Itil Study Guide

V3.1.0.1

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ITIL (IT Infrastructure Library) Foundation (Course Code SM25)

Student Notebook ERC 1.0

IBM Certified Course Material

Student Notebook

Trademarks IBM® is a registered trademark of International Business Machines Corporation. Other company, product and service names may be trademarks or service marks of others.

September 2004 Edition The information contained in this document has not been submitted to any formal IBM test and is distributed on an “as is” basis without any warranty either express or implied. The use of this information or the implementation of any of these techniques is a customer responsibility and depends on the customer’s ability to evaluate and integrate them into the customer’s operational environment. While each item may have been reviewed by IBM for accuracy in a specific situation, there is no guarantee that the same or similar results will result elsewhere. Customers attempting to adapt these techniques to their own environments do so at their own risk. © Copyright International Business Machines Corporation 2004. All rights reserved. This document may not be reproduced in whole or in part without the prior written permission of IBM. Note to U.S. Government Users — Documentation related to restricted rights — Use, duplication or disclosure is subject to restrictions set forth in GSA ADP Schedule Contract with IBM Corp.

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Contents Course Description . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xi Agenda . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xiii Course Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xv ITIL Foundation Course: IT Infrastructure Library Overview . . . . . . . . . . . . . . . . . . .xvi ITIL Foundation Course: Objectives and Contents of the Course . . . . . . . . . . . . . . xvii ITIL Foundation Course: ITIL Defines a Three-Tiered Structure of Certification Training . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xviii ITIL Foundation Course: Process Chart Reference . . . . . . . . . . . . . . . . . . . . . . . . .xix Unit 1. What ITIL Is . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-1 Unit 01: What ITIL is . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-2 What ITIL is: ITIL: de facto standard for service management built on industry “best practice” . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-3 What ITIL is: Main characteristics of ITIL are: IT services are business-oriented, and provision of quality customer service . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-5 What ITIL is: Originally created by the UK's Central Computer and Telecommunications Agency (CCTA) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-6 What ITIL is: The BSI roadmap to make ITIL a standard for service management 1-7 What ITIL is: ITIL is a library of books that aim to describe best practices for IT infrastructure management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-9 What ITIL is: The ITIL books describe best practices in IT management, with a special focus on service management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-10 Most people think of ITIL as service support, but the increasing popularity of ITIL should be leveraged against a broader spectrum of services . . . . . . . . . . . . . . . . . . . . . . 1-12 What ITIL is: Service management focuses on the tactical and operational processes of service support and service delivery and their relationships, including security management (separate ITIL book) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-13 What ITIL is: ITIL processes in service support represent many of the reactive processes within IT operations (operational) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-14 What ITIL is: Service Delivery focuses on what service the business requires in order to provide adequate support to the business users (tactical) . . . . . . . . . . . . . . . . 1-15 What ITIL is: Service support process (operational processes) relationships and their interaction with the CMDB . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-16 What ITIL is: Service delivery process (tactical processes) relationships . . . . . . . 1-17 What ITIL is: Other ITIL books . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-18 What ITIL is: Customers across the globe are asking more and more about ITIL 1-19 What ITIL is: ITIL implementation: Adopt and Adapt . . . . . . . . . . . . . . . . . . . . . . . 1-20 Unit 2. Process Implementation Strategy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-1 Unit 02: Process Implementation Strategy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-2 Process Implementation: What is a process? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-3

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Process Implementation: A process flows across the organizational hierarchies within a company and sometimes flows across company boundaries . . . . . . . . . . . . . . . .2-4 Process Implementation: Why do we need processes? . . . . . . . . . . . . . . . . . . . . . .2-5 Process Implementation: What are the benefits? (1) . . . . . . . . . . . . . . . . . . . . . . . .2-6 Process Implementation: What are the benefits? (2) . . . . . . . . . . . . . . . . . . . . . . . .2-7 Process Implementation: What are the benefits? (3) . . . . . . . . . . . . . . . . . . . . . . . .2-8 Process Implementation: Mission-critical changes or reorganizations within an IT corporation require new processes or needs to improve existing processes . . . . . .2-9 Process Implementation: Continuous processes improvement is also a trigger . .2-10 Process Implementation: Why implement service management? . . . . . . . . . . . . .2-11 Process Implementation: Service and Process . . . . . . . . . . . . . . . . . . . . . . . . . . .2-12 Process Implementation: Service, Process, Procedure, and work instructions . . .2-13 Process Implementation: Project Management . . . . . . . . . . . . . . . . . . . . . . . . . . .2-14 Process Implementation: Factors who will influence the success of an ITSM project . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-15 Process Implementation: People . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-16 Process Implementation: Each task within a process is executed by a role . . . . . .2-17 Process Implementation: ITSM Project (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-18 Process Implementation: ITSM Project (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-19 Process Implementation: From the above model, 5 phases of a ITSM project are definable . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-20 Process Implementation: Ongoing quality improvement . . . . . . . . . . . . . . . . . . . .2-21 Process Implementation: Communication Plan . . . . . . . . . . . . . . . . . . . . . . . . . . .2-22 Process Implementation: Global Consideration . . . . . . . . . . . . . . . . . . . . . . . . . . .2-24 Process Implementation: Process Description . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-25 Process Implementation: High-Level Design of a Process . . . . . . . . . . . . . . . . . . .2-26 Process Implementation: A Process Implementation considers both an initial process design and an improvement of the existing environment . . . . . . . . . . . . . . . . . . . .2-27 Process Implementation: A review is important for quality assurance . . . . . . . . . .2-28 Process Implementation: A review is important for quality assurance . . . . . . . . . .2-29 Process Implementation: Critical success factors . . . . . . . . . . . . . . . . . . . . . . . . .2-31 Process Implementation: Possible problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-32 Process Implementation: Project costs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-33 Unit 3. Service Desk (SPOC) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-1 Unit 03: Service Desk (SPOC) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-2 Service Desk: Integration into the IPW Model . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-3 Service Desk: The Service Desk is the Single Point of Contact [SPOC] between the users and the IT Services Organization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-4 Service Desk: Mission Statement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-5 Service Desk: The Service Desk is traditionally seen as a group of specialists who have the required knowledge to process any kind of request or incident . . . . . . . . . . . . .3-6 Service Desk: The Importance of the Service Desk . . . . . . . . . . . . . . . . . . . . . . . . .3-7 Service Desk: Communication . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-8 Service Desk: Service Desk Responsibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-9 Service Desk: Service Desk Activities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-10 Service Desk: Processes within the Service Desk . . . . . . . . . . . . . . . . . . . . . . . . .3-11 Service Desk: Inputs and Outputs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-12 iv

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Service Desk: There are 3 Service Desk Types (1): the Local Service Desk . . . . 3-13 Service Desk: There are 3 Service Desk Types (2): Central Service Desk . . . . . 3-14 Service Desk: There are 3 Service Desk Types (3): Virtual Service Desk . . . . . . 3-15 Service Desk: User empowerment (self-help) enhances customer satisfaction while lowering support cost . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-16 Service Desk: A crucial success factor is standardized working methods . . . . . . 3-17 Service Desk: Setting up a Service Desk . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-18 Service Desk: Benefits and Costs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-19 Service Desk: Risks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-20 Service Desk: Best Practices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-21 Service Desk: Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-22 Unit 4. Incident Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-1 Unit 04: Incident Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-2 Incident Management: Integration into the IPW Model . . . . . . . . . . . . . . . . . . . . . . 4-3 Incident Management: Mission statement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-4 Incident Management: Definition: Incident, Problem and “Known Error” . . . . . . . . 4-5 Incident Management: Tasks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-6 Incident Management: Activity incident handling . . . . . . . . . . . . . . . . . . . . . . . . . . 4-7 Incident Management: The status of an incident reflects its current position in its lifecycle . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-8 Relationship with other IT services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-10 Incident Management: Use of standard registration, documentation, and methods is basis of success . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-11 Incident Management: Classification: Find service affected, match against SLA, and assign priority . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-12 Incident Management: Priority order for handling incidents is primarily defined by impact and urgency . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-13 Incident Management: Each priority is related to a certain recovery time… . . . . . 4-14 Incident Management: … This results in an appropriate escalation . . . . . . . . . . . 4-15 Incident Management: Escalation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-17 Incident Management: Escalation – Trigger and Measures . . . . . . . . . . . . . . . . . 4-18 Incident Management: Escalation – Escalation Levels . . . . . . . . . . . . . . . . . . . . . 4-19 Incident Management: Escalation – Example of an Escalation Matrix . . . . . . . . . 4-20 Incident Management: Input and Output . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-21 Incident Management: Benefits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-22 Incident Management: Risks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-23 Incident Management: Best Practices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-24 Incident Management: Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-25 Unit 5. Problem Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-1 Unit 05: Problem Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-2 Problem Management: Integration into the IPW Model . . . . . . . . . . . . . . . . . . . . . . 5-3 Problem Management: Mission statement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-4 Problem Management: Some definitions: Problem, Known Error, and RFC . . . . . . 5-5 Problem Management: Tasks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-6 Problem Management: Scope . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-8 Problem Management: Activity: Problem Control . . . . . . . . . . . . . . . . . . . . . . . . . . 5-9 © Copyright IBM Corp. 2004

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Problem Management: Activity: Error Control . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-10 Problem Management: Activity: Proactive Problem Management . . . . . . . . . . . . .5-11 Problem Management: Reporting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-12 Problem Management: Reactive - Proactive . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-13 The Complete Picture . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-14 Problem Management: Benefits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-15 Problem Management: Risks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-16 Problem Management: Best Practices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-17 Problem Management: Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-18 Unit 6. Change Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6-1 Unit 06: Change Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6-2 Change Management: Integration into the IPW Model . . . . . . . . . . . . . . . . . . . . . . .6-3 Change Management: Mission Statement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6-4 Change Management: Some definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6-5 Change Management: Why Change Management is so important . . . . . . . . . . . . .6-7 Change Management: Tasks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6-8 Change Management: The Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6-9 The Process Steps . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6-10 Change Management: Content of a Request for Change (RFC) . . . . . . . . . . . . . .6-11 Change Management: Categorization: Minor – Significant – Major . . . . . . . . . . . .6-13 Change Management: Prioritization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6-14 Change Management: Composition of the Change Advisory Board (CAB) should reflect user, customer, and service provider view . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6-15 Change Management: Optimization can be reached through correlation of RFCs on related CIs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6-16 Change Management: Interfaces to other SM processes (1) . . . . . . . . . . . . . . . . .6-17 Change Management: Interfaces to other SM processes (2) . . . . . . . . . . . . . . . . .6-18 Change Management: Benefits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6-19 Change Management: Risks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6-20 Change Management: Best Practices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6-21 Change Management: Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6-22 Unit 7. Configuration Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7-1 Unit 07: Configuration Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .7-2 Configuration Management: Integration into the IPW Model . . . . . . . . . . . . . . . . . .7-3 Configuration Management: Mission Statement . . . . . . . . . . . . . . . . . . . . . . . . . . . .7-4 Configuration Management: Tasks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .7-5 Configuration Management: Definition: Configuration Item . . . . . . . . . . . . . . . . . . .7-6 Configuration Management: Definition: Configuration Item – Scope and Level of Detail . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .7-7 Configuration Management: Tasks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .7-9 Configuration Management: Configuration Management Database (CMDB) – Structure Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .7-11 Configuration Management: CMDB – Status of CI . . . . . . . . . . . . . . . . . . . . . . . . .7-12 Configuration Management: Interfaces with all other processes . . . . . . . . . . . . . .7-13 Configuration Management: Relationship with Release and Change Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .7-15 vi

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Configuration Management: CIs and their relations to other processes . . . . . . . . Configuration Management: Variant and Baseline . . . . . . . . . . . . . . . . . . . . . . . . Configuration Management: Licence Management . . . . . . . . . . . . . . . . . . . . . . . . Configuration Management: Benefits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Configuration Management: Costs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Configuration Management: Risks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Configuration Management: Best Practices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Configuration Management: Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

7-16 7-17 7-18 7-19 7-20 7-21 7-23 7-24

Unit 8. Release Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8-1 Unit 08: Release Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8-2 Release Management: Integration into the IPW Model . . . . . . . . . . . . . . . . . . . . . . 8-3 Release Management: Mission Statement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8-4 Release Management: Goal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8-5 Release Management: Why Release Management . . . . . . . . . . . . . . . . . . . . . . . . 8-6 Release Management: Tasks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8-7 Release Management: Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8-8 Release Management: Major Activities of Release Management . . . . . . . . . . . . . . 8-9 Interactions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8-11 Release Management: DSL and DHS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8-12 Release Management: Software Release . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8-13 Release Management: Benefits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8-16 Release Management: Costs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8-17 Release Management: Risks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8-18 Release Management: Best Practices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8-19 Release Management: Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8-20 Unit 9. Service Level Management. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9-1 Unit 09: Service Level Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9-2 Service Level Management: Integration into the IPW Model . . . . . . . . . . . . . . . . . 9-3 Service Level Management: Mission Statement . . . . . . . . . . . . . . . . . . . . . . . . . . . 9-4 Service Level Management: Why Service Level Management . . . . . . . . . . . . . . . . 9-5 Service Level Management: SLM – Balance service capabilities and service requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9-6 Service Level Management: Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9-7 Service Level Management: Tasks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9-8 Service Level Management: Service Level Management Activities . . . . . . . . . . . . 9-9 Service Level Management: Manage relationship with customers and suppliers (internal and external) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9-10 Service Level Management: Different points of view: Communication . . . . . . . . . 9-11 Service Level Management: Content of a Service Level Agreement (SLA) . . . . . 9-12 Service Level Management: Service Level Agreement (SLA) – Basic Structure . 9-13 Service Level Management: Service Level Agreement (SLA) – Legal Contents . 9-14 Service Level Management: Elements of a Service Spec Sheet . . . . . . . . . . . . . 9-15 Service Level Management: Benefits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9-16 Service Level Management: Risks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9-17 Service Level Management: Costs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9-18 Service Level Management: Best Practices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9-19 © Copyright IBM Corp. 2004

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Service Level Management: Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9-20 Unit 10. Availability Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10-1 Module 10: Availability Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .10-2 Availability Management: Integration into the IPW Model . . . . . . . . . . . . . . . . . . .10-3 Availability Management: Mission Statement . . . . . . . . . . . . . . . . . . . . . . . . . . . . .10-4 Availability Management: Definitions (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .10-5 Availability Management: Definitions (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .10-6 Availability Management: Tasks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .10-7 Availability Management: Inputs and Outputs . . . . . . . . . . . . . . . . . . . . . . . . . . . .10-8 Availability Management: Uptime, Downtime, and Availability . . . . . . . . . . . . . . . .10-9 Availability Management: Availability Measurements (1) . . . . . . . . . . . . . . . . . . .10-11 Availability Management: Availability Measurement (2) . . . . . . . . . . . . . . . . . . . .10-12 Availability Management: Availability Measurement Example (3) . . . . . . . . . . . .10-13 Availability Management: Risk Management is also an aspect of availability . . .10-14 Availability Management: Availability Reporting . . . . . . . . . . . . . . . . . . . . . . . . . .10-16 Availability Management: Benefits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .10-18 Availability Management: Risks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .10-19 Availability Management: Best Practices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .10-20 Availability Management: Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .10-21 Unit 11. Capacity Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11-1 Unit 11: Capacity Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .11-2 Capacity Management: Integration into the IPW Model . . . . . . . . . . . . . . . . . . . . .11-3 Capacity Management: Mission Statement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .11-4 Capacity Management: Why Capacity Management? . . . . . . . . . . . . . . . . . . . . . .11-5 Capacity Management: Capacity Management has three sub-processes . . . . . . .11-6 Capacity Management: Tasks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .11-8 Capacity Management: Input & Output . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .11-10 Capacity Management: Iterative Activities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .11-11 Capacity Management: Capacity Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .11-12 Capacity Management: Capacity Database . . . . . . . . . . . . . . . . . . . . . . . . . . . . .11-14 Capacity Management: Benefits and Costs . . . . . . . . . . . . . . . . . . . . . . . . . . . . .11-16 Capacity Management: Risks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .11-17 Capacity Management: Best Practices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .11-20 Capacity Management: Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .11-21 Unit 12. Financial Management for IT Services . . . . . . . . . . . . . . . . . . . . . . . . 12-1 Unit 12: Financial Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .12-2 Financial Management: Integration into the IPW Model . . . . . . . . . . . . . . . . . . . . .12-3 Financial Management: Mission Statement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .12-4 Financial Management: Why Financial Management for IT Services (1) . . . . . . . .12-5 Financial Management: Why Financial Management for IT Services (2) . . . . . . . .12-6 Financial Management: Tasks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .12-7 Financial Management: Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .12-8 Financial Management: Process – Budgeting and Accounting Activities (mandatory) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .12-10 Financial Management: Process – Charging (optional) . . . . . . . . . . . . . . . . . . . .12-11 viii

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Financial Management: Cost Types . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Financial Management: Cost Classification . . . . . . . . . . . . . . . . . . . . . . . . . . . . Financial Management: Costs types – Example: Printing a report . . . . . . . . . . . Financial Management: Example of IT Accounting . . . . . . . . . . . . . . . . . . . . . . . Financial Management: Links to other processes . . . . . . . . . . . . . . . . . . . . . . . . Financial Management: Benefits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Financial Management: Risks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Financial Management: Best Practices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Financial Management: Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

12-12 12-14 12-17 12-18 12-19 12-21 12-22 12-24 12-25

Unit 13. IT Service Continuity Management (ITSCM) . . . . . . . . . . . . . . . . . . . . 13-1 Unit 13: IT Service Continuity Management (ITSCM) . . . . . . . . . . . . . . . . . . . . . . 13-2 ITSCM Management: Integration into the IPW Model . . . . . . . . . . . . . . . . . . . . . . 13-3 ITSCM: Mission Statement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13-4 ITSCM: Why ITSCM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13-5 ITSCM: Definitions: Business Continuity Management (BCS) and ITSCM . . . . . . 13-6 ITSCM: Tasks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13-7 ITSCM: Continuity Management Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13-8 ITSCM: Risk of events that can cause disaster . . . . . . . . . . . . . . . . . . . . . . . . . . . 13-9 ITSCM: Some events that have caused problems . . . . . . . . . . . . . . . . . . . . . . . 13-10 ITSCM: Risk Analysis as part of BCM Requirements definition . . . . . . . . . . . . . 13-11 ITSCM: The continuity strategy involves the selection of recovery options . . . . 13-12 ITSCM: Continuity Plan Invocation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13-14 ITSCM: Test and Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13-15 ITSCM: Benefits and Costs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13-16 ITSCM: Risks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13-18 ITSCM: Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13-19 Unit 14. Security Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14-1 Unit 14: Security Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14-2 ITSCM Management: Integration into the IPW Model . . . . . . . . . . . . . . . . . . . . . . 14-3 Security Management: Mission Statement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14-4 Security Management: Definitions: CIA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14-5 Security Management: Why Security Management? . . . . . . . . . . . . . . . . . . . . . . 14-6 Security Management: Information Security Incident . . . . . . . . . . . . . . . . . . . . . . 14-7 Security Management: Security Measures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14-8 Security Management: Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14-9 Security Management: Process- Input from Customer . . . . . . . . . . . . . . . . . . . . 14-10 Security Management: Process – Control . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14-11 Security Management: Process – SLA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14-12 Security Management: Process – Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14-13 Security Management: Process – Implement . . . . . . . . . . . . . . . . . . . . . . . . . . . 14-14 Security Management: Process – Evaluate . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14-15 Security Management: Process – Maintain . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14-16 Security Management: Process – Report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14-17 Security Management: Level of measures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14-18 Security Management: Benefits and Costs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14-19 Security Management: Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14-20 © Copyright IBM Corp. 2004

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Course Description ITIL (IT Infrastructure Library) Foundation Duration: 2 days Purpose Learn the basics of Information Technology (IT) Infrastructure Library (ITIL) and discover the importance of a systematic approach to management. The ITIL contains a comprehensive description of the processes involved in managing IT infrastructures. Build your awareness of the best practice approach to IT service support and service delivery. Gain an understanding of the importance of an IT infrastructure and IT service for an organization, a process-like approach to business organization, the ITIL management framework, basic terms, and concepts of the work processes used to manage an IT infrastructure. Take the ITIL Foundations Certification Exam upon course completion.

Audience This course is intended for people working in the field of IT service management.

Prerequisites None

Objectives Upon completion of the course, the student will be able to: • Understand the importance of an IT infrastructure • Describe the best practices for IT service • Develop a process-like approach to business organization • Describe the ITIL management framework • Understand the basic terms and concepts of the work processes used to manage an IT infrastructure

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Contents Topics include: • ITIL best practice: history, purpose, and acceptance • Introduction to the ITIL booklets of best practices • ITIL scope, infrastructure, and process terms • Characteristics of the ITIL sets and process groups • Strategic, tactical, and operational perspectives • Service support set: configuration management, service desk incident management, problem management, change management, and release management • Service delivery set: service level management, availability management, capacity management, IT service continuity management, and financial management for IT services • Links with the security management process • Example examination

Curriculum relationship The Foundation Certificate in IT Service Management is a prerequisite for the Practitioner's and Manager's Certificate in IT Service Management.

