itsm - service operations standard v1 · pdf fileitsm service operations standard 3 1. context...

NSW Government

IT Service Management – Service

Operations Standard

V1.0

July 2016

ICT & Digital Government Division

Department of Finance, Services & Innovation

Level 23, McKell Building

2-24 Rawson Place

SYDNEY NSW 2000

[email protected]

ITSM Service Operations Standard

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CONTENTS

1. CONTEXT 3

1.1. Background 3

1.2. Purpose 3

1.3. Scope and application 3

1.4. Policy context 3

1.5. The ICT Services Catalogue 4

2. KEY PRINCIPLES 4

3. REQUIREMENTS 5

3.1. ITSM Service Operations 5

3.2. Service level and complexity 5

3.3. Requirements tables 5

3.3.1 ITSM Service Operations – Use Cases / Scenarios 6

3.4. Elements of this standard 7

3.4.1 ITSM Service Operations requirements 7

3.4.2 Service Management requirements 11

DOCUMENT CONTROL 13

APPENDIX A – ABBREVIATIONS AND DEFINITIONS 14

APPENDIX B – REFERENCES 15

APPENDIX C – STANDARDS 16

Developing technical standards 16

Management and implementation 16

APPENDIX D – Sample Key Performance Indicators 17


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1. CONTEXT

1.1. Background

This is a technical standard developed through the NSW ICT Procurement and Technical

Standards Working Group. The standard contains technical and functional requirements that

agencies should consider when procuring IT Service Management (ITSM) Service Operations

solutions.

By defining the necessary and common elements across agencies the standard provides an

opportunity to leverage the buying power of Government as a whole, improve procurement

efficiency and increase interoperability.

1.2. Purpose

The purpose of this standard is to assist NSW Government agencies to develop, procure and

implement ITSM Service Operations solutions and tools, as well as take full advantage of their

benefits. This standard also helps agencies procure in a strategic manner that reflects the NSW

Government’s priorities as outlined in the NSW Government ICT Strategy.

This standard details the issues that need to be considered so each agency can identify the

available options that best suit their business requirements, helping agencies achieve value for

money through cost savings and improved flexibility of service offerings.

1.3. Scope and application

This standard applies to all NSW Government departments, statutory bodies and shared service

providers. It does not apply to state owned corporations, but is recommended for their

adoption.

For the purposes of this standard, ITSM Service Operations is defined as:

To execute activities and processes for effective delivery and support of services at

agreed levels to business users and customers, whilst managing the technology that

supports the services.

This standard sets out service definitions as minimum requirements that vendors must meet to

be able to offer their services through the NSW ICT Services Catalogue. Agencies should

consider any specific operational or regulatory factors that impact their requirements, and

specific requirements they have in addition to those detailed in this standard.

1.4. Policy context

The NSW Government ICT Strategy and Digital + 2016 Final Update set out the Government’s

plan to: build capability across the NSW public sector to deliver better, more customer-focused

services that are available anywhere, anytime; and to derive increased value from the

Government’s annual investment in ICT.

Developing whole of NSW Government ICT technical standards is a key initiative of the NSW

Government ICT Strategy, driven by the ICT Procurement and Technical Standards Working

Group. These standards leverage principles defined in the NSW Government ICT Strategy and

the NSW Government Cloud Policy, and they support the NSW ICT Services Catalogue.

The standards set out service definitions as minimum requirements that vendors must meet to

be able to offer their services through the NSW Services Catalogue. This helps achieve


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consistency across service offerings, emphasising a move to as-a-service sourcing strategies in

line with the NSW Government ICT Strategy, and it signals government procurement priorities

to industry.

Solutions should also assist agencies in their alignment with the NSW Government Enterprise

Architecture (NSW GEA), which encompasses all aspects of enterprise architecture activity at

the business, information, application and technology infrastructure layers. The NSW GEA is

about providing direction and practical guidance to accelerate the development of agency EA

capability and enabling a common, intra and inter agency approach to the design of digital

government.

This standard should be applied along with existing NSW Government policies and guidance,

including the NSW Digital Information Security Policy. More information on the process for the

development of standards that populate the ICT Services Catalogue is at Appendix C –

Standards.

1.5. The ICT Services Catalogue

This catalogue provides suppliers with a showcase for their products and services, and an

opportunity to outline how their offerings meet or exceed standard government requirements.

