases of the cycle: Plan, Do, Check, Act. The cycle is underpinned by a process-led approach
to management where defined processes are in place, the activities are measured for
compliance to expected values and outputs are audited to validate and improve the process.
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Business vision,
mission, goals and
objecves
Baseline
assessments
Where do we want
to be?
Measurable
targets
Measurements and
metrics
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have that could be undermined by poor IT service provision? Or, more positively: How can
improvements in IT enable the business vision to be achieved? The answers to these questions
will come from stepping through the seven-step improvement process.
What are the business and IT strategy and plans for the coming months and years? Why do we
want to measure for improvement? The overall strategy should be assessed and analysed to
see where we need to focus our measurements, for example. The technical and operational
goals as well as the strategic goals need to be identified and assessed. The vision should not
be to have state-of-the-art servers and desk-top computers, but to have state of- the-art
services that ensure and enable the overall business to perform as well as possible so it is not
in any way constrained by the quality or cost of the IT services.
Step 2 Define what you will measure: This step is directly related to the strategic, tactical
and operational goals that have been defined for measuring services and service management
processes as well as the existing technology and capability to support measuring and CSI
activities.
In this step you need to define what you should measure; define what you can actually
measure; carry out a gap analysis; and then finalize the actual measurement plan.
As stated previously, measurement will take place at service, process and technology levels.
Step 2 is iterative during the rest of the activities. Depending on the goals and objectives to
support service improvement activities, an organization may have to purchase and install
new technology to support the gathering and processing of the data and/or hire staff with
the required skills sets. Effective service measures concentrate on a few vital, meaningful
indicators that are economical, quantitative and usable for the desired results. If there are
too many measures, organizations may become too intent on measurement and lose focus
on improving results. A guiding principle is to measure that which matters most. IT has never
lacked in the measuring area. In fact, many IT organizations measure far too many things that
have little or no value. There is often no thought or effort given to aligning measures to the
business and IT goals and objectives.
Step 3 Gather the data: Key message: Gathering the data is synonymous with service
measurement. Gathering data requires having monitoring in place. Monitoring could be
executed using technology such as application, system and component monitoring tools
as used in the event management process (documented in service operation) or even be
a manual process for certain tasks. The accuracy and integrity of the data should always be
maintained.
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Quality is the key objective of monitoring for CSI. Monitoring will therefore focus on the
effectiveness and efficiency of a service, process, tool, organization or configuration item
(CI). The emphasis is not on assuring real-time service performance; rather it is on identifying
where improvements can be made to the existing level of service, or IT performance.
Monitoring for CSI will therefore tend to focus on detecting exceptions and resolutions. For
example, CSI is not as interested in whether an incident was resolved, but whether it was
resolved within the agreed time, and whether future incidents can be prevented.
CSI is not only interested in exceptions, though. If an SLA is consistently met over time, CSI
will also be interested in determining whether that level of performance can be sustained
at a lower cost or whether it needs to be upgraded to an even better level of performance
because of changing business requirements. CSI may therefore also need access to regular
performance reports.
Step 4 Process the data: This step is to convert the data into the required format and for the
required audience. Follow the trail from metric to KPI to CSF, all the way back to the vision if
necessary. Report-generating technologies are typically used at this stage as various amounts
of data are condensed into information for use in the analysis activity. The data is also typically
put into a format that provides an end-to-end perspective on the overall performance of a
service. This activity begins the transformation of raw data into packaged information. Use
the information to develop insight into the performance of the service and/or processes.
Process the data into information (by creating logical groupings), which provides a better
means to analyse the information and data the next step in CSI.
The output of logical groupings could be in spreadsheets, reports generated directly from the
service management tool suite, system monitoring and reporting tools, or telephony tools
such as an automatic call distribution tool. Processing the data is an important CSI activity
that is often overlooked. While monitoring and collecting data on a single infrastructure
component is important, it is also important to understand that components impact on the
larger infrastructure and IT service. Knowing that a server was up 99.99% of the time is one
thing; knowing that no one could access the server is another. An example of processing the
data is taking the data from monitoring of individual components, such as the mainframe,
applications, WAN, LAN, servers etc., and processing it into a structure of an end-to-end
service from the customers perspective.
Key questions that need to be addressed in the processing activity are:
What is the frequency of processing the data? This could be hourly, daily, weekly or
monthly. When introducing a new service or service management process it is a good
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idea to monitor and process in shorter intervals than longer intervals. How often analysis
and trend investigation activities take place will drive how often the data is processed.
What format is required for the output? This is also driven by how analysis is carried out
and ultimately how the information is used.
What tools and systems can be used for processing the data?
How do we evaluate the accuracy of the processed data?
There are two aspects to processing data. One is automated and the other is manual. While
both are important and contribute greatly to the measuring process, accuracy is a major
differentiator between the two types. The accuracy of the automated data gathering and
processing is not the issue here. Nearly all CSI-related data will be gathered by automated
means. Human data gathering and processing is the issue. It is important for staff to properly
document their compliance activities, to update logs and records.
Step 5: Analyze the Information and data: Your organizations Service Desk has a trend of
reduced call volumes consistently over the last four months. Even though this is a trend,
you need to ask yourself the question: Is this a good trend or a bad trend? You dont
know if the call reduction is because you have reduced the number of recurring errors in
the infrastructure by good problem management activities or if the customers feel that the
Service Desk doesnt provide any value and they have started bypassing the Service Desk
and going directly to second-level support groups. Data analysis transforms the information
into knowledge of the events that are affecting the organization. More skill and experience
is required to perform data analysis than data gathering and processing. Verification against
goals and objectives is expected during this activity. This verification validates that objectives
are being supported and value is being added. It is not sufficient to simply produce graphs of
various types but to document the observations and conclusions.
