The ITIl®

First aid KitEssential information for professionals and organizations using ITIL®

COPYRIGHTS: The information contained in this classroom material is subject to change without notice. This material contains proprietary information that is protected by copyright. No part of this material may be photocopied, reproduced, or translated to another language without the prior consent of ITpreneurs Nederland B.V. | © Copyright 2011 by ITpreneurs Nederland B.V. All rights reserved. | © Crown Copyright 2011 Reproduced under license from Cabinet Offi ce. | ITIL® Glossaries/Acronyms © Crown Copyright Offi ce of Government Commerce. | Reproduced with the permission of the Controller of HMSO and the Offi ce of Government Commerce. | ITIL ® is a Registered Trade Mark, and a Registered Community Trade Mark of the Offi ce of Government Commerce, and is Registered in the U.S. Patent and Trademark Offi ce. | ITIL® - Published for the Offi ce of Government Commerce under license from the Controller of Her Majesty’s Stationery Offi ce © Crown Copyright 2011.

The ITIl®First Aid KitThe ITIL® First Aid kit is an essential toolkit for the eff ective utilization of the IT Infrastructure Library (ITIL®) in any organization. However, it does not provide any one-size-fi ts-all solutions or formulae that ensure a successful IT Service Management (ITSM) implementation. This kit is meant as guidance to provide you with areas of attention and possible strategies to include in your program approach. Each organization is diff erent, and your program needs to be unique to your organizational needs and business drivers. The kit provides essential ITIL program approaches to support you when you need them the most. In every ITSM program emergency, think of this kit before looking elsewhere.

Source: Service Strategy - Cabinet Office, 2011

1 The Need to Deliver Value

• Information,previouslyasup-

portingelement,hasbecomethe

basisforvalueitself.Inaddition,

information-basedServicesare

changingandevolvingatarapid

rate.

• Capabilitiesandresourcesinthe

managementofITandservices

arenolongerperceivedassimply

operationalconcernfordetail.They

arethebasisforcreatingvalue,for

competition,andfordistinctive

performance.

• ITorganizationsrequireakeen

senseofthenatureanddynamics

ofServicesasameansofproviding

valuetocustomers.

• ItisimportantforITorganiza-

tionstoreviewtheirpositionsand

toclearlyunderstandhowthey

providedifferentiatedmarketvalue

totheircustomers.

• Awell-managedITorganizationcan

actlikeabusinesswithinabusiness

anddelivervaluethatmeetsor

exceedsothercommercialalterna-

tives.Forthisreason,conceptssuch

asUtility,Warranty,marketspaces,

andportfoliosareintroducedinthe

ServiceStrategyprocesseswithin

theServiceLifecycle.

What is our business?

Who is our customer?

What does the customer value?

Who depends on our Services?

How do they use our Services?

Why are they valuable to them?

1.1 Ensure Value Creation by Asking

Service Strategy is your main body of reference to assist with structuring the flowof and answering these key questions.

Source: Service Strategy - Cabinet Office, 2011

1.2 Multiple Views of IT

V I E W V I S UA L I Z AT I O N V E R N A C U L A R

Components of systems and processesIT / Component “OurbillingsystemisIT-enabled”

“Weuseittoimproveinteractionswithourcustomers

throughselfserviceterminalsatkeylocations.”

“ITtoucheseverypartofourbusiness.Withoutappropriate

controlsthatinitselfisarisk.”

Internal unit function of the enterprise

or commercial Service Providers

IT / Organization “OurITisheadedbyaCIOoftremendousexperienceinthe

transportationindustry.”

“OurheavilycentralizedITsuitsourbusinessmodelwhich

morethananythingrequiresstabilityandcontrolover

businessoperators.”

“ITdoesnotunderstandthenatureofourbusiness.

Muchislostintranslation.”

Type of shared service utilized by

Business Units

IT / Service “Ihaven’tbeenabletoaccesstheinternetsinceyesterday.

whendoyouexpecttheservicetoberestored?”

“Ourremoteaccessserviceisverysecurebutitisalsovery

difficulttosetupanduse.”

“Wedecidednottouseourownenterpriseapplications

foradministrativefunctions.WearebetteroffutilizingIT

servicesprovidedtousunderacommercialcontract.”

Capabilities and resources that provide

a dependable stream of benefits

IT / Asset “Itisthecoreofourbusinessprocess.WeuseITtocreate

valueforcustomers.Itispartofourcoreproduction

process.”

“OurITinvestmentsarelikeCostsofGoodsSold(COGS).

Theyaredirectcostsnotoverheads.”

“ITisourbusiness.”

Source: Service Strategy - Cabinet Office, 2011

2 Management of Change (MOC)

Aspectsofmanagingthecultural/behavioral

Changeexperiencedwiththeimplementa-

tionofITILprocessesneedtobeidentifiedand

controlled.ThisChangeismainlytheshiftfrom

beinganIT-centricorganizationtobecominga

customer-focusedorganization.Lessemphasis

isplacedonindividualITunitsperformingwell

inisolationthanononewhereeachITunit

needstounderstanditspartindeliveringSer-

vicetotheenduserandinbeingaccountable

foritsperformanceinthesupplychain.

AformalITSMprogramapproachisusedto

managetheseelementsofculturalchange,

withspecificemphasisplacedonthede-

velopmentofawarenesscampaignsaimed

atalltargetaudiences–ITmanagement,IT

staff,andcustomers–andstrongcommuni-

cationsplanning.

