8318 PDCA for ITIL v0 4 - Home - Inform-ITThe book supports this by offering, in the style of a...

www.tso.co.uk 9 780117 082076

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PDCA FOR ITILMetrics, csFs and workFlows For iMpleMenting itil practices

Numerous organizations spend their energy and funding on implementing ITIL practices. Most of them spend their time reinventing a wheel that was already created many times before in previous ITIL expeditions. If you’re facing this challenge, you’ll be interested in avoiding excessive cost. Although plenty of external guidance is available in the form of ITIL consultancies, you’ll need to have a decent idea of what to expect in the course of your own ITIL expedition before you go for it.

This book focuses on that specific target. Drawing on the experience of many ITIL practice implementations, it shows you in a very logical and practical way what to expect when you introduce ITIL to your organization, or when you increase the number of ITI L practices in your organization.

The book supports this by offering, in the style of a cookbook, a step-by-step guide to the implementation of individual ITIL practices, offering practical descriptions, terminology, objectives, workflows, CSFs, KPIs and other measures, in a Plan-Do-Check-Act approach. Using the cookbook analogy, it provides you with as many recipes as you are likely to need for composing your own menu. The book’s systematic approach means that once you get to grips with implementing one practice, you will be able to apply your newly developed skills to the next one, following the fundamental guidance of ITIL: adapt and adopt.

Your growing understanding of how ITIL works will greatly reduce your external costs, improve the skills of your own staff, and move your organization to higher maturity levels. You should use this guidance as a great resource for setting up and improving your own practice.

Published by: Produced by:

www.inform-it.org

PDCA FOR ITILMetrics, CSFs and workflows for implementing ITIL practices

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PDCA FOR ITIL


Kiran Kumar Pabbathi

8318 PDCA for ITIL v0_4.indd 1 28/06/2013 09:26

Published by TSO (The Stationery Office) and available from:

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TSO@Blackwell and other Accredited Agents

Author: Kiran Kumar Pabbathi

© inform-it, Knowledge Center for Service management

Copyright in the typographical arrangement and design is vested in the Stationery Office Limited.

all rights reserved. no part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, photocopying, recording or otherwise without the permission of the publisher.

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Whilst care has been taken to ensure that the information is accurate, the publisher can accept no responsibility for any errors or omissions or for changes to the details given.

itiL® is a registered trademark of the Cabinet Office.

a CiP catalogue record for this book is available from the british Library.

a Library of Congress CiP catalogue record has been applied for.

First published 2013.

iSbn 9780117082076.

Printed in the united Kingdom for the Stationery Office.