Step 6: Present and use information: The sixth step is to take our knowledge and present it,
that is, turn it into wisdom by utilizing reports, monitors, action plans, reviews, evaluations
and opportunities. Consider the target audience; make sure that you identify exceptions to
the service, benefits that have been revealed, or can be expected. Data gathering occurs at
the operational level of an organization. Format this data into knowledge that all levels can
appreciate and gain insight into their needs and expectations.
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This stage involves presenting the information in a format that is understandable, at the
right level, provides value, notes exceptions to service, identifies benefits that were revealed
during the time period, and allows those receiving the information to make strategic, tactical
and operational decisions. In other words, presenting the information in the manner that
makes it the most useful for the target audience.
Step 7: Implement Improvement: Use the knowledge gained and combine it with previous
experience to make informed decisions about optimizing, improving and correcting services.
Managers need to identify issues and present solutions. This stage may include any number of
activities such as approval of improvement activities, prioritization and submitting a business
case, integration with change management, integration with other lifecycle stages, and
guidance on how to manage an ongoing improvement project successfully and on checking
on whether the improvement actually achieved its objective.
CSI identifies many opportunities for improvement however organizations cannot afford
to implement all of them. Based on goals, objectives and types of service breaches, an
organization needs to prioritize improvement activities. Improvement initiatives can also
be externally driven by regulatory requirements, changes in competition, or even political
decisions.
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PLAN
7. Implement improvement
Data
DO
ACT
6. Present and use the
informaon
Assessment summary
Acon plans
Etc.
CHECK
5. Analyse the informaon
and data
Trends?
Targets?
Improvements required?
Knowledge
Informaon
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CSI Register
It is recommended that a CSI register is kept to record all the improvement
opportunities and that each one should be categorized into small, medium
and large undertakings.
The CSI register provides a coordinated, consistent view of the potentially
numerous improvement activities.
The CSI register will introduce a structure and visibility to CSI ensuring that
all initiatives are captured and recorded and benefits realized.
The CSI register contains important information for the overall service
provider and should be held and regarded as part of the Service Knowledge
Management System (SKMS)
CSI Register:
It is likely that several initiatives or possibilities for improvement are identified. It is
recommended that a CSI register is kept to record all the improvement opportunities and
that each one should be categorized into small, medium or large undertakings. Accordingly
they should be categorized into initiatives that can be achieved quickly, or in the medium or
longer term. Each improvement initiative should also show the benefits that will be achieved
by its implementation. With this information a clear prioritized list can be produced.
The CSI register contains important information for the overall service provider and should
be held and regarded as part of the service knowledge management system (SKMS). The CSI
register will introduce a structure and visibility to CSI ensuring that all initiatives are captured
and recorded, and benefits realized.
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Metrics in CSI
There are three types of metrics that an organization needs to gather
to support CSI activities as well as other process activities. The kinds of
metrics are:
Technology These metrics are often linked with component and application-based
metrics such as performance, availability etc.
Metrics
Process
Metrics
These metrics are captured in the form of CSFs, KPIs and activity metrics
for the service management processes. CSI would use these metrics as
input in identifying improvement opportunities for each process.
Service
Metrics
Metrics in CSI:
There are three types of metrics that an organization needs to gather to support CSI activities
as well as other process activities. The kinds of metrics are:
Technology metrics These metrics are often linked with component and applicationbased metrics such as performance, availability etc.
Process metrics These metrics are captured in the form of CSFs, KPIs and activity metrics
for the service management processes. CSI would use these metrics as input in identifying
improvement opportunities for each process.
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Service metrics These metrics are the results of the end-to-end service. Individual
technology and process metrics are used when calculating the end to end service metrics.
In general, a metric is a scale of measurement defined in terms of a standard, i.e. in terms
of a well-defined unit. The quantification of an event through the process of measurement
relies on the existence of an explicit or implicit metric, which is the standard to which
measurements are referenced.
Metrics are a system of parameters or ways of quantitative assessment of a process that is to
be measured, along with the processes to carry out such measurement. Metrics define what
is to be measured. Metrics are usually specialized by the subject area, in which case they
are valid only within a certain domain and cannot be directly benchmarked or interpreted
outside it. Generic metrics, however, can be aggregated across subject areas or business
units of an enterprise.
Metrics are used in several business models including CMMI, COBIT and Six-Sigma. These
measurements or metrics are used to track trends, productivity, resources and much more.
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To validate
To direct
To interview
To Jusfy
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of a successful improvement programme. The role of CSI manager can also fulfil the role of
the seven-step improvement process owner/manager.
The CSI managers responsibilities typically include:
Developing the CSI domain.
Communicating the vision of CSI across the IT organization.
Ensuring that CSI roles have been filled.
Designing the CSI register and associated activities.
Working with service owners, service level managers, the seven-step improvement
manager, other process managers and functions to identify and manage improvement
opportunities:
Identifying improvement opportunities for inclusion in the CSI register.
Reviewing and prioritizing improvements in the CSI register.
Building improvement plans and making improvements.
Working with service level managers to ensure that monitoring requirements are defined.
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Summary
Deming Cycle (PDCA): The PDCA cycle provides steady, ongoing improvement,
which is a fundamental tenet of CSI.
CSI Approach: Approach should ensure that the momentum for quality
improvement is maintained by assuring that changes become embedded in the
organization.