Itisimportanttonotethatthemostsuc-

cessfulITSMprogramsarethosethatfocus

onattainingcorporateobjectives.Indeed,

thesooneryoucandroptheprojectname –

ITSMorITILprogram–andalignthiswork

tosupportasetofcorporateinitiatives,the

moresuccessfultheimplementationwillbe.

2.1 The 4 Ps

PeOPle PrOCeSSeS ParTNerS PrODuCTS

The implementation of ITSM as a practice is about preparing and planning for the effective and efficient use of the 4 Ps. This approach is critical when designing your ITSM program, for correctly focusing on clarity of communication, and for ensuring a culture that supports and rewards process adherence through changed behaviors. It is especially important to focus on the People aspect of the 4 Ps because this is where your Change effort will succeed or fail; after all, it is people who run our businesses.

Many designs, plans, and projects fail because of a lack of preparation and management.

Establish a Sense of Urgency

• Examinemarketand

competitiverealities.

• Identifyanddiscusscrises,

potentialcrises,ormajor

opportunities.

Form a Powerful Guiding Coalition

• Assembleagroupwithenough

powertoleadtheChangeeffort.

• Encouragethegrouptowork

asateam.

Create a Vision

• Createavisiontohelp

directtheChangeeffort.

• Developstrategiesfor

achievingthatvision.

Communicate the Vision

• Useeveryvehiclepossibleto

communicatethenewvision

andstrategies.

• Teachnewbehaviorsbycitingthe

exampleoftheguidingcoalition.

Empower Others to Act on

the Vision

• RemoveobstaclestoChange.

• Changesystemsorstructures

thatseriouslyundermine

thevision.

• Encouragerisktakingand

nontraditionalideas,activities,

andactions.

Plan for and Create Short-Term Wins

• Planforvisibleperformance

improvements.

• Createthoseimprovements.

• Recognizeandreward

employeesinvolvedin

theimprovements.

Consolidate Improvements and Produce More Change • Useincreasedcredibilitytochange

systems,structures,andpoliciesthatdon’tfitthevision.

• Hire,promote,anddevelopemplo-yeeswhocanimplementthevision.

• Reinvigoratetheprocesswithnewprojects,themes,andChangeagents.

Institutionalize New Approaches• Articulatetheconnections

betweenthenewbehaviorsandorganizationalsuccess.

• Developthemeanstoensure

leadershipdevelopmentand

succession

2.2 Eight Steps to Transform Your Organization

John P. Kotter of the Harvard Business School introduced this approach to manage Change within an organization. This approach has proven successful over the years and can be helpful when designing the management of Change into your ITSM program.

1

2

3

4

5

6

7

8

Source: Leading Change - John P. Kotter - 1996

Writing a memo instead of lighting a fire

AtleasthalfoffailedChangeeffortsbunglethefirstcriticalstep—estab-lishingasenseofUrgency.

Talking too much and saying too little

Mostleadersunder-communicatetheirChangevisionbyafactorof10(or100oreven1,000!).Inaddition,

theeffortstheymaketoconveytheirmessagearetypicallyoftheleastconvincingvariety—speechesandmemos.

Declaring victory before the war is over

Whenaprojectiscompletedoraninitialgoalmet,itistemptingtocongratulateallinvolvedandproclaimtheadventofanewera.Whileitisimportanttocelebrateresultsalongtheway,kiddingyourselforothersaboutthedifficultyanddurationoforga-nizationaltransformationcanbecatastrophic.Celebratingincrementalimprovementsisagreatwaytomarkprogressandsustaincommitment,butdon’tforgethowmuchworkisstilltocome.

Looking for villains in all the wrong places

Theperceptionthatlargeorganiza-tionsarefilledwithrecalcitrantmiddlemanagerswhoresistallchangeisnotonlyunfair,butalsountrue.InprofessionalServiceorganiza-tions,andinmostorganizationswithaneducatedworkforce,peopleateverylevelareengagedinChangeprocesses.Often,it’sthemiddlelevelthatbringsissuestotheattentionoftheseniorexecutives.

Lack of focus on short-term winsTomaintainmomentumand

sustainfundingandsupport,itisimportanttodeliveronshort-termwinsandtocommunicatethesewinstoallstakeholdersintheprogram.

2.3 Pitfalls when Attempting to Change the Organization

In his book, “Leading Change,” Kotter identifies the errors observed when undertaking Change initiatives in practice. Make sure that you plan to mitigate these Risks in your ITSM program.

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2

3

4

5

LONG-TErM PrOGrAM ChALLENGES

• Changesinsponsorship/leadership

• Changesinteam

• Changeinbusiness(mergers,

acquisitions, and so on)

• Temporarychangesin

economic fortunes

• Poorlyarticulatedprojectstrategy

• Initialexcitementbasedonade-

sired result without investing in the

necessary, underpinning processes

• Wishfulthinkingontimeframes,

meaning not enough planning for

thelongerterm(scenarios/phases)

• Wrongemphasisontoolsatthe

wrong time

• Inadequatefocusonthehuman

element

3 The Value of Training Two critical success factors within an ITSM program are communication and training. A well-thought-out ITIL training strategy and plan play a key role in successful ITSM programs.