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Agenda Day 1 ITIL Introduction Service Desk Incident Management Problem Management Change Management Configuration Management Release Management Exercise

Day 2 Recap Discussion SLM Availability Management Capacity Management Financial Management Continuity Management Security Management Examination

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ITIL Foundation

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Course Introduction

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Course Introduction Course materials may not be reproduced in whole or in part without the prior written permission of IBM.

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IBM Global Services

ITIL Foundation Course

IT Infrastructure Library Overview

ITIL – Planning to Implement Service Management

The Business Perspective

Service Support

ICT Infrastructure Management

Service Delivery Security Management

Technology

Business

Service Management

Application Management

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Figure 0-1. ITIL Foundation Course: IT Infrastructure Library Overview

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IBM Global Services

ITIL Foundation Course

Objectives and Contents of the Course ƒ Objectives – Understand the ITIL Framework (what, who, where, why, and how) – Understand the benefits of adopting ITIL – Use the same language for Service Management – Pass for the Foundation Certification Exam

ƒ Contents – Overview of the 2 ITIL core modules: • 5 Processes of Service Support und 1 Function • 5 Processes of Service Delivery • Security Management for IT Services – – – – – – –

5

Activities of each ITIL process Benefits/difficulties/costs of implementing ITIL process Links with other ITIL processes ITIL process roles and responsibilities Order of implementation within ITIL process Success factors within an ITIL implementation No details of procedures within process, which are organization-dependent!

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Figure 0-2. ITIL Foundation Course: Objectives and Contents of the Course

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Notes:

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ITIL Foundation Course

ITIL Defines a Three-Tiered Structure of Certification Training

Practitioners (9 certificates) Availability Mgmt (5 days) Incident Mgmt (5 days) Problem Mgmt (5 days) Configuration Mgmt (5 days) Service Level Mgmt (5 days) Change Mgmt (5 days)

Foundations Essential (2 days) 1 hour Multiple Choice

Prerequisites assessed by Examination Board

6

1 hour Multiple Choice

Service Manager Service Support (5 days) 3 hours Essay Examination

Service Delivery (5 days) 3 hours Essay Examination

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Figure 0-3. ITIL Foundation Course: ITIL Defines a Three-Tiered Structure of Certification Training

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Notes: ITIL defines three levels of certification. The Foundations Certificate is the first level and covers Service Management essentials. Foundations classes typically last 2 days, and culminate with a 1-hour multiple choice exam. Next, 9 Practitioner Certificates are available. These each concentrate on a specific process area within Service Management, such as Change Management. Each of the Practitioner classes lasts 5 days and ends with a 1-hour multiple choice exam. ITIL's highest level of certification is the Service Manager, or Masters certificate. Service Manager classes involve two weeks of intense study, and Service Managers must pass two 3-hour essay-based exams: one for Service Support, and one for Service Delivery. Furthermore, the exam board must assess and validate that each person sitting for the Service Manager exam has met all of the defined prerequisites. So, when someone holds ITIL certification, you know what you're getting because the levels of certification and testing are independently defined and verified.

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IBM Global Services

ITIL Foundation Course Process Chart Reference

Source: IPW Model is a trade mark of Quint Wellington Redwood and KPN Telecoms 7

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Figure 0-4. ITIL Foundation Course: Process Chart Reference

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Notes: The chart which aims to show the flow of ITIL processes, and the most referenced by itSMF (IT Service Management Forum), is the IPW Process Model, a trade mark of Quint Wellington and KPN. The IPW Model is neither a complete nor a perfect plot of ITIL processes. It will, however, be used during the training, just to show some interfaces between processes, and the position of a process within the operational or tactical activities of the business.

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Uempty

Unit 1. What ITIL Is What This Unit Is About This unit is an introduction to ITIL. We will start with a short history, then discover ITIL, and explain why it is increasingly popular to help managing IT.

What You Should Be Able to Do After completing this unit, you should be able to think about how a formalized framework can help a company manage its asset.

References BS 15000-1:2002

IT Service Management (Part 1: Specification for Service Management)

BS 15000-2:2003

IT Service Management (Part 2: Code of Practice for IT Service Management)

PD 0005:2003

IT Service Management – A Manager’s Guide

PD 0015:2002

Service Management – Self-Assessment Workbook

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Unit 01

What ITIL is Contents of this module:

ƒ What ITIL is ƒ ITIL history ƒ Contents of ITIL books ƒ Popularity and benefits of ITIL

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Figure 1-1. Unit 01: What ITIL is

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What ITIL is

ITIL: de facto standard for service management built on industry “best practice” What is ITIL? ƒ ITIL stands for Information Technology Infrastructure Library ƒ A set of books that describe best practices for IT infrastructure management ƒ An internationally-recognized set of best practices in the public domain • Provides guidance, but not a step-by-step methodology ƒ A holistic approach to IT infrastructure management ƒ ITIL by its widespread use became a de facto standard

The aims in developing the IT Infrastructure Library are ƒ To facilitate the quality management of IT services, and in doing so increase the efficiency with which the corporate objectives and business requirements are met ƒ To improve efficiency, increase effectiveness, and reduce risks ƒ To provide codes of practice in support of total quality

Benefits of implementing ITIL ƒ ƒ ƒ ƒ

Enhanced customer satisfaction, as it is clear what service providers know and deliver Formalize the use of procedures so that they are more reliable to follow Improved quality of service – more reliable business support Better motivated staff through better management of expectations and responsibilities

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Figure 1-2. What ITIL is: ITIL: de facto standard for service management built on industry “best practice”

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Notes: • Service support is currently the most popular topic worldwide in terms of customer popularity; the ITIL book on Service Support is most often referenced. • ITIL is a library of books on what you need to do to manage IT as business; but it does not explain in detail how to do it. • The ITIL framework places a strong emphasis on process; and is of most interest to customers who see process as important. • Application management is NOT application development. Instead, it looks at the entire lifecycle of managing applications from a service point of view. For example, for SAP, when you are gathering requirements, you need to think about all of the service management elements to make the lifecycle effective. How will the application be configured? Will it be available at the required service levels? How will new releases be deployed? How will it be supported? And so on.

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• All books are released except for The Business Perspective which will cover the business value chain (customer/IT/business), business alignment (how an organization is set up, how it is governed, and managing the relationship between IT and business); it is mostly an overview of ITIL's value to the business, and emphasizes that IT should have a business perspective.

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What ITIL is

Main characteristics of ITIL are: IT services are business-oriented, and provision of quality customer service Other Characteristics of ITIL – Service and customer focused – Helicopter view of processes and activities – Provides a common language. This makes education very important to provide this common language to all people in the process. – Independent of organizational structures, architectures or technologies

IT management is all about the efficient and effective use of the four Ps: people, processes, products (tools and technology), and partners (suppliers, vendors, and outsourcing organizations). People Processes

Products

Partners 4

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Figure 1-3. What ITIL is: Main characteristics of ITIL are: IT services are business-oriented, and provision of quality customer service SM251.0

Notes:

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What ITIL is

Originally created by the UK’s Central Computer and Telecommunications Agency (CCTA) Origin and History of ITIL ƒ Originated from UK government in late 1980s (CCTA Central Computer and Telecommunications Agency

ƒ First publications appeared in 1989 ƒ Further developed by incorporating public and private sector best practice (IBM, HP, Microsoft, and so on)

ƒ Consolidated in 1999 into ITIL Version 2. Two books to improve consistency and focus on service management were published – Service Support and Service Delivery

ƒ These two core books were supplemented by new books that cover implementation planning, security management, infrastructure management, application management, and the business perspective

ƒ 2001: the CCTA is incorporated within the Office of Government Commerce (OGC). ITIL is a registered mark of OGC.

ƒ ITIL has subsequently been used as the basis for the development of a British Standard for Service Management.

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Figure 1-4. What ITIL is: Originally created by the UK's Central Computer and Telecommunications Agency (CCTA)

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Notes:

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What ITIL is

The BSI roadmap to make ITIL a standard for service management British Standards Institution (BSI)

ƒ 1998 ƒ 2000

- Code of Practice [PD0005] - Self-assessment Workbook [PD0015] - Specification [BS15000:2000]

ƒ 2001 ƒ 2002

- Early adopters Æ Feedback - Rewrite as Part 1 & 2 - Rewrite PD0015/PD0005

ƒ 2003 ƒ 2006

- Formal certification scheme

What to achieve

Standard BS15000

Specification

- ISO Standard

Management overview

PD0005 ITIL

Process definitions

In-house processes & procedures

Deployed solution

OGC questionnaire

6

Guidance

Code of Practice

PD0015

© 2004 IBM Corporation

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Figure 1-5. What ITIL is: The BSI roadmap to make ITIL a standard for service management

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Notes: ITIL consists of modules containing advice and guidance on best practice relating to the provision of IT services. ITIL has subsequently been used as the basis for the development of a British Standard for Service Management. The standard and ITIL are aligned, and the standard has itself been recently revised and is now defined in the following set of documents: • BS 15000-1:2002, IT Service Management (Part 1: Specification for Service Management) • BS 15000-2:2003, IT Service Management (Part 2: Code of Practice for IT Service Management) • PD 0005:2003, IT Service Management – A Manager's Guide • PD 0015:2002, IT Service Management – Self Assessment Workbook These documents provide a standard against which organizations can be assessed and certified with regard to the quality of their IT Service Management processes.

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A BS 15000 Certification scheme was introduced in July 2003. The scheme was designed by the itSMF and is operated under their control. A number of auditing organizations are accredited within the scheme to assess and certify organizations as compliant to the BS 15000 standard and its content. The BS 15000 standard is now progressing towards an international (ISO) standard on Service Management.

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What ITIL is

ITIL is a library of books that aim to describe best practices for IT infrastructure management Content of ITIL “Currently ITIL consists in a set of books, which document and place existing methods and activities in a structured context."

ITIL as a Guidance "ITIL does not cast in stone every action you should do on a day to day basis because that is something that will differ from organization to organization. Instead it focuses on best practice that can be utilized in different ways according to need."

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Figure 1-6. What ITIL is: ITIL is a library of books that aim to describe best practices for IT infrastructure management

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Notes: ITIL is a framework, not a methodology. It describes what needs to be done, but the advice it offers may be implemented in a variety of ways. ITIL provides guidance, not a step-by-step “how-to” for managing IT services, but it does include a rich body of documentation.

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What ITIL is

The ITIL books describe best practices in IT management, with a special focus on service management

ITIL – Planning to Implement Service Management

Technology

Business

Service Management

The Business Perspective

Service Support

ICT Infrastructure Management

Service Delivery Security Management Application Management

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Figure 1-7. What ITIL is: The ITIL books describe best practices in IT management, with a special focus on service management SM251.0

Notes: The most widely used processes within the ITIL framework are those in Service Management. IT Service Management is concerned with delivering and supporting IT services that are appropriate to the business requirements of the organization. ITIL provides a comprehensive, consistent, and coherent set of best practices for IT Service Management processes, promoting a quality approach to achieving business effectiveness and efficiency in the use of information systems. ITIL processes are intended to be implemented so that they underpin, but do not dictate, the business processes of an organization. Being a framework, ITIL describes the contours of organizing Service Management. The models show the goals, general activities, inputs, and outputs of the various processes, which can be incorporated within IT organizations. ITIL does not cast in stone every action you should do on a day-to-day basis, because that is something which will differ from

1-10 ITIL Foundation

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organization to organization. Instead, it focuses on best practice that can be utilized in different ways according to need. Thanks to this framework of proven best practices, the IT Infrastructure Library can be used within organizations with existing methods and activities in Service Management. Using ITIL does not imply a completely new way of thinking and acting. It provides a framework in which to place existing methods and activities in a structured context. By emphasizing the relationships between the processes, any lack of communication or cooperation between various IT functions can be eliminated or minimized.

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Most people think of ITIL as service support, but the increasing popularity of ITIL should be leveraged against a broader spectrum of services • • • • • •

Service Desk Configuration Management Incident Management Problem Management Change Management Release Management

Service Level Management Availability Management Capacity Management Financial Management for IT Services IT Services Continuity Management

Planning to implement service management

The business perspective

ICT Infrastructure management

Service support

Service delivery Software Asset Management

The technology

Service management The business

• Not Published (4/2004) • Draft being reviewed (IBMers on review team)

• • • • •

Security management

• • • •

Design and Plan Deployment Operations Technical Support

• IT Infrastructure Security Management • Security setup from the IT manager's point of view

Application management

• • • • •

What is the vision? Where are we now? Where do we want to be? How do we check our milestones? How do we keep momentum?

9

• • • •

Organization & Roles Process Overview Tools & Technology Partners and SAM

• • • • • •

Manage the Business Value Align Service Delivery with Business Strategy Drivers and Organizational Capability Application Lifecycle Management Organization Roles and Functions Control Methods and Techniques

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Figure 1-8. Most people think of ITIL as service support, but the increasing popularity of ITIL should be leveraged against a broader spectrum of services SM251.0

Notes:

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What ITIL is

Service management focuses on the tactical and operational processes

of service support and service delivery and their relationships, including security management (separate ITIL book) Capacity Management Availability Management

Service Delivery Provide quality, costeffective IT Services

IT Service Continuity

Service Level Management

Financial Management

Release Management

Configuration Management

Change Management

Service Support - Provide stability and flexibility for IT service provision

Incident Management

Problem Management

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Security Management

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Figure 1-9. What ITIL is: Service management focuses on the tactical and operational processes of service support and service delivery and their relationships, including security management (separate ITIL book) SM251.0

Notes:

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What ITIL is

ITIL processes in service support represent many of the reactive processes within IT operations (operational) Service Desk Central point of contact between users and the IT service organization. Incident Management Restore normal service operations as quickly as possible. Problem Management Prevent and minimize the adverse effect on the business of errors in the IT Infrastructure. Configuration Management Provide a logical model of the IT infrastructure by identifying, controlling, maintaining, and verifying the versions of all configuration items. Change Management Ensure standardized methods and procedures are used for efficient, prompt, and authorized handling of all changes in the IT infrastructure. Release Management Ensure that all technical and non-technical aspects of a release are dealt with in a coordinated approach. 11

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Figure 1-10. What ITIL is: ITIL processes in service support represent many of the reactive processes within IT operations (operational) SM251.0

Notes:

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What ITIL is

Service Delivery focuses on what service the business requires in order to provide adequate support to the business users (tactical) Service Level Management Maintain and improve IT service quality through a constant cycle of agreeing, monitoring, reporting, and reviewing IT service achievements. Financial Management for IT Services Provide cost-effective stewardship of IT assets and resources used in providing IT services. Capacity Management Ensure that capacity and performance aspects of the business requirements are provided in a timely and cost-effective manner. Availability Management Optimize the capability of the IT infrastructure and supporting organization to deliver a costeffective and sustained level of availability to satisfy business objectives. IT Service Continuity Management Ensure that the required IT technical and service facilities can be recovered within the time scales required by Business Continuity Management. Security Management Manage a defined level of security on information and IT services. 12

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Figure 1-11. What ITIL is: Service Delivery focuses on what service the business requires in order to provide adequate support to the business users (tactical) SM251.0

Notes:

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What ITIL is Service support process (operational processes) relationships and their interaction with the CMDB The business, customers, and users Incidents Queries Enquiries

Management tools

Incidents

Incident management

Incidents

Service desk

Problem management

Service reports Incident statistics Audit reports

Communications Updates Workarounds

Customer Survey reports

Changes

Release Problem statistics Trend analysis Problem reports Problem review Diagnostic aids Audit reports

Incidents

Change management Change schedule CAB minutes Change statistics Change reviews Audit reports

Problems Known errors

Release management Release schedule Release statistics Release reviews Secure library Testing standards Audit reports

Changes

Configuration management

Releases

CMDB reports CMDB statistics Policy standards Audit reports

CIs Relationships

Configuration management database 13

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Figure 1-12. What ITIL is: Service support process (operational processes) relationships and their interaction with the CMDB SM251.0

Notes: Explain the links between processes. Configuration Management is shown as the basic process.

1-16 ITIL Foundation

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What ITIL is Service delivery process (tactical processes) relationships The business, customers, and users Availability management

Capacity plan CDB Targets/thresholds Capacity reports Schedules Audit reports

System Management tools

Communications Updates Reports

Service level management

Capacity management

Availability plan AMDB Design criteria Targets/thresholds Reports Audit reports

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Queries Enquiries

Financial management for IT services Financial plan Types and models Costs and charges Reports Budgets and forecasts Audit reports

Requirements Targets Achievements

IT service continuity management

Alerts and Exceptions Changes

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SLAs, SLRs, OLAs, UCs Service reports Service catalog SIP Exception reports Audit reports

IT continuity plans BIA and risk analysis Requirement definition Control centers DB contracts Reports Audit reports

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Figure 1-13. What ITIL is: Service delivery process (tactical processes) relationships

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Notes:

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What ITIL is

Other ITIL books Planning to Implement Service Management - explains the steps necessary to identify how an organization might expect to benefit from ITIL, and how to set about reaping those benefits.

ICT Infrastructure Management - covering Network Service Management, Operations Management, Management of Local Processors, Computer Installation, and Acceptance, and for the first time, Systems Management.

Applications Management - embracing the Software Development Lifecycle, expanding the issues touched on in Software Lifecycle Support and Testing of IT Services. Applications Management also provides more detail on Business Change, with emphasis being placed on clear requirement definition and implementation of solutions.

The Business Perspective - concerning the understanding and provision of IT service provision. Issues covered include Business Continuity Management, Partnerships and Outsourcing, Surviving Change, and Transformation of business practices through radical change.

15

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Figure 1-14. What ITIL is: Other ITIL books

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Notes: These books are not in focus for the foundation.

1-18 ITIL Foundation

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What ITIL is

Customers across the globe are asking more and more about ITIL Benefits of ITIL

ƒ More professional staff ƒ Enhanced customer satisfaction as service providers know and deliver what is expected of them

ƒ Better service quality and responsiveness ƒ Properly aligned roles and responsibilities ƒ ITIL incorporates a QM strategy ƒ Long-term cost reduction for IT services ƒ Improved alignment of IT with the business and improved service delivery

ƒ ITIL brings a cross-organizational focus on business results and customer satisfaction

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Figure 1-15. What ITIL is: Customers across the globe are asking more and more about ITIL

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Notes: ITIL is focused on improving service quality to the customer. Customers who adopt the ITIL framework can expect to see improved alignment of IT with the business, a long-term reduction in the cost of IT services, and better service quality and responsiveness. Customers should see a reduction in system outages as proactive planning and quality measures are implemented, and they should be able to implement IT infrastructure more quickly to support new business requirements. Customer satisfaction should increase because service providers will know and deliver what is expected of them, based on what the business requires. And support services should become more competitive. Service providers will also benefit from the adoption of ITIL. Service providers should see improvements in service delivery because they will have a single definable, repeatable, scalable, and consistent set of IT processes. Roles and responsibilities will be properly aligned and understood. Communications between IT departments should improve because the linkages between processes will be documented and understood. Service providers should see better resource utilization — and resources will be allocated based on business demands — and staff will be more professional and motivated because skill requirements and capabilities, along with job expectations, are better understood. © Copyright IBM Corp. 2004

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What ITIL is ITIL implementation: Adopt and Adapt ƒ

ITIL describes what needs to be done but not how it should be done.

ƒ

ITIL does not define: ƒ Every role, job, or organization design ƒ Every tool, every tool requirement, every required customization ƒ Every process, procedure, and task required to be implemented

ƒ

ITIL does not claim to be a comprehensive description of everything within IT, but IT management “best practices” observed and accepted in the industry.

ƒ

Adopt ITIL as a common language and reference point for IT Service Management best practices and key concepts.

ƒ

Adapt ITIL best practices to achieve business objectives specific to each company.

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Figure 1-16. What ITIL is: ITIL implementation: Adopt and Adapt

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Unit 2. Process Implementation Strategy What This Unit Is About This unit is an introduction to IT service management as a coordinated set of processes. We will start with defining the need for processes, then look at what processes are, how they evolve, and how ITIL and Service Management bring value to companies to develop their business.

What You Should Be Able to Do After completing this unit, you should be able to think about how processes can help a company manage its assets better, with the ultimate objective of creating visible value for users and business customers.

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Unit 02

Process Implementation Strategy Content:

ƒ Understand processes and their benefits ƒ Introduce new processes or improve existing processes ƒ IT service management project ƒ Success factors, problem areas, costs

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Figure 2-1. Unit 02: Process Implementation Strategy

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Process Implementation

What is a process? ITIL focus on Processes A process is a sequence of interrelated activities that collectively take an input, add value to it, and produce an output which achieves a specific objective CONTROL Policy Budgets ...