Seven Step Improvement Process: This sets out the processes and activities on
which effective CSI depends and how they integrate with the other stages of the
lifecycle.
Metrics in CSI: Process metrics, Technology metrics and Service metrics
CSFs and KPIs: Each sample CSF is followed by a typical KPI that supports the CSF.
CSI Manager Roles: The CSI manager is ultimately responsible for the success of
all improvement activities.
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Assessment
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1.
2.
3.
Which of the following is the correct set of steps for the Continual Service improvement
(CSI) Model?
a. Devise a strategy; Design the solution; Transition into production; Operate the
Solution; continually improve
b. Where do we want to be?; How do we get there?; How do we check we arrived;
How do we keep the momentum going?
c. Identifies the required business outcomes; Plan how to achieve the outcomes;
Implement the plan; Check the plan has been properly implemented; improve the
solution
d. What is the vision? , Where are we now? , Where do we want to be? , How do we
get there? , Did we get there? , How do we keep the momentum going?
4.
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5.
6.
7.
8.
Which of the following are the correct set of Metrics an organization needs to collect to
support CSI activities:
a. Process, Service and Project Metrics
b. Process, Service and Technology Metrics
c. Process, Support and Service Metrics
d. Process, Support and Technology Metrics.
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9.
Which are the two basic kind of KPIs as defined in ITIL CSI books:
a. Process and Technology KPIs
b. Service and Technology KPIs
c. Qualitative and Quantitative KPIs
d. Qualitative and Process KPIs
10. Which of the following is important and work as starting point for later comparision:
a. Metrics
b. Processes
c. Baselines
d. Milestones
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ACTIVITIES
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ACTIVITIES
Discussion:
How the system can benefit Nestwood forge?
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ACTIVITIES
A 24/7 IT service requires a weekly 2 hour planned downtime period for application
maintenance. Following the completion of the weekly maintenance an application
software error occurs which results in 3 hours of unplanned downtime.
1. The weekly availability for the IT service is this reporting period is therefore based on the
following:
a. Agreed Service Time (AST) should recognize that the planned 2 hour weekly
downtime is scheduled.
b. Down Time (DT) is the 3 hours of unplanned outage following the application
maintenance.
Availability =
(AST - DT)
AST
X 100
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ACTIVITIES
2.
Host
98%
Host
Network
Server
98%
97.5%
Workstation
96%
98%
4.
They say that You cannot articulate your value until you can show what you provide.
A service catalogue is the key step to becoming a successful service provider. Draw the
structure of service catalogue. You can take three services from your organization and
create a catalogue.
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ACTIVITIES
98.12%
2.
91.69%
3.
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ACTIVITIES
Write down the answer in points on a chart. Present the chart to your Facilitator/Trainer.
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ACTIVITIES
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ACTIVITIES
Make assumptions:
Assume that you are the Service Desk Manager of your organization and list at least 8
of the most common incidents and/or service requests that can possibly occur in your
organization.
Develop a priority table and define and describe the criteria to determine the priority.
Your table should describe the priorities to use and how to determine the priority.
3. Write at least 5 KPIs for Problem Management. Write your answer in chart and present
3
it to your Facilitator/Trainer.
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ACTIVITIES
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JOB AIDS
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JOB AIDS
Job Aid - 1
Service Strategy Inputs and Outputs
Inputs
From the business / customers
x
Outputs
Strategy Generation
x
Financial Management
x
Demand Management
x
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JOB AIDS
Change information
Outputs
x
Capacity Management
x
Availability Management
x
Supplier Management
x
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JOB AIDS
SDP
Definition of the Release package and design specifications
Acceptance criteria for the service
Outputs
x
Tested solutions
Change Management
x
Rejected or approved RFCs, new or changed Services, CIs, assets, adjusted PSO and
Change schedule, decisions, actions, documents, records, reports
Release and Deployment plans, RFC, service notifications, updated Service Catalog,
service model
x New / Changed documentation, service reports, SLA, OLAs and contracts
x New tested service environment
x Service Transition report , service capacity plan
x Complete CI list of release package
Service Validation and Testing
x Test reports, incidents, problems, errors
x Improvements for CSI
x Information and knowledge for the SKMS
Evaluation
x
Evaluation report
Knowledge Management
x
Updated SKMS
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JOB AIDS
Service Portfolio
Service Catalog
SLA, SLR, OLAs
IT infrastructure details
Security policies
SCD
CMDB
Outputs
x
Operational services
Event Management
x
x
Incident Management
x
x
Request Fulfillment
x
Problem Management
x
Access Management
x
Service measurements
IT Operations Management
x
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JOB AIDS
Service catalog
SLRs
Service measurements
Outputs
x
x
x
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JOB AIDS
Job Aid - 2
KEPNER AND TREGOE ROOT CAUSE ANALYSIS TECHNIQUE
The IT Infrastructure Library (ITIL) describes the steps of the root cause analysis method
called Kepner-Tregoe Define and Describe the Problem, Establish possible causes, Test the
most probable cause, and Verify the true cause. The ITIL mentions Kepner-Tregoe, but does
not give enough detail to use it to solve difficult problems.
The actual name is Kepner-Tregoe Problem Solving and Decision Making (PSDM). KepnerTregoe calls the part of PSDM that ITIL refers to Problem Analysis. Problem Analysis helps
the practitioner make sound decisions. It provides a process to identify and sort all the issues
surrounding a decision. As a troubleshooting tool, Problem Analysis helps prevent jumping to
conclusions.