P002570908 07/13


3

Contents

Preface 11

Acknowledgements 12

About the author 13

Why this book? 14

How to read this book 15

Frequently asked questions 17

1 Introduction to ITSM 19

1.1 basic terminology 20

1.2 What are it services? 21

1.3 importance of best practices 21

1.4 itiL lifecycle stages 21

1.5 Processes in itiL 22

1.6 Functions in itiL 22

1.7 Why do we need processes? 22

1.8 Can itiL processes help in managing business services? 23

2 Strategy management for IT services 31


2.2 Overview of strategy management for it services 32

2.3 implementing strategy management for it services 33

2.4 measures 36

2.5 Strategy management for it services workflow 36

3 Demand management 39


3.2 Overview of demand management 40

3.3 implementing demand management 41


4 PDCa for itiL

3.4 measures 43

3.5 Demand management workflow 43

4 Financial management for IT services 45


4.2 Overview of financial management for it services 46

4.3 implementing financial management for it services 47

4.4 measures 50

4.5 Workflow for financial management for it services 50

5 Service portfolio management 53


5.2 Overview of service portfolio management 54

5.3 implementing service portfolio management 55

5.4 measures 57

5.5 Service portfolio management workflow 58

6 Business relationship management 61


6.2 Overview of business relationship management 62

6.3 implementing business relationship management 63

6.4 measures 65

6.5 business relationship management workflow 66

7 Service level management (SLM) 69


7.2 Overview of SLm 71

7.3 implementing SLm 71

7.4 measures 74

7.5 SLm workflow 75

8 Design coordination 79


8.2 Overview of design coordination 80

8.3 implementing design coordination 80


Contents 5

8.4 measures 82

8.5 Design coordination workflow 83

9 Information security management 85


9.2 Overview of information security management 86

9.3 implementing information security management 87

9.4 measures 89

9.5 information security management workflow 90

10 Availability management 93


10.2 Overview of availability management 94

10.3 implementing availability management 95

10.4 measures 98

10.5 availability management workflow 99

11 Capacity management 101


11.2 Overview of capacity management 102

11.3 implementing capacity management 103

11.4 measures 106

11.5 Capacity management workflow 107

12 Service catalogue management (SCM) 109


12.2 Overview of SCm 110

12.3 implementing SCm 111

12.4 measures 113

12.5 SCm workflow 114

13 Supplier management 117


13.2 Overview of supplier management 118

13.3 implementing supplier management 119


6 PDCa for itiL

13.4 measures 121

13.5 Supplier management workflow 122

14 IT service continuity management (ITSCM) 125


14.2 Overview of itSCm 126

14.3 implementing itSCm 127

14.4 measures 129

14.5 itSCm workflow 130

15 Transition planning and support 135


15.2 Overview of transition planning and support 136

15.3 implementing transition planning and support 136

15.4 measures 138

15.5 transition planning and support workflow 139

16 Change management 141


16.2 Overview of change management 142

16.3 implementing change management 143

16.4 measures 146

16.5 Change management workflow 146

17 Change evaluation 151


17.2 Overview of change evaluation 152

17.3 implementing change evaluation 152

17.4 measures 154

17.5 Change evaluation workflow 155

18 Release and deployment management 157


18.2 Overview of release and deployment management 158

18.3 implementing release and deployment management 159


Contents 7

18.4 measures 162

18.5 release and deployment management workflow 162

19 Service validation and testing 165


19.2 Overview of service validation and testing 166

19.3 implementing service validation and testing 167

19.4 measures 169

19.5 Service validation and testing workflow 169

20 Service asset and configuration management (SACM) 173


20.2 Overview of SaCm 174

20.3 implementing SaCm 175

20.4 measures 177

20.5 Service asset and configuration management workflow 178

21 Knowledge management 181


21.2 Overview of knowledge management 182

21.3 implementing knowledge management 183

21.4 measures 186

21.5 Knowledge management workflow 186

22 Access management 193


22.2 Overview of access management 194

22.3 implementing access management 195

22.4 measures 197

22.5 access management workflow 197

23 Event management 201


23.2 Overview of event management 203

23.3 implementing event management 203


8 PDCa for itiL

23.4 measures 205

23.5 Event management workflow 206

24 Request fulfilment 209


24.2 Overview of request fulfilment 210

24.3 implementing request fulfilment 211

24.4 measures 213

24.5 request fulfilment workflow 213

25 Incident management 217


25.2 Overview of incident management 218

25.3 implementing incident management 219

25.4 measures 221

25.5 incident management workflow 222

26 Problem management 227


26.2 Overview of problem management 228

26.3 implementing problem management 229

26.4 measures 232

26.5 Problem management workflow 232

27 Service desk 237


27.2 Overview of service desk 238

27.3 implementing service desk 240

27.4 measures 242

27.5 Service desk workflow 243

28 Application management 245


28.2 Overview of application management 246

28.3 implementing application management 247


Contents 9

28.4 measures 249

28.5 application management workflow 250

29 Technical management 253


29.2 Overview of technical management 254

29.3 implementing technical management 255

29.4 measures 257

29.5 technical management workflow 257

30 IT operations management 259


30.2 Overview of it operations management 260

30.3 implementing it operations management 261

30.4 measures 264

30.5 Operations control workflow 265

30.6 Facilities management workflow 266

31 Seven step improvement process 269


31.2 Overview of seven step improvement process 270

31.3 implementing seven step improvement process 271

31.4 measures 274

31.5 CSi methods 274

Acronyms 279

Index 285


11

Prefacenumerous organizations spend their energy and funding on implementing itiL practices. most of them spend their time reinventing a wheel that was already created many times before in previous itiL expeditions. if you’re facing this challenge, you’ll be interested in avoiding excessive cost. although plenty of external guidance is available in the form of itiL consultancies, you’ll need to have a decent idea of what to expect in the course of your own itiL expedition before you go for it.

this book focuses on that specific target. Drawing on the experience of many itiL practice implementations, it shows you in a very logical and practical way what to expect when you introduce itiL to your organization, or when you increase the number of itiL practices in your organization.

the book supports this by offering, in the style of a cookbook, a step-by-step guide to the implementation of individual itiL practices, offering practical descriptions, terminology, objectives, workflows, CSFs, KPis and other measures, in a Plan-Do-Check-act approach. using the cookbook analogy, it provides you with as many recipes as you are likely to need for composing your own menu. the book’s systematic approach means that once you get to grips with implementing one practice, you will be able to apply your newly developed skills to the next one, following the fundamental guidance of itiL: adapt and adopt.

Your growing understanding of how itiL works will greatly reduce your external costs, improve the skills of your own staff, and move your organization to higher maturity levels. You should use this guidance as a great resource for setting up and improving your own practice.


12 PDCa for itiL

acknowledgementsi would like to express my sincere thanks to my lord Shri Krishna, who has blessed me with intellect, provided me with knowledgeable friends and colleagues, and has enabled me to gain strong it experience in some of the world’s best conglomerates. Without his benevolence, i wouldn’t have been able to write this book.

i am very grateful to my spiritual alma mater iSKCOn (international Society For Krishna Consciousness), his Divine Grace a.C. bhaktivedanta Swami Srila Prabhupada (Founder and acharya of iSKCOn) and his Grace Kalakanta Prabhu, who was my first spiritual guide.

i would also like to thank my manager and CEO Simon (Xiaogang, Wei) who helped me to achieve most of my certifications, and all my colleagues who have been a source of encouragement. my special thanks go to Jan van bon for recognizing my manuscript as a potential publication and helping me to edit it.

Finally i would like to express my thanks and indebtedness to inform-it and tSO for having the confidence to publish my first book – my first milestone in authoring.


13

about the authorKiran Kumar Pabbathi has worked for various companies in the it industry which gave him detailed insight into itSm and itiL best practice. Currently, Kiran works as an it process manager in Shanghai bizenit information technology, China.

Kiran was privileged to work in different roles taking care of service desk operations, request fulfilment, incident management, SharePoint administration, project management, and itiL Consulting.

Kiran is a certified professional in itiL v3 Expert, PrinCE2® (Foundation and Practitioner), Six Sigma Green belt, iSO/iEC20K – Foundation, tmaP – Foundation (test management Professional), mCP in SharePoint 2003 Customizations, and mCtS in mS Project 2007.


14 PDCa for itiL

Why this book?this book answers many of the questions that arise in the minds of all itiL practitioners, whether beginners, intermediary or experts in the itSm domain. it provides clear direction on how to implement itiL processes, based on the questions raised by students and customers on itiL training courses and workshops. it deals with questions such as:

● how does itiL help organizations? ● Where and how should i start? ● Which process should i start with first? ● What are the prerequisites? ● as manager of it services in my organization, do i need to implement all of

the processes? ● is there a step-by-step approach for developing an itiL process? ● What are the inputs, throughputs, outputs and outcomes delivered by

the processes?

this book addresses all these questions and provides an easy-to-understand approach on itiL best practice.