The standards, together with supplier service offerings, help to reduce red tape and duplication

of effort by allowing suppliers to submit service details only once against the standards. The

offerings are then available to all potential buyers, simplifying procurement processes for

government agencies.

Implementing this category management approach will embed common approaches,

technologies and systems to maintain currency, improve interoperability and provide better

value ICT investment across NSW Government.

2. KEY PRINCIPLES

This standard is informed by the following principles:

• End-to-end digital: Service Operations solutions should enable end-to-end digital business

processes and management.

• Control technical diversity: Service Operations solutions should help control technical diversity to

minimise costs associated with maintaining expertise in and connectivity between multiple

processing environments.

• Data security: Meet any applicable requirements of the NSW Digital Information Security Policy

and ISO 27001.

• Technology currency: Solutions should be designed to maintain technology currency for key

systems, and to maintain a pace that aligns with business context and risk profile.

• Facilitating as a service: Service Operations solutions should facilitate the agency transition to as a

service, and ensure agency alignment with broader NSW ICT Strategy.

• Interoperability: Service Operations solutions should meet applicable recognised open standards

across the elements of compute, storage, network, and pre-production and testing.

• Business continuity: Service Operations solutions should meet business continuity requirements,

particularly with transition in and out (see the NSW Digital Information Security Policy and ISO

27031-2011 for more guidance).


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3. REQUIREMENTS

3.1. ITSM Service Operations

When considering any aspect of ITSM Service Operations (as defined in this standard) an agency must

consider the Service Management aspects of the service(s) on offer.

The following ITSM Frameworks can be considered when assessing requirements for ITSM Service

Operations:

• ITIL

• IT4IT

• ISO/IEC 20000

• Business Process Framework (eTOM)

• COBIT

• FitSM

• Dev Ops

• Microsoft Operations Framework (MOF)

3.2. Service level and complexity

The following requirements use case tables are separated into three service levels – silver, gold and

platinum, reflecting the complexity of the ITSM Service Operations solution required:

Silver: Offerings that conform to a minimum number of processes of an identified ITSM methodology.

Gold: Offerings that conform to an identified ITSM framework and updated by the solution provider to

reflect changes to the nominated ITSM methodology.

Platinum: Offerings that conform with the NSW Government Standard Business Processes. Solutions to

this level must be able to adapt and change at no extra cost to agencies to the evolving requirements

defined.

3.3. Requirements tables

The following tables set out the recommended business and technical requirements for NSW

Government. They provide a consistent approach for all NSW Government agencies regardless of their

size.

Key to table requirements:

� Required

� Optional, but beneficial

Explanations for each element of the following use cases are provided at section 3.4.


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3.3.1 ITSM Service Operations – Use Cases / Scenarios

‘Use cases’ for ITSM Service Operations that are anticipated in agencies are included in the table below. The corresponding requirement sections of this standard are ticked

in the columns.

Use Case / Scenario

ITSM Service Operations

ITSM Service Operations Service Management

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Silver � � � � � � � � � - � � � � � � �

Gold � � � � � � � � � - � � � � � � �

Platinum � � � � � � � � � � � � � � � � �


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3.4. Elements of this standard

3.4.1 ITSM Service Operations requirements

Generic considerations for ITSM Service operations may include the provision of the following

components. Solutions that should address the overarching Service Operations element are

included in the service requirements below:

Generic Service Operations Requirements Silver Gold Platinum

Dashboard technology (for Gold and Platinum) - � �

Remote control - � �

Workflow or process engine � � � Integration to Configuration Management System

(CMS), incl IT assets (for Gold and Platinum) - � �

Reporting capabilities � � �

(a) Event Management

Event Management monitors all events that occur throughout the ICT environment monitoring

normal events and detecting and escalating exceptions. Solutions that should address the Event

Management element are included in the service requirements below:

Event Management Requirements Silver Gold Platinum

Consolidated view of multi-environments

Support for design/test stages of event configuration - � �

Centralised routing of events - � � Configurable and programmable functionality to

correlate similar/identical events � � �

Integration to Incident management system - � � Open interfaces to accept standard event input and

generation of multiple alerting - � �

Capability to supress or flag events during periods of

scheduled outages - � �

Event escalation/notifications � � �

Event reporting � � �

(b) Incident Management

Incident Management is concerned with the restoration of unexpected degraded/disrupted

services to customers as quickly as possible to minimise business impacts. Solutions that should

address the Incident Management element are included in the service requirements below:

Incident Management Requirements Silver Gold Platinum

Incident creation/re-open, date/time stamp � � �


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Incident categorisation, prioritisation, tracking, and

resolution � � �

Automated incident population/escalation/notification � � �

Incident and Service Request fragmentation � � �

Predefined Incident workflow � � �

Incident/Problem linking - � �

Incident parent/child relationship (for major incidents) � � �

Open interfacing to event management tools - � �

Integration to Known Error Database (KEDB) - � �

Incident reporting � � �

(c) Problem Management

Problem Management is concerned with root-cause analysis to determine and then resolve the

cause of incidents, proactive activities to detect and prevent future problems/incidents and have a

known error sub-process to allow improved diagnosis and resolution if further incidents occur.

Solutions that should address the Problem Management element are included in the service

requirements below:

Problem Management Requirements Silver Gold Platinum

Problem

categorisation/prioritisation/tracking/resolution

- � �

Automated Problem escalation/notification - � �

Predefined Problem workflow - � � Problem conversion and integration to Request for

Changes (RFCs)

- � �

Multiple incident matching against problem records - � � Effective Known error database (KEDB) easy storage

and retrieval of data

- � �

Integration of KEDB to incidents and RFC - � �

Problem reporting - � �

(d) Request Fulfilment

Request fulfilment deals with service requests (for smaller/low-risk changes) in a similar but

different process to Incident/Problem issues. Solutions that should address the Request Fulfilment

element are included in the service requirements below:

Request Fulfilment Requirements Silver Gold Platinum

Service Request creation, date/time stamp � � � Service Request categorisation, prioritisation, tracking,

resolution � � �

Automated Service Request population, escalation,

notification � � �

Predefined Service Request workflow � � �


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Self Help Service Request configuration including access

control - � �

Service Request billing - � �

Service Request reporting � � �

(e) Access Management

Access (Identity or Rights) management deals with granting authorised users the right to use a

service while preventing non-authorised users from gaining access. Solutions that should address

the Access Management element are included in the service requirements below:

Access Management Requirements Silver Gold Platinum

Directory services technology - � �

Access profiles/service group creation and notifications � � � Access management features in various systems e.g.

operating systems, applications etc � � �

Access audit log � � � Integration to Request Fulfilment and change

management (RFCs) - � �

Access management reporting � � �

(f) Facilities Management

Facilities management is concerned with the physical ICT environment, such as data centres and

similar environments. Solutions that should address the Facilities Management element are

included in the service requirements below:

Facilities Management Requirements Silver Gold Platinum

Building Management (e.g. upkeep, cleaning, waste

disposal, access control) - � �

Equipment hosting � � �

Power management - � � Building management systems (monitoring systems –

smoke/fire detection, water, heating/cooling) � � �

Safety requirements – compliance/policies � � � Physical access control – detect and manage

unauthorised access � � �

Shipping and receiving of goods in and out of building - � �

(g) IT Operations Control

IT operations control deals with the provision of centralised monitoring and control activities to

ensure routine operational tasks are performed efficiently. Solutions that should address the IT

Operations Control element are included in the service requirements below:

IT Operations Control Requirements Silver Gold Platinum

Desktop and Mobile device support - � �


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Application Operation � � �

Backup and restore � � �

Storage and archive � � �

Directory Services management - � �

Internet/Web management - � �

Print and output management - � �

Database management - � �

Network management � � �

Middleware management - � �

Server/mainframe management - � � Integration with Service Design/Service Transition/

Continual Service Improvement - � �

(h) Application Management

Application management is responsible for management of applications throughout their lifecycle.

Solutions that should address the Application Management element are included in the service

requirements below:

Application Management Requirements Silver Gold Platinum

Application requirements (functional, manageability,

usability, architectural, interface and service level

requirements)

� � �

Application design/build/testing � � �

Application deployment � � �

Application optimization - � � Integration with other ITSM modules (Service

Strategy/Design/Transition/Operation and Continual

Service Improvement

- � �

(i) Technical Management

Technical management deals with the detailed technical skills and resources required to support

the ongoing operations of the ICT environment. Solutions that should address the Technical

Management element are included in the service requirements below:

Technical Management Requirements Silver Gold Platinum

IT Resource management � � �

Technical documentation � � �

Design and delivery of training � � �

Infrastructure maintenance (patch management) � � �

Compliance management - � �

IT Vendor management - � �


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3.4.2 Service Management requirements