Defining the Problem
Problem Analysis begins with defining the problem. The problem management team cannot
overlook this critical step.
Failure to understand exactly what the issue is often results in wasting precious time. Many
immature troubleshooters consider this step as wasted effort since they know what they are
going to do and this is the critical mistake made by many. Preconceived notions often result
in increased outage duration and even outage expansion due to poor judgment.
Since problem management is inherently a team exercise, it is important to have a group
understanding of the problem.
Consider the following examples. A poor problem definition might appear as follows:
The server crashed.
A better problem definition should include more information. A good model for clarifying
statements of all sorts is the Goal Question Metric (GQM) method. It results in a statement with
a clear Object, Purpose, Focus, Environment, andViewpoint. This results in an unambiguous
and easily understood statement
A clarified problem definition might be:
The e-mail system crashed after the 3rd shift support engineer applied hot-fix XYZ to
Exchange Server 123.
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JOB AIDS
When developing a problem definition always use the 5 Whys technique to arrive at the
point where there is no explanation for the problem. Using 5 Whys with Kepner-Tregoe only
accelerates the process.
Describing the Problem
With a clear problem definition, the next step is to describe the problem in detail. The
following chart provides a nice template for this activity. You can do this using a presentation
board, paper, or common office software.
Table 1 describes the basic worksheet used in the process.
IS
COULD BE but
IS NOT
WHAT
System Failure
Similar
Systems/
Situations not
failed
WHERE
Failure Location
Other Locations
that did not fail
WHEN
Failure Time
Other locations
where failure
did not occur
EXTENT
Other Failed
Systems
Other systems
without failure
Differences
Changes
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JOB AIDS
IS
WHAT
WHERE
COULD BE but
IS NOT
Differences
Changes
Exchange Server
Different staff
123 crashed
Other Exchange
(3rd
New patch
upon
Servers
shift) applied
procedure
application of
getting hot-fix
this
from vendor
hotfix
XYZ
hot-fix
XYZ
3rd floor
New
production
Anywhere else
procedure, first
room without
with vendor/ Normally done
time 3rd shift
vendor/
contractor
by vendor
applies
contractor
support
hot-fixes
support
WHEN
Last night,
1:35am
EXTENT
Any Exchange
Server on 3rd
floor
Other servers
None noted
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JOB AIDS
History (and best practice) says that the root cause of the problem is probably due to some
recent change. With the completed worksheet, some new possible solutions become
apparent. Shown above is becomes clear that the root cause is probably procedural, and due
to the fact the vendor did not apply the hot -fix, but rather gave procedures for the hot-fix
to the company
Test the Most Probable Cause
With a short list of possible causes (recent changes evaluated and turned into a list), the next
step is to think-through each possible problem. The following aid can help in this process.
Ask the question:
If _______is the root cause of this problem does it explain the problem IS and what the
problem COULD BE but
IS NOT?
If this potential solution is the root cause then the potential solution has to map to or fit
into all the aspects of the Problem Analysis worksheet (figure 2.) Use a worksheet like that
shown in figure 3 to help organize your thinking around the potential solutions.
True if
Maybe
Procedure incorrect
Probably
Technician error
Probably not
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JOB AIDS
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472
Multiple Choice
Instructions
1.
2.
3.
4.
1.
What types of changes are NOT usually included within the scope of change
management?
a) Changes to a mainframe computer
b) Changes to business strategy
c) Changes to a service level agreement (SLA)
d) The retirement of a service
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
Which of the following would be stored in the definitive media library (DML)?
1. Copies of purchased software
2. Copies of internally developed software
3. Relevant licence documentation
4. The change schedule
a) All of the above
b) 1 and 2 only
c) 3 and 4 only
d) 1, 2 and 3 only
13.
14.
Which role should ensure that process documentation is current and available?
a) The service owner
b) The chief information officer
c) Knowledge management
d) The process owner
15.
Which of the following does the release and deployment management process
address?
1. Defining and agreeing release and deployment plans
2. Ensuring release packages can be tracked
3. Authorizing changes to support the process
a) 1 and 2 only
b) All of the above
c) 2 and 3 only
d) 1 and 3 only
16.
17.
Which of the following are key ITIL characteristics that contribute to its success?
1. It is vendor-neutral
2. It is non-prescriptive
3. It is best practice
4. It is a standard
a) 3 only
b) 1, 2 and 3 only
c) All of the above
d) 2, 3 and 4 only
18.
19.
Which of the following are valid elements of a service design package (SDP)?
1. Agreed and documented business requirements
2. A plan for transition of the service
3. Requirements for new or changed processes
4. Metrics to measure the service
a) 1 only
b) 2 and 3 only
c) 1, 2 and 4 only
d) All of the above
20.
Which of the following are examples of tools that might support the service
transition stage of the service lifecycle?
1. A tool to store definitive versions of software
2. A workflow tool for managing changes
3. An automated software distribution tool
4. Testing and validation tools
a) 1, 3 and 4 only
b) 1, 2 and 3 only
c) All of the above
d) 2, 3 and 4 only
21.
22.
23.
24.
Which one of the following statements about internal and external customers is
MOST correct?
a) External customers should receive better customer service because they pay
for their IT services
b) Internal customers should receive better customer service because they pay
employee salaries
c) The best customer service should be given to the customer that pays the
most money
d) Internal and external customers should receive the level of customer service
that has been agreed
25.
26.