15

how to read this bookalthough itiL has become the leading guidance for it service management worldwide, many countries and individual organizations are still taking their first steps on the itiL journey. this book will help you to understand the key concepts of itSm and itiL1, and will also show you how to implement itiL processes in your organization. it doesn’t provide detailed instructions, but describes the most important steps you should take during implementation. the book takes the approach of the Plan-Do-Check-act cycle, which builds on good practice and adds value for it managers and process managers.

the intended audience for this book is the it stakeholder, responsible for the planning, design, implementation and improvement of it operations and services. Students and it staff who perform different tasks in the it industry will also find this book useful.

in PDCA for ITIL, each process is structured in five sections, each section representing important aspects of the process: basic terminology, overview of the process, implementing the process, measures, and process workflow. Descriptions for each section are as follows:1. Basic terminology – Description of the definitions used in the process.2. Overview – the main structure, the objectives, and the business needs of

the process.3. Process implementation – this section describes the prerequisites, and then

the step-by-step implementation of the process through the Plan, Do, Check, act stages: – the Plan phase details the important activities that have to be performed

before making any investment in development and implementation. hence the process manager will need to present the business case, the goals of the process, the project plan, and the organization structure to gain the confidence and approval from higher level management (hLm).

– the Do phase details the important activities that will initiate the design, development and implementation of the process. here process managers and service owners will become actively involved in executing the process and its activities.

– the Check phase details the important activities that will monitor, verify and validate the process implementation and daily it operations.

– the act phase details the important activities that will feedback to the process owner, recommending different ways to improve the process and it operations.

1 itiL: the it infrastructure Library


16 PDCa for itiL

4. Measures – this section describes the metrics, critical success factors (CSF) and best practices.

5. Process workflow – this section describes the process workflow, which will be easy to understand and useful in designing itSm tools.


17

Frequently asked questionsIf I want to implement ITIL in an organization, which process should I start with first?

itiL defines a set of best practices and it is up to you to select the process that you want to improve with respect to the issues in your organization.

if your organization’s service desk is inefficient, under-utilized and not providing good customer satisfaction, then you could refer to the service desk function and utilize itiL best practice to improve this function in your organization.

if your organization is not able to meet the service level agreements (SLas) and service level targets (SLts), despite utilizing its great technical resources, you could refer to the service level management process (SLm) to redefine feasible SLas and SLts.

Which ITIL version should I refer to?

the latest version of itiL is the only version that you should refer to. itiL was last updated in 2011.

itiL follows a lifecycle-based approach, which is convenient and easy to understand for the it stakeholders. this lifecycle is categorized into five stages: Service Strategy, Service Design, Service transition, Service Operation, and Continual Service improvement. itiL contains 28 processes and four functions placed in the above five stages.

How can I win the confidence of my CTO/CEO that ITIL processes would help IT in my organization?

You could prepare a project charter outlining the business case, goal statement, project plan, project scope, and roles and responsibilities, and explain the benefits. the approach is explained in this book.

What kind of VOI, ROI and benefits can I see after ITIL implementation?

after the implementation of an itiL process, you could expect to see maturity, improvement and clarity in every artefact of the it operations as follows:

● You would have clear documented policies and procedures to perform various it tasks.

● there would be clear demarcation of roles and responsibilities, based on a raCi matrix.

● You would not have to waste time reinventing the wheel again and again.

How do I implement an ITIL process?

the book provides detailed insight.


18 PDCa for itiL

How much does it cost to implement an ITIL process?

there is no protocol or magical calculator that can estimate the costs; it depends on the organization and how effective it wants the process to be and its function to be developed.

Should I follow everything that is mentioned in ITIL best practice?

itiL is a collection of best practices for itSm; hence you can customize it as and how you want as per your company’s feasibility, cost allocation, resource allocation etc.

Can a company or product be ITIL-compliant or certified?

Companies cannot be itiL-certified or itiL-compliant. Your company can follow itiL best practices but there is no authority that can certify that your company or product is itiL-compliant. if you are keen to win the confidence of your customers you can opt for iSO/iEC20000 certification.

Products can be itiL-compliant: software tool vendors can obtain endorsement of their tools for “itiL Process Compliance” under the official Cabinet Office itiL Software scheme (see: http://www.itil-officialsite.com/SoftwareScheme/itiLSoftwareScheme.aspx).


1 introduction to itSm


20 PDCa for itiL

1.1 basic terminologyBest practices: practices that are well recognized and that have proved the ability for demonstrating success in respective areas. E.g.: PmbOK for project management, itiL for it service management, mOF for it service management, CObit for it governance, etc.

Capability: the ability of an organization, person, process, application, it service or other configuration item (Ci) to carry out an activity. Capabilities are intangible assets of an organization.

Critical success factor (CSF): the vital elements necessary for the success of a business.

Functions: specific units of an organization (consisting of a group of people who have specific skills and responsibilities), performing specific and routine activities.

Infrastructure: the combination of hardware, software, and people-ware in an organization.

Information technology service management (ITSM): management of it services to meet the organization’s business goals. it can also be defined as “a set of organizational capabilities and resources that work together in providing value to customers in form of services”.

Key performance indicator (KPI): vital metrics necessary for an organization to meet its business goals, which reflect the CSFs of an organization.

Metric: measurements that quantitatively evaluate the performance of it operations.

Policy: management directives that significantly influence the processes and procedures.

Process: a set or sequence of activities that results in achieving an output or business goal.

Resources: a generic term that includes it infrastructure, people, money or anything else that might help to deliver an it service. resources are considered to be assets of an organization.

Service: provision of value to customers without any ownership of risks and internal costs associated in developing a service.

Standard: rules and conventions that help to implement policies and enforce required conventions.


introduction to itSm 21

1.2 What are it services?it services can be represented in numerous forms, for example:

● internet that is available through an internet service provider ● end-user equipment with basic office functions ● financial information systems that are supported by applications, end-user

equipment, network, etc.

these services have to be well managed with defined roles and responsibilities, by following specific quality standards and processes, so the business can run without any breakdowns.