(j) Compliance with NSW Government Standard Business Process

Solutions that wish to comply with this element (for Platinum services) must accept full and

ongoing compliance with the current version(s) of the NSW Government Standard Business

Processes. To be endorsed against this element, suppliers must meet the following requirements:

Compliance with NSW Government Standard Business Processes Silver Gold Platinum

The supplier’s solution meet all requirements in the appropriate

standard(s), related materials and process artefacts as defined

within the NSW Government Standard Government Processes - - �

Sign a legal contract under the ProcureIT framework related to the

appropriate standard(s) - - �

Pay for cost of on-going (annual) certification against the relevant

standard(s) - - �

(k) Self-service administration

The ability to automatically provision and de-provision for all agency resources within the system,

together with other appropriate administration and management tasks that can be delegated

from the service provider that do not impinge on the solution being provided to other customers.

(l) Full-service administration

All provisioning, de-provisioning, together with all other administration and management tasks

required to operate the environment, are provided as part of the service offering. The only

exception will be service management of the provider which remains the sole responsibility of the

initiating agency.

(m) Cloud compliant hosting facility

All relevant cloud services for the solution may be provisioned from a compliant hosting facility. A

compliant hosting is defined as having the following attributes and/or capabilities:

• The location of the hosting facility must be identified either by name and/or location (city

and country) in any response.

• The hosting location cannot be changed without first informing the agency concerned.

• The service provider undertakes, maintains and provides access to SSAE 16 Service

Organization Control (SOC) Type II reports (or equivalent) for the services and facilities in

scope for the engagement.

• The hosting facility must comply with minimum Tier 3, as defined by the Uptime Institute,

ANSI TIA-942, or an equivalent industry standard.

• The hosting facility must be certified against ISO 27001; compliance with the following

international standards is desirable:

o ISO 9001

o ISO 27002

o ISO 20000-1:2011

o ISO 14001

Other desirable certifications may include, but are not limited to:


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o PCI-DSS v3.0 or later

o Australian Signals Directorate

o ASIO-T4

o Uptime Institute

o CSA

Also consider contractual obligations relating to the service provider allowing security assessments

and treatment of outcomes as agreed with the client.

If the hosting facilities changes to a location that is deemed unacceptable either to NSW

Government or to the agency and/or loses attributes and/or capabilities identified above, the

agency may need to consider termination of services.

(n) NSW Government Data Centre

All relevant services for the solution may be provisioned from one or both NSW Government Data

Centre(s) (GovDC). Depending on the service offering and agency requirements, it may be possible

to ‘burst’ some elements of services to other location(s), subject to agreement with the

commissioning agency.

Burst data centres must be deemed ‘compliant’. If the ‘burst’ data centre facilities change to a

location that is deemed unacceptable either to NSW Government or to the agency, the agency may

need to re-examine the ‘burst’ service or the full service.

(o) Onshore/offshore management

All solution providers must be able to articulate where their services will be provided from,

including any remote support services.

For example, with a ‘follow the sun’ support model:

• the locations of each of their support sites around the globe need to be identified

• any changes to these need to be communicated to the customer agency promptly

• if this causes issues, the agency has the right to cancel the service with appropriate notification.

(p) Service level management

Agencies will retain ultimate responsibility for service level management in any solutions

engagement which would ordinarily be covered by a Service Level Agreement (SLA). Agencies,

service-brokers and solution providers need to agree all SLA reporting and other related activities

as part of any transition-in process.

(q) Multi-service broker provision

Any solution provider must work within the confines of a multi-service provider environment

where either the agency or nominated provider will perform broker service provision. This will be

defined as one provider being made accountable for the provision of all associated services,

whether these are provided by the provider itself, or other third-party providers.


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DOCUMENT CONTROL

Document history

Status: Released

Version: 1.0

Approved by: Executive Director, ICT Policy & Innovation

Approved on: 28 July 2016

Issued by: IDG Policy and Innovation, ICT & Digital Government Division, Department of Finance, Services &

Innovation (DFSI)

Contact: IDG Policy and Innovation, ICT & Digital Government Division, Department of Finance, Services &

Innovation (DFSI)

Email: [email protected]

Telephone: (02) 9372 7445

Review

This standard will be reviewed as required.