Which one of the following activities is part of the service level management
(SLM) process?
a) Designing the configuration management system from a business
perspective
b) Creating technology metrics to align with customer needs
c) Monitoring service performance against service level agreements (SLAs)
d) Training service desk staff how to deal with customer complaints about
service
27. Which one of the following BEST summarizes the purpose of event management?
a) The ability to detect events, make sense of them and determine the appropriate
control action
b) The ability to detect events, restore normal service as soon as possible and
minimize the adverse impact on business operations
c) The ability to monitor and control the activities of technical staff
d) The ability to report on the successful delivery of services by checking the
uptime of infrastructure devices
30. Which is the first activity of the continual service improvement (CSI) approach?
a) Understand the business vision and objectives
b) Carry out a baseline assessment to understand the current situation
c) Agree on priorities for improvement
d) Create and verify a plan
32. Which one of the following is the CORRECT sequence of activities for handling an
incident?
a) identification, logging, categorization, prioritization, initial diagnosis, escalation,
investigation and diagnosis, resolution and recovery, closure
b) prioritization, identification, logging, categorization, initial diagnosis, escalation,
investigation and diagnosis, resolution and recovery, closure
c) identification, logging, initial diagnosis, categorization, prioritization, escalation,
resolution and recovery, investigation and diagnosis, closure
d) identification, initial diagnosis, investigation, logging, categorization, escalation,
prioritization, resolution and recovery, closure
33. Which service lifecycle stage ensures that measurement methods will provide the
required metrics for new or changed services?
a) Service design
b) Service operation
c) Service strategy
d) Service delivery
34. Which of the following processes are concerned with managing risks to services?
1. IT service continuity management
2. Information security management
3. Service catalogue management
a) All of the above
b) 1 and 3 only
c) 2 and 3 only
d) 1 and 2 only
35. Which one of the following is NOT a type of metric described in continual service
improvement (CSI)?
a) Process metrics
b) Service metrics
c) Personnel metrics
d) Technology metrics
36. Which statement about the relationship between the configuration management
system (CMS) and the service knowledge management system (SKMS) is
CORRECT?
a) The SKMS is part of the CMS
b) The CMS is part of the SKMS
c) The CMS and SKMS are the same thing
d) There is no relationship between the CMS and the SKMS
37. What is the role of the emergency change advisory board (ECAB)?
a) To assist the change manager in ensuring that no urgent changes are made
during particularly volatile business periods
b) To assist the change manager by implementing emergency changes
c) To assist the change manager in evaluating emergency changes and to decide
whether they should be authorized
d) To assist the change manager in speeding up the emergency change process so
that no unacceptable delays occur
38. Which of the following statements about the service desk is/are CORRECT?
1. The service desk is a function that provides a means of communication between
IT and its users for all operational issues
2. The service desk should be the owner of the problem management process
a) 2 only
b) 1 only
c) Both of the above
d) Neither of the above
39. Which one of the following is the CORRECT list of the four Ps of service design?
a) Planning, products, position, processes
b) Planning, perspective, position, people
c) Perspective, partners, problems, people
d) People, partners, products, processes
40. Which one of the following represents the BEST course of action to take when a
problem workaround is found?
a) The problem record is closed
b) The problem record remains open and details of the workaround are
documented within it
c) The problem record remains open and details of the workaround are
documented on all related incident records
d) The problem record is closed and details of the workaround are documented in a
request for change(RFC)
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484
Instructions
1.
2.
3.
4.
Input from which processes could be considered by service level management when
negotiating service level agreements (SLA)?
a)
b)
c)
d)
b)
c)
d)
Which of the following statements about the service desk are CORRECT?
1. It provides a single point of contact between the service provider and users
2. It manages incidents and service requests
3. It is a service management process
4. Service desk staff try to restore service as quickly as possible
a)
b)
1, 2, and 4 only
c)
2 and 4 only
d)
2 and 3 only
1, 2 and 3 only
b)
1, 2 and 4 only
c)
d)
Which one of the following is the BEST description of the activities carried out by
facilities management?
a)
b)
c)
d)
The procurement and maintenance of tools that are used by IT operations staff
to maintain the infrastructure
Which process would assist with the identification and resolution of any incidents and
problems associated with service or component performance?
a)
Capacity management
b)
Supplier management
c)
Technology management
d)
Change management
Which one of the following statements about the known error database (KEDB) is
MOST correct?
a)
b)
The KEDB should be used during the incident diagnosis phase to try to speed
up the resolution process
c)
Care should be taken to avoid duplication of records in the KEDB. This can be
done by giving access to as many technicians as possible to create new
records
d)
Which of the following statements about key performance indicators (KPIs) and
metrics are CORRECT?
1. Service metrics measure the end-to-end service
2. Each KPI should relate to a critical success factor
3. Metrics can be used to identify improvement opportunities
4. KPIs can be both qualitative and quantitative
a)
1 only
b)
2 and 3 only
c)
1, 2 and 4 only
d)
10
11
12
Which one of the following maintains relationships between all service components?
a)
b)
c)
d)
Yes if they are an external customer as they are paying for the service
b)
No if they are an internal customer as they are not always paying for the
service
c)
d)
Yes the service provider should ensure that all requests for new services are
fulfilled
1 only
b)
2 only
c)
d)
A failure has occurred on a system and is detected by a monitoring tool. This system
supports a live IT service. When should an incident be raised?
a)
b)
An incident should not be raised if the technicians have seen this before and
have a workaround
c)
d)
13
14
15
16
3 and 4 only
c)
2 and 4 only
d)
Which of the following activities does service asset and configuration management
ensure are performed?