1.3 importance of best practicesOutcomes and results can be achieved in numerous ways with a variety of approaches and different strategies, each with their specific time schedules, cost structure, and resource consumption.

best practices guide us in doing things effectively, in the most appropriate way with low risks, economic costs, and optimum resources. at the same time it also ensures to attain the objective or outcome with the desired quality. Some of the best practices for itSm are itiL and mOF2:

● itiL is a set of best practices for itSm that helps in managing the it services in an organization with the help of processes and functions.

● mOF is another best practice for itSm, developed by microsoft. mOF best practice is explained with the help of processes, functions and activities describing the management of services.

1.4 itiL lifecycle stagesitiL’s life cycle is divided into 5 stages:1. Service Strategy2. Service Design3. Service transition4. Service Operation5. Continual Service improvement.

2 microsoft Operations Framework


22 PDCa for itiL

1.5 Processes in itiLProcesses defined in itiL are categorized into these 5 stages:1. Service Strategy – strategy management for it services, financial management

for it services, demand management, service portfolio management, business relationship management.

2. Service Design – design coordination, availability management, SLm, service continuity management, service catalogue management, supplier management, information security management, capacity management.

3. Service Transition – transition planning and support, change management, change evaluation, release and deployment management, service validation and testing, service and asset configuration management, and knowledge management.

4. Service Operations – access management, event management, request fulfilment, incident management, and problem management.

5. Continual Service Improvement – seven step improvement process.

1.6 Functions in itiLFunctions are units of an organization (groups of a people who have specific skills and responsibilities) that perform very specific activities.

Functions defined in itiL are: ● service desk ● applications management ● technical management ● it operations management.

1.7 Why do we need processes?We need processes:

● to enable repeatability (avoiding reinventing the wheel) ● to measure and evaluate the effectiveness of operations ● to provide clarity in roles and responsibilities (enabling accountability) ● to maintain the knowledge uniform among all human resources, and to avoid

dependence on individuals.



1.8 Can itiL processes help in managing business services?

AnswerYes, itiL can also guide business. this can be explained more in detail through the concept called business service management (bSm).

Scenarioa software development company wants to implement itiL best practices to manage its services.

UnderstandingWe should understand that developing tools or applications and providing the support is an it service here. to provide the mentioned it service, the organization will use itiL best practices that provide a sequenced approach for maintaining and managing the organization’s services.

Implementation

Phase 1the organization will first have to understand the customer’s demand, define the organization’s strategies, so they can build software applications with the technology that is feasible for the customers’ requirements.

the organization recruits people with necessary skill sets and experience, who can define the strategy for the software development business (or checks if there are any human resources in the organization who have the skill set or who have experience in developing Service Strategy for software development business).

because each organization is different in size, the concept of roles is useful. roles are specific sets of tasks and responsibilities for specific goals. individual people can be appointed to various roles. One individual can have more than one role. this way, the guidance can be applied in any size of organization including a one-person company. if an organization is big enough, it can have an individual or even a team for each role.


24 PDCa for itiL

the organization appoints an individual to the Service Strategy manager role, to carry out different activities. the Service Strategy manager would be accountable for all the strategy related activities with the help of processes like: strategy management for it services, financial management for it services, demand management, service portfolio management, and business relationship management.

the strategy management for it services process works: ● on understanding its internal customers, external customers, and mixed customers

(internal customers + external customers) ● on developing what kind of services are required and what kind of services should

be offered to its customers ● on developing strategic assets ● on proposing a draft of the services that will be offered to its customers.

the financial management process works: ● on estimating the costs, budgeting (fixed costs, operational costs, variable costs,

direct and indirect costs etc.) for developing software development services ● on defining the accounting procedure for it services ● on the charging procedure from internal customers, external customers, etc.

the demand management process works: ● on checking the demands of customers for the proposed services (what is the

front end technology in demand, what is the database that is preferred by the customers, middleware, web servers using patterns of business activity (Pba), and user profiles (uPs))

● on estimating the demand and supply needed (how many human resources should be recruited for development, testing, business analysis, deployment, how many desktops, laptops, servers are needed, how much place is needed for the staff, etc.)

● on analyzing the live services that are in good demand, and reactively communicating the needs and shortcomings to other processes.

the service portfolio management process works: ● on defining the draft of services, which can be offered to customers ● on analyzing the services that should be offered ● on approving the proposed services that can provide value to the organization ● on chartering the final services (this will be the final list of current services, future

services, and retired services that are offered by the company).

the business relationship management process works: ● on tracking and resolving various concerns and complaints of the customers ● on managing and developing good relationship with different stakeholders paying

special attention to customers.



With all these tasks, the Service Strategy manager has done his job in estimating, understanding and developing the strategic plans, using as many resources as necessary and available.

Phase 2the organization checks for human resources, who have skills and experience in Service Design activities, so the strategic plans are activated and converted in appropriate designs and architectures, etc.

the organization appoints an individual to the Service Design manager role, who would be accountable for all the Service Design activities with the help of processes like: SLm, information security management, availability management, capacity management, service catalogue management, supplier management, and service continuity management.

the SLm process works: ● on defining SLas with the external customers and operational level agreements

(OLas) with internal business units, underpinning contracts (uCs) with third party suppliers

● on time duration for the project, scope of the project, service acceptance criteria (SaC), number of defects that can be accepted, etc.

the availability management process works: ● on defining availability plans, and understanding requirements in terms

of availability ● on defining the availability of the services (24*7 or only working days, holidays,

and timings) ● on setting up the reliable infrastructure assets.

the capacity management process works: ● on defining capacity plans and capacity requirements. ● on providing appropriate capacity in terms of network, hardware, and software.

the service catalogue management process works: ● on maintaining a list of current products or services that are offered by

organization to its customers.

the supplier management process works: ● on selecting suppliers to buy necessary assets required for the delivery of it

services (avaya phones, bridges, routers, dashboards) from suppliers at economic costs with good quality

● on maintaining good relationship with suppliers consistently as required.