Input

Process

Output Changed environment a report a resolved incident ..

Requests Incidents Alerts Requirements ... ENABLE People Tools Knowledge Resources 3

© 2004 IBM Corporation

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Figure 2-2. Process Implementation: What is a process?

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Notes: Process control can similarly be defined as:

the process of planning and regulating, with the objective of performing the process in an effective and efficient way. Processes, once defined, should be under control; once under control, they can be repeated and become manageable. Degrees of control over processes can be defined, and then metrics can be built in to manage the control process. The output produced by a process has to conform to operational norms that are derived from business objectives. If products conform to the set norm, the process can be considered effective (because it can be repeated, measured, and managed). If the activities are carried out with minimum effort, the process can also be considered efficient. Process result metrics should be incorporated in regular management reports.

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Process Implementation

A process flows across the organizational hierarchies within a company and sometimes flows across company boundaries

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Figure 2-3. Process Implementation: A process flows across the organizational hierarchies within a company and sometimes flows across company boundaries SM251.0

Notes:

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Process Implementation

Why do we need processes? ƒProcess serves as a foundation for the definition of the remaining elements of the management system-organization and technology ƒProcesses capture and document: -Ownership, responsibilities, measurements -Consistent, structured working practices -Policy decisions, scope, and objectives -Clear interfaces and two-way communication paths with other processes, people, and tools ƒProcesses ensure a stable, controlled, repeatable service that can be objectively measured against contract deliverables and service levels ƒProcesses enable: -Efficient and effective service to meet both client and provider needs -Cost and quality improvement

“Service-focused “Service-focused processes processes enable enable IT IT technology technology and and organization organization to to be be managed in ways which facilitate alignment with clients' business objectives.” managed in ways which facilitate alignment with clients' business objectives.” 5

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Figure 2-4. Process Implementation: Why do we need processes?

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Process Implementation

What are the benefits? (1) ƒGartner has reported that: -Around 70% of systems management technology implementations fail due to neglect of process and organization considerations -Approximately 80% of unplanned downtime is caused by process and people issues, with the remainder caused by technology failures and disasters -Up to 70% of ROI derives from process improvements rather than tools ƒThe implementation and continual improvement of effective processes utilizing best practices enable delivery of a service in which these errors are reduced

””Processes Processes are are critical critical to to maintain maintain effective effective business business operations.” operations.”

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Figure 2-5. Process Implementation: What are the benefits? (1)

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Process Implementation

What are the benefits? (2) A cross-organizational focus on commitment versus profitability

Customer Commitments

Profitability

EFFICIENCIES 7

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Figure 2-6. Process Implementation: What are the benefits? (2)

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Notes:

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Process Implementation

What are the benefits? (3) A cross-organizational focus on business results and customer satisfaction Delivery Costs

Customer Satisfaction

• Measurable • Auditable • Service Level Compliant

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Figure 2-7. Process Implementation: What are the benefits? (3)

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Process Implementation

Mission-critical changes or reorganizations within an IT corporation require new processes or needs to improve existing processes Which problems do IT organizations face today? ƒ Service costs not allocatable

ƒ ƒ ƒ ƒ ƒ

Difficulties to justify investments Service improvements not measurable A few people with too many responsibilities Reluctance to change organizational culture Lack of relationship management

Which challenges do IT organizations face today?

ƒ Should quality of IT services be improved? ƒ Is a merger with another organization planned? ƒ Are any mission-critical business changes planned?

ƒ

9

– Server consolidation – Additional clients to manage Is any OS migration planned?

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Figure 2-8. Process Implementation: Mission-critical changes or reorganizations within an IT corporation require new processes or needs to improve existing processes SM251.0

Notes:

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Process Implementation

Continuous processes improvement is also a trigger Does the IT organization have the capability to provide the required service with the required quality?

ƒ Are IT processes aligned with business processes? ƒ How are main processes integrated with each other? ƒ Are processes clearly defined, documented, and available for all concerned? ƒ Are process inputs measurable and repeatable? How efficiently is the existing IT organization providing services?

ƒ Method and tools used for process modeling and audit? ƒ How are IT processes tool supported? ƒ How difficult will it be to introduce or to change a process?

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Figure 2-9. Process Implementation: Continuous processes improvement is also a trigger

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Notes:

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Process Implementation

Why implement service management? The specific goals of IT are to develop and maintain IT services that: ƒ Develop and maintain good and responsive relationships with the business

ƒ Meet the existing IT requirements of the business ƒ Are easily developed and enhanced to meet future business needs, within appropriate timescales and costs

ƒ Make effective and efficient use of all IT resources ƒ Contribute to the improvement of the overall quality of IT service within the imposed cost constraints

One One of of the the main main objectives objectives of of ITIL ITIL is is to to assist assist IT IT service service provider provider organizations organizations “to “to improve improve IT IT efficiency efficiency and and effectiveness effectiveness while while improving improving the the overall overall quality quality of of service service to to the the business business within within imposed cost constraints”. imposed cost constraints”. 11

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Figure 2-10. Process Implementation: Why implement service management?

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Process Implementation

Service and Process

Preparing tables

Greeting and seating

Process 1

Process 2

Process 3

Process 4

Process 5

Manage Facilities

Handle Customer Interaction

Understand Customer Requirements

Realize Solution

Deploy Solution

Implement required processes, tools, and organization

Providing applications and reporting

Building the infrastructure 12

Preparing order

Delivering order, monitoring customer

Offer selection, taking order

Contacting potential customer

Determine the required quality of service

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Figure 2-11. Process Implementation: Service and Process

A delightful dining experience

Service

Availability of applications © 2004 IBM Corporation

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Notes:

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Process Implementation

Service, Process, Procedure, and work instructions A Service can be defined as: A specific output that provides customer value. It is a measurable product which is the basis for doing business with customer, and is delivered through a series of processes, or activities, or both. A Process can be defined as: a connected series of actions, activities, changes, and so on, performed by agents with the intent of satisfying a purpose or achieving a goal. A Procedure is a description of logically related activities, and who carries them out. A procedure may include stages from different processes. A procedure defines who does what, and varies depending on the organization. A set of work instructions defines how one or more activities in a procedure should be carried out.

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Figure 2-12. Process Implementation: Service, Process, Procedure, and work instructions

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Notes:

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Process Implementation

Project Management When implementing new processes in an organisation, there are benefits to running the activity as a project. One of the benefits of adopting a project approach to this activity is that it is possible to undertake the necessary investigations and have designated decision points where a decision can be made to continue with the project, change direction, or stop.

A A project project can can be be defined defined as: as: ”A ”A temporary temporary organization organization that that is is needed needed to to achieve achieve aa predefined predefined result result at at aa predefined predefined time time using using predefined predefined resources.“ resources.“

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Figure 2-13. Process Implementation: Project Management

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Process Implementation

3

Factors who will influence the success of an ITSM project

1. 1. Process Process 2. 2. Infrastructure Infrastructure 3. 3. Staff Staff 5. 5. Strategy Strategy

1

4

6. 6. Culture Culture & & Organization Organization

2

4. 4. Customers Customers

5

6

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Figure 2-14. Process Implementation: Factors who will influence the success of an ITSM project

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Notes:

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Process Implementation

People

ƒ implement the staff training plan and make this an ongoing activity, focusing on both social and technical skills

ƒ assign roles within the ITIL model to people, and make this part of their function description

ƒ delegate tasks and authorizations as low as possible in the organisation. Authority matrix: The ARCI model A–

accountability control the results of a process R – responsibility is responsible for the process and process activities C – consulted provide expertise, know-how to enable process I – informed is informed about the process and the process quality

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Figure 2-15. Process Implementation: People

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Process Implementation

Each task within a process is executed by a role Typical roles within IT Service Management (ITSM)

ƒ Process owner ƒ Process manager ƒ Process team member (internal and external)

17

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Figure 2-16. Process Implementation: Each task within a process is executed by a role

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Process Implementation

ITSM Project (1)

ƒBefore starting a project, an organization should have a vision about what the results are intended to be. ƒBy defining the means necessary to achieve the project result, it is possible to isolate these assets (people, budget, and so on) from the day-to-day activities. This increases the success rate of the project.

18

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Figure 2-17. Process Implementation: ITSM Project (1)

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Process Implementation

ITSM Project (2) The following process model should be used by the organization as the framework for the process improvement/introduction project.

19

Where do we want to be?

Visions and business objectives

Where are we now?

Assessments

How do we get where we want to be?

Process change

How do we know we have arrived?

Metrics

© 2004 IBM Corporation

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Figure 2-18. Process Implementation: ITSM Project (2)

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IBM Global Services

Process Implementation

From the above model, 5 phases of a ITSM project are definable Assessment the current situation

-Process model -Procedures -Authority matrix -Roles and responsibilities

Specification

-Management information -Quality assurance methods -Support tools

-Management reports -Procedures

-Tool

Organization

Definition of processes

Communication Strategy

Production of the project plan

Implementation/Improvement Project Review 20

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Figure 2-19. Process Implementation: From the above model, 5 phases of a ITSM project are definable

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Notes:

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Process Implementation

Maturity Level

Ongoing quality improvement The Deming Cycle Clockwise direction

Quality improvement

OPTIMIZED 5

Continuous step by step

Do

Plan

Check

Act

MANAGED 4

DEFINED

3

REPEATABLE

2

INITIAL

1

Quality Assurance P D C A

= Plan = Do = Check = Act

Consolidation of the level reached (e.g ISO 9001, BSI)

Time Scale 21

© 2004 IBM Corporation

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Figure 2-20. Process Implementation: Ongoing quality improvement

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Notes: For quality improvement, Deming proposed the Deming Cycle (or Circle). The four key stages are plan, do, check, and act, after which a phase of consolidation prevents the “circle” from “rolling down the hill” as illustrated in the figure. The consolidation phase enables the organization to take stock of what has been taking place and to ensure that improvements are embedded. Often, a series of improvements have been made to processes that require documentation (both to allow processes to be repeatable and to facilitate recognition of the achievement of some form of quality standard).

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IBM Global Services

Process Implementation

Communication Plan Managing change can only succeed with the correct use of communication. In order to ensure that all parties are aware of what is going on and can play a relevant part in the project, it is advisable to clarify how the project will communicate with all interested parties. Managing communications effectively involves the following nine steps:

ƒ ƒ ƒ ƒ ƒ ƒ ƒ ƒ ƒ 22

Describe the communications process in the change process from the start Analyze the communication structure and culture Identify the important target groups Assess the communication goals for each target group Formulate a communication strategy for each target group Choose the right communication media for each target group Write a communication plan Communicate Measure and redirect if necessary. ITIL Foundation Course | Student material v1.0

Figure 2-21. Process Implementation: Communication Plan

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Notes: Managing change can only succeed with the correct use of communication. A Service Management project will involve a lot of people but, typically, the outcome will affect the working lives of many more. Implementing or improving Service Management within an organization requires a change of mindset by IT management and IT employees as well as IT customers and users. Communication around this transformation is essential to its success. In order to ensure that all parties are aware of what is going on and can play a relevant part in the project, it is advisable to clarify how the project will communicate with all interested parties. A well-planned and executed communication plan will have a direct positive contribution to the success of the project. A good communication plan should be built on a proper concept of what communication is. Communication is more than a one-way information stream. It requires continuous attention to the signals (positive and negative) of the various parties involved. Managing communications effectively involves the following nine steps:

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• Describing the communications process in the change process from the start • Analyzing the communication structure and culture • Identifying the important target groups • Assessing the communication goals for each target group • Formulating a communication strategy for each target group • Choosing the right communication media for each target group • Writing a communication plan • Communicating • Measuring and redirecting if necessary. A communication plan describes how target groups, contents, and media are connected in a timeframe. Much like a project plan, a communication plan shows how actions, people, means, and budgets are to be allocated for the communication process.

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IBM Global Services

Process Implementation

Global Consideration

Process implementation

ev ie w

O gn Si

Detailed process description

R

ff

ff O gn

High-level process model

Si

As s

Pr

es

s

oj e

ct pl a

n

Process

Product Define tool requirements

Tool selection

People Awareness

23

ITIL training

Installation & configuration

Process workshops

ITIL Foundation Course | Student material v1.0

Figure 2-22. Process Implementation: Global Consideration

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Notes:

2-24 ITIL Foundation

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Process Implementation

Process Description To document processes, the following should be described: ƒ ƒ ƒ ƒ

A description of related activities with a defined goal Which input for the process Interfaces to other processes Definition of process parameters (who, where, what, when)

The benefits of process description:

ƒ ƒ ƒ ƒ

24

Process integrity Consistent view Comparable procedures Easy check and review

© 2004 IBM Corporation

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Figure 2-23. Process Implementation: Process Description

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IBM Global Services

Process Implementation

High-Level Design of a Process Organization strategy Organization targets

Evaluation (Control points, parameters, attributes)

Outputs

Inputs Activities

Process goals and implementation strategies 25

ITIL Foundation Course | Student material v1.0

Figure 2-24. Process Implementation: High-Level Design of a Process

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Process Implementation

A Process Implementation considers both an initial process design and an improvement of the existing environment ƒ Inputs / Premises – – – – – – –

High-level process flow Procedures Roles and responsibilities Tool (installed and configured) Personal (skills and know-how) Management commitment Enabler team in relation to the ”authority matrix“ – Awareness und acceptance by customer/user ƒ Develop a training plan

ƒ Develop a timetable – Setup of workshops and training events – Presentations – Handouts and documents – Marketing material ƒ Plan of workshops and deployment

ƒ Specify time and goals of coaching phase

ƒ Plan of the Initial Process Review and Adjustment phase

– Define target groups – Define training content after workshops

26

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Figure 2-25. Process Implementation: A Process Implementation considers both an initial process design and an improvement of the existing environment SM251.0

Notes:

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IBM Global Services

Process Implementation

A review is important for quality assurance Post-Project Review

ƒ Achievement of the project's objectives ƒ Performance against plan (estimated time and costs versus actuals) ƒ Effect on the original plan and business case over the time of the project ƒ Statistics on issues raised and changes made ƒ Total impact of changes approved ƒ Statistics on the quality of the work carried out (in relation to stated expectations)

ƒ Lessons learned Auditing for compliance using defined quality parameters and metrics

27

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Figure 2-26. Process Implementation: A review is important for quality assurance

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Notes:

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Define

ITIL Best Practices Service Management

Improve

Control

Evaluate

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© 2004 IBM Corporation

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Figure 2-27. Process Implementation: A review is important for quality assurance

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Notes: As the project draws to a close, it is important to analyze how the project was managed and to identify lessons that were learned along the way. This information can then be used to benefit the project team as well as the organization as a whole. An End Project Report typically covers: • Achievement of the project's objectives • Performance against plan (estimated time and costs versus actuals) • Effect on the original plan and business case over the time of the project • Statistics on issues raised and changes made • Total impact of changes approved • Statistics on the quality of the work carried out (in relation to stated expectations) • Lessons learned • A post-project review plan

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Post-project review The business case will have been built from the premise that the outcome of the project will deliver benefits to the business over a period of time. Thus, delivery of benefits needs to be assessed at a point after the project products have been put into use. The post-project review is used to assess whether the expected benefits have been realized, as well as to investigate whether problems have arisen from use of the products. Each of the benefits mentioned in the business case should be assessed to see how well, if at all, it has been achieved. Other issues to consider are whether there were additional benefits, or unexpected problems. Both of these can be used to improve future business cases. If necessary, follow-up actions may be identified to improve the situation that then exists. Auditing for compliance using quality parameters Process quality parameters can be seen as the “operational thermometer” of the IT organization. Using them, you can determine whether the IT organization is effective and efficient. Quality parameters need to be quantified for your own circumstances. However, this task will be easier once you have determined the required service levels and internal service requirements. There are two types of quality parameters: process-specific and generic. Generic quality parameters for IT Service Management: Generic quality parameters that need to be considered include: • Customer satisfaction • Staff satisfaction • Efficiency • Effectiveness Appropriate information should be collected to rate the organization’s performance relative to these parameters. The nature of the information required will vary depending on how you decide to judge each aspect, but what information is required should be clearly thought through from the start of the project so that measurement is possible during the post-project review. Process-specific parameters Process-specific metrics for each process are discussed in each of the process-specific chapters of this book.

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Process Implementation

Critical success factors Successful Service Management processes should:

ƒ Be of sound design, adapted to the culture of the organization in question, but rigorous in their expectation of discipline in the manner of their following

ƒ Provide a good understanding of the customer requirements, concerns, and business activities, and deliver business-driven rather than technologydriven services

ƒ Enhance customer satisfaction ƒ Improve value for money, resource utilization, and service quality ƒ Deliver an infrastructure for the controlled operation of ongoing services by formalized and disciplined processes

ƒ Equip staff with goals and an understanding of customers' needs

29

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Figure 2-28. Process Implementation: Critical success factors

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IBM Global Services

Process Implementation

Possible problems Problems with Service Management processes that may be encountered include:

ƒ Excessively bureaucratic processes, with a high percentage of the total support headcount dedicated to administering Service Management

ƒ Inconsistent staff performance for the same process (often accompanied by noticeable lack of commitment to the process from the responsible staff)

ƒ Lack of understanding on what each process should deliver ƒ No real benefits, service-cost reductions, or quality improvements arising from the implementation of Service Management processes

ƒ Unrealistic expectations, so that service targets are rarely hit ƒ No discernible improvement

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Figure 2-29. Process Implementation: Possible problems

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Process Implementation

Project costs The costs associated with the implementation and running of the processes are roughly categorized as follows: ƒ Project management costs

ƒ Project delivery costs (consultancy fees, project team for implementation, process owner)

ƒ Equipment and software ƒ Training costs (including awareness, training in specific tools, and training in business awareness)

ƒ Documentation costs ƒ Ongoing staff and accommodation costs (for running the processes, including subsequent training needs).

31

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Figure 2-30. Process Implementation: Project costs

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Notes: When building the business case for a project, it is essential to be clear about what the project costs are, and what the ongoing running costs of the Service Management processes will be. Project costs are one-off costs, while the running costs form a commitment for the organization that may involve long-term contracts with suppliers. The costs of implementing IT Infrastructure Library processes clearly vary according to the scale of operations. The costs associated with the implementation and running of the processes are roughly categorized as follows: • Project management costs • Project delivery costs (consultancy fees, project team for implementation, process owner) • Equipment and software • Training costs (including awareness, training in specific tools, and training in business awareness) • Documentation costs © Copyright IBM Corp. 2004

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• Ongoing staff and accommodation costs (for running the processes, including subsequent training needs) The costs of failing to provide effective processes can be considerable.

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Unit 3. Service Desk (SPOC) What This Unit Is About This unit is an introduction to the Service Desk, the single point of contact between the users and the IT Services organization.

What You Should Be Able to Do After completing this unit, you should be able to think about the responsibilities and obligations of the service desk, and understand the benefits of the ITIL framework.

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Unit 03

Service Desk (SPOC) Content:

ƒ Service Desk – objective and overview ƒ Responsibilities and obligations ƒ Important aspects – – – –

User interaction Service Desk technologies Operational standards Implementation considerations

ƒ Costs, benefits, risks ƒ Best practices ƒ Summary

ITIL Foundation Course | Student material v1.0

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Figure 3-1. Unit 03: Service Desk (SPOC)

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Service Desk

Integration into the IPW Model

Source: IPW Model is a trade mark of Quint Wellington and KPN Telecoms 3

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Figure 3-2. Service Desk: Integration into the IPW Model

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Service Desk The Service Desk is the Single Point of Contact [SPOC] between the users and the IT Services Organization ITIL defines customers and users ƒ Customers People (generally senior managers) who commission, pay for, and own the IT services, sometimes referred to as "the business" ƒ Users People who use the services on a day-to-day basis

Incident Problem Change .... Service Desk

Users IT Service Organization Customers ITIL Foundation Course | Student material v1.0

4

© 2004 IBM Corporation

Figure 3-3. Service Desk: The Service Desk is the Single Point of Contact [SPOC] between the users and the IT Services Organization SM251.0

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Service Desk

Mission Statement The Service Desk is the focal point for all service requests from the business users to the IT organization To record and manage the life cycle of incidents, with an emphasis in rapid restoration of service with minimal business impact, a Service Desk or Service Desk organization is recommended. Help Desk, Service Line, and First-Level Support are used as synonyms for Service Desk. For the users, the Service Desk is there to: ƒ provide a central communication interface

Requests Requests Incidents Incidents

ƒ recover interrupted service as soon as possible

Service Desk as Single Point of Contact

5

© 2004 IBM Corporation

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Figure 3-4. Service Desk: Mission Statement

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IBM Global Services

Service Desk

The Service Desk is traditionally seen as a group of specialists who have the required knowledge to process any kind of request or incident The Function Service Desk can reach a high efficiency using the following measures: ƒ Definition of the “service” mentality in the Service Desk documentation. The task of the Service Desk does not only consist of “resolving an incident”, but mainly in the “immediate recovery of the user’s service”.