1. Configuration items (CIs) are identified
2. CIs are baselined
3. Changes to CIs are controlled
a)
b)
1 and 2 only
c)
1 and 3 only
d)
2 and 3 only
2 and 3 only
c)
2, 3 and 4 only
d)
b)
c)
d)
17
18
19
20
Which process is primarily responsible for packaging, building, testing and deploying
services?
a)
b)
c)
d)
b)
c)
After reporting the incident to the service desk, the user works on alternative
tasks while the problem is identified and resolved
d)
1, 2 and 3 only
b)
1, 3 and 4 only
c)
2, 3 and 4 only
d)
Which one of the following is the CORRECT list of stages in the Deming Cycle?
a)
b)
c)
d)
21
22
23
24
Which two processes will be involved the MOST in negotiating and agreeing
contracts for the provision of recovery capability to support continuity plans?
a)
b)
c)
d)
The template that defines the incident logging form used for reporting incidents
b)
A type of incident involving a standard (or model) type of configuration item (CI)
c)
d)
b)
c)
d)
Which stage of the service lifecycle decides what services should be offered and to
whom they will be offered?
a)
b)
Service operation
c)
Service design
d)
Service strategy
25
26
27
28
Which of the following does continual service improvement (CSI) provide guidance
on?
1. How to improve process efficiency and effectiveness
2. How to improve services
3. Improvement of all stages of the service lifecycle
a)
1 and 2 only
b)
1 and 3 only
c)
2 and 3 only
d)
Which of the following is a type of service level agreement (SLA) described in the
ITIL service design publication?
a)
Priority-based SLA
b)
Technology-based SLA
c)
Location-based SLA
d)
Customer-based SLA
b)
c)
d)
Which one of the following is the MOST appropriate stakeholder to define the value
of a service?
a)
Customers
b)
IT Senior management
c)
d)
Suppliers
29
30
31
32
b)
1 and 4 only
c)
2 and 3 only
d)
b)
c)
A change model defines the steps that should be taken to handle a particular
type of change
d)
The CSI approach uses a number of techniques. Which one of the following
techniques would BEST help a business understand "where are we now?"?
a)
b)
c)
d)
Which service operation processes are missing from the following list?
1. Incident management
2. Problem management
3. Access management
4. ?
5. ?
a)
b)
c)
d)
33
34
35
36
Which stage of the service lifecycle provides a framework for evaluating service
capabilities and risk profiles before new or changed services are deployed?
a)
Service strategy
b)
c)
Service transition
d)
Service operation
2, 3 and 4 only
b)
c)
1, 2 and 3 only
d)
1, 3 and 4 only
b)
To ensure that service availability matches the agreed needs of the business
c)
d)
b)
c)
d)
37
38
39
40
b)
A major problem review is run as part of the change advisory board (CAB) by
the change manager. It is conducted after the request for change (RFC) to
resolve the problem has been accepted
c)
d)
b)
c)
d)
b)
c)
Maximizing contract value and operational efficiency of the services that are
delivered
d)
b)
c)
d)
To monitor and improve the performance of the service design lifecycle stage
Th
is
pa
ge
i
si
nt
en
tio
na
lly
left
bl
an
ANSWERS
Axelos Limited 2014. All rights reserved. Material is reproduced under license from AXELOS
496
ANSWERS
Axelos Limited 2014. All rights reserved. Material is reproduced under license from AXELOS
497
ANSWERS
Questions No.
Answers
1.
2.
3.
4.
5.
6.
7.
8.
c
c
b
c
c
c
b
c
Questions No.
Answers
1.
2.
3.
4.
5.
c
a
a
a
c
Questions No.
Answers
1.
2.
3.
4.
5.
6.
7.
b
b
b
b
a
d
d
Axelos Limited 2014. All rights reserved. Material is reproduced under license from AXELOS
498
ANSWERS
Questions No.
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
13.
14.
Answers
c
a
d
c
c
a
b
d
d
d
a
a,b,d
d
e
Questions No.
Answers
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
d
a
c
a
d
c
d
d
d
a
a
b
Axelos Limited 2014. All rights reserved. Material is reproduced under license from AXELOS
499
ANSWERS
Questions No.
Answers
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
13.
14.
c
d
c
b
d
d
a
c
a
d
d
c
c
c
Questions No.
Answers
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
d
c
d
d
c
a
d
b
c
c
Axelos Limited 2014. All rights reserved. Material is reproduced under license from AXELOS
500
Syllabus
Ref
Book
Ref
05-51
ST
4.2.4.3
02-09
SO 1.1.1
06-02
SO
6.5.1.1
05-63
ST 4.3.1
07-02
SD
3.7.4.1
03-12
SD 4.3.4
05-42
SD 4.4.1
02-07
ST 1.1.1
02-02
SS 1.2
10
03-18
ST
4.3.4.3
11
05-45
SD
4.5.4.3
12
03-19
ST
4.3.4.4
13
05-31
SD 4.3.1
14
07-01
SD 6.3.2
15
05-61
ST 4.4.1
16
01-10
SS 2.2.2
17
01-02
SD 1.4
18
05-43
19
03-14
20
08-02
SD
4.7.4.1
SD App
A
SS 7.1
Rationale
A change request is a formal communication seeking an alteration
to one or more configuration items (CIs). Services, SLAs and
computers are examples of CIs. A business strategy is not normally
a CI and would be out of scope for change management.
Each of these are a purpose of service operation except for option
A, undertaking testing to ensure services are designed to meet
business needs. Option A is part of service transition.
IT operations control oversees the execution and monitoring of the
operational activities and events in the IT infrastructure.