26 PDCa for itiL

the information security management process works: ● on defining security policies, standards to bring awareness for the it staff. these

policies will be implemented by access management to safeguard the customer’s assets, information and also the organization’s assets.

the service continuity management process works: ● on defining it service continuity plans to continue the it services in case of natural

disasters, accidents, and other threats.

With all the above process activities, the Service Design manager completes all the Service Design tasks, using as many resources as necessary and available.

Phase 3the organization checks for human resources, who have skills and experience in managing the transition of it services.

the organization appoints an individual to the role of service transition manager, who is accountable for all transition related activities with the help of processes like transition planning and support, change management, release and deployment management, service and asset configuration management, knowledge management, change evaluation, and service validation and testing.

the transition planning and support process works: ● on planning transition activities like:

– developing plans for introducing a new service/products in an organization – coordinating the resources to ensure the transition or introduction of a

new service.

the change management process works: ● on defining procedures for handling different types of changes ● on ensuring only valid and approved changes are implemented in the organization ● on ensuring that the changes bring positive effects in organization ● on ensuring that there is no disruption of services, while changes are implemented.

the change evaluation process works: ● on evaluating the complete service transition activities, from the change initiation

to the release deployment.

the release and deployment management process works: ● on ensuring the new changes are implemented and deployed well in the organization.

the service validation and testing process works: ● on ensuring new releases are validated and tested in terms of functionality

and usability.



the service and asset configuration management process works: ● on ensuring that all of the service assets and Cis in the organization are stored,

tracked, and controlled in the configuration management database (CmDb, providing relationships between Cis) and the configuration management system (CmS).

the knowledge management process works: ● on developing best practices, knowledge for different projects, products and other

services (transforming data to information, information to knowledge, and knowledge to wisdom)

● on ensuring that the knowledge is accessible for authorized users.

With all the above activities, the service transition manager establishes all the necessary for smooth transition of services from Service Design to service transition, using as many resources as necessary and available. Service transition ensures that new assets and Cis are well planned, released, tested and evaluated.

Phase 4the organization checks for human resources, who have skills and experience in managing the organization’s day to day operations.

the organization appoints an individual to the role of service operation manager, who is accountable for all the operational activities with the help of processes and functions.

Processes in service operations are request fulfilment, event management, incident management, problem management, and access management.

the access management process works: ● on providing appropriate access privileges to the authorized users.

– For example: access management ensures that all the employees are provided with necessary access to the knowledge base websites, respective tools and applications, and information systems.

the event management process works: ● on analyzing all the events logged and on the events so that they don’t get

converted into incidents. – For example: before a network outage happens, there will be some kind of

events generated in the infrastructure tools. the event management process keeps a meticulous watch on events and prevents incidents from having too much impact.

the request fulfilment process works: ● on taking requests from users, and to fulfill the requests.


28 PDCa for itiL

the incident management process works: ● on restoring the breakdown of services as soon as possible

– For example: if there is a breakdown of a server, the incident management process tries to fix the issue as soon as possible and restore the server.

the problem management process works: ● on finding the root causes of the incidents and provide a permanent fix.

– For example: there is a serious network/server outage and the incident management process resolved the incident. now, to prevent the same incident from happening again, the problem management process tries to understand the root cause of the network outage. it will check with corresponding processes and functions and investigates the devices, topology, software etc. to find a permanent fix.

Functions in service operations are service desk, applications management, technical management, it operations management.

the service desk function works: ● as a single point of contact for customers, users and stakeholders on different

kinds of issues ● as a point of contact for any kind of help or information regarding the organization

and its assets.

the applications management function works: ● on ensuring that necessary applications and tools are installed, maintained and

managed well in the organization.

the technical management function works: ● on ensuring that all the technical knowledge is provided to employees of

the organization ● on ensuring all the technological constraints and conditions are taken

into consideration.

the it operations management function works: ● on ensuring all the operational activities are performed regularly, like network

management, database administration, desktop management, etc. ● on ensuring all the facilities are managed well for the organization premises.

With all these above activities, the service operation manager ensures smooth and effective operations of it services, using as many resources as necessary and available.



Phase 5the organization finally checks for human resources, who have skills and experience in identifying improvements and managing these for all the different stages: Service Strategy, Service Design, Service transition, and Service Operation. Continual Service improvement provides feedback for doing things in a better way, providing value, saving time, in consideration with cost.

the organization appoints an individual to the role of CSi manager, who is accountable for all the improvement activities with the help of processes and functions.

the Continual Service improvement phase has only one process: the seven step improvement process.

the seven step improvement process works: ● on improving the it service operations.

With all the above 5 phases, an it service organization can manage and execute its services with the help of itiL best practices.


SERVICE STRATEGY

Service Strategy defines the strategy for an it organization that helps to achieve its business goals. this stage analyzes the demand for services, customer’s requirements, risks, costs, value creation and defines the service offerings.

Processes involved in Service Strategy are:●● strategy management for it services●● demand management●● financial management for it services●● service portfolio management●● business relationship management.

30 PDCa for itiL


2 Strategy management for it services


32 PDCa for itiL

2.1 basic terminologyAccess based positioning: a positioning strategy where service providers make themselves feasible to their customers, who have very distinguished needs and conditions which could be in terms of location, scale or structures.

Need based positioning: a positioning strategy where service providers deliver most or all the needs of customer or customers. here the service provider’s priority is the customer and his needs, so the service provider tries to fulfill most of the needs of customers.

Strategy: the objectives and direction that lays the foundation for the organization to run its business and operations.

Type I service provider: internal service providers that are a part of same business and that provide specific/explicit services to the business unit.

Type II service provider: the shared service units that exist in the same organization, but provide services for many business units.