3.1 Typical approach to trainingTypically,ahighnumberofstaffisinitiallytrainedinFoundations,alongwithsomeServiceManager/Advanced-leveltraining.Mostofthetrainingbudgetisspent

upfront,withlittlelefttosustainChangethroughouttheprogram.Thisisaconcernbecausemostcoursesrepresentasignificantinvestmenttothecompanyand

thereisaRiskofhavingthewrongpeopletrainedbeforemajororganizationaldecisionsarecomplete.

3.2 Recommended approach to trainingThisapproachwillsustaininvolvementoverthelengthoftheprogram,maximizeeducationspend,andensurethattrainingisdeliveredonajust-in-time(JIT)basis.

Theapproachbeginswithasimulation.Simulationsarevaluedfortheirabilitytotouchpeopleata“feeling”level,tofirmlyanchortherequirementforChange.“I hear

and I forget, I see and I remember, I do and I understand.”–Confucius,600BC

SimulationisthenbestfollowedbyacoreFoundationtrainingasalevel-set.ThisbasictrainingisthenbestfollowedwithaMobilizationWorkshopaspartofyour

overalltrainingstrategy.

IntroducingaMobilizationWorkshopasthenextstepinyourtrainingstrategyisintendedtofurtherenhancetheeffectivenessofManagementofChange.Mobiliza-

tionprovidesafocusedworkshopforkeystakeholders,wheretheyassesstheircurrentITSMenvironmentandagreeviagroupconsensusontheneedforChange,

emergingwithastrongteamcommitmenttoandownershipoftheongoingprogramactivities.

TheremainderofthetrainingplanovertheLifecycleoftheprogramshouldbedesignedasrole-based(oncethenewprocessroleshavebeenassigned),withap-

propriatefundingovertime,andshouldincludeastrategyfortrainingnewemployeesenteringintotheprocess-basedorganization.

3.3 Factors to Consider in Your Training Strategy• Corporategeography,timezones,andshifts

• Budget

• JITtraining

• Role-basedtraining

• Overallprogramapproachandobjectives

• FormalcertificationtrainingANDcustomizedtraining,forexample,ITIL101’s(basic)process/producttraininguniquetotheorganization

3.4 A Winning Program Strategy• Respectthecultural/behavioralmanagementofchange–mobilizeearlyandfocusonquickwins.

• ThemostsuccessfulITSMprogramsarethosethatarenotcalledITSMprograms.

• Introduceformaltrainingandcommunicationplanning.

THEDIFFERENCES

4 Services “A means of delivering value to customers by facilitating the outcomes that the customers want to achieve without the ownership of specific costs and risks.”

SErVICETangible(products)/intangible(activities)

Soldfirst,developedafterwards

AServiceiscompiledfrommostlyalargenumberof

products

Perceivedasan“end-to-end”service

Performancemeasuredatthecustomerinterface

Definedinthe“customer’slanguage”

Directlysupportingthe“businessprocesses”

PrODUCTTangible

Producedfirst,soldafterwards

AproductcanbeinvolvedinoneormoreServices

Perceivedasan“end-to-end”Service

PerformancemeasuredinIT-technicalterms

MostlydefinedinITterms

DirectlysupportingtheServices

Storage Service

StoreWhat?

StoreHow?

Store Information

Store equipment

Online Database

Portable Devices

Secure Cabinets

Store Files

SerVICe

PrODuCTS

Source: Service Strategy - Cabinet Offi ce, 2011

5Processes-WhatAreWeTalkingAbout?

Processes are routines:• Toorganizetheworkasefficientlyandeffectivelyaspossible.

• Topreventreinventingthewheel.

• Tomeasureandimprove.

Benefits of Process Management:• ProvideclaritytothebusinessaboutwhatITdoes.

• Imposeorganizationaldiscipline.

• Defineorganizationalboundariesandroles.

• Supportcontinuousimprovement.

• Allowprocessestobeauditedandimproved.

5.1 What Is a Process?

“It is a set of activities in a logical order that transfers input into output, to achieve an objective for a customer.”

Source: Service Strategy - Cabinet Offi ce, 2011Source: Service Strategy - Cabinet Offi ce, 2011

Process Control ProcessTriggers Process enblers

Including Processreports and reviews

Process resources

Process Capabilities

Process Metrics

Process Activities

Process Procedures

Process WorkInstructions

Process roles

Process Improvements

Process Policy

Process Owner

Process Documentation

Process Objectives

Process Feedback

Process Input

Process Output

5.2 Characteristics of a process• Aremeasurable

• Havespecificresults

• Havecustomersand/orstakeholders

• Consistofanumberofsuccessiveactivities

• Haveaclearstartandend,aswellasinputandoutput

• Arerepeatable

• Providevaluefortheorganization/stakeholders

• Respondtospecificevents–whileaprocessmaybeongoingoriterative,itshouldbetraceabletoaspecifictrigger

Eachpreviousactivitydeliversvaluetothefollowingactivityintheprocess;otherwise,thisactivityshouldbeeliminated.

5.3 Characteristics of a Process According to ITIL

MEASUrABLE

• Performancedriven

• Cost,quality,duration,productivity,andsoon

SPECIFIC rESULTS

• Deliveryofaspecificresult

• Individuallyidentifiableandcountable

CUSTOMErS

• Resultdeliverytoacustomerorstakeholder

• Couldbeinternalorexternal

• Meetingcustomerexpectations

rESPOND TO A SPECIFIC EVENT

• Traceabletoaspecifictrigger

5.4 Critical success factors in process management design and implementation

• Kickoffanimprovementinitiativeorprocess

designworkshopwiththeprocessesthatare

clearlydefinedalready.Someroomtoalterthese

processesmustbeallowedtofacilitateChange

acceptance.