ƒ Definition of clear processes to support the activities of Service Desk members (Incident Management process).

ƒ Definition of close relationships between Service Desk and other important ITSM processes, such as Problem Management. The importance of the Service Desk is seen particularly in its special role as interface between IT and the user; thus the Service Desk represents the IT organization from the user’s point of view.

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Figure 3-5. Service Desk: The Service Desk is traditionally seen as a group of specialists who have the required knowledge to process any kind of request or incident SM251.0

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Service Desk

The Importance of the Service Desk The Service Desk ƒ .... directly performs customer-oriented service.

ƒ ƒ ƒ ƒ ƒ ƒ ƒ ƒ ƒ ƒ ƒ ƒ

7

.... interacts with the users. .... is a decisive factor of the acceptance of IT. .... strives to provide a faster and more direct incident recovery. .... coordinates second- and third-level support. .... recognizes the current needs of the user. .... performs organized support, instead of disorganized support performed in a rush. .... is able to organize support with high availability economically. .... centrally evaluates incident reports. .... proves the effectiveness of changes and improvements performed. .... recognizes problems early. .... reduces customer requests on a long-term basis. .... supplies information about IT productivity.

© 2004 IBM Corporation

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Figure 3-6. Service Desk: The Importance of the Service Desk

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Service Desk

Communication Communication is one of the success factors for IT services management. Communication is key for quality of service. The Service Desk informs about: ƒ current status of services

ƒ usability ƒ planned changes Service quality supports customer relations. Because of the importance of communication with users, IT services demands a position which fulfils this task with..... ƒ .... dedication

ƒ .... and especially competency..

ƒ The Service Desk is a function of Service Management and not a process within Service Management.

ƒ This function is held by an internal organization unit.

ƒ SPOC – Single Point of Contact. ƒ All requests, information, wishes, claims, complaints, requirements, and so on, are transferred via the Service Desk to the relevant departments, and information is passed from there via the Service Desk to the customer.

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Figure 3-7. Service Desk: Communication

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Service Desk

Service Desk Responsibility The Service Desk is responsible for:

ƒ Servicing the user contact point ƒ Controlling incident recovery ƒ Supporting the running of the business

SPOC Incident Mgmt 1st Level Support

ƒ Providing management information

9

Reporting

© 2004 IBM Corporation

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Figure 3-8. Service Desk: Service Desk Responsibility

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Service Desk

Service Desk Activities

ƒ Call handling ƒ Recording and tracking service requests, including incidents, until closure and verification with the user

ƒ Requesting incident classification and initial support, including forwarding to second level, within Service Level Agreements (SLA)

ƒ Keeping customer informed on request status and priority ƒ Initiating escalation procedures in relation to the SLA ƒ Coordinating incident handling until resolution with 2nd- and 3rd-line support ƒ Helping to identify problems by recording all incidents ƒ Providing management information and recommendations for service improvement

ƒ Communicating planned changes to users

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Figure 3-9. Service Desk: Service Desk Activities

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Service Desk

Processes within the Service Desk user user request request

user user creation of ticket

admin admin request request

entry

incident incident

registration, analysis

advise, information

entitlement check

if required, delivery of information material

initiation of measures

informed informed user user

user user with with change change

change

direct solution transfer

2nd level

callback

documentation

customer information

tracking and escalation

complaint complaint

11

complaint entry

handling

recover satisfaction

initiation of follow-up actions

satisfied satisfied user user

satisfied satisfied user user

© 2004 IBM Corporation

ITIL Foundation Course | Student material v1.0

Figure 3-10. Service Desk: Processes within the Service Desk

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IBM Global Services

Service Desk

Inputs and Outputs

Telephone requests Request via e-mail/voice/ video

Fax requests Requests via Internet/ browser

Hardware/ application events

Management information and monitoring

Escalations Service Desk

External service support

12

Product support

Sales & Marketing

Contract support

ITIL Foundation Course | Student material v1.0

Figure 3-11. Service Desk: Inputs and Outputs

Internal service support

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Service Desk

There are 3 Service Desk Types (1): the Local Service Desk There is no “universal” type of Service Desk. Choosing which one to adopt depends on a number of factors:

ƒ Establishment of identical processes and procedures in all locations

User 1

User 2

User 3

ƒ Transfer of local skills to other Service Desks

ƒ Assurance of compatibility of

Local Service Desk

hardware, software, and network

First-Level-Support

ƒ Usage of identical escalation processes and identical codes for impact, severities, priorities, and status in all locations

13

Desktop Support

Network Support

Application Support

System & Operation Support

Vendor Support

© 2004 IBM Corporation

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Figure 3-12. Service Desk: There are 3 Service Desk Types (1): the Local Service Desk

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Notes: These three slides describe the key factors of each service desk type.

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IBM Global Services

Service Desk

There are 3 Service Desk Types (2): Central Service Desk Customer location 1

Customer location 2

Central Service Desk

Customer location 3

First-level support

ƒ Reduced operational costs ƒ Consolidated management overview ƒ Improved usage of available resources

Second-level support

Desktop support

14

Network support

Application support

System & operation support

ITIL Foundation Course | Student material v1.0

Figure 3-13. Service Desk: There are 3 Service Desk Types (2): Central Service Desk

Other manufacturer support

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Service Desk

There are 3 Service Desk Types (3): Virtual Service Desk ƒ “Follow the sun” ƒ Common, agreed-on language should be used for data entry ƒ Depends on the technology in use (not every tool is able to build a VSD)

Virtual Service Desk

Sydney Service Desk

Service Management database

Amsterdam Service-Desk Seattle Service Desk

location 1

location ‘n’ local user other manufacturer/ supplier service desks

remote user 15

© 2004 IBM Corporation

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Figure 3-14. Service Desk: There are 3 Service Desk Types (3): Virtual Service Desk

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Service Desk

User empowerment (self-help) enhances customer satisfaction while lowering support cost User value: ƒ Empowers them with ability to resolve problems at their own pace ƒ Benefit from the ability to get assistance in context ƒ Spend less time on call resolution ƒ Avoids costly and inconvenient re-imaging solutions ƒ Consistent 7x24 support experience Support Center Value: ƒ Self-support tools and self-healing tools eliminate calls to the call center ƒ Arms the agent with information about the user prior to initiating contact ƒ Remote control and chat improve agent productivity ƒ Increases customer satisfaction ƒ Reduces dependency on desk-side support ƒ Allows support professionals to focus on the incidents that do require assistance

16

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Figure 3-15. Service Desk: User empowerment (self-help) enhances customer satisfaction while lowering support cost

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Service Desk

A crucial success factor is standardized working methods In order to ensure efficiency, person-independent quality, integrity of data, and traceability, a highly standardized working method is necessary. Therefore, actions are mainly performed: ƒ supported by tools

ƒ with electronic forms ƒ on standard solution and configuration databases For help, one can refer to a support manual, which contains all procedures and necessary information.

17

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Figure 3-16. Service Desk: A crucial success factor is standardized working methods

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Service Desk

Setting up a Service Desk For the conceptual design of a Service Desk, you will have to consider the following points:

ƒ Number of expected calls ƒ Structure of the Service Desk: central or local

ƒ Tools (hardware, software, and telephone systems)

ƒ The way business operates, and working procedures of the users

ƒ Service Desk processes ƒ Workload distribution between first-, second-, and third-level support

ƒ Know-how of Service Desk team

18

For setting up a Service Desk, the following points have to be considered:

ƒ Business goals that users aim for ƒ Support by management ƒ Involvement of users to find a common understanding

ƒ Involvement of members of staff ƒ Explain to those involved the benefits and their responsibilities

ƒ In project management quick wins, several phases with defined milestones

ƒ Marketing of new services

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Figure 3-17. Service Desk: Setting up a Service Desk

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Service Desk

Benefits and Costs Benefits:

ƒ ƒ ƒ ƒ ƒ

Complete incident control Effective support of the specialist department Higher user productivity Improved relationship between IT and users Significant management information

Costs:

ƒ Costs vary depending on type and volume of Service Desk tasks ƒ Include purchase price for hardware, software, employees, and premises; and current costs for employees, premises and telephony

19

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Figure 3-18. Service Desk: Benefits and Costs

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Service Desk

Risks Without Service Desk:

ƒ Users don’t know whom to contact in case of an incident

ƒ Incidents are not registered and get forgotten

ƒ Incident escalation cannot be addressed properly

ƒ IT specialists are interrupted by user calls

ƒ Higher effort for resolving problems ƒ No conclusive management

With Service Desk:

ƒ The Service Desk could become a bottleneck when there are more incidents or users than expected

ƒ User still contact the specialists if they had been doing this in the past

ƒ Tensions between Service Desk and other IT service fields are likely, especially if the Service Desk does not escalate in compliance with regulations or even report directly to IT management

information

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Figure 3-19. Service Desk: Risks

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Service Desk

Best Practices ƒ Standardized documentation of caller data ƒ Automatic ID allocation of the request; sending of return receipt and feedback form ƒ Selective administration of user data in the Configuration Management Data Base ƒ Usage of CTI and ACD technologies (voice calls, routing, and so on) ƒ Utilization of system monitoring for early detection of service impairment ƒ Staff from second-level support are temporarily deployed in Service Desk ƒ Large Service Desks are structured in teams with special know-how and are supported by skill routing

ƒ Working with super users

CTI = Computer Telephony Integration ACD: Automatic Call Distribution 21

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Figure 3-20. Service Desk: Best Practices

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Service Desk

Summary ƒ Service Desk is a function, not a process within Service Management ƒ Service Desk is the focal point for all service requests from business users directed to the IT organization (including third-party providers), and manages them within Service Level Agreements

ƒ Service Desk responsibilities include: – – – –

Single Point of Contact (SPOC) Incident Management First-level support Reporting

ƒ Service Desk is the window on the level of service offered by the IT organization to the business

ƒ Keeps users up-to-date with the status of their service request ƒ Provides management information on relevant topics regarding the service ƒ Three Service Desk types: Local, Central, and Virtual Service Desk 22

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Figure 3-21. Service Desk: Summary

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Unit 4. Incident Management What This Unit Is About This unit is an introduction to Incident Management, and its relationship with the Service Desk.

What You Should Be Able to Do After completing this unit, you should be able to think about the responsibilities and obligations of this service, and understand the benefits of the ITIL framework.

© Copyright IBM Corp. 2004

Unit 4. Incident Management Course materials may not be reproduced in whole or in part without the prior written permission of IBM.

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Unit 04

Incident Management Content:

ƒ Incident Management – objective and overview ƒ Some definitions ƒ Responsibilities and obligations ƒ Important aspects: – – – –

Incident lifecycle Incident recording Incident priority Escalation

ƒ Benefits and risks ƒ Best practices ƒ Summary

ITIL Foundation Course | Student material v1.0

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Figure 4-1. Unit 04: Incident Management

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Incident Management

Integration into the IPW Model

Source: IPW Model is a trade mark of Quint Wellington and KPN Telecoms 3

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Figure 4-2. Incident Management: Integration into the IPW Model

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Incident Management

Mission statement The primary goal of incident management is to restore normal service operation, within Service Level Agreement limits, as quickly as possible, after an incident has occurred to that service, and minimize the adverse impact on business operations. Practice shows that handling both of failures in the infrastructure and of service requests is similar, and both are therefore included in the definition and scope of the process for Incident Management. The Service Desk is responsible for monitoring the resolution process of all registered incidents; indeed the Service Desk is the owner of all incidents. The process is mostly reactive. To react efficiently and effectively therefore demands a formal method of working that can be supported by software tools. Goals of Incident Management: ƒ Restore the service as quickly as possible. ƒ Minimum disruption to users’ work ƒ Management of an incident during its entire lifecycle ƒ Support of operational activities

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Figure 4-3. Incident Management: Mission statement

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Incident Management

Definition: Incident, Problem and “Known Error” Incident An event, not part of the standard operation of a service, which causes, or may cause, an interruption or reduction in the quality of that service Problem (Unknown Error) The unknown cause of one or more incidents (which are not resolved in any case when finalizing the incident) Normally a problem record is raised only if investigation is warranted. “Known Error” A problem which is successfully diagnosed and for which a workaround has been identified

5

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Figure 4-4. Incident Management: Definition: Incident, Problem and “Known Error”

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Incident Management Tasks Support of operational processes

User Interface

Incident Incident Management Management

Management Information

Incident Control Problem Management

ITIL Foundation Course | Student material v1.0

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Figure 4-5. Incident Management: Tasks

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Notes: Help desk and incident control: Even if the incident is transferred to second- or third-level support, the service desk is responsible for the management of the incident, giving feedback to the user, and so on.

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Incident Management

Progress control

Responsibility

Reporting

Quality assurance

7

Incident ownership, monitoring, tracking, and communication

Activity incident handling Identification and registration of incidents

First classification and support

Yes Service Request?

Service Request Procedure

No Analysis and diagnosis

Troubleshooting and recovery

Incident closure © 2004 IBM Corporation

ITIL Foundation Course | Student material v1.0

Figure 4-6. Incident Management: Activity incident handling

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Notes: Incident management activities: • Incident handling • To restore normal working conditions as quickly as possible • Incident monitoring • Registration of incidents

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Unit 4. Incident Management Course materials may not be reproduced in whole or in part without the prior written permission of IBM.

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Incident Management

The status of an incident reflects its current position in its lifecycle Incident detection and recording

new

accepted Classification and initial support planned Yes Service Request?

Service Request Procedure

No

assigned

in process

Investigation and diagnosis on hold Resolution and recovery

Incident closure

solved

closed

ITIL Foundation Course | Student material v1.0

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Figure 4-7. Incident Management: The status of an incident reflects its current position in its lifecycle

© 2004 IBM Corporation

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Notes: The status of an Incident reflects the current position in its lifecycle, sometimes known as its workflow position. Everyone should be aware of each status and its meaning. Some examples of status categories might include: • New • Accepted • Scheduled • Assigned/dispatched to specialist • Work in progress (WIP) • On hold • Resolved • Closed

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Throughout an Incident lifecycle, it is important that the incident record be maintained. This allows any member of the service team to provide a customer with an up-to-date progress report. Examples of update activities include: • Update history details • Modify status (such as “new” to “work-in-progress” or “on hold”) • Modify business impact or priority • Enter time spent and costs • Monitor escalation status An originally reported customer description may change as the incident progresses. It is, however, important to retain the description of the original symptoms, both for analysis and so that you can refer to the complaint in the same terms used in the initial report. For example, the customer may have reported a printer not working, which is found to be have been caused by a network failure. When responding to the customer, it is better initially to explain that the printer incident has been resolved rather than to talk about resolution of network problems.

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IBM Global Services

Service Desk

Data center Data center operation operation

Net operation Net operation

Organization Organization

Other sources Other sources

Report of an incident

Ownership, tracking, Ownership, evaluation, tracking, information evaluation, information

Incident detection and recording Incident detection and recording

CMDB CMDB

Classification and initial support Classification and initial support Service Request?

Process for Service Request

Investigation and diagnosis Investigation and diagnosis Resolution and recovery Resolution and recovery

Problem Problem errors errors DB DB

Incident closure Incident closure

Change Management 9

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Figure 4-8. Relationship with other IT services

Problem Management © 2004 IBM Corporation

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Incident Management

Use of standard registration, documentation, and methods is basis of success Data about an incident Identification & registration of incidents

First classification and support

Service Request?

Yes

Service Request Procedure

No Analysis and diagnosis

Troubleshooting and recovery

ƒ ƒ ƒ ƒ ƒ ƒ

Reporter of the incident Name, user ID Phone number Department Department number Affected person

ƒ ƒ ƒ ƒ ƒ

Incident ID Date, time Status Effect, severity, priority Service Level

ƒ ƒ ƒ

Affected system Inventory number, CI ID Class/ type/ model

ƒ ƒ ƒ

Symptom description Category Free text description

ƒ ƒ ƒ ƒ ƒ ƒ ƒ

Problem editor Transfer to Performed actions Solution Date, time Category History

Incident Closure

10

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Figure 4-9. Incident Management: Use of standard registration, documentation, and methods is basis of success

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Incident Management

Classification: Find service affected, match against SLA, and assign priority Identification & registration of incidents

Classification:

First classification and support

Service Request?

Yes

ƒ Impact

Service Request Procedure

– Reflects business criticality of the incident – Reflects extent to which an incident leads to degradation of SLA, such as number of users that suffer ƒ Urgency – Reflects required speed of solving an incident ƒ Workload – Reflects expected effort to solve the incident ƒ Priority – Reflects order in which to solve the incidents

No Analysis and diagnosis

Troubleshooting and recovery

Incident Closure

Priority = Impact x Urgency 11

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Figure 4-10. Incident Management: Classification: Find service affected, match against SLA, and assign priority

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Notes: One of the important aspects of managing an incident is to define its priority: how important it is, and its impact on the business. The responsibility for its definition lies with Service Level Management within the parameters set in the Service Level Agreement (SLA). The priority with which incidents need to be resolved, and therefore the amount of effort to be put into the resolution of, and recovery from, incidents, will depend upon: • Impact on the business • Urgency to the business • Size, scope, and complexity of the incident • Resource availability, for coping in the meantime, and for correcting the fault.

Impact is a measure of the business criticality of an incident or problem, often equal to the extent to which an incident leads to degradation of agreed service levels. Impact is often measured by the number of people or systems affected. Criteria for assigning impact should be set up in consultation with the business managers and formalized in SLAs.

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Incident Management

Priority order for handling incidents is primarily defined by impact and urgency

Urgency

ƒA simple priority matrix example

Priority 2

Priority 1

Limited damage, should be recovered immediately

Significant damage, must be recovered immediately

Priority 4

Priority 3

Limited damage, does not need to be recovered immediately

Significant damage, does not need to be recovered immediately

Impact 12

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Figure 4-11. Incident Management: Priority order for handling incidents is primarily defined by impact and urgency

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Incident Management

Each priority is related to a certain recovery time…

Priority 1: Significant damage, must be recovered immediately

1 hour

Priority 2: Limited damage, should be recovered immediately

2 hours

Priority 3: Significant damage, does not need to be recovered immediately

4 hours

Priority 4: Limited damage, does not need to be recovered immediately

8 hours

13

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Figure 4-12. Incident Management: Each priority is related to a certain recovery time…

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Incident Management … This results in an appropriate escalation Functional versus hierarchical escalation Managing Board

Information / Support (Escalation)

Hierarchical Escalation

Incident Mgt.

Functional Escalation

Transfer or integration of further knowledge carriers 14

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Figure 4-13. Incident Management: … This results in an appropriate escalation

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Notes: Escalation is the mechanism that assists timely resolution of an incident. It can take place during every activity in the resolution process. There are two levels of escalation possible: • Hierarchical (vertical escalation): for example, asking management for more human resources, equipment, or both (exception) • Functional (horizontal escalation): for example, ask a specialist (second-line support) Transferring an incident from first-line to second-line support groups or further is called functional escalation, and primarily takes place because of a lack of knowledge or expertise. Preferably, functional escalation also takes place when agreed time intervals elapse. The automatic functional escalation based on time intervals should be planned carefully and should not exceed the (SLA) agreed resolution times.

Hierarchical escalation can take place at any moment during the resolution process when it is likely that the resolution of an incident will not be in time or satisfactory. In case of a lack of knowledge or expertise, hierarchical escalation is generally performed manually (by the © Copyright IBM Corp. 2004

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Student Notebook

Service Desk or other support staff). Automatic hierarchical escalation can be considered after a certain critical time interval, when it is likely that a timely resolution will fail. Preferably, this takes place long enough before the (SLA) agreed resolution time is exceeded so that corrective actions by authorized line management can be carried out, for example hiring third-party specialists.

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Incident Management

Escalation Objective of an escalation or escalation procedure is the avoidance or minimizing of material or immaterial damage. The definition of an escalation comprises:

ƒ escalation trigger ƒ escalation measures ƒ escalation levels The combination of the three keys results in an ƒ escalation matrix with escalation paths The escalation procedures should be clearly agreed between all involved parties. Escalation can usefully improve service provision only if it is accepted by all parties. Escalation should not be misused as a proof of guilt.