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APPENDIX A – ABBREVIATIONS AND DEFINITIONS

AIIA Australian Information Industry Association

ASD Australian Security Directorate

ASIO Australian Secret Intelligence Organisation

CSA Canadian Standards Association

GovDC Government Data Centre

ICT Information & Communication Technology

ISO/TC International Organization for Standardization / Technical Committee

IT Information Technology

MAM Mobile Application Management

MDM Mobile Device Management

OS Operating System

PCI-DSS Payment Card Industry – Data Security Standard

PTS Procurement & Technical Standards

RTCE Real Time Collaborative Editing

SLA Service Level Agreement

Term Definition


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APPENDIX B – REFERENCES Agencies should have regard to the following statutes, NSW Government policies and standards:

• AS/NZS ISO 31000 Risk management – Principles and guidelines

• Electronic Transactions Act 2000

• Government Information (Public Access) Act 2009

• Health Records and Information Privacy Act 2002

• ISO 27031-2011 Information technology – Security techniques – Guidelines for information and

communication technology readiness for business continuity

• ISO 27001 Information technology – Security techniques – Information security management systems

– Requirements

• NIST Definition of Cloud Computing SP800-145

• NSW Government Digital Information Security Policy

• NSW Government Open Data Policy

• NSW Government Cloud Policy

• NSW Government Standard for Data Quality Reporting

• NSW Government ICT Strategy

• NSW Government Digital + 2015 Final Update

• NSW Government Information Classification, Labelling and Handling Guidelines

• NSW Procurement: Small and Medium Enterprises Policy Framework

• Privacy and Personal Information Protection Act 1998

• Public Finance and Audit Act 1983

• Public Interest Disclosures Act 1994

• State Records Act 1998

• TPP 09-05 - Internal Audit and Risk Management Policy for the NSW Public Sector


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APPENDIX C – STANDARDS

Developing technical standards

Development of a standard begins with identifying the need for a new standard, which is followed by the

development of the standard in consultation with the industry and experts groups, including the Australian

Information Industry Association (AIIA).

The following diagram outlines the process.

The ICT Procurement and Technical Standards Working Group (PTS Working Group) is chaired by the

Department of Finance, Services & Innovation and includes senior representation from across NSW

Government.

Agencies engage with the PTS Working Group concerning services for inclusion in the ICT Services

Catalogue. This drives the development of technical standards, where none exist. The PTS Working Group

has the leading role in reviewing and endorsing the technical standards developed in response to agencies’

requirements.

The PTS Working Group is supported by two sub-groups responsible for the areas of Telecommunications

and Services and Solutions. The sub-groups are responsible for initial development and review of standards

relating to their areas of responsibility.

Management and implementation

There is scope to modify standards through the NSW Government ICT governance arrangements as

necessary. Standards are designed to add value, augment and be complementary to, other guidance, and

they are continually improved and updated.

This standard does not affect or override the responsibilities of an agency or any employee regarding the

management and disposal of information, data, and assets. Standards in ICT procurement must also

address business requirements for service delivery.

NSW Procurement facilitates the implementation of the standards by applying them to the goods and

services made available through the ICT Services Catalogue.

Need for new or amended standard

identified

Standard developed (Industry/agencies

consulted)

Standard approved and released by PTS

Working Group

Market engagement for services which meet the standard

Services added to Catalogue

Business requirements change


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APPENDIX D – Sample Key Performance Indicators

Key Performance Indicator

(KPI) Definition

Incident Management

# repeated incidents # repeated Incidents, with known resolution methods.

Incidents resolved remotely # incidents resolved remotely by service desk.

# escalations # escalations for incidents not resolved against agreed resolution time.

# incidents # incidents registered by the service desk grouped into categories.

Average initial response time Average time taken between time user reports incident and time service

desk responds to incident.

Incident resolution time Average time for resolving incident grouped into categories.

First time resolution rate % of incidents resolved by service desk during first call

by categories.

Resolution within SLA Rate of incidents resolved during solution time agreed in SLA grouped by

categories.

Incident resolution effort Average work effort for resolving incidents grouped by categories.

Problem Management

# problems # problems registered by problem management grouped by categories.

Problem resolution time Average time for resolving problems grouped by categories.

# unresolved problem # problems where underlying root cause not known at a particular time.

# incidents per known

problem # reported incidents linked to the same problem after identification.

Time until problem

identification

Average time between first instance of incident and identification of

underlying root cause.

Problem resolution effort Average work effort for resolving problems grouped into categories.

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