Type III service provider: the external service providers who support the organization in its different businesses.

Variety based positioning: a positioning strategy where service providers deliver a variety of services to their customers. here service providers have their strength and experience in delivering a specific variety of services (could be technologies or products) and they focus on providing only that variety of services.

2.2 Overview of strategy management for it services

Strategy management for it services defines a standardized process for building strategic assets with vision, strategic goals, innovation, value creation, and resilient attitude for adapting new changes.

its main focus is to define the market, propose the service offerings, develop the service offerings as strategic assets, execute the developed offerings, also measure and evaluate the strategies.

Strategy management for it services is the most critical process for long term sustainability of the organization’s offerings.


Strategy management for it services 33

Objectives ● analyze and understand the it requirements. ● Develop strategic assets that will create value for customers and the service

provider, through a closed loop system. ● measure and evaluate the defined services as strategic assets.

Business needs ● Provides guidance in designing and deciding the necessary artifacts for it service

management as a strategic asset. ● improves service quality by strategic planning. ● Creates value and enables to create distinguished services for the organization. ● Enables in making effective decisions for investment.

2.3 implementing strategy management for it services

Prerequisitesbusiness goals, market analysis, competitor products/services.

PlanPrepare the project charter, consisting of a business case, goal statement, project plan, project scope, and roles and responsibilities.

● Business case – should describe the benefits and opportunities of strategy management for it services considering the following areas: – business needs of strategy management for it services. – What are the short term benefits and long term benefits of this project? – What impacts will this new initiative have on other business units and

employees? Pros and cons. – What are the risks and issues involved, what are the dependencies? – monitoring and evaluation mechanism. – Cost and benefit analysis.

● Goal statement – should be closely associated with the prepared business case. Goals should be Smart and mention: – Define the CSFs. – Define the KPis.


34 PDCa for itiL

– What is the time estimated to see the results? ● Project plan – should show the timeline, milestones for various activities to

establish strategy management process in place and run the process. ● Project interfaces – should define the boundaries, scope, relationships of the

strategy management. ● Roles and responsibilities – should identify the required roles and hire the

human resources. Primary roles needed for strategy management for it services can be defined as: – it steering group – strategy manager.

Define a raCi model for clarity in roles and responsibilities.

Do ● Develop the statement of work (SOW) for strategy management for it services,

defining the: – scope of services, that has to be considered by strategy management – services that are out of scope – hardware, software, people-ware and tools required – appropriate people for the defined the roles and responsibilities – risks and dependencies – issues and other conditions – costs involved.

● Define the strategy as perspective, position, plan and pattern. – Perspective is defined by goals, through the following activities:

• definition of CSFs • definition of KPis.

– Position is defined by the distinctiveness of services for customers. it is defined by: • variety based positioning • need based positioning • access based positioning.

– Plan is defined by the procedures of doing actions/milestones/activities, it is the estimation of time duration and number of resources required for:

• strategy assessment • development of the offerings • execution of the strategy • measurement and evaluation.

– Pattern is defined by the series of consistent decisions and actions embedded in doing the business. it involves defining policies, processes, adopting best practices, etc.



● Perform assessments on the internal artifacts and external artifacts. – internal artifacts are the service provider’s business goals, strategy, service

provider’s strengths, weakness, opportunities, threats, and CSFs. – External artifacts are customers, customer services, needs of the customers,

opportunities of the customers, and competitor’s services. ● Develop a strategy for service offerings, with the provision of:

– quality – cost feasibility – timely delivery – objectives and CSFs – prioritization of investments.

● Select and implement the appropriate tool for recording all the activities performed by the process.

● Execution of strategies developed.

Check ● Evaluate the services proposed, by methods like:

– Brainstorming – a method to generate ideas (potential solutions) on a specific issue and then determine ideas.

– Nominal group technique – an approach to generate additional ideas, surveys the ideas of a small group, and prioritizes brainstormed ideas.

– Delphi technique – a method of relying on a panel of experts to anonymously select their responses using a secret ballot process.

– Multi-voting – a mechanism to narrow down the list of ideas and select the correct subset for further investigation.

● Ensure there is innovation and value creation in the services offered. ● Ensure the organizational strategies sync with the regulations, compliances,

government, and environment laws. ● review and update the strategic plans and objectives as per changing business

plans and requirements. ● Ensure internal function objectives are linked with organization objectives and

strategic plans.

Act ● Perform a GaP analysis for the customer’s needs and requirements. ● analyze the major reasons, why a customer is seeking another service provider. ● identify the opportunities to explore new service offerings. ● identify areas of improvement for the current services. ● Develop plans to mitigate significant risks.


36 PDCa for itiL

2.4 measures

Metrics ● number of new proposals, plans defined ● number of new services proposed ● number of failed services (that have not been approved by strategy manager/it

steering group) ● total time taken for proposing a new service in service portfolio ● number of new customers developed ● number of lost customers.

CSFs ● awareness on the organizational strategies ● evaluation of the new strategies defined ● shared vision and active stakeholders’ involvement ● effective risk and impact assessment methodologies ● effective business and market analysis knowledge ● documentation of suggestions to other processes and lessons log is captured.

2.5 Strategy management for it services workflow

analyze and assess Define Execute

Analyze and assessan understanding is developed about the service provider’s current situation. assessments and analysis is made on current services, market spaces, risks associated, customer’s history, customer needs, customer feedbacks and recommendations, competitors, and competitors’ services.

assessments are made in form of: interviews, questionnaire, direct observation, simulations, etc.



Define Definition of strategy can be done by adopting Porter’s five force analysis, value chain analysis, and SWOt analysis in consideration with perspective, position, plan and patterns. it defines strategic values like quality standards, cost justifiable approach, effective utilization of resources, and timely delivery of services. it defines service management as a closed-loop control system that can adapt to the changes, feedbacks provided.