15

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Figure 4-14. Incident Management: Escalation

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Incident Management

Escalation – Trigger and Measures Escalation trigger The escalation trigger indicates at which opportunity, state, or incident the procedure of processing a problem will be intensified, increased, or changed in order to recover the service. ƒ ƒ ƒ ƒ ƒ

after exceeding the reaction time one hour before the expiration of the recovery time when exceeding the recovery time after the third transfer VIP

Escalation measures Once an escalation has been released, incident processing is intensified, increased, or changed in order to recover the service. This results in raising of three general possible measures: ƒ Organisational measurements, such as calling in third level or the vendor; ƒ Information, such as to the higher hierarchical level; ƒ Increased assignment of resources: budget, staff, material

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Figure 4-15. Incident Management: Escalation – Trigger and Measures

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Incident Management

Escalation – Escalation Levels Escalation Levels Escalation levels ensure that for repeated occurrences of an escalation trigger, the according measures are intensified, increased, or changed. Reasons for increasing the escalation level can be the following: ƒ threatening exceeding or already expired reaction time;

ƒ threatening exceeding or already expired recovery time; ƒ very high priority of the disrupted service

17

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Figure 4-16. Incident Management: Escalation – Escalation Levels

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Incident Management

Escalation – Example of an Escalation Matrix Escalation steps Priority

0

1

2

3

4

Measures 1

2 3 4 5

18

very urgent and very important

to inform

urgent and important

to inform

urgent and not important

to inform

not urgent and important

to inform

not urgent and not important

to inform

measures

measures measures measures

measures

ITIL Foundation Course | Student material v1.0

Figure 4-17. Incident Management: Escalation – Example of an Escalation Matrix

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Incident Management

Input and Output Output

Input

ƒ Incident reports from Service Desk

Management

and Monitoring

ƒ Information about users, system configuration, service levels

ƒ Information about solutions, tested workarounds

ƒ Information about changes performed

19

ƒ Requests for change to Change ƒ Information about incidents or problems to Problem Management

ƒ Solved and closed incidents ƒ Information to the user ƒ Reports to management

© 2004 IBM Corporation

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Figure 4-18. Incident Management: Input and Output

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Incident Management

Benefits

ƒ Reduced business impact of incidents by timely resolution ƒ Proactive identification of possible enhancements ƒ Management information related to business-focused SLA ƒ Improved monitoring ƒ Improved management information related to aspects of service ƒ Better staff utilization: no more interruption-based handling of incidents ƒ Elimination of lost incidents and service requests ƒ Better CMDB information ƒ Better user/customer satisfaction

20

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Figure 4-19. Incident Management: Benefits

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Incident Management

Risks Potential problem areas:

ƒ No management/staff commitment, hence no resources ƒ Lack of clarity of business needs ƒ Badly-defined service goals ƒ Working practices not reviewed or changed ƒ No service levels defined with customer ƒ Lack of knowledge on resolving incidents ƒ The quality of the Configuration Database ƒ No integration with other processes ƒ Resistance to using process

21

© 2004 IBM Corporation

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Figure 4-20. Incident Management: Risks

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Incident Management

Best Practices

ƒ Integration with Service Level Management ƒ Qualified processing of requests instead of simple transfer ƒ More important than just a cost reduction is the increase of the company’s efficiency

ƒ Separation of incident and problem management

22

ITIL Foundation Course | Student material v1.0

Figure 4-21. Incident Management: Best Practices

© 2004 IBM Corporation

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Notes: The integration with Service Level management means that the service desk is aware of the availability and constraints within the provision of services. Some service desks may have just a "dispatching" role concerning incoming calls, and other individuals may then have to handle the incoming incidents from a technical point of view. It would be preferable, however, to have broad-skilled service desk operators who do handle the incidents themselves, rather than just registering calls and routing them. Interpersonal skills are essential for service desk personnel, as every contact with the customer is an opportunity to improve the customer’s perception of the IT function. Consider how many of your technical staff are currently skilled and trained to manage the customer interface for your department or organization. Support departments often mistake “quick fixes” for good service. In some cases, this is, of course, true. The customer wants a fix or response, but knows that this is not always practical. It is important to engender in customers and users the confidence that, once an incident has been reported, it will be professionally managed. If that confidence is not present, they may revert to calling their favorite support specialist and bypass the service desk. In some cases, they might stop calling on IT altogether. 4-24 ITIL Foundation

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Incident Management

Summary ƒ The goal of incident management is to restore normal service operation, within Service Level Agreement limits, as quickly as possible, after an incident has occurred to that service, and to minimize the adverse impact on business operations.

ƒ Incident Management process – – – – –

Incident detection and recording Classification and initial support Investigation and diagnosis Resolution and recovery Incident closure

ƒ Prioritization primarily determined by impact on business and urgency with which a resolution or workaround is needed; correct prioritization enables optimum staffing and use of other resources to customer satisfaction.

ƒ Escalation (functional and hierarchical)

23

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Figure 4-22. Incident Management: Summary

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Unit 5. Problem Management What This Unit Is About This unit is an introduction to Problem Management, and its relationship within IT Services.

What You Should Be Able to Do After completing this unit, you should be able to think about the mission of this service, and understand its benefits within the ITIL framework.

© Copyright IBM Corp. 2004

Unit 5. Problem Management Course materials may not be reproduced in whole or in part without the prior written permission of IBM.

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Unit 05

Problem Management Content:

ƒ Problem Management – objective and overview ƒ Some definitions ƒ Responsibilities and obligations ƒ Important aspects – Incidents, problems, and changes – Proactive/reactive problem management

ƒ Benefits, costs, risks ƒ Best practices ƒ Summary

ITIL Foundation Course | Student material v1.0

2

Figure 5-1. Unit 05: Problem Management

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Problem Management

Integration into the IPW Model

Source: IPW Model is a trade mark of Quint Wellington and KPN Telecoms 3

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Figure 5-2. Problem Management: Integration into the IPW Model

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Notes:

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Unit 5. Problem Management Course materials may not be reproduced in whole or in part without the prior written permission of IBM.

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Problem Management

Mission statement The goal of Problem Management is to minimize the adverse impact of Incidents and problems on the business that are caused by errors within the IT Infrastructure, and to prevent recurrence of incidents related to these errors. In order to achieve this goal, Problem Management seeks: ƒ To find the root cause of problems and to initiate corrective action

ƒ Permanently reduce number and severity of incidents and problems by identifying improvements in the infrastructure

2 aspects:

ƒ Reactive: identify and solve problems in response to one or more incidents ƒ Proactive: analyze trends of incidents, and identify and solve problems before they occur

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Figure 5-3. Problem Management: Mission statement

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Problem Management

Some definitions: Problem, Known Error, and RFC

Problem The unknown cause of one (significant) incident or multiple incidents exhibiting common symptoms (which are not resolved in any case when finalizing the incident) Normally a problem record is raised only if investigation is warranted. Known Error A problem that is successfully diagnosed and for which a workaround has been identified Request for Change (RFC) Request for Change to any component of an IT infrastructure or to any aspect of an IT service

5

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Figure 5-4. Problem Management: Some definitions: Problem, Known Error, and RFC

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Notes: A problem is a condition often identified as a result of multiple incidents that exhibit common symptoms. Problems can also be identified from a single significant incident, indicative of a single error, for which the cause is unknown, but for which the impact is significant. A known error is a condition identified by successful diagnosis of the root cause of a problem, and the subsequent development of a workaround. Structural analysis of the IT infrastructure, reports generated from support software, and user-group meetings can also result in the identification of problems and known errors. This is proactive Problem Management. Problem control focuses on transforming problems into known errors. Error control focuses on resolving known errors structurally through the Change Management process.

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Problem Management

Tasks Incident Management Problem Control

Incident Control

Problem Problem Management Management

Management Information

Error Control

RFCs

Change Management

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Figure 5-5. Problem Management: Tasks

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Notes: The Problem Management process is intended to reduce both the number and severity of incidents and problems on the business. Therefore, part of Problem Management's responsibility is to ensure that previous information is documented in such a way that it is readily available to first-line and other second-line staff. This is not simply a matter of producing documentation. What is required includes: • The information to be indexed so that it is easily referenced by simple and detectable triggers from new incidents • Regular inspection to ensure the continued relevance of documentation in the light of changing: - Technology - Available external solutions - Business practices and requirements - In-house skills

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- Frequency and impact of recurring incidents - Interpretation of internal best practice • That the process should be subject to a detailed review • Staff using the information to be trained to understand the depth and power of the information available, how to access and interpret it, and their role in providing feedback on its relevance and ease of use • A suitable repository for the information, typically based on an integrated Service Management tool which can capture it at logging or first-analysis stage of the incident handling process.

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Problem Management Scope Problem control, error control, and proactive Problem Management are all within the scope of the Problem Management process Problem Control: Handle problems in an effective way. Identify root cause (CI at fault), and provide the Service Desk with information and workaround. Similar to incident control, but more carefully managed to avoid reoccurrence. Error Control: Progresses from known errors until elimination by implementation of a change. Proactive Problem Management: Analysis of trends from incident records provides view on potential problems before they occur

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Figure 5-6. Problem Management: Scope

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Problem Management

Activity: Problem Control Problem Control is concerned with:

Progress Control

Identification and Registration

ƒ Problem identification and recording: if incidents cannot be matched against known errors and problems, or are recurring. Also when major Incident occurs.

ƒ Problem classification: determine effort

Classification

Responsibility

required to detect and recover failing CI. Impact on service levels assessed. CMDB helps! Determine: category, impact, urgency, priority.

ƒ Problem investigation and diagnosis: leading to a known error (which includes a workaround for the associated incident). Find underlying cause. Procedural errors do not become known errors. These problems are closed with appropriate categorization code.

Assign Resources

Reporting Investigation and Diagnosis

Quality Control

8

Definition Known Error

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Figure 5-7. Problem Management: Activity: Problem Control

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Notes:

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Problem Management

Activity: Error Control Error control covers the processes involved in successful correction of known errors. The objective is to change IT components to remove known errors affecting the IT infrastructure, and thus to prevent any recurrence of incidents. ƒ Error identification and recording: ƒ

ƒ

ƒ

ƒ

9

faulty CI is detected, and known error status is assigned. Error assessment: initial assessment of means required to solve the problem and raising of an RFC. Recording error resolution: solution for each known error should be in the PM system, made available for incident matching Error closure: After successful implementation of the change, the error is closed together with all associated Incident records. Monitoring problem and error resolution progress: Change management is responsible for implementing RFCs, but error control is responsible for monitoring progress in resolving known errors.

Progress Control

Responsibility

Reporting

Error Identification & Recording

Error Assessment

Record Error Solution

RFC

Change successful

Quality Control

Close Error and Associated Problems

ITIL Foundation Course | Student material v1.0

© 2004 IBM Corporation

Figure 5-8. Problem Management: Activity: Error Control

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Notes: Error identification and recording: faulty CI is detected, and known error status is assigned. Error assessment: initial assessment of means required to solve the problem and raising of an RFC. The actual work done is under control of Change Management. Also the decision can be that some errors are not solved because, for example, it is too expensive. Recording error resolution: solution for each known error should be in the PM system, made available for incident matching. Error Closure: After successful implementation of the change, the error is closed, together with all associated incident records. Potentially, interim status given. Monitoring problem and error resolution progress: Change Management is responsible for implementing RFCs, but error control is responsible for monitoring progress in resolving known errors and the continuing impact of the problem. Hence close interaction between both (PM might raise CAB). Monitoring against SLA should happen.

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Problem Management

Activity: Proactive Problem Management Proactive problem management activities are concerned with identifying and resolving problems and known errors before Incidents occur, thus minimizing the adverse impact on the service and business-related costs.

ƒTrend analysis: identify “fragile” components and their reason. Requires availability of sufficient historical data.

ƒTargeting support action: towards problem areas requiring most support time, or causing most impact to the business (volume of incidents, number of users impacted, cost to the business).

ƒProviding information to organization: Providing insight in effort and resources spent by organization in diagnosing and resolving problems and known errors to management. Also information on workarounds, permanent fixes, and status information should be given to Service Desk.

10

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Figure 5-9. Problem Management: Activity: Proactive Problem Management

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Notes:

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Problem Management

Reporting Reporting on problem management serves an internal purpose as well as an external purpose ƒItems that can be reported to IT management: ƒ Time spent on research and diagnosis ƒ Brief description of actions taken ƒ Planning unresolved problems with regard to use of people, use of tools, and costs ƒ Problems categorized into: status, service, impact, category, user group ƒ Turnaround time of closed problems ƒ Elapsed time and expected resolution period for unresolved problems ƒ Temporary corrective actions ƒItems that are important for Service Level Management ƒ Number of problems categorized into: user group, category, impact, service ƒ Turnaround time of closed problems ƒ Expected solution period for unresolved problems ƒItems that are important for Service Desk ƒ Status of problems ƒ Information on bypasses 11

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Figure 5-10. Problem Management: Reporting

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Problem Management Reactive - Proactive Reactive

Proactive

Avoid problems in other systems and applications

Monitoring of change management Initiate changes in order to avoid: - the occurrence of incidents - the reoccurrence of incidents Identify trends

Problem identification and problem diagnosis

2nd / 3rd level support for incidents

12

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Figure 5-11. Problem Management: Reactive - Proactive

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Notes: Problem Management should focus on proactive function. When Problem Management is introduced in an organization, its main focus is reactive. But this process should ideally mature from reactive to proactive, otherwise improvement is necessary.

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The Complete Picture Incident Mgmt

Problem Control

Error Control

Registration Registration

Identification Identification

identification identification

Recording Recording

Recording Recording

Recording Recording

Classification Classification

Assessment Assessment

Change Mgmt Change Change Management Management

Problem?

Support Support

Diagnosis Diagnosis

Diagnosis Diagnosis

Error?

Assign RFC?

Tracking Tracking

Service Request?

Tracking Tracking

Tracking Tracking

Classification Classification

Problem Resolution Problem Resolution

Solution Solution Error / problem Error / closure problem Incident Incident closure

Diagnosis Diagnosis

Change Change Evaluation (PIR) Evaluation (PIR)

Resolution Resolution Process for Service Requests Incident closure Incident closure 13

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Figure 5-12. The Complete Picture

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Problem Management

Benefits The benefits of taking a formal approach to problem management include the following:

ƒ Improved IT service quality: removal of structural errors improves quality of service

ƒ Incident volume reduction: Structural errors generating Incidents are removed

ƒ Permanent solutions: Problems resolved stay resolved ƒ Improved knowledge on organization: Problem Management learns from past experience, using historical data to identify trends

ƒ Higher first call resolution rate at Service Desk: Problem management creates incident workaround data for rapid incident closure

14

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Figure 5-13. Problem Management: Benefits

SM251.0

Notes: • Improved IT service quality. Problem Management helps generate a cycle of rapidly increasing IT service quality. High-quality reliable service is good for the business users of IT, and good for the productivity and morale of the IT service providers. • Incident volume reduction. Problem Management is instrumental in reducing the number of incidents that interrupt the conduct of business. • Permanent solutions. There will be a gradual reduction in the number and impact of problems and known errors as those that are resolved stay resolved. • Improved organizational learning. The Problem Management process is based on the concept of learning from past experience. The process provides the historical data to identify trends, and the means of preventing failures and of reducing the impact of failures, resulting in improved user productivity. • Better first-time fix rate at the Service Desk. Problem Management enables a better first-time fix rate of incidents at the Service Desk, achieved via the capture, retention, and availability of incident resolution and workaround data within a knowledge database available to the Service Desk at call logging.

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Problem Management

Risks Potential problem areas:

ƒ Simultaneous assignment of support agents to incident and problem management

ƒ Less common tools of the individual departments ƒ Insufficient communication between system development and problem management in regard to known errors

ƒ Lack of discipline in the support team Note: While Incident Management focuses on quick resolution of incidents, Problem Management analyzes the root cause of incidents.

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ITIL Foundation Course | Student material v1.0

Figure 5-14. Problem Management: Risks

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Notes:

5-16 ITIL Foundation

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Problem Management

Best Practices

ƒ Make a clear separation between incidents and problems (clear fields of responsibility with their own measurement criteria and KPIs)

ƒ Focus on minimizing or avoidance of incidents ƒ In addition to the production environment, the

Incident Management (fighting fires)

development environment should also be involved in the process.

Problem Management (find root cause)

16

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Figure 5-15. Problem Management: Best Practices

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Notes:

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Unit 5. Problem Management Course materials may not be reproduced in whole or in part without the prior written permission of IBM.

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Problem Management

Summary ƒ The goal of problem management is to minimize the impact of incidents and problems on the business that are caused by errors within the IT infrastructure and to prevent recurrence of incidents related to these errors.

ƒ Stabilize IT services, through: – minimizing the impact of incidents (quick fix) – tracing (and removing) errors in the IT infrastructure to obtain the highest possible stability of IT services, both reactively and proactively – Better use of resources

ƒ Problem management activities – Problem control – Error control – Proactive problem management

ƒ Problem: the root cause is known ƒ Known error: root cause is known, a workaround is provided, but the definitive fix is not provided

ƒ Proactive - Reactive 17

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Figure 5-16. Problem Management: Summary

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Notes:

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Unit 6. Change Management What This Unit Is About This unit is an introduction to Change Management, and its relationship within IT Services.

What You Should Be Able to Do After completing this unit, you should be able to think about the mission of this service, and understand its benefits within the ITIL framework.

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Unit 6. Change Management Course materials may not be reproduced in whole or in part without the prior written permission of IBM.

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Unit 06

Change Management Content:

ƒ Change Management – objective and overview ƒ Some definitions ƒ Responsibilities and obligations ƒ Important aspects: – – – –

RFC content Categorization and prioritization of changes Change Advisory Board (CAB) Interface to other processes

ƒ Benefits and risks ƒ Best practices ƒ Summary

ITIL Foundation Course | Student material v1.0

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Figure 6-1. Unit 06: Change Management

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Notes:

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Change Management

Integration into the IPW Model

Source: IPW Model is a trade mark of Quint Wellington and KPN Telecoms 3

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Figure 6-2. Change Management: Integration into the IPW Model

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Notes:

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Unit 6. Change Management Course materials may not be reproduced in whole or in part without the prior written permission of IBM.

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Change Management

Mission Statement Change Management ensures that standardized methods and procedures are used for efficient and prompt handling of all changes, to minimize the impact of change-related incidents on service quality, and to improve the day-to-day operations of the organization. Goal of Change Management:

Efficient Efficientand andcost-saving cost-saving implementation implementationof of authorized authorizedchanges changes with with minimum minimumrisk risk for forexisting existingand andnew newIT ITinfrastructure infrastructure

ITIL Foundation Course | Student material v1.0

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Figure 6-3. Change Management: Mission Statement

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Notes: Changes arise as a result of problems, but many changes can come from proactively seeking business benefits such as reducing costs or improving services. The goal of the Change Management process is to ensure that standardized methods and procedures are used for efficient and prompt handling of all changes, in order to minimize the impact of change-related incidents upon service quality, and consequently to improve the day-to-day operations of the organization. To make an appropriate response to a change request entails a considered approach to assessment of risk and business continuity, change impact, resource requirements, and change approval. This considered approach is essential to maintain a proper balance between the need for change against the impact of the change. It is particularly important that Change Management processes have high visibility and open channels of communication in order to promote smooth transitions when changes take place.

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Change Management

Some definitions

Change:

ƒ Process of moving from one defined state to another Request for Change (RFC)

ƒ Request for Change to any component of an IT infrastructure or to any aspect of an IT service Change Advisory Board (CAB):

ƒ Body which approves changes and assists Change Management in assessment and prioritization of changes CAB/EC:

ƒ CAB Emergency Committee. Convened for urgent changes, or when emergency decisions have to be made. Post Implementation Review (PIR):

ƒ Assessment of implemented changes after a predefined period of time. 5

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Figure 6-4. Change Management: Some definitions

SM251.0

Notes: A problem is a condition often identified as a result of multiple incidents that exhibit common symptoms. Problems can also be identified from a single significant incident, indicative of a single error, for which the cause is unknown, but for which the impact is significant. A known error is a condition identified by successful diagnosis of the root cause of a problem, and the subsequent development of a workaround. Structural analysis of the IT infrastructure, reports generated from support software, and user-group meetings can also result in the identification of problems and known errors. This is proactive Problem Management. Problem control focuses on transforming problems into known errors. Error control focuses on resolving known errors structurally through the Change Management process. When major problems arise, there may not be time to convene the full Change Advisory Board (CAB), and it is therefore necessary to identify a smaller organization with authority to make emergency decisions. Such a body is known as the CAB Emergency Committee

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(CAB/EC). Change procedures should specify how the composition of the CAB and CAB/EC will be determined in each instance, based on the criteria listed above and any other criteria that may be appropriate to the business. This is intended to ensure that the composition of the CAB will be flexible, in order to represent business interests properly when major changes are proposed. It will also ensure that the composition of the CAB/EC will provide the ability, both from a business perspective and from a technical standpoint, to make appropriate decisions in any conceivable eventuality.

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Change Management

Why Change Management is so important

ƒ IT becomes an increasingly critical factor for business. Business demands continuous change as new technologies are adopted. Users demand increasing services in order to be able to fulfil their tasks. All these factors require an IT environment in which management and control of changes are very precisely managed.

ƒ Experience shows that a high percentage of problems with regard to IT service quality can be traced back to a change of a system. Such problems cause enormous costs and are becoming less acceptable.

ƒ This module describes the best practices for change management; they impact the implementation of many other ITSM best practices. Finally, each development - either relating to capacity management or a service desk corresponds with changes which again stand for a risk. That is why a very strict procedure for effective change management makes sense.