• Ensurethattheprocessesaredetailedattheright

levels.Anoverlydetailedprocessdescription

willlimittheflexibilityrequiredtocustomizethe

processfortheorganization.

• Startprocessdesignactivitieswithaclearvision

andspecificobjectives.

• Delegatetheprocesstasks,responsibilities,and

processownershiptopeoplewiththerightlevelof

skills,knowledge,andauthority.

• EnsurethecorrectpositionsoftheProcessOwners,

asrequireduniquelybytheorganization.Consider

amixwithProcessManagers,asappropriate.

• Demonstratemanagementcommitment.

• Demonstratestrongtraining,communication,and

awarenesscampaigns.

1 Define the vision:Whyyouwanttoworkwithprocesses,whatistobeachieved,whatistherelationshipwiththecompany’sstrategy,andwhatarethebusinessrequirements–rememberthatProcessManagementisnotagoalbyitself.

Define the objectives:EnsurethatyouuseSMART(Specific,Measureable,Achievable,Realistic,andTimely)asanapproachtodefinemeasureableobjectivesinlinewiththecompany’sstrategyandvision.

Identify the processes:Decidewhichprocessesareinscope.

Define the format of the processes:Processesshouldbedefinedusingastandardtemplateforcreatingahighlevelofacceptance,reorga-nization,andavailability–seeAppendixCinServiceDesign–CabinetOffice,2011formoredetails.

Design and document the processes:InvolvethekeystakeholdersintheorganizationtohelppreventresistancetoChangeandtobuildastrongcrewofChangeagents.

Implement the processes:Activatethepro-cessesaccordingtothedefineddescriptions.

Audit the processes:Audittheprocessesperi-odicallytoensurecomplianceandadherence.

Measure the performance of the processes:BasedondefinedKeyPerformanceIndicators(KPIs),theprocessescanbemeasuredforef-ficiencyandeffectivenessinsupportoffurtherimprovementovertime.

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678

While it is important to note that there is no “one-size-fits-all” formula for process implementation, here is a set of steps that can be considered when designing your program. Remember, when you start with implementing processes, you are also changing the way people are used to working. Normally, people will resist Change, so it is important to also consider your MOC approach, such as Kotter’s 8 Steps for Change, as part of your overall process design/improvement activities within your ITSM program.

5.5 Process implementation approach

6 Functions and roles

“Service Management is a set of specialized organizational capabilities for providing value to customers in the form of services. The capabilities take the form of functions and processes for managing services over a Lifecycle, with specialization in strategy, design, transition, operation, and continual improvement.”

DIFFERENCEBETWEENFUNCTIONSANDROLES

It is important to understand the difference between a formal function within an organization and

the process roles that the function is expected to perform. A formal function may fulfill more than one

specific Service Management role and conduct activities relating to more than one process.

Forexample,aformalfunction,NetworkAdministrator,mayberesponsibleforperformingIncidentManage-

mentaswellasCapacityManagementactivities.AlthoughtheNetworkAdministratormayreporttoafunc-

tionallinemanager,theNetworkAdministratorisalsoresponsibleforperformingactivitiesfortheService

DeskManager,theIncidentManagementProcessOwner,andtheCapacityManagementProcessOwner.

• Areunitsoforganizationsspecializedtoperform

specifictypesofworkandberesponsiblefor

specificoutcomes.

• Areself-contained,withthecapabilitiesand

resourcesnecessaryfortheirperformanceand

outcomes.

• Havetheirownbodyofknowledge,accumulated

throughexperience.

• Providestructureandstabilitytoorganizations.

• Typicallydefinerolesandtheassociatedauthori-

tiesandresponsibilitiesforaspecificperformance

andoutcome.

• Tendtooptimizeworkmethodslocallytofocus

onassignedoutcomes.

• Poorcoordinationbetweenfunctions,combined

withaninwardfocus,leadstofunctionalsilosthat

hinderthealignmentandfeedbackcriticaltothe

successoftheorganizationasawhole.

• Well-definedprocessescanimproveproductivity

withinandacrossfunctions.

6.1 Functions

Source: Service Operation - Cabinet Office, 2011

6.2 Roles

Is accountable for the overall quality of the process and oversees the management of and

compliance with the processes, procedures, data models, policies, and technology associated

with the IT business process.

Is responsible for the Operational Management of a process. There may be several Process

Managers for one process, for example, regional or departmental Change Managers or IT

Service Continuity Managers for each data center.

Is accountable for the delivery of a specific service, regardless of where the underpinning

technology components, processes, or professional capabilities reside.

“A set of responsibilities defined in a process and assigned to a person or team. One person or team may have multiple roles, for example, the roles of Configuration Manager and Change Manager can be performed by one person.”

R O L E

Process Owner

Process Manager

Service Owner

R E S P O N S I B I L I T Y

rACI is an authority model used to help defi ne roles and responsibilities.

rACI is an acronym for the four main roles of:

7 raCI

the person or people respon-

sible for getting the job done

only one person can be

accountable for each task

the people who are

consulted and whose opinions

are required

the people who are kept

up-to-date on progress

R reSPONSIBle

AaCCOuNTaBle

CCONSulTeD

IINFOrMeD

7.1 Building a RACI

“Whether rACI or some other tool or model

is used, the important thing is to not just

leave the assignment of responsibilities

to chance or leave it to the last minute to

decide. Conflicts can be avoided and

decisions can be made quickly if the

roles are allocated in advance.”