Definition of strategy can be evaluated through some methods like brainstorming, nominal group technique, Delphi technique, multi-voting etc.

Execute this is the process of implementing the mission, objectives, goals, and CSFs for a service provider and its services. it actually involves implementation of the strategies developed and evaluating them with assessments.


acronyms


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aba abandonment rate

aht average handling time

am asset management

am availability management

aSa average speed to answer

aSP application service provider

amiS availability management information system

bCm business continuity management

bCP business continuity plan

bia business impact analysis

brm business relationship manager

brS business requirement specifications

bSm business service management

Cab change advisory board

CaPEX capital expenditure

CFia component failure impact analysis

Ci configuration item

CmDb configuration management database

CmiS capacity management information system

CmS configuration management system

CSat customer satisfaction rating

CSF critical success factor

CSi continual service improvement

DCab deployment Cab

DiKW data, information, knowledge, wisdom

DmL definitive media library

DSL definitive software library

DhL definitive hardware library

DrP disaster recovery plan


acronyms 281

ECab emergency Cab

ELS early life support

Ert emergency response function

FCr first-call resolution

FmEa failure modes and effects analysis

FSC forward schedule of changes

Fta fault tree analysis

Gtb grow the business

hLD high level document

hLm higher level management

imiS incident management information system

iSG it steering group

iSmS information security management system

itSCm it service continuity management

itSm it service management

itt invitation to tender

KEDb known error database

KPi key performance indicator

LLD low level document

mOF microsoft Operations Framework

mtbF mean time between failures

mtbSi mean time between system incidents

mtO maximum tolerable outage

mtrS mean time to restore service

mttr mean time to repair

OGC Office of Government Commerce

OLa operational level agreement

OPEX operational expenditure

Pba pattern of business activity


282 PDCa for itiL

Pir post implementation review

PmO project management office

POr post outage review

PSO projected service outage

rCa root cause analysis

rCb registered certification body

rFa request for approval

rFC request for change

rFi request for information

rOi return on investment

rtO recovery time objective

rPO recovery point objective

SD Service Design

SO Service Operation

SS Service Strategy

St Service transition

SaC service acceptance criteria

SaCm service asset and configuration management

SCD supplier and contract database

SCm service capacity management

SCm service catalogue management

SDP service design package

SFa service failure analysis

Sia service investment analysis

SiP service improvement plan

SKmS service knowledge management system

SLa service level agreement

SLm service level management

SLP service level package


acronyms 283

SLr service level requirement

SLt service level target

SmE subject matter expert

SOP standard operating procedures

SPm service portfolio management

SPOC single point of contact

SPOF single point of failure

SQP service quality program

SrS software requirement specifications

tCab technical Cab

trt target recovery time

ttb transform the business

uC underpinning contracts

uP user profile

VbF vital business function

ViP very important person

VViP very very important person

VOi value on investment

VPn virtual private network

VCD variable cost dynamics

5S sort stabilize shine standardize sustain


index


286 PDCa for itiL

Aaccess 194access based positioning 32, 34access management 194access manager 195access request 198accounting 46, 51active monitoring 202application management’s 246application sizing 102architectural requirements. 250assessment 270asset 46, 174asset management 174audit 270authentication 86, 194authorization 194availability 86, 94availability analyst 96availability management 94availability manager 96availability monitoring 99availability test analyst 96

Bback-out plan 142backup analyst 128benchmarking 277best practice 20, 21brainstorming 37budgeting 46, 51build 158build analyst 160business capacity analyst 104business capacity management 102business case 33business continuity management (bCm) 126business impact analysis (bia) 48, 126business relationship management 62business relationship manager 64business requirements 250


index 287

business requirement specifications 250business service catalogue 110

Ccapability 20capacity 102capacity analyst 104capacity forecasting 102capacity management 102capacity management information system (CmiS) 102capacity manager 104capacity plan 102centralized service desk 238change 142change advisory board (Cab) 142change analyst 144change closure 149change deployment 149change evaluation 152change evaluation report 152, 155change implementer 144change management 142change management operations 145change manager 144, 153change schedule 142charging 46, 52closed-loop control system 37closure 215, 225component capacity analyst. 104component capacity management 102component failure impact analysis (CFia) 94confidentiality 86configuration analyst 176configuration baseline 174configuration control 179configuration identification 179configuration item (Ci) 174configuration management 174configuration management database (CmDb) 174configuration management system (CmS) 174console management 260


288 PDCa for itiL

continual service improvement (CSi) 270continuity 126contract development 66critical event 207critical success factor (CSF) 20CSi manager 272CSi methods 274CSi register 270customer based SLa 73customer-based SLa 70customer portfolio 62customer survey questionnaire 62customer survey response 62

Ddata 182deep-dive rCa 234definitive media library (DmL) 174definitive spare 174Delphi technique 37demand analysis 43demand analyst 42demand management 40demand management tool 42demand manager 42demand modelling 44demand monitoring 107deployment 163, 246deployment analyst 160deployment Cab (DCab) 144de-provisioning 194, 199design 246design coordination 80design coordination process owner 81development 246deviation 152diagnosis 223differential charging 46duplicate event detection 202


index 289

Eearly life support (ELS) 164editorial review 91, 188ELS analyst 160emergency action plan 260emergency Cab (ECab) 144emergency change 147emergency release 158environmental analyst 262escalation 224evaluation 166event 202event analyst 204event closure 207event filtering and correlation 202event management 203event manager 204event notification 206event record 202event solving group 204exception 206external audit 46external service provider 32

Ffacilities administrator 262facilities analyst 262facilities head 262facilities management 260fault tree analysis (Fta) 94financial analyst 48financial audit 52financial management 46financial manager 48five force analysis 37fixed charging 46forward for schedule changes 148forward schedule of changes (FSC) 142function 20functional requirements 250