6

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Figure 6-5. Change Management: Why Change Management is so important

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Notes:

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Change Management

Tasks

Management of RFCs (change requests)

Authorize and plan changes

Change Change Management Management Review of all implemented changes

Monitoring of change realization, testing, and implementation

ITIL Foundation Course | Student material v1.0

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Figure 6-6. Change Management: Tasks

© 2004 IBM Corporation

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Notes: Most activities of change management involve control and decide (approval or rejection). Changes must be carefully managed throughout their entire lifecycle from initiation and recording, through filtering, assessment, categorization, authorization, scheduling, building, testing, implementation, and eventually their review and closure. One of the key deliverables of the process is the Forward Schedule of Change (FSC), a central programme of change agreed by all areas, based on business impact and urgency.

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Change Management

The Process

RFC

Implementation

Management

RFC Preparation

Classification Prioritization Approval Planning

Realization

Rejection

CAB Test

Authorization Rejection

Implementation

Evaluation/PIR

Backout

8

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ITIL Foundation Course | Student material v1.0

Figure 6-7. Change Management: The Process

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Notes: Implementation and management activities within change management.

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Acceptance and Documentation PIR Proof of Success Release ReleaseManager Manager

Implementation Control and Authorization Decline / Reject

Test Test Service ServicePlanning Planning Building

Control and Approval Realization of Simple Changes Changes

Review

End

Rejected

Scheduling and Planning Processing/ Classification -Registration-

RFC RFC

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ITIL Foundation Course | Student material v1.0

Figure 6-8. The Process Steps

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Notes:

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Change Management

Content of a Request for Change (RFC) Sponsor and Change Requester Change Advisory Board (CAB)

Software Hardware

CIs CIs

SLA

and so on

Documentation and so on Environment

Purpose RFC RFC

What? Why? When?

10

Category Priority Resource Cost Estimation

Impact on Business Services

© 2004 IBM Corporation

ITIL Foundation Course | Student material v1.0

Figure 6-9. Change Management: Content of a Request for Change (RFC)

SM251.0

Notes: Requests for Change (RFCs) are triggered for a wide variety of reasons, from a wide variety of sources. The reasons include: • Required resolution of an incident or problem report • User or customer dissatisfaction expressed via customer liaison or Service Level Management • The proposed introduction or removal of a new CI • Qproposed upgrade to some component of the infrastructure • Changed business requirements or direction • New or changed legislation • Location change • Product or service changes from vendors or contractors.

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RFCs can be concerned with any part of the infrastructure or with any service or activity. Here are some examples: • Hardware • Software • Documentation • Telecommunications facilities • Engineering cover • Training courses • IT infrastructure management procedures • Tactical plans • Environmental infrastructure RFCs can, of course, be in paper form, or — as is increasingly the case — be held electronically, perhaps on the company intranet. The following items should be included in an RFC form, whether paper or electronic: • RFC number (plus cross-reference to problem report number, where necessary) • Description and identity of item(s) to be changed (including CI identification(s) if Configuration Management system is in use) • Reason for change • Effect of not implementing the change • Version of item to be changed • Name, location, and telephone number of person proposing the change • Date that the change was proposed • Change priority • Impact and resource assessment (which may be on separate forms where convenient) • CAB recommendations where appropriate (which may be held separately, with impact and resource assessments, where convenient) • Authorization signature (could be electronic) • Authorization date and time • Scheduled implementation (release identification, date and time, or both) • Location of release or implementation plan

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Change Management

Categorization: Minor – Significant – Major Category of changes is based on impact to environment (risk to the business). Category 1 (Minor Changes): Minor impact only, and few “build” or additional “runtime” resources required. The Change Manager should have delegated authority to authorize and schedule such changes. Category 2 (Significant Changes): Significant impact, significant build or runtime resources required, or both. The Change Advisory Board should be convened in order to authorize and schedule such changes. Category 3 (Major Changes): Major impact, very large amount of build or runtime resources required, or both; or impact likely upon other parts of the organization. The RFC should be referred to the organization's top Management Board or other appropriate body for discussion and a policy decision.

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Figure 6-10. Change Management: Categorization: Minor – Significant – Major

SM251.0

Notes: The issue of risk to the business of any change should also be considered prior to the approval of any change. Change Management should examine each RFC and decide how to proceed based on the (predefined) category into which the RFC falls. The categorization process examines the impact of the approved change on the organization in terms of the resources needed to effect the change. Note that the structure and complexity of these categories will very much depend on the needs of the business, including the range of priority ratings identified

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Student Notebook

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Change Management

Prioritization Every RFC should be allocated a priority that is based on the impact of the problem and the urgency of the remedy. Immediate: Causing loss of service or severe usability problems to a larger number of users, a mission-critical system, or some equally serious problem. Immediate action required. High: Severely affecting some users, or impacting a large number of users. To be given highest priority for change building, testing, and implementation resources. Medium: No severe impact, but rectification cannot be deferred until the next scheduled release or upgrade. To be allocated medium priority for resources. Low: A change is justified and necessary, but can wait until the next scheduled release or upgrade. Resources to be allocated accordingly.

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ITIL Foundation Course | Student material v1.0

Figure 6-11. Change Management: Prioritization

© 2004 IBM Corporation

SM251.0

Notes: Every RFC should be allocated a priority that is based on the impact of the problem and the urgency for the remedy. This priority rating is used to decide which changes should be discussed and assessed first, either by Change Management or by the CAB if necessary. Change Management should be responsible for assigning this priority. The priority of RFCs ideally should be decided in collaboration with the initiator and, if necessary, with the CAB; but it should not be left to the initiator alone, as a higher priority than is really justified may result. Risk assessment is of crucial importance at this stage. The CAB will need information on business consequences in order to assess effectively the risk of implementing or denying the change.

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Change Management Composition of the Change Advisory Board (CAB) should reflect user, customer, and service provider view

Manager Finance Dept

Change Manager (Executive)

Service Level Manager

CAB/EC CAB/EC

Application Manager

CAB CAB Release Manager

Problem Manager

Experts, Technical Consultants

Services Staff

CAB/EC = Emergency Committee 13

© 2004 IBM Corporation

ITIL Foundation Course | Student material v1.0

Figure 6-12. Change Management: Composition of the Change Advisory Board (CAB) should reflect user, customer, and service provider view SM251.0

Notes: The Change Advisory Board (CAB) is a decision authority, which is made up for the most part of people from other functions within the organization. Note also that it is Configuration Management who are responsible for ensuring that information regarding the possible implications of a proposed change is made available, and that these possible impacts are detected and presented appropriately. There will also be a need to have managers from different areas of the organization within the CAB. The Change Manager is the executive authority within the CAB. CAB is an ITIL term. There will be occasions when a proposed infrastructure change will potentially have a wider impact upon other parts of the organization (such as application development projects or business operations), or vice versa. To mitigate possible negative impacts from either direction, it is imperative that the infrastructure and other Change Management systems be appropriately interfaced.

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Change Management Optimization can be reached through correlation of RFCs on related CIs Original request for Original request for change change

Configuration Management

Software CI to be changed

Correlating operating CI

Correlating education CI

Correlating hardware CI

Summarized request for change Summarized request for change

Realistic impact of changes and reduction of bureaucratic expenditure

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© 2004 IBM Corporation

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Figure 6-13. Change Management: Optimization can be reached through correlation of RFCs on related CIs

SM251.0

Notes: Configuration Management enables visualization of related CIs. Thus it is possible to globally estimate the impact of an RFC in the whole IT environment. It would be useful to consider the impact of an RFC on related CIs; this will give the support team a better view of the realistic impact on the business, and will reduce bureaucratic expenditure.

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Change Management

Interfaces to other SM processes (1) Initiate change

Identify affected CIs

Capacity CapacityManagement Management

Configuration ConfigurationManagement Management

Determine effects of planned changes

Service ServiceDesk Desk

Reports

Problem ProblemManagement Management

Security SecurityManagement Management

RFC

Account AccountManagement Management (for (forcustomers) customers)

Capacity CapacityManagement Management

Change Management Process

Service ServiceBuild Buildand andTest Test

Availability Availabilityand andITITServices Services Continuity ContinuityManagement Management

Transfer

Service ServiceLevel LevelManagement Management

...... Financial FinancialMgmt MgmtITITServices Services

Change Report

Status Distribution

ConfigurationManagement ManagementData DataBase Base Configuration

Security SecurityManagement Management

Update CMDB

Release ReleaseManagement Management

Configuration ConfigurationManagement Management

Inform customers Service ServiceDesk Desk 15

Generate new services Service ServiceDesign Design © 2004 IBM Corporation

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Figure 6-14. Change Management: Interfaces to other SM processes (1)

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Notes:

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Unit 6. Change Management Course materials may not be reproduced in whole or in part without the prior written permission of IBM.

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IBM Global Services

Change Management

Interfaces to other SM processes (2)

Configuration ConfigurationManagement Management

Change Change Management Management

Determine impact

Approve change

Capacity Capacity Management Management

Configuration Configuration Management Management

Determine impact on business and IT performance

Determine affected areas

16

Release Release Management Management Check distribution of new software or, if required, the hardware change

Configuration Configuration Management Management Documentation update CMDB

ITIL Foundation Course | Student material v1.0

Figure 6-15. Change Management: Interfaces to other SM processes (2)

© 2004 IBM Corporation

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Notes:

6-18 ITIL Foundation

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Change Management

Benefits ƒ Better alignment of IT services to business requirements ƒ Increased visibility and better communication of changes ƒ Improved risk assessment ƒ Reduced adverse impact of changes on service quality and SLA ƒ Fewer backed out failed changes ƒ Better problem and availability management due to management information on accumulated changes

ƒ Better productivity of users (fewer disruptions, better service quality) ƒ Better productivity of IT staff, as duties are better planned, and fewer wrong changes ƒ Ability to absorb larger volume of changes ƒ Better perception of IT by the business ƒ Reduction in number of changes with adverse impact because of poor CM ƒ Reduction in number of incidents because of changes ƒ Low number of urgent changes 17

© 2004 IBM Corporation

ITIL Foundation Course | Student material v1.0

Figure 6-16. Change Management: Benefits

SM251.0

Notes:

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Unit 6. Change Management Course materials may not be reproduced in whole or in part without the prior written permission of IBM.

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IBM Global Services

Change Management

Risks Potential problem areas:

ƒ Tracking of the change lifecycle easily leads to overload for a paper-based system ƒ Employees try to bypass change management ƒ Untested backup procedures – failing blackout procedures ƒ Integration of external suppliers ƒ Cultural conflicts – lacking acceptance of the change management process ƒ Frequent refusal due to lack of strategic expedience ƒ Possible stagnancy due to continuous analyses 18

ITIL Foundation Course | Student material v1.0

Figure 6-17. Change Management: Risks

© 2004 IBM Corporation

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Notes:

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Change Management

Best Practices

ƒ Concurrent integration with configuration and release management ƒ Include the development environment in the change management process separately from the production environment

ƒ Assign process responsibility, if possible, independently from the organisation’s hierarchy

ƒ Conceive separate procedure for urgent changes and standard changes instead of using the normal change management process

19

© 2004 IBM Corporation

ITIL Foundation Course | Student material v1.0

Figure 6-18. Change Management: Best Practices

SM251.0

Notes:

© Copyright IBM Corp. 2004

Unit 6. Change Management Course materials may not be reproduced in whole or in part without the prior written permission of IBM.

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IBM Global Services

Change Management

Summary ƒ The goal of the change management process is to ensure that standardized methods and procedures are used for efficient and prompt handling of all changes, in order to minimize the impact of change-related incidents upon service quality, and consequently to improve the day-to-day operations of the organization.

ƒ Implement only authorized changes; minimize risk and costs. ƒ Request for Change (RFC) applies to all components of the IT infrastructure ƒ Tasks – Requests for change management, authorize and plan changes, monitor realization, test and implementation, support the ongoing needs of business ƒ CAB and Emergency Committee

ƒ Severity/Priority: urgent, high, medium, low ƒ Effect - Category: none to significant effect ƒ Back-out procedure ƒ Process is always closed with change review

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Figure 6-19. Change Management: Summary

© 2004 IBM Corporation

SM251.0

Notes:

6-22 ITIL Foundation

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Unit 7. Configuration Management What This Unit Is About This unit is an introduction to Configuration Management, and its relationship with IT Services.

What You Should Be Able to Do After completing this unit, you should be able to think about the mission of this service, and understand its benefits within the ITIL framework.

© Copyright IBM Corp. 2004

Unit 7. Configuration Management Course materials may not be reproduced in whole or in part without the prior written permission of IBM.

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Unit 07

Configuration Management Content:

ƒ Configuration Management – objective and overview ƒ Some definitions ƒ Responsibilities and obligations ƒ Important aspects: – Configuration Management Database (CMDB) – Interfaces to other SM processes – Variant and baseline – License management ƒ Benefits, costs, risks

ƒ Best practices ƒ Summary

ITIL Foundation Course | Student material v1.0

2

Figure 7-1. Unit 07: Configuration Management

© 2004 IBM Corporation

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Notes:

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Configuration Management

Integration into the IPW Model

Source: IPW Model is a trade mark of Quint Wellington and KPN Telecoms 3

© 2004 IBM Corporation

ITIL Foundation Course | Student material v1.0

Figure 7-2. Configuration Management: Integration into the IPW Model

SM251.0

Notes:

© Copyright IBM Corp. 2004

Unit 7. Configuration Management Course materials may not be reproduced in whole or in part without the prior written permission of IBM.

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IBM Global Services

Configuration Management

Mission Statement Configuration Management provides a logical model for the infrastructure or a service by identifying, controlling, maintaining, and verifying the versions of Configuration Items (CIs) in existence. Configuration Management covers the identification, recording, and reporting of IT components, including their versions, constituent components, and relationships. Items that should be under the control of Configuration Management include hardware, software, and associated documentation. The goal of Configuration Management is to provide IT infrastructure control through the identification, registration, monitoring, and management of: ƒ All the Configuration Items of the IT infrastructure in scope

ƒ All configurations, versions, and their documentation ƒ All changes, errors, service level agreements, and history of the components in general

ƒ Relationships between the different components ƒ Exceptions between configuration records and the real infrastructure

ITIL Foundation Course | Student material v1.0

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Figure 7-3. Configuration Management: Mission Statement

© 2004 IBM Corporation

SM251.0

Notes: Configuration Management is concerned with selecting and identifying the configuration structures for all the infrastructure's CIs, including their “owner”, their interrelationships, and configuration documentation. It includes allocating identifiers and version numbers for CIs, labelling each item, and entering it on the Configuration Management Database (CMDB). CI and CMDB are both ITIL terms.

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Configuration Management

Tasks Configuration Management is responsible for:

ƒ Specification of versions, configuration status accounting of all current and historical data concerned with each CI throughout its lifecycle

ƒ Documentation of the relationship between all CIs

ƒ Tracing records about any CI ƒ Ensuring that only authorised changes

IT IT Infrastructure Infrastructure Planning Identification & naming

on a Configuration Item have been implemented

Status proof

ƒ Reviews and audits that verify the physical existence of CIs and check that only authorised and identifiable CIs are accepted and correctly recorded in the Configuration Management system. 5

Control

CMDB Verification and audit

© 2004 IBM Corporation

ITIL Foundation Course | Student material v1.0

Figure 7-4. Configuration Management: Tasks

SM251.0

Notes: CM is responsible for records and data associated with a CI, including incidents, known errors, and problems, and corporate data about employees, suppliers, locations, business units, and procedures.

© Copyright IBM Corp. 2004

Unit 7. Configuration Management Course materials may not be reproduced in whole or in part without the prior written permission of IBM.

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Configuration Management

Definition: Configuration Item All components that are part of the IT infrastructure are called Configuration Items (CIs). Configuration Items:

ƒ Are required to provide services ƒ Should be clearly identifiable ƒ Are submitted for changes ƒ Have to be administered Configuration Items have:

ƒ A category ƒ Relationships ƒ An attribute ƒ A status

CI CI

CI CI

ITIL Foundation Course | Student material v1.0

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Figure 7-5. Configuration Management: Definition: Configuration Item

CI

© 2004 IBM Corporation

SM251.0

Notes: CIs may be hardware, software, or documentation. Examples include services, servers, environments, equipment, network components, desktops, mobile units, applications, licences, telecommunication services, and facilities. Configuration identification includes allocating identifiers for CIs, including individual versions of the CI and their configuration documents. Other records and data associated with a CI include incidents, known errors, and problems, and corporate data about employees, suppliers, locations, business units, and procedures. Examples of CIs: • • • • •

Personal computers Network components Service Level Agreements Manuals Applications

What do you think is part of your IT infrastructure?

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Configuration Management

Definition: Configuration Item – Scope and Level of Detail Service L Service L e e v v e e l l o o f f d d e e t t a a i i l l

Hardware Hardware

Software Software

DocumenDocumen- Environment Environment tation tation

Network printer PC Software bundle Local printer

USV

DBMS HD

Keyboard

CPU

W.P.

e-mail

SLA

scope scope 7

© 2004 IBM Corporation

ITIL Foundation Course | Student material v1.0

Figure 7-6. Configuration Management: Definition: Configuration Item – Scope and Level of Detail

SM251.0

Notes: All configuration items that are under control of the IT organization are registered in the Configuration Management Database (CMDB). CIs have relationships to each other. Every extra detail will bring more work to keep it up to date. The scope of the Configuration Management database is defined by the area of responsibility of the IT organization. The level of detail is defined by the need for information of the IT management processes, the control of the information, and the costs and benefits of a CMDB. The attributes of CIs also depend on the need for information, the control of the information, and the costs and benefits. The distinction between Configuration Management and Asset Management is the recognition of relationships between CIs.

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Student Notebook

Examples of these relationships: • Hierarchically subjected to (parent-child relation) • Is part of (a processor is part of a PC) • Interfaced with (a system is connected to a printer) • Uses (a program uses a subroutine) • Is a copy of (program is a copy of ....) • Is related to (attribute) (serial number, location, status)

7-8

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Configuration Management

Tasks

Configuration identification

Configuration Control Configuration Configuration Management Management

Verification and Audit

8

Status Accounting

© 2004 IBM Corporation

ITIL Foundation Course | Student material v1.0

Figure 7-7. Configuration Management: Tasks

SM251.0

Notes: Configuration identification is the selection, identification, and labelling of the configuration structures and CIs, including their respective “owner” and the relationships between them. CIs may be hardware, software, or documentation. Examples include services, servers, environments, equipment, network components, desktops, mobile units, applications, licences, telecommunication services, and facilities. Configuration identification includes allocating identifiers for CIs, including individual versions of the CI and their configuration documents. Configuration control is concerned with ensuring that only authorized and identifiable CIs are recorded from receipt to disposal. It ensures that no CI is added, modified, replaced, or removed without appropriate controlling documentation, such as an approved change request. Configuration status accounting is the reporting of all current and historical data concerned with each CI throughout its lifecycle. It enables tracking of changes to CIs and their records, for example tracking the status as a CI changes from one state to another, such as “development”, “test”, “live”, or “withdrawn”. © Copyright IBM Corp. 2004

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The first audit must be conducted after the implementation of configuration management. Furthermore, at regular intervals, verification must take place, in other words the registered data within the CMDB will be verified with the actual data.

7-10 ITIL Foundation

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Configuration Management

Configuration Management Database (CMDB) – Structure Overview IT Infrastructure IT Infrastructure Hardware Hardware

Software Software

Network Network

Documentation Documentation

CI Categories

Suite 1 Suite 1

Suite 2 Suite 2

Superordinated CI (Parent) Program 1- 1 Program 1- 1

Program 1- 2 Program 1- 2

Program 1- 3 Program 1- 3

Subordinated CI (Children) Module 1- 2- 1 Module 1- 2- 1 9

Module 1- 2- 2 Module 1- 2- 2 © 2004 IBM Corporation

ITIL Foundation Course | Student material v1.0

Figure 7-8. Configuration Management: Configuration Management Database (CMDB) – Structure Overview

SM251.0

Notes: Many organizations are already using some elements of Configuration Management, often using spreadsheets, local databases, or paper-based systems. In today's large and complex IT infrastructures, Configuration Management requires the use of support tools, which includes a Configuration Management Database (CMDB). Physical and electronic libraries are needed along with the CMDB to hold definitive copies of software and documentation. The CMDB is likely to be based upon database technology that provides flexible and powerful interrogation facilities. The CMDB should hold the relationships between all system components, including incidents, problems, known errors, changes, and releases. The CMDB also contains information about incidents, known errors, and problems, and corporate data about employees, suppliers, locations, and business units.