Identify

theactivities/

processes.

Identify/Define

thefunctional

roles.

Conduct

meetingsand

assignRACI

codes.

Identify

anygapsor

overlaps,for

example,where

therearetwo

AsornoAs.

Distribute

thechartand

incorporate

feedback.

Ensure

thattheas-

signmentsare

activatedinthe

organization.

1 2 3 4 5 6

Source: Service Strategy book

Source: Service Design – Cabinet Office, 2011

TheauthorityorRACImatrixclarifies—toallinvolved—whichactivitiestheyareexpectedtofulfillandidentifies

anygapsinServicedeliveryandresponsibilities.TheRACImatrixcanalsobeusedtoassessanddevelopstaffing

modelsinthefollowingway:

IntheRACImodel,onlyonepersoncanbeaccountableforanactivitywhile

severalpeoplemayberesponsibleforanactivityorpartsofanactivity.

“In this model, accountable means end-to-end accountability for the process.

Accountability should remain with the same person for all activities of a

process.”

A C T I V I T Y 1

A C T I V I T Y 2

A C T I V I T Y 3

A C T I V I T Y 4

A C T I V I T Y 5

Director Service Management

Service levelManager

Problem Manager

SecurityManager

ProcurementManager

A R C I I C

A R C C C

I A R I C

I A R I

I I A C I

Example RACI Matrix

Source: Continual Service Improvement - Cabinet Office, 2011

7.2 Critical Success Factors with RACI

• Havingmorethanonepersonaccountableforapro-

cess,meaningthat,inpractice,nooneisaccountable

• Delegationofresponsibilityoraccountabilitywithout

necessaryauthority

• Focusingonmatchingprocessesandactivitieswith

departments

• Incorrectdivision/combinationoffunctions;conflict-

ingagendasorgoals

• Combinationofresponsibilityforcloselyrelated

processes,suchasIncidentManagement,Problem

Management,ConfigurationManagement,Change

Management,andReleaseManagement

Beawareofthetimedemandsofeachoftheactivitiesbecausetheimmediateactivitieswillalwaystakeprece-

denceoverthemoreproactiveactivities.

Forexample,combiningIncidentManagementactivitieswithProblemManagementactivitieswithinthesame

function.

Identifythegapsandremovetheoverlapsforthebestapproachtoprocessefficiencyandeffectiveness.

Source: Continual Service Improvement - Cabinet Office, 2011

7.3 The Service Management Process Maturity Framework

The Service Management Process Maturity Framework (PMF) is the de facto standard for measuring the maturity of any process.

Itisimportanttocreateanoriginalbaselinewhen

startingyourITSMprogramtoanswerthe“Whereare

wenow?”questionposedintheContinualService

Improvement(CSI)model.ThePMFcanbeusedto

assessthisinitialbaseline.Becausethisapproachis

industrystandardandhasbeeninplaceforseveral

years,itmaybepossibletoassessyourorganization’s

maturityagainstindustrybenchmarks.

However,becautiousinthisapproachbecause

itmaybedifficulttofindbenchmarksthatcome

significantlyclosetotheuniquecharacteristicsof

yourorganization.Thesebenchmarkscanbeused

toanswerthe“Wheredowewanttobe?”question

withintheCSImodel.

Source: Continual Service Improvement - Cabinet Office, 2011

A way to think about assessment timing is in line with the Deming

improvement Lifecycle.

7.4 When to Assess?

At the end of a process project, it is important to vali-

date the increased maturity of the process and the

process organization because of the overall project.

Assessthe:

Visionandsteering

Process

People

Technology

Culture

What to Assess?

PLAn (Project Initiation)

assessthetargetedprocessesatthe

startofprocessintroductiontoform

thebasisforaprocessimprovement

project.

PLAn(Project Midstream)

acheckduringprocessimplementa-

tionorimprovementactivitiesserves

asvalidationthatprocessproject

objectivesarebeingmetand,most

importantly,providestangible

evidencethatbenefitsarebeing

achievedfromtheinvestmentoftime

andresourcesinprocessinitiatives.

DO/CHECk(Process in Place)

attheendofaprocessproject,itis

importanttovalidatetheincreased

maturityoftheprocessandthe

processorganizationbecauseofthe

overallproject.Source: Continual Service Improvement - Cabinet Office, 2011

7.5 The Process Maturity Framework (PMF)

Source: Continual Service Improvement –

Cabinet Offi ce, 2011

1 Initial

I n t e r m o f :

V i s i o n a n d S t e e r i n g

P e o p l e

P r o c e s s e s

Te c h n o l g y

C u l t u r e

2 repeatable

3 Defi ned

4 Managed

5 Optimizing

InITIAL

(LEVEL 1)

Theprocesshasbeenrecog-

nized,butthereislittleorno

ProcessManagementactivity.

Theprocessisassignedas

ofnoimportance,withno

resourcesorfocuswithinthe

organization.Thislevelcan

alsobedescribedasadhocor

occasionallyevenchaotic.

REPEATABLE

(LEVEL 2)

Theprocesshasbeen

recognizedandisallocated

littleimportance,resources,

orfocuswithintheoperation.

Ingeneral,activitiesrelatedto

theprocessareuncoordinated,

irregular,withoutdirection,

ordirectedtowardprocess

effectiveness.