Part of SACMs purpose is to maintain accurate information about
assets, including the relationship between assets.
RACI is a responsibility model used by ITIL to help define roles and
responsibilities.
A is the OLA, B is the definition of an SLA, C doesnt correspond to
an ITIL definition, D involves a third party and is a contract.
A is a supporting element of availability management, not a main
purpose. B relates to service level management. Availability
management does not offer guarantees as identified in C. D is the
main purpose of availability management: - to ensure that the level
of availability delivered in all IT services meets the agreed
availability needs of the business.
All three are in scope for service transition as all three involve major
change.
Service optimization is the correct answer
A: a CMS can contain corporate data about users / customers such
as location or department. B and C: there may be more than one
CMDB but they will be part of a single CMS. D is correct as a CMS
still helps to control and report on the infrastructure when IT services
are outsourced.
Book answer...business, service and component capacity
management are the three sub-processes
The DML contains master copies of all controlled software in an
organization along with licence documents or information. The
change schedule would not be included.
Service level management has responsibility for negotiating and
agreeing OLAs.
Book answer. A process owner should ensure process
documentation is current and available.
The two correct answers (1 and 2) are included in release and
deployment objectives. Option 3 is addressed by change
management.
Measurability, delivery of specific results, and delivery of results to a
customer or stakeholder are all characteristics of a process.
Option 4 is incorrect, ITIL is not a standard: ISO/IEC 20000 would
be an example of a standard. ITIL is vendor-neutral, nonprescriptive, and provides a best practice framework.
In most cases the policies should be widely available to all
customers and users and referenced in SLAs, OLAs and UCs.
All of the elements identified are included in the service design
package passed to service transition.
1 would be used to support a DML. 2 helps change management. 3
is a release and deployment tool. 4 can help with testing and
validation. They all support service transition.
Syllabus
Ref
21
05-72
Book
Ref
SO 4.4.2
and
4.4.6.4
22
05-82
SO 4.3.1
23
04-02
SS 3.2.3
24
01-04
SS
3.2.1.2
25
01-03
SS 2.1.1
26
05-31
SD
4.3.5.6
27
05-81
SO 4.1.1
28
05-41
SD 4.2.1
29
03-01
SS 2.1.6
30
04-09
CSI 3.1
31
05-71
SO
4.2.4.2
32
05-71
SO 4.2.5
33
04-04
SD 3.1.1
05-43
SD 4.7.2
05-46
SD
4.6.5.2
34
35
04-10
CSI 5.5
36
03-16
ST
4.7.4.3
37
05-51
ST
4.2.5.11
Rationale
Book answer. They are both valid roles for problem management.
Request fulfilment is the process responsible for dealing with service
requests from the users. All requests (B) is too wide a scope for
the process. Change management looks after change requests (C).
Service level management is responsible for D.
D is incorrect; customer preferences drive value perception. C is
incorrect; delivering on customer outcomes is vital. B is incorrect;
the value of a service can be financial but other factors are also
relevant. A is correct; customer perception is a vital element in
defining how much a customer values a service.
D is the correct response. Both internal and external customers
should be provided with the agreed level of service, and with the
same level of customer service.
A service is a means of delivering value to customers. IT needs
capabilities to deliver services. Cost and risk are what IT helps to
manage.
C is correct: monitoring the SLAs and performance against them is a
vital part of the service level management process. A - designing the
CMS is a service asset and configuration management activity. B
technology metrics are likely to be created within capacity
management or other design processes. D training the service
desk is a service desk role.
A - the ability to detect events, make sense of them and determine
the appropriate control action is provided by event management. B
includes some incident management responsibilities. C is a
technical management task. D is likely to be shared between
availability management and service level management.
The service catalogue should contain details of all operational
services.
A is part of the definition of utility. B is unrealistic. C could be
feasible as a warranty statement from another industry but is not the
definition of warranty as used by ITIL. D is a good summary of
warranty as defined by ITIL.
The improvement approach begins with embracing the vision by
understanding the high-level business objectives.
Incident models are designed to provide reusable steps that can be
used to restore service after known incident types.
The correct order is given in the diagram in the incident
management process, and in the subsections of 4.2.5.
Measurements and metrics should be included in the design for a
new or changed service.
IT service continuity management carries out risk assessment as
part of defining the requirements and strategy. Information security
also needs to analyse security risks before taking action to mitigate
them. Service catalogue management does not carry out these
assessments.
Personnel metrics are not one of the three types of metrics
described in CSI
A is the wrong way round. C is incorrect as the SKMS contains more
information than the CMS. D is incorrect as the CMS is part of the
SKMS.
The emergency change advisory board (ECAB) provides assistance
in the authorization of emergency changes.
Syllabus
Ref
Book
Ref
38
06-01
SO 6.3
39
04-03
SD 3.1.5
40
05-72
SO
4.4.5.6
Rationale
The service desk should be the single point of contact for IT users
on a day-by-day basis. The service desk manager may also be the
incident management process owner but would not normally be the
owner of problem management.
Book answer: people, processes, products (services, technology
and tools) and partners (suppliers, manufacturers and vendors).
A is incorrect; the problem record must remain open as it hasn't yet
been resolved. B is correct to document the workaround on the
problem record, not on each Incident record [C], nor on an RFC [D].