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IBM Global Services

Configuration Management

ce wi th

dr aw

n

an

in

m ai

nt en

od pr (in Li ve

in

In

te s

t

st oc

k

lo ve de

in

re d or de

pl an

ne

d

pm en

uc

t

tio n

)

CMDB – Status of CI

Lifecycle of a CI

CMDB scope

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ITIL Foundation Course | Student material v1.0

Figure 7-9. Configuration Management: CMDB – Status of CI

© 2004 IBM Corporation

SM251.0

Notes: Status is a mandatory attribute of a CI. Also, status accounting is an activity within Configuration Management. It covers the reporting of all current and historical data concerned with each CI throughout its lifecycle. This enables changes to CIs and their records to be traceable, for example tracking the status of a CI as it changes from one state to another, for instance “under development”, “being tested”, “live”, or “withdrawn”.

7-12 ITIL Foundation

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Configuration Management

Interfaces with all other processes Problem finding and solution process

Start

11

Strategic processes

Incident

Finance

Problem

Architectures Known error RFC Approved change

Configuration Management Data Base (CMDB)

Changed, tested, implemented

Other modules Service Level Management IT Continuity Management

Closure © 2004 IBM Corporation

ITIL Foundation Course | Student material v1.0

Figure 7-10. Configuration Management: Interfaces with all other processes

SM251.0

Notes: Configuration Management provides information to other processes of Services Management. The Configuration Management process interfaces with all other processes: • • • • • • • • • •

Service Desk / Incident Management Problem Management Change Management Release Management Service Level Management Availability Management Capacity Management IT Service Continuity Management Financial Management for IT Services Security Management

Providing accurate information on CIs and their documentation. This information supports all other Service Management processes, such as Release Management, Change © Copyright IBM Corp. 2004

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Student Notebook

Management, Incident Management, Problem Management, Capacity Management, and Contingency Planning. For example, if a new product is available that requires a minimum configuration, Configuration Management can provide information for upgrade planning and replacements.

Controlling valuable CIs. For example, if a computer were stolen then it would have to be replaced. Configuration Management helps IT management to know what its assets are supposed to be, who is responsible for their safekeeping, and whether the actual inventory matches the official one. Facilitating adherence to legal obligations. Configuration Management maintains an inventory of all items of software within an IT infrastructure. CIs that come to light, via configuration audits or calls to the Service Desk, that are not on this list are not authorized, and may well have not been paid for. Illegal copies can easily be identified, for erasure or destruction. Helping with financial and expenditure planning. Configuration Management provides a complete list of CIs. It is easy to produce from this list expected maintenance costs and licence fees; maintenance contracts; licence renewal dates; CI life expiry dates; and CI replacement costs (provided that this information is stored). By providing this information, Configuration Management contributes to IT directorates' financial planning. Making software changes visible. Such changes can be used to trigger investigations by IT management into possible changes that may be needed for data protection, licence management, and regulatory compliance. Contributing to contingency planning. The CMDB and secure libraries facilitate the restoration of IT service in the event of a disaster, by identifying the required CIs and their location (provided, of course, that they are themselves properly backed up). Supporting and improving Release Management. Configuration Management information supports the rollout across distributed locations by providing information on the versions of CIs and changes incorporated into a release. Improving security by controlling the versions of CIs in use. This makes it more difficult for these CIs to be changed accidentally, maliciously, or for erroneous versions to be added. Enabling the organization to reduce the use of unauthorized software. Unauthorized software, and non-standard and variant builds, all increase complexity and support costs, and so any reduction in their occurrence should bring benefits to the organization. Allowing the organization to perform impact analysis and schedule changes safely, efficiently, and effectively. This reduces the risk of changes affecting the live environment. Providing Problem Management with data on trends. Such data will relate to trends in problems affecting particular CI types, such as from particular suppliers or development groups, for use in improving the IT services. This information on problem trends supports the proactive prevention of problems.

7-14 ITIL Foundation

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Configuration Management

Relationship with Release and Change Management

Register RFC and assign ID

Release Release Management Management

Configuration Configuration Management Management

Documentation and configuration audit Reporting of affected CIs, areas, and people

Approve change

Update documentation

Implementation (includes pre-release testing for software)

Distribution of software and hardware documentation

Update documentation

Post-implementation review Store changed CIs according to quality required

Close RFC

Definitive Software Library

Impact analysis

Configuration Management Database

Change Change Management Management

Closure

Example: release of new software 12

© 2004 IBM Corporation

ITIL Foundation Course | Student material v1.0

Figure 7-11. Configuration Management: Relationship with Release and Change Management

SM251.0

Notes: Configuration Management has a strong relationship with Change and Release Management. Therefore, these processes are often planned alongside Configuration Management.

© Copyright IBM Corp. 2004

Unit 7. Configuration Management Course materials may not be reproduced in whole or in part without the prior written permission of IBM.

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IBM Global Services

Configuration Management

CIs and their relations to other processes

Incident Record Incident Record

Change Record Change Record

CI CI Problem Record Problem Record

Known Error Record Known Error Record

Service / SLA Service / SLA

13

ITIL Foundation Course | Student material v1.0

Figure 7-12. Configuration Management: CIs and their relations to other processes

© 2004 IBM Corporation

SM251.0

Notes:

7-16 ITIL Foundation

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Configuration Management

Variant and Baseline

Variant Configuration items with same base functionality, but with minor differences (for example, a printer with additional RAM is a variant of a printer). Baseline (basis of comparison) A configuration baseline is the configuration of a product or system established at a specific point in time, which captures both the structure and details of a configuration. It serves as a reference for further activities. An application or software baseline provides the ability to change or to rebuild a specific version at a later date. A configuration baseline is also a snapshot, or a position, that is recorded. Although the position may be updated later, the configuration baseline remains fixed as the original state and is thus available to be compared with the current position. A configuration baseline is used to assemble all relevant components in readiness for a change or release, and to provide the basis for a configuration audit and regression, for example after a change. The Configuration Management system should be able to save, protect, and report on a configuration baseline, its contents, and documentation. 14

© 2004 IBM Corporation

ITIL Foundation Course | Student material v1.0

Figure 7-13. Configuration Management: Variant and Baseline

SM251.0

Notes: General guidance is: if a CI can be regarded as slightly different from another related CI, and problems affecting one are likely to affect the other, or changes made to the one will probably have to be made to the other, then use of a variant should be considered; otherwise, a different CI should be used.

© Copyright IBM Corp. 2004

Unit 7. Configuration Management Course materials may not be reproduced in whole or in part without the prior written permission of IBM.

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Student Notebook

IBM Global Services

Configuration Management

Licence Management Responsibility for controlling and auditing software licences should be unambiguous and involves purchasing and Asset or Configuration Management.

ƒ Company directors, senior managers, and others, are liable to face imprisonment and fines if illegal software is found to be in use within their enterprise.

ƒ Purchase of unnecessary licences wastes resources. ƒ Configuration Management enables an enterprise to monitor and control software licences, from purchase to disposal.

15

ITIL Foundation Course | Student material v1.0

Figure 7-14. Configuration Management: Licence Management

© 2004 IBM Corporation

SM251.0

Notes: Licence Management is part of Configuration Management. Company directors, senior managers, and others are liable to face imprisonment and fines if illegal software is found to be in use within their enterprise. Configuration Management enables an enterprise to monitor and control software licences, from purchase to disposal. Software licence structures, and corporate and multi-licensing schemes, need to be understood and communicated to service-provider staff and Customers. Responsibility for controlling and auditing software licences should be unambiguous and should involve purchasing and Asset or Configuration Management. This may be difficult when Users find it so easy to purchase and download software from the Internet, but this can be resolved by links to disciplinary procedures detailed within the organization’s Security Policy.

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Configuration Management

Benefits

ƒ Improved Asset Management ƒ Helps to minimize risks of changes ƒ Provides accurate information on CIs and their documentation ƒ Improves security by controlling the versions of CIs in use ƒ Facilitates adherence to legal obligations ƒ Helps in financial and expenditure planning ƒ Supports Release Management and Service Level Management

16

© 2004 IBM Corporation

ITIL Foundation Course | Student material v1.0

Figure 7-15. Configuration Management: Benefits

SM251.0

Notes:

© Copyright IBM Corp. 2004

Unit 7. Configuration Management Course materials may not be reproduced in whole or in part without the prior written permission of IBM.

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Configuration Management

Costs Costs are outweighed by benefits, because Configuration Management allows handling of a large volume of changes, thus keeping quality. Configuration Management control reduces risks of viruses, wrong software, fraud, theft, and so on. ƒ Staff costs for developing and running procedures

ƒ Hardware and software configuration identification ƒ Hardware and software for the CMDB & DSL ƒ Customization of Configuration Management tool ƒ Integration with other Service Management tools ƒ Training and education

17

ITIL Foundation Course | Student material v1.0

Figure 7-16. Configuration Management: Costs

© 2004 IBM Corporation

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Configuration Management

Risks Potential problem areas:

ƒ CIs with too much or too little detail ƒ Interfaces to other systems in which CI information is stored ƒ Keep the information in the CMDB accurate ƒ Roles and responsibilities ƒ Lack of configuration control ƒ Overambitious schedules and unrealistic expectations ƒ No commitment from management

18

© 2004 IBM Corporation

ITIL Foundation Course | Student material v1.0

Figure 7-17. Configuration Management: Risks

SM251.0

Notes: CIs are defined at the wrong level with too much detail (so that staff become involved in unnecessary work) or too little detail (so that there is inadequate control). Implementation is attempted without adequate analysis and design. The end result is, consequently, not what is required. Tactical schedules are over-ambitious. Configuration Management may be perceived as a bottleneck if adequate time is not built into schedules to allow staff to carry out their duties. When changes and releases are being scheduled, past experience of the time taken to complete Configuration Management activities should be taken into account. IT management needs to be proactive in providing automated facilities for activities on the critical path and to make it clear that time should be allowed for Configuration Management. Commitment is lacking. Without a firm commitment to the processes from managers, it is difficult to introduce the controls that some staff would prefer to avoid. Examples of poor Change Management and Configuration Management can often convince managers of the need for better control. © Copyright IBM Corp. 2004

Unit 7. Configuration Management Course materials may not be reproduced in whole or in part without the prior written permission of IBM.

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Student Notebook

The process is perceived to be too bureaucratic or rigorous. Consequently, individuals and groups use this as an excuse for not following the process. The process is routinely circumvented. Some people will try to circumvent Configuration Management in the interests of speed or with malicious intent. Attempts should be made to overcome this problem by making such people aware of the benefits of Configuration Management. Processes are inefficient and error-prone. This is often the case where manual processes are in use. In almost all cases it is advisable to choose an automated solution from the outset. Expectations of what the tool can do are unrealistic. Staff and managers may expect a Configuration Management tool to deliver a total solution and end up blaming the tool for processes or people that appear insufficient for the task. The chosen tool may lack flexibility. Problems can occur when the Configuration Management tool does not allow for new requirements or does not support all CI categories. Configuration Management has been implemented in isolation. If Configuration Management is implemented without Change Management or Release Management, it is much less effective and the intended benefits may not be realized. Expectations of what the Configuration Management process can do are unrealistic. Asset and Configuration Management cannot and should not be expected to make up for poor project management or poor acceptance testing. Poorly controlled installations and test environments will affect the quality of releases and result in additional incidents, problems, and changes, which will in turn require additional resources. Proper configuration control is not in place. For example, Configuration Management may be difficult where Users have the ability to purchase, download, and install software from the Internet.

7-22 ITIL Foundation

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Configuration Management

Best Practices

ƒ Early establishment of configuration management ƒ Show the extraordinary significance of the database thus created ƒ Enforce the compliance of change management processes ƒ Meticulous selection and design of support tools ƒ Inventory should be tool supported and automated ƒ "You can only control what you know or what is documented."

19

© 2004 IBM Corporation

ITIL Foundation Course | Student material v1.0

Figure 7-18. Configuration Management: Best Practices

SM251.0

Notes:

© Copyright IBM Corp. 2004

Unit 7. Configuration Management Course materials may not be reproduced in whole or in part without the prior written permission of IBM.

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Student Notebook

IBM Global Services

Configuration Management

Summary

ƒ Configuration Management provides a logical model of the infrastructure or a service by identifying, controlling, maintaining, and verifying the versions of Configuration Items (CIs) in existence.

ƒ Activities: planning, identification and registration, status accounting, control, verification and audit, reporting, role for the evaluation of change effects.

ƒ Configuration Items: categories, attribute, relationships, status, unique reference number

ƒ Configuration Management Database (CMDB) ƒ Scope and level of detail of CMDB (value of information) ƒ Variant and Baselines ƒ Licence Management ƒ Configuration Management process supports all other service management processes

20

ITIL Foundation Course | Student material v1.0

Figure 7-19. Configuration Management: Summary

© 2004 IBM Corporation

SM251.0

Notes:

7-24 ITIL Foundation

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Unit 8. Release Management What This Unit Is About This unit is an introduction to Release Management, and its relationship within IT Services.

What You Should Be Able to Do After completing this unit, you should be able to think about the mission of this service, and understand its benefits within the ITIL framework.

© Copyright IBM Corp. 2004

Unit 8. Release Management Course materials may not be reproduced in whole or in part without the prior written permission of IBM.

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IBM Global Services

Unit 08

Release Management Content:

ƒ Release Management – objective and overview ƒ Responsibilities and obligations ƒ Some definitions ƒ Important aspects: – Definitive software library/definitive hardware store – Software release

ƒ Benefits, costs, risks ƒ Best practices ƒ Summary

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Figure 8-1. Unit 08: Release Management

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Release Management

Integration into the IPW Model

Source: IPW Model is a trade mark of Quint Wellington and KPN Telecoms 3

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Figure 8-2. Release Management: Integration into the IPW Model

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Unit 8. Release Management Course materials may not be reproduced in whole or in part without the prior written permission of IBM.

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Release Management

Mission Statement Release Management takes a holistic view of a change to an IT service, and should ensure that all aspects of a release, both technical and non-technical, are considered together. Release Management should be used for:

ƒ Large or critical hardware rollouts, especially when there is a dependency on a related software change in the business systems, in other words not every single PC that needs to be installed

ƒ Major software rollouts, especially initial instances of new applications along with accompanying software distribution and support procedures for subsequent use if required

ƒ Bundling or batching related sets of changes into manageable-sized units Release Management undertakes the planning, design, building, configuration, and testing of hardware and software to create a set of release components for a live environment. Activities also cover the planning, preparation, and scheduling of a release to many customers and locations.

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Figure 8-3. Release Management: Mission Statement

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Notes: Software Control & Distribution (SC&D) is more than just application software. Software items are operating systems software, middleware configurations, and application software. In addition to startup scripts and configuration scripts, firmware is also included under software items.

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Release Management

Goal ƒ Plan and oversee successful rollout of software and hardware releases ƒ Design and implement efficient procedures for distribution and installation of changes to IT systems

ƒ Ensure changes in hardware and software are traceable, authorized, tested, and correct

ƒ Communicate and manage expectations to the customer during planning and rollout of releases

ƒ Agree content and rollout plan for the release, through Change Management ƒ Implement software and hardware releases in operational environment using controls from Configuration Management and Change Management

ƒ Ensure that all master copies of all software are secured in the DSL and that the CMDB is updated

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Figure 8-4. Release Management: Goal

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Release Management

Why Release Management Software is increasingly considered as an important capital value with even a strategic importance. The control of software is therefore mandatory. Some of the most important aspects are: ƒ Preventive measures (for example, to avoid pirate copies)

ƒ Consistency (for example, compatibility of client programmes with server programmes)

ƒ Licences (for example, software should not be used by more than the agreed number of users simultaneously) Release management is responsible for the storage of authorized software (selfdeveloped, purchased or licensed applications, or utility software), the release of software in a production environment, the distribution of software to remote locations, as well as the implementation of software to make it operational.

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Figure 8-5. Release Management: Why Release Management

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Release Management

Tasks

Definition of release guidelines

Control of the Definitive Software Library (DSL) and DHS

Release Release Management Management

Distribution of software, hardware, and linked CIs

Performing software and hardware audits (using CMDB)

Monitoring of the release creation

Management of the releases

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© 2004 IBM Corporation

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Figure 8-6. Release Management: Tasks

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Notes: The Release Management process takes a holistic view of changes to IT services, considering all aspects of a release, both technical and non-technical. Release Management is responsible for all legal and contractual obligations for all hardware and software in use within the organization. In order to achieve this and to protect the IT assets, Release Management establishes secure environments, both for hardware in the Definitive Hardware Store (DHS), and for software in the Definitive Software Library (DSL).

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Unit 8. Release Management Course materials may not be reproduced in whole or in part without the prior written permission of IBM.

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Release Management Definitions Release: a collection of authorized changes to an IT service. Often divided into:

ƒ Major software releases and hardware upgrades ƒ Minor software releases and hardware upgrades ƒ Emergency software and hardware fixes Release Unit: portion of IT infrastructure that is normally released together. Full Release: all components of the Release Unit are built, tested, and implemented together. Reduced likelihood of untested errors; longer time to implement. Delta Release: includes only those CIs in the Release Unit that have actually changed since the last release. Package Release: grouping of Full and Delta Release to reduce the frequency of releases. Reduces probability of outdated or incompatible software in use. Definitive Software Library (DSL): Secure compound containing all definitive authorized versions of all SW CIs (master copies). Also for master copies of documentation. Definitive Hardware Store: secure area containing definitive hardware spares. CMDB: contains definitions of planned releases, and CIs impacted by planned and past releases. ITIL Foundation Course | Student material v1.0

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Figure 8-7. Release Management: Definitions

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Release Management

Major Activities of Release Management

Communication, Communication, Preparation, Preparation, Training Training

Roll-Out Planning Planning Roll-Out

Release Acceptance Acceptance Release

Fit-for-Purpose Fit-for-Purpose Testing Testing

Distribution & & Distribution Installation Installation

Live Live Environment Environment

Controlled Controlled Test Test Environment Environment Build & & Configure Configure Build

Design, Design, Development, Development, Procurement Procurement

Release Planning Planning Release

Release Policy Policy Release

Development Development Environment Environment

CMDB CMDB with with Definitive Definitive Software Software Library Library (DSL) (DSL)

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Figure 8-8. Release Management: Major Activities of Release Management

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Notes: The main components to be controlled are: • Application programs developed in-house • Externally developed software (including standard off-the-shelf software as well as customer-written software) • Utility software • Supplier-provided systems software • Hardware, and hardware specifications • Assembly instructions and documentation, including user manuals. All deliverables need to be managed effectively, from development or purchasing, through customization and configuration, through testing and implementation, to operation in the live environment. This figure outlines the major activities in Release Management and their position in the lifecycle of a change. Configuration Management records should be updated during build © Copyright IBM Corp. 2004

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and release to ensure that there are trusted releases that can be reverted to in case of problems. A release should be under Change Management, and the content and timing of a release should be authorized in advance via the Change Management process.

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User User

Service Service Provider Provider

Individual software installation Installation Installation and and configuration configuration of ofindividual individual programmes programmes

Individual Individual programs programs

Individual Individual programs programs

Installation Installation of of updates updates

Software roll-out Software Software transmission transmission

Software Software installation installation

Installation Installation monitoring monitoring

Configuration Configuration

Function Functiontesting testing

Software Software management management

System reload Reinstallation Reinstallation of ofthe the base base system system

Base Basesystem system

System System support support

User-specific User-specific configuration configuration

Update of the CMDB Configuration Configuration

Hardware Hardware inventory inventory

Documentation Documentation of ofthe the software software configuration configuration

Transmission Transmission of oferror error protocols protocols

CMDB CMDB

Application support Remote Remoteoperation operationof of the the application application

Applications Applications

Guidance Guidance to to users users

Application Application support support

Configuration Configuration check check

System support Update Update // configuration configuration of of PC PC and and ISDN ISDN technology technology

System System technology technology

Updates Updates and and patches patches

Installation Installation of ofupdates updates

Directed Directed information information flow flow

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System System support support

Time

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Figure 8-9. Interactions

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Notes: Some subprocesses of release management.

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Release Management

DSL and DHS DSL = Definitive Software Library contains the master copies of all controlled software in an organization DHS = Definitive Hardware Store secure storage of definitive hardware spares

Logical Storage

Quality Control (Viruses / Licence / Test / Completeness)

Release issue

ƒ These are spare components and assemblies that are maintained at the same level as the comparative systems within the live environment.

ƒ Details of these components and their respective builds and contents are comprehensively recorded in the CMDB.

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DSL Software and linked Configuration Items

Physical Distribution Physical Storage

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Figure 8-10. Release Management: DSL and DHS

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Notes: The Definitive Software Library (DSL) is the term used to describe a secure compound in which the definitive authorized versions of all software CIs are stored and protected. This one storage area may, in reality, consist of one or more software libraries or file-storage areas that should be separate from development, test, or live file-store areas. It contains the master copies of all controlled software in an organization. The DSL should include definitive copies of purchased software (along with licence documents or information), as well as software developed on-site. Master copies of controlled documentation for a system will also be stored in the DSL in electronic form. DHS - An area should be set aside for the secure storage of definitive hardware spares. These are spare components and assemblies that are maintained at the same level as the comparative systems within the live environment. Details of these components and their respective builds and contents should be comprehensively recorded in the CMDB. These can then be used in a controlled manner when needed for additional systems or in the recovery from major incidents. Once their (temporary) use has ended, they should be returned to the DHS or replacements obtained.