DEFInED

(LEVEL 3)

Theprocesshasbeenrecog-

nizedandisdocumentedbut

thereisnoformalagreement,

acceptance,orrecognitionof

itsrolewithinIToperationsas

awhole.However,theprocess

hasaprocessowner,formal

objectives,andtargetswith

allocatedresourcesandis

focusedontheefficiencyas

wellastheeffectivenessofthe

process.Reportsandresults

arestoredforfuturereference.

MAnAGED

(LEVEL 4)

Theprocesshasnowbeen

fullyrecognizedandaccepted

throughoutIT.ItisService

focusedandhasobjectives

andtargetsthatarebasedon

businessobjectivesandgoals.

Theprocessisfullydefined,

managed,andhasbecome

proactive,withdocumented,

establishedinterfacesand

dependencieswithotherIT

processes.

OPTIMIZInG

(LEVEL 5)

Theprocesshasnowbeen

fullyrecognizedandhas

strategicobjectivesand

goalsalignedwiththeoverall

strategicbusinessandIT

goals.TheseITgoalshave

nowbecomeinstitutionalized

aspartofeverydayactivities

foreveryoneinvolvedinthe

process.Aself-contained,con-

tinualprocessofimprovement

isestablishedaspartofthe

process,whichisnowdevelop-

ingapre-emptivecapability.

REPEATABLE

(LEVEL 2)

Theprocesshasbeen

recognizedandisallocated

littleimportance,resources,

orfocuswithintheoperation.

Ingeneral,activitiesrelatedto

theprocessareuncoordinated,

irregular,withoutdirection,

ordirectedtowardprocess

effectiveness.

DEFInED

(LEVEL 3)

Theprocesshasbeenrecog-

nizedandisdocumentedbut

thereisnoformalagreement,

acceptance,orrecognitionof

itsrolewithinIToperationsas

awhole.However,theprocess

hasaprocessowner,formal

objectives,andtargetswith

allocatedresourcesandis

focusedontheefficiencyas

wellastheeffectivenessofthe

process.Reportsandresults

arestoredforfuturereference.

MAnAGED

(LEVEL 4)

Theprocesshasnowbeen

fullyrecognizedandaccepted

throughoutIT.ItisService

focusedandhasobjectives

andtargetsthatarebasedon

businessobjectivesandgoals.

Theprocessisfullydefined,

managed,andhasbecome

proactive,withdocumented,

establishedinterfacesand

dependencieswithotherIT

processes.

OPTIMIZInG

(LEVEL 5)

Theprocesshasnowbeen

fullyrecognizedandhas

strategicobjectivesand

goalsalignedwiththeoverall

strategicbusinessandIT

goals.TheseITgoalshave

nowbecomeinstitutionalized

aspartofeverydayactivities

foreveryoneinvolvedinthe

process.Aself-contained,con-

tinualprocessofimprovement

isestablishedaspartofthe

process,whichisnowdevelop-

ingapre-emptivecapability.

54321Source: Continual Service Improvement – Cabinet Offi ce, 2011

8 Metrics

8.1 Succeed with Measurements Oneofthemanagementtrendsofthepastyearsistoworkaccordingtoperformanceindicators.

Organizationsuseperformanceindicatorstocheckwhetherornotthe“shipisstillgoinginthe

rightdirection.”

Thisissometimesreferredtoasthe“organization’scockpit”ordashboard.

ThisapproachtousemetricsandmeasurementsthroughouttheITSMprogramanswersthe“Did

wegetthere?”questionposedintheCSImodel.

8.2 Why Measure?

YOur

MeaSureMeNT

NETWORK

TODIRECT TarGeT aND MeTrICS

TOJUSTIFY

FaCTual eVIDeNCe

STraTeGY VISION

CHaNGeS aND

COrreCTIVe aCTIONS

TOVALIDATE

TOINTERVENE

Source: Continual Service Improvement – Cabinet Offi ce, 2011

It is important to link the

creation and management

of KPIs and metrics to the

corporate vision, mission,

goals, and objectives.

What does the KPI really tell us about achieving the goal?

how easy is it to analyze the KPI, and does the KPI support decision making?

how accurate and stable is the KPI?

At what frequency do we need to report on the KPI?

Who owns the KPI?

ASK yOUrSELF

VISION

MISSION

GOalS

OBJeCTIVeS

CSF

KPI

MeTrICS

MeaSureMeNTS

Source: Continual Service Improvement – Cabinet Offi ce, 2011

8.3 Continual Service Improvement Process

DeFINeWHATYOU

WILLMeaSure WISDOM

DaTa

aPPlY

21GaTHer THe DaTa

Who?How?When?

Criteriatoevaluate

integrityofdata

Operationalgoals

Servicemeasurement

3

IDeNTIFY THe

STraTeGY FOr

IMPrOVeMeNT

Vision

Businessneed

Strategy

Tacticalgoals

Operationalgoals

IMPleMeNT

IMPrOVeMeNT 7PlaN

aCT DO

Source: Continual Service Improvement – Cabinet Offi ce, 2011

PrOCeSS THe DaTa

Frequency?

Format?

Toolsandsystems?

Accuracy?

4aNalYZe THe

INFOrMaTION

aND DaTa

Trends?

Targets?

Improvementsrequired?

5

PreSeNT aND uSe THe

INFOrMaTION

Assessmentsummary

Actionplans

Etc.