Syllabus
Ref
05-31
05-51
06-01
01-09
06-02
SO 6.5.1
05-45
SD 4.5.2
03-32
SO
4.4.7.2
04-10
CSI
4.1.12
5.5
03-18
ST
4.3.4.3
10
01-04
SS
3.2.1.2
11
05-72
SO
4.4.6.4
12
05-71
SO 4.2.5
13
01-08
SS 2.1.5
14
05-63
ST 4.3.2
15
04-04
SD 3.1.1
16
01-10
SS 2.2.2
17
05-61
ST 4.4.2
18
03-30
SO
4.4.5.6
19
20
D
D
08-02
03-42
SS 7.1
CSI 3.8
21
05-46
SD 4.6.1
Book
Ref
SD
4.3.5.2
ST
4.2.4.3
SO 6.3.2
SS
2.2.3.1
Rationale
Representatives of all of the other processes need to be consulted
for their opinion on what targets can be realistically achieved.
Standard changes would not normally need to be implemented as
soon as was possible, whereas emergency changes would.
The service desk is a function and not a process.
Functions are not described as being more costly than processes
and this would depend on the function or process being considered.
Facilities management refers to the management of the physical IT
environment, typically a data centre or computer rooms.
Performance issues are within the scope of capacity management.
A The KEDB is part of the SKMS, NOT the same thing. B is
correct. C Duplication should be avoided but by RESTRICTING
access. D Yes, the service desk should use it but they are NOT
the only ones.
Each statement is a summary of the book content.
The configuration management system (CMS) is responsible via its
various data sources (CMDBs, etc) for maintaining these
relationships.
The service provider should ensure due diligence is carried out
against the customer's requirements, irrespective of whether they
are internal or external customers.
Problem management is the source of known errors but change and
service asset and configuration management are likely to be other
sources of information about the impact of changes.
A There do not need to be discernable impacts to the user for an
incident to be raised. B Even if a workaround is available it needs
to be recorded to measure any on-going impact of the incident. C All incidents must be recorded. D Correct, in order to prevent loss
of service or to restore service as soon as possible.
D is the correct response. Stakeholders can be both internal and
external entities. An example of a function as a stakeholder could be
the service desk, technical management or application management
functions.
All activities are part of the scope of service asset and configuration
management.
All of these items are aspects of service design.
A Process design would involve allocation of activities to functions
but not their definition. B Correct processes deliver results or
they would not be worthwhile. C Not ALL processes are carried
out by external providers. D Is a description of a function.
All are activities performed by release and deployment
management.
A is a good example of a workaround which is not a permanent
solution but which overcomes the original incident. B is a lucky
incident resolution and unlikely to be repeatable. C does not allow
the user to continue with their original task. D is an incident under
investigation.
All four areas can be assisted by technology.
The four key stages of the cycle are Plan, Do, Check and Act.
ITSC provides the subject matter expertise and supplier
management provides the contract negotiation and selection
process. SLM also has a role in underpinning contracts but is not as
significant in this respect as the other two processes.
Syllabus
Ref
Book
Ref
SO
4.2.4.2
SD
3.7.4.1
22
05-71
23
07-02
24
02-03
SS 1.1.1
25
02-11
CSI
1.1.1
26
05-31
SD
4.3.5.1
27
03-24
SO 4.1
28
04-02
SS 3.2.3
29
03-26
SO 4.2
30
05-51
ST
4.2.4.5
31
04-09
CSI
3.1.1
32
05-81
05-82
SO 4.1.1
4.3.1
33
02-07
ST 1.1.1
34
07-01
SD 6.3.1
35
05-42
SD 4.4.1
4.4.2
36
04-03
SD 3.1.5
37
05-72
SO
4.4.5.10
38
05-44
SD 4.8.1
39
05-23
SS 4.5.1
40
05-47
SD 4.1.1
Rationale
C matches the description of an incident model.
Roles are Responsible, Accountable, Consulted, Informed.
Deciding what services should be offered and to whom is an integral
part of service strategy.
1. CSI looks for ways to improve process effectiveness and
efficiency, as well as cost effectiveness.
2. CSI identifies and implements improvements to IT services
3. CSI improvement activities support each lifecycle stage: service
strategy, service design, service transition, service operation, and
CSI itself.
Priority-based, technology-based and location-based SLAs are not
discussed in service design.
A and C may cause an event to be generated. D is a meeting. B
closely matches the definition of an event in service operation.
Value is viewed as the level to which the service meets customer's
expectations and therefore they make the ultimate decision on
whether the service will drive value.
An incident is an unplanned interruption to an IT service or
reduction in the quality of an IT service or a failure of a CI that has
not yet impacted an IT service. The inability to access an IT
service as agreed is an unplanned interruption from the users
perspective.
A A change model can be used for emergency changes. B
Change models would not routinely be created when significant
changes are made. C is correct. D Escalation procedures can be
included in a change model.
Understanding "where are we now" requires a business to create a
baseline.
All of the service operation processes are covered by the syllabus.
The correct answer is A, B is a process and a function, C is a
function and a process, D are processes in service transition and
service design.
Service transition is responsible for this as part of the deployment of
new services.
1, 3 and 4 are all responsibilities of the service owner role. Option 2
is the responsibility of the configuration librarian/administrator.
D is the responsibility of IT service continuity management.
1 The four Ps are not a process. 2 Has some merit but only
addresses two of the four areas. 3 The four Ps are not a checklist
or set of questions.
D is the book answer. A is the right role but it is not about
apportioning blame. B is incorrect. C is plausible but is facilitated by
the wrong role.
All are objectives of the supplier management process, except A
which is undertaken by service level management.
To identify customer needs and ensure that the service provider is
able to meet these needs...
D is the correct answer. C is the purpose of service catalogue
management. B is an objective of service level management. A is an
objective of availability management.
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