290 PDCa for itiL

Ggoal statement 33

Hhigh level document (hLD) 250

Iidentity 194identity management 194incident 218incident management 218incident model 218incident record 218incident registration and categorization 223incident ticket 233information 182informational event 202, 206information security 86information security management 86information security plan 90information technology service management (itSm) 20infrastructure 20initial rCa 234integrity 86interaction 238internal audit 46it operations management 260it service continuity management (itSCm) 126it steering group 34, 56it user account management 194

Jjob scheduling 260

Kkey performance indicator (KPi) 20knowledge 182knowledge author 184knowledge base 182knowledge editorial reviewer 184knowledge management 182


index 291

knowledge manager 184knowledge publisher 184knowledge technical reviewer 184known error 228known error database (KEDb) 228known error record 228

Llocal service desk 238low level document (LLD) 250

Mmaintainability 94maintenance advisor 262major event 207major incident 218, 225major incident criterion 225major release 158maximum tolerable outage (mtO) 126medical advisor. 262metric 20minor event 207minor releases 158modeling 102multi-level SLa 70, 73multi-voting 37

Nneed based positioning 32, 34nominal group technique 37normal change 146notification 202notional charging 46

Ooperational demand analysis 43operations control 260operations level agreement (OLa) 70operations manager 262

Ppassive monitoring 202


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pattern 34patterns of business activity (Pba) 40perspective 34plan 34policy 20position 34post implementation review (Pir) 100proactive monitoring 77proactive problem management 228problem 228problem closure 235problem management 228problem model 228problem record 228problem registration and categorization 233problem ticket 233process 20process benchmarking 270process evaluation 270project plan 33provisioning 194

Rreactive monitoring 77reactive problem management 228recovery plan 126relationship management 67release 158release and deployment management 158release approach 158release package 158, 163release planning 163release request 163release types 158release unit 158release window 158reliability 94remediation plan 142request approver 211request for approval (rFa) 210request for change (rFC) 142, 210


index 293

request for information (rFi) 210request for knowledge 186request fulfilment 210request fulfilment manager 211request model 210requirement 66, 246resolution 224resource 20restoration plan 126retired services 54rights management 194risk and performance evaluation manager 153

SSaC council 176SaC manager 176safety advisor 262secure library 174secure store 174security 94security advisor 262security analysts 88security manager 88service 20serviceability 94service acceptance criteria (SaC) 70service asset and configuration management (SaCm) 174service based SLa 73service-based SLa 71service capacity analyst 104service catalogue 54, 110service catalogue management (SCm) 110service catalogue manager 111service continuity manager 128service continuity plans 131service design manager 81service design package (SDP) 80, 84service desk 238, 239service failure analysis (SFa) 94service improvement program (SiP) 70service investment analysis (Sia) 48


294 PDCa for itiL

service invoice 46service knowledge management system (SKmS) 182service level agreement (SLa) 70service level analyst 72service level management (SLm) 71service level manager 72service level package 70service level package (SLP) 70service level report 70service level requirement (SLr) 70service level target (SLt) 70service measurement 275service package 40, 70service pipeline 54service portfolio 54service portfolio management 54service portfolio manager 56service quality program (SQP) 70service reporting 270, 276service reporting analyst 72service request 210, 214service review 270service testing 171service validation and testing 166service validation and testing process owner 167seven step improvement process 270shared service unit 32single point of failure (SPOF) 94snapshot 174software requirement specifications 250standard 20standard change 146statement of work (SOW) 34status accounting 174status accounting and reporting 179steady state 265strategic demand analysis 43strategy 32strategy management for it services 32strategy manager 34supplier and contract database (SCD) 118


index 295

supplier management 118supplier manager 119supplier monitoring 123SWOt analysis 37

Ttarget recovery time (trt) 126technical Cab (tCab) 144technical management function 254technical review 91, 188technical service catalogue 110test 166test analyst 160test architect 167test environment validation 170threat 86throttling 202transition 136transition planning and support 136tuning 102type iii service provider 32type ii service provider 32type i service provider 32

Uunderpinning contract (uC) 71use cases 250user profile (uP) 40user requirements 250

Vvalidation 166validation and testing manager 167value chain analysis 37variable cost dynamics (VCD) 46variety based positioning 32, 34verification 166virtual service desk 238vital business function (VbF) 94vulnerability 86


296 PDCa for itiL

Wwarning 202, 206wisdom 182workplace emergency 260


www.tso.co.uk 9 780117 082076

ISBN 978- 0- 11- 708207- 6

PDCA FOR ITILMetrics, csFs and workFlows For iMpleMenting itil practices

Numerous organizations spend their energy and funding on implementing ITIL practices. Most of them spend their time reinventing a wheel that was already created many times before in previous ITIL expeditions. If you’re facing this challenge, you’ll be interested in avoiding excessive cost. Although plenty of external guidance is available in the form of ITIL consultancies, you’ll need to have a decent idea of what to expect in the course of your own ITIL expedition before you go for it.

This book focuses on that specific target. Drawing on the experience of many ITIL practice implementations, it shows you in a very logical and practical way what to expect when you introduce ITIL to your organization, or when you increase the number of ITI L practices in your organization.

The book supports this by offering, in the style of a cookbook, a step-by-step guide to the implementation of individual ITIL practices, offering practical descriptions, terminology, objectives, workflows, CSFs, KPIs and other measures, in a Plan-Do-Check-Act approach. Using the cookbook analogy, it provides you with as many recipes as you are likely to need for composing your own menu. The book’s systematic approach means that once you get to grips with implementing one practice, you will be able to apply your newly developed skills to the next one, following the fundamental guidance of ITIL: adapt and adopt.

Your growing understanding of how ITIL works will greatly reduce your external costs, improve the skills of your own staff, and move your organization to higher maturity levels. You should use this guidance as a great resource for setting up and improving your own practice.

Published by: Produced by:

www.inform-it.org


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PDCA FOR ITIL

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