6

KNOWLEDGE INFOrMaTION

Metrics and measures using the 7-Step Improvement model from Continual Service Improvement:Identify the strategy for improvement, defi ne what you will measure, gather the data, process the data, analyze the information and data, present and use the information, and implement improvement.

CHeCK

8.4 Goals, Questions, and Metrics Approach

The Goals, Questions, and Metrics (GQM) paradigm (Basili – 1980s) stands the test of time as an approach to assist with identifying metrics.

GOAL

Reducethebusiness

impactofIToutages

anduser-experienced

problems.

• WhichServicesimpactthebusinessthemost?Accordingtowhom?

• WhatisthecurrentImpactofoutagesonthesebusinessServices?

• Whatarethereasonsfortheseoutages?

• WhatarethemajorperceivedProblemsaccordingtousers?

• HowcanwereducetheamountanddurationoftheseoutagesandProb-

lems?

• Wherecanwegainthemostsuccessorquickwins?

QUESTIONS METRICS• CurrentIncidentvolume,outagetime,and

reasonsforkeyITServiceoutages

• IdentifiedProblemscausingmultipleoutages

• ChangescarriedouttorectifyProblems

• Incidentvolume/outagetimefollowing

Changes

Source: Planning to Implement Service Management – Cabinet Office, 2011

8.5 Balanced Scorecard Approach In early 1992, Kaplan and Norton first introduced the idea of a Balanced Scorecard in the harvard Business review. Since then, many organizations have used this approach to measure initiative success against corporate strategy.

INTerNalWhatmustourIT

providers (internally)

excelat?

Service-orientedculture

SkilledstaffandITexpertise

EfficiencyofITServiceprovision

Servicedeliverytimes

Processingcapacity

Security

AccountabilityofITprovision

CuSTOMerWhatdoweas

customersexpect

ofITprovision?

AvailabilityofITServices

QualityofITServices

PerformanceofITServices

ValueformoneyITServices

ReliabilityoftheITInfrastructure

Supportofhands-onITusers

INNOVaTIONDoes our IT infrastructure

enable us to continue to

improvethebusiness?

FlexibilityoftheITinfrastructureAbilitytocontrolChangestoITServicesandtheITinfrastructureAdaptabilityoftheITinfrastructuretochangingdemandinthebusinessCommunicationandknowledgetransferBusinessproductivityinrelationtoITcostsHarnessing(new)technology

FINaNCIalas customers how do

we view the costs of

ITprovision?

UnderstandingITcoststothebusiness

AbilitytocontrolITcoststothebusiness

EconomyofITprovision

ReturnonITinfrastructureinvestments

ITcontractsmanagement

Source: Continual Service Improvement – Cabinet Office, 2011

8.6 The format of a Performance Indicator

Performance indicators should be defined and documented

in a format that is owned and maintained as a document CI

in the CMDB. For each performance indicator, the following

should be defined and maintained:

• Title

• Description

• Measurementunit

• Reportfrequency

• Periodofthereport

• Employeesresponsibleforthedeliveryofinformation

• Datasources

• Performanceindicatorownership(roleaccountableforaction

onanyreportedexceptions)

Steps to develop Performance Indicators

• Leadthemeasurementeffort.

• Educatetheteamaboutperformanceindicatorsandthemeasurement

andreportingofcorporatestandards.

• Createateamforeachprocesstodeterminemeasurementpointsand

capabilities.

• Createperformanceindicatordocumentation.

• ValidatetheITandbusinessperformanceindicatorswiththemanage-

mentteam.

• Implementmeasurementsandreporting.

Here is an example of a step-by-step plan to develop performance

indicators in the processes. The Process Owner / Manager should:

8.7 Pitfalls During the Development of Performance IndicatorsSome of the pitfalls faced when developing perfor-

mance indicators are:

• Obsessivemeasurement

• Nondirectedmeasurement–measurebecausewecan

• Lackofownershipofresults

• Measurementsnotlinkedtobusinessobjectives

Itisrecommendedtostartwithaminimumnumberof

highlyrelevantperformanceindicatorsandtoaddor

changethem,asrequired,tovalidate,direct,intervene,or

justifyongoingprograminvestmentandcontinuity.

Why Use Performance Indicators in Processes?

• Measurementsareknowledge.

• Processesarecontrolled.

• Improvementpointsareidentified.

• Facts,insteadofopinions,becomeknown.

• Therearelinkswithpolicyandstrategy.

• Businessdecisionsaresupported.

It is recognized that the use of Service Management tools is essential for the success of all but the very smallest process implementations. however, it is important that the tool(s) being used support the processes, not the other way around. As a rule, don’t modify processes to fit the tool.

With today’s sophisticated levels of integrated Service Management applications, it is important to work closely with your technology partner to understand possible process functionality limitations that might be expensive to recode and support, as required. These decisions and limitations may need to be taken into account when designing your processes.

9. Technology 9.1 Service Design Tools

• Assistwithautomatinghardware,software,environment,

process,anddatadesigns.

• Speedupthedesignprocess.

• Ensurethatstandardsandconventionsarefollowed.

• Offerprototyping,modeling,andsimulationfacilities.

• Enable“Whatif?”scenariostobeexamined.

• Enableinterfacesanddependenciestobecheckedand

correlated.

• Validatedesignsbeforetheyaredevelopedandimplementedto

ensurethattheysatisfyandfulfilltheirintendedrequirements.

Source: Service Design - Cabinet Office, 2011

• Serviceachievement,ServiceLevel

Agreement(SLA),OperationalLevel

Agreement(OLA),contractualandsupplier

measurement,reporting,andmanagement

• ConsolidatedmetricsandMetricsTrees,

withviewsfrommanagementdashboards

downtodetailedcomponentinformation,

performanceandfaultanalysis,and

identification

• Consistentandconsolidatedviewsacross

allprocesses,systems,technologies,and

groups

• Acomprehensivesetofsearchand

reportingfacilities,enablingaccurate

informationandanalysisforinformed

decision-making

• ManagementofServicecosts

• Managementofrelationships,interfaces,

andinterdependencies

• ManagementoftheServicePortfolioand

ServiceCatalogue

• ConfigurationManagementSystem(CMS)

• CMDB

• ServiceKnowledgeManagementSystem

(SKMS)

9.2 Tools to Support the Service Lifecycle

A Statement of Requirements (SoR) is essential for

use during the selection process. This can be used as

a check list, categorized using the MoSCoW analysis:

MUST have thisM

S

C

W

SHOULD have this if at all possible

COULD have this if it does not aff ect anything else

WON’T have this time but WOULD like in the future

Source: Service Design - Cabinet Offi ce, 2011

• Breadthanddepthoffunctionality

• Flexibilityinimplementation,usage,

anddatasharing

• Implementationcomplexity

• Easeofuseandqualityandextent

ofsuppliertraining

• Qualityofmanagementinformation

producedasstandard

• Easewithwhichdatacanbeanalyzed

andpresented

• Datastructure,handling,andintegration

• Distributeddatainputpluscentraldataview

• Experienceandcommitmentofthe

suppliertobestpractices

• Databackupandsecurity

• Cost

9.3 Service Management Tools

The exact requirements for the tool must be considered. You need to check what the man-datory requirements and the desired requirements are. There are many integrated tools in the marketplace to enable the Service Management processes and provide integration between the processes.

Some aspects that organizations should consider when evaluating Service Management tools:

SHOrT lISTING

WHATREQUIREMENTS IDeNTIFY PrODuCTS SeleCTION CrITerIa

eValuaTe PrODuCTS

SCOrINGraNK THe PrODuCTSSeleCT a PrODuCT

Identifyyourtoolrequirementsbefore

researchingproducts.Someofyour

researchmayresultinnewrequire-

ments.Completethisiterativeprocess

(ifrequired)beforedefiningyour

selectioncriteria.

9.4 The Tool Evaluation Process

Source: Service Design - Cabinet Offi ce, 2011

10 ITIl Service lifecycle

Source: Service Design – Cabinet Office, 2011

SErVICE STrATEGy

Providesguidanceon

designing,developing,

andimplementingService

Management,notonlyasan

organizationalcapabilitybut

alsoasastrategicasset.

SErVICE DESIGN

Providesguidanceonthe

designanddevelopmentof

ServicesandServiceManage-

mentprocesses.Itcovers

designprinciplesandmeth-

odsfortranslatingstrategic

objectivesintoportfoliosof

servicesandServiceAssets.

SErVICE TrANSITION

Providesguidanceonthe

developmentandimprove-

mentofcapabilitiesfortran-

sitioningnewandchanged

Servicesintooperations.It

alsoprovidesguidanceon

howtherequirementsofSer-

viceStrategy,asarchitected

inServiceDesign,arefinally

realizedinServiceOperations

whilecontrollingtherisksof

failureanddisruption.

SErVICE OPErATION

Achieveseffectivenessand

efficiencyinthedeliveryand

supportofServices,forensur-

ingvalueforthecustomer

andtheServiceProvider.

MaintainsstabilityinService

operationswhileallowing

forChangesindesign,scale,

scope,andServicelevels.

CONTINUAL SErVICE IMPrOVEMENTProvidesguidanceoncreat-

ingandmaintainingvalue

forcustomersthroughthe

provisionofapproachesand

methodstoachieveimprove-

mentsinServicequality,

operationalefficiency,and

businesscontinuity.

Source: ITIL Books - Cabinet Office, 2011

Provides an overview of ITIL to participants and helps them understand why organizations use ITIL.

Focuses on selective subjects and helps practitioners attain the required level of knowledge. Both Intermediate

streams assess an individual’s comprehension and application of the concepts of ITIL. Candidates are able to take

units from either of the Intermediate streams, which give them credits toward ITIL Expert. These streams are.

a. The Lifecycle stream: Is built around the five core Cabinet Office books, namely, Service Strategy, Service

Design, Service Transition, Service Operation, and Continual Service Improvement.

b. The Capability stream: Is built around four clusters: Planning, Protection, and Optimization(PPO); Service

Offerings and Agreement(SOA); Release, Control, and Validation(RCV); and Operational Support and

Analysis(OSA).

The Managing across the Lifecycle course brings together the full essence of the Lifecycle approach to Service

Management. After someone has gained the requisite credits through their education at

the Foundation, Intermediate, and Managing across the Lifecycle levels, they will be awarded

ITIL Expert certification.

Assesses an individual’s ability to apply and analyze the ITIL concepts in new areas.

F O U N D AT I O N L E V E L

I N T E R M E D I AT E L E V E L

M A N AG I N G A C R O S ST H E L I F E C YC L E L E V E L

A D VA N C E D L E V E L

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