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Release Management

Software Release Release Unit Determines the content of the software package Network Computer

Release Types

Mainframes

ƒ Full Release (All software CIs from Software Management System

Internet

Software Software Distribution Distribution

Planning CDs

the release are built, tested, and implemented together.)

ƒ Delta Release (includes only those CIs within the Release unit that have actually changed or are new since the last full or delta release.)

ƒ Package Release (individual Laptops Client/Server PCs

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releases (full units, delta releases, or both) are grouped together to form Package Releases.)

ƒ Emergency Fix © 2004 IBM Corporation

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Figure 8-11. Release Management: Software Release

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Notes: Please note the following for the slide: Full Release The major advantage of full releases is that all components of the release unit are built, tested, distributed, and implemented together. There is no danger that obsolete versions of CIs that are incorrectly assumed to be unchanged will be used within the release. There is less temptation to short-circuit testing of supposedly unchanged CIs and of the interfaces from changed CIs to unchanged ones. Any problems are therefore more likely to be detected and rectified before entry into the live environment. The disadvantage is that the amount of time, effort, and computing resources needed to build, test, distribute, and implement the release will increase. Although in some circumstances the testing of a delta release (see below) may need to be as extensive as that for an equivalent full release, the amount of building effort required to test a delta release is normally less than for a full release.

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Regression testing as part of the process of implementing a full release allows a large number of components to be retested to ensure that there is no degradation in system function or behavior. An example of a full release could consist of the complete release of a new version of client desktop software, or client desktop hardware, or both. Delta Release A delta, or partial, release is one that includes only those CIs within the release unit that have actually changed or are new since the last full or delta release. For example, if the release unit is the program, a delta release contains only those modules that have changed, or are new, since the last full release of the program or the last delta release of the modules. There may be occasions when release of a full unit cannot be justified. In such cases, a delta release may be more appropriate. A decision should be made on whether delta releases are allowed, and under what circumstances. There is no single “correct” choice. It is recommended that delta releases be allowed, with the decision being taken on a case by case basis. In each case, the Change Advisory Board (CAB) should make a recommendation, based upon all the relevant facts, on whether the release unit stipulated in the release policy is appropriate, or whether a delta release is preferable. In making its recommendation, the CAB should take into account: • The size of a delta release in comparison with a full release, and hence the resources and effort required • The urgency of the need for the facilities to be provided by the release to the users • The number of CIs (below the release unit level) that have changed since the last full release; a very large number may enforce a full release • The possible risk to the business if compatibility errors are found in the release (for example, would it be preferable to wait for a full release than to risk interface problems arising with a delta release?) • The resources available for building, testing, distributing, and implementing the delta release (for example, if implementation is to be via non-technical staff, is it easier to implement a complete new release than a delta release?) • The completeness of impact analysis information to make an informed and objective decision. Package Release To provide longer periods of stability for the live environment by reducing the frequency of releases, it is recommended that, where appropriate and where the resulting larger amount of change can be confidently handled without problems, individual releases (full units, delta releases, or both) are grouped together to form “package releases”. For example, changes to one system or suite will often require changes to be made to others. If all these 8-14 ITIL Foundation

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changes have to be made at the same time, they should be included in the same package release. A package can, for example, contain an initial version of a new TP service, several new versions of batch programs, a number of new and initial versions of individual modules, together with the release of a complete new desktop system (both hardware and software). Both full and delta releases may be included. The use of package releases can reduce the likelihood of old or incompatible software being wrongly kept in use. It can encourage organizations to ensure that all changes that should be made concurrently, in different suites and systems, are actually made concurrently. It can also encourage organizations to test the interworking of these suites and systems fully. Care should be taken, however, not to exceed, in any particular package release, the amount of change that can be handled comfortably. When making a decision on what to include in the package, care should be taken to ensure that the full impact of all individual parts on each other part is understood and has been properly assessed.

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Release Management

Benefits ƒ Greater success rate in hardware and software release, hence improved QOS delivered to the business

ƒ Consistency in the release processes of hardware and software environments ƒ Less disruption of service to business by synchronizing releases having impact on different components

ƒ Assurance that hardware and software in use is of known quality, because releases are built properly (quality control, testing, under Change Management)

ƒ More stable environment, as changes are bundled into releases, hence fewer implementations required

ƒ ƒ ƒ ƒ

Better expectation level because of release schedule Audit trail of changes Control and safeguarding of hardware and software assets Higher rate of changes can be absorbed without affecting IT QOS by using a release comprising multiple changes

ƒ Lower probability of illegal copies in environment ƒ Easier detection of wrong versions and unauthorized copies ƒ Reduced time to release and fewer delays 13

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Figure 8-12. Release Management: Benefits

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Release Management

Costs

ƒ Resources – Software: supported software tools, database – Security for DSL – Hardware and equipment, especially data storage – Spare components (DHS) – Network resources (remote control)

ƒ Staff: – Salary, training – Tests

ƒ Tailoring of the process 14

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Figure 8-13. Release Management: Costs

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Notes: This slide discusses the costs of building the DSL and the DHS. For secure release distribution, a secure network is needed. The staff who support the process and the tailoring of the process will generate expense.

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Unit 8. Release Management Course materials may not be reproduced in whole or in part without the prior written permission of IBM.

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Release Management

Risks Potential problem areas:

ƒ Establishment of version and release guidelines with external suppliers ƒ Bypass defined procedures ƒ Creation of the definitive software library ƒ DSL integration using automatic software distribution ƒ Ensure that version numbering guidelines comply with releases ƒ Staff resistance to procedures because of lack of knowledge of benefits. Education is required.

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Figure 8-14. Release Management: Risks

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Release Management

Best Practices

ƒ Physical storage of all operational software in the definitive software library (DSL)

ƒ Distribution of each software item from the DSL. Use of the DSL as source for distribution.

ƒ Integration of Release Management (operational), Change Management (control), and Configuration Management (control and administration)

ƒ Control of each software item using release, version, and package guidelines

ƒ Release Management process also for additionally purchased software (not only for self-developed software)

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Figure 8-15. Release Management: Best Practices

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Release Management

Summary ƒ Release Management undertakes the planning, design, building, configuration, and testing of hardware and software to create a set of release components for a live environment. The focus is to protect the live environment and services through the implementation of formal procedures and release checks.

ƒ A Release is a collection of authorized changes to an IT service. ƒ Responsibilities: control of the DSL, definition, building and management of software releases, distribution of software CIs, software audits

ƒ Release types: Full, Package, Delta Release, and Emergency Fix ƒ DSL and DHS ƒ Process relationship – Release Management (Operational) – Change Management (Control). – Configuration Management (Control and Administration).

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Figure 8-16. Release Management: Summary

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Unit 9. Service Level Management What This Unit Is About This unit is an introduction to Service Level Management, and its relationship within IT Services.

What You Should Be Able to Do After completing this unit, you should be able to think about the mission of this service, and understand its benefits within the ITIL framework.

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Unit 09

Service Level Management Content:

ƒ Service Level Management – objective and overview ƒ Responsibilities and obligations ƒ Some definitions ƒ Important aspects: – Service Level Agreement (SLA) – Service spec sheet

ƒ Benefits, risks, costs ƒ Best practices ƒ Summary

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Figure 9-1. Unit 09: Service Level Management

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Service Level Management

Integration into the IPW Model

Source: IPW Model is a trade mark of Quint Wellington and KPN Telecoms 3

© 2004 IBM Corporation

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Figure 9-2. Service Level Management: Integration into the IPW Model

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Service Level Management

Mission Statement The goal for Service Level Management is to maintain and improve IT service quality, through a constant cycle of agreeing, monitoring, and reporting upon IT service achievements and instigation of actions to eradicate poor service, in line with business or cost justification. Through these methods, a better relationship between IT Services and its customers can be developed. Service Level Management (SLM) is essential in any organization so that the level of IT service needed to support the business can be determined, and monitoring can be initiated to identify whether the required service levels are being achieved - and if not, why not. Service Level Agreements (SLA), which are managed through the SLM Process, provide specific targets against which the performance of the IT organization can be judged. The following belong to the scope of Service Level Management::

ƒ Service relationship customer - supplier ƒ Improved specification and knowledge of service demands ƒ Higher flexibility and reaction readiness of the service provider ƒ Balanced relation between customer demands and service costs ƒ Measurable service level ƒ Objective conflict solution ƒ Quality improvement (continuous review)

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Figure 9-3. Service Level Management: Mission Statement

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Notes: Service Level Management is the name given to the processes of planning, coordinating, drafting, agreeing, monitoring, and reporting on SLAs, and the ongoing review of service achievements to ensure that the required and cost-justifiable service quality is maintained and gradually improved. SLAs provide the basis for managing the relationship between the provider and the customer. What is an SLA? A written agreement between an IT service provider and the IT customer(s), defining the key service targets and responsibilities of both parties. The emphasis must be on agreement, and SLAs should not be used as a way of holding one side or the other to ransom. A true partnership should be developed between the IT provider and the customer, so that a mutually beneficial agreement is reached, otherwise the SLA could quickly fall into disrepute and a culture of blame prevent any true service quality improvements from taking place.

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Service Level Management

Why Service Level Management ƒ Service Level Management (SLM) is responsible for the qualitative and quantitative management of the services provided by the IT organization to its customers. An essential element in the service management level process is the service level agreement (SLA), a "contract" between the IT organization and its customers, that specifies the services to be delivered. Qualitative as well as quantitative details such as performance and availability of those services are specified within the SLA. ƒ A Service Level Agreement (SLA) is important for the judgement and execution of most activities in the IT organization. SLAs provide the basis for managing the relationship between the provider and the customer. ƒ Due to organizational and cultural effects, the SLM process is one of the most important but also the most complex. It formalizes the relationship between the customer organization and the IT organization. The SLA can also serve as a catalyst to demonstrate the necessity of further important ITSM processes and their contributions to the fulfilment of the SLA.

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Figure 9-4. Service Level Management: Why Service Level Management

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Notes:

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Service Level Management

SLM – Balance service capabilities and service requirements

Demand for IT services

Offer IT services

Requirement

Capabilities

Customer Primary Issues: •Cost, Convenience •Satisfaction

Service Provider Primary Issues: •Efficiency •Effectiveness

ƒƒ Knowledge Knowledge of of business business requirement requirement ƒƒ Knowledge Knowledge of of the the service service catalog catalog ITIL Foundation Course | Student material v1.0

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Figure 9-5. Service Level Management: SLM – Balance service capabilities and service requirements

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Service Level Management

Definitions Service Level Agreement (SLA): agreement between IT service provider and the IT customer(s), detailing key service targets and responsibilities of both parties. Operational Level Agreement (OLA): agreement between IT service provider and other internal service providers on which the service depends. Underpinning Contract (UC): contract with external IT service providers (for hardware or software). Service Catalog (SC): list of all IT services provided which can come into scope for SLAs. Also lists users of the service and their maintainers. Service Level Requirement (SLR): list of all customer requirements for the service. Service Improvement Program (SIP): Management can instigate a SIP to identify and implement whatever actions are necessary to overcome any difficulties and restore service quality.

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Figure 9-6. Service Level Management: Definitions

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Notes:

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Service Level Management

Tasks Demand of service level

Service catalog

Customer relationship care

Service Level Service Level Management Management

Service level agreement

Operational level agreements and contracts (UC)

Service specification sheet (service specification) Monitoring, review, and evaluation

Service improvement program

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Figure 9-7. Service Level Management: Tasks

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Notes: The tasks which belong to SLM activities include those shown on the slide.

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Service Level Management Service Level Management Activities Identify existing service levels and new requirements Review and adjust service provision, SLA

Define offerings with OLAs and Underpinning Contracts

Report to the customer and IT organization

Agree on SLAs and maintain Service Catalog Monitor and evaluate service levels versus SLAs

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Figure 9-8. Service Level Management: Service Level Management Activities

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Notes: The main activities within the SLM process are shown on the slide.

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Service Level Management

Manage relationship with customers and suppliers (internal and external) Business Context SLA

IT customer SLA

Service Level Management

IT Provider

Internal IT Provider IT Organizations

OLA

Network

HW

Operating

...

UC

Service Portfolio

Service Level Agreement (SLA) ƒA written agreement between an IT Service Provider and the IT Customer(s). ƒAn SLA should have a commercial and a legal part. 10

External Provider

Operational Level Agreement (OLA) ƒA contract or agreement with an internal supplier covering delivery of services. ƒAn OLA has no legal part.

Underpinning Contract (UC) ƒA contract with an external supplier covering delivery of services ƒA UC should have a commercial and a legal part. ƒA UC is a SLA with the external supplier or provider‘s point of view

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Figure 9-9. Service Level Management: Manage relationship with customers and suppliers (internal and external)

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Notes: To define the service which a IT organization should provide, an SLA is a mandatory contract. To ensure delivery of service, the IT organization needs an underpinning contract with its suppliers.

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Service Level Management

Different points of view: Communication Negotiation of service level agreements

The communication between all individuals concerned is a key factor for effective and efficient SLAs!

Legal: Contract law, handling, disputes, penalties

Staff point of view: Operational specification, education, administration

SLA Customer’s point of view: Reaction time, service time, ...

Commercial: Accounting, charging

Technical: Tools, methods, metrics collection procedures 11

© 2004 IBM Corporation

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Figure 9-10. Service Level Management: Different points of view: Communication

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Notes:

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Service Level Management

Content of a Service Level Agreement (SLA) Name, date, parties, signatures

Management reporting, review methods

Version numbers, dates, contents, signatures

Service Level Service Level Agreement Agreement

SLA release management and service change procedures

General information: contact persons, escalation, penalties, definitions

Quality objectives, care and support Service specification sheet 12

Concerned parties, roles and responsibilities

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Figure 9-11. Service Level Management: Content of a Service Level Agreement (SLA)

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Notes: Not a fixed rule: some of the content items are mandatory, and others are not.

9-12 ITIL Foundation

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Service Level Management

Service Level Agreement (SLA) – Basic Structure • Validity • Name of the client or customer • Business field, products

Recourse claims for non-compliance of SLAs -> liability regulation

• Type of service or product Ö Definition and scope of business Ö Customer requirements Ö Process steps description for the product handling • Prerequisites that have to be fulfilled by the customer or client • Agreed quality standards Ö Availability Ö “Deadlines” for same-day handling Ö Quality degrees Ö Emergency regulation (reference to emergency concepts) Ö Incidents Ö Claims and escalation procedures • Action plans Ö Reports Ö Periodic checks Ö Q circle

... + signatures of the contract partners

• Costs accounting and charging • Bonus/Malus Regulation 13

© 2004 IBM Corporation

ITIL Foundation Course | Student material v1.0

Figure 9-12. Service Level Management: Service Level Agreement (SLA) – Basic Structure

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Notes:

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Unit 9. Service Level Management Course materials may not be reproduced in whole or in part without the prior written permission of IBM.

9-13

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IBM Global Services

Service Level Management

Service Level Agreement (SLA) – Legal Contents § Preamble

§ Costs and performance clearing

§ Change Management

§ Performance control, measuring method

§ Scope

§ Reporting

§ General conditions

§ Failure of provision

§ Cooperation duties of the customer

§ Penalties

§ Consulting

§ Warranty, liability, damages

§ Education

§ Duration of contract

§ Performance description

§ Extraordinary termination

§ Backup and data protection

§ Conversion

§ Limitations, restrictions, exclusions

§ Claim to working results

§ Priorities

§ Venue

§ Escalations

§ Writing

§ Other obligations

§ Final provision

§ Secrecy

14

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Figure 9-13. Service Level Management: Service Level Agreement (SLA) – Legal Contents

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IBM Global Services

Service Level Management

Elements of a Service Spec Sheet Name, date, parties

Procedures for changes, delivery, recovery action

Service Service specification specification sheet sheet

Security, backup and recovery, contingency, security 15

Service time and location, terms of delivery and financial terms

Service description, date, duration, signatures

Supplied products and accessories

Service levels, availability, performance © 2004 IBM Corporation

ITIL Foundation Course | Student material v1.0

Figure 9-14. Service Level Management: Elements of a Service Spec Sheet

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Notes: The specification sheet specifies in detail what the customer wants (external), and what consequences this has for the service provider (internal), such as required resources and skills.

© Copyright IBM Corp. 2004

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Service Level Management

Benefits ƒ Improvement in IT service quality and reduction of service outages can lead to significant financial savings

ƒ Satisfied customers and better customer relationship ƒ Clearer view between both parties on roles and responsibilities ƒ Specific targets that have to be achieved and that can be measured and reported ƒ Focusing of IT effort on what the business thinks is key ƒ IT and customers have consistent expectations on the level of service required ƒ Identification of weak areas that can be remedied subsequently ƒ SLM underpins supplier management and vice-versa ƒ IT services are designed to meet Service Level Requirements ƒ SLAs can be the basis for charging, and are the demonstration of what customers receive for their money.

16

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Figure 9-15. Service Level Management: Benefits

© 2004 IBM Corporation

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Service Level Management

Risks Potential problem areas:

ƒ Monitoring actual achievements and having the same perception as the customer. This impacts the following: – Committing only to achievable targets – Verifying targets prior to agreement – SLAs based on desires rather than achievable targets

ƒ Inadequate resources and time – SLA management done in the margin of … ƒ Too low seniority for SLA manager ƒ SLAs not supported by adequate UCs and OLAs ƒ Unclear definition of responsibilities of each party, making some things fall between the “cracks”

ƒ IT-based rather than business-aligned ƒ Business not knowing its requirements ƒ Not focused SLAs ƒ SLAs being considered as overhead rather than chargeable service 17

© 2004 IBM Corporation

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Figure 9-16. Service Level Management: Risks

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Notes:

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Unit 9. Service Level Management Course materials may not be reproduced in whole or in part without the prior written permission of IBM.

9-17

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IBM Global Services

Service Level Management

Costs The costs for SLM should be viewed as investment and added value.

ƒ Staff: salaries, training, consultancy – initial and ongoing ƒ Support tools and hardware ƒ Marketing costs

18

ITIL Foundation Course | Student material v1.0

Figure 9-17. Service Level Management: Costs

© 2004 IBM Corporation

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9-18 ITIL Foundation

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Service Level Management

Best Practices

ƒ Show the winning of business oriented to SLA ƒ Clearly differentiate Service Level Management (Process) from Service Level Agreements (Contract)

ƒ Charging on SLA basis and not globally ƒ Clear definition in a clear language of SLA for all parties ƒ SLA Definition only as an activity of the Service Level Management process ƒ Each SLA should be supported by its own OLAs and UCs

19

© 2004 IBM Corporation

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Figure 9-18. Service Level Management: Best Practices

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Notes:

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Unit 9. Service Level Management Course materials may not be reproduced in whole or in part without the prior written permission of IBM.

9-19

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IBM Global Services

Service Level Management

Summary ƒ The goal of SLM: to maintain and gradually improve business-aligned IT service quality, though a constant cycle of agreeing, monitoring, reporting, and reviewing IT service achievements, and through instigating actions to eradicate unacceptable levels of service ƒ Important reasons for implementing Service Level Management: alignment of expectations, which is a major prerequisite for running the service organization as a business; improvement of service quality (customer-oriented) through measurable service levels

ƒ Responsibilities: care of customer relations; planning and maintenance of the service catalog; drafting of SLRs; negotiation, preparation, and monitoring of higher service overall contracts, SLAs, OLAs and UCs, as well as plans for improving service and quality

ƒ SLA: Service Level Agreement (duration, service description, transfer rate, availability, reaction times, signature)

ƒ The quality of IT services supports the company’s success!

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Figure 9-19. Service Level Management: Summary

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Unit 10. Availability Management What This Unit Is About This unit is an introduction to Availability Management, and its relationship within IT Services.

What You Should Be Able to Do After completing this unit, you should be able to think about the mission of this service, and understand its benefits within the ITIL framework.

© Copyright IBM Corp. 2004

Unit 10. Availability Management Course materials may not be reproduced in whole or in part without the prior written permission of IBM.

10-1

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IBM Global Services

Module 10

Availability Management

Content:

ƒ Availability Management – objective and overview ƒ Responsibilities and obligations ƒ Some definitions ƒ Important aspects: – Uptime, downtime, and availability – Availability measurement – Availability reporting

ƒ Benefits and risks ƒ Best practices ƒ Summary

2

ITIL Foundation Course | Student material v1.0

Figure 10-1. Module 10: Availability Management

© 2004 IBM Corporation

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Notes:

10-2 ITIL Foundation

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Availability Management

Integration into the IPW Model

Implementing your Service Desk infrastructure

IPW Model is a trade mark of Quint Wellington and KPN Telecoms 3

© 2004 IBM Corporation

ITIL Foundation Course | Student material v1.0

Figure 10-2. Availability Management: Integration into the IPW Model

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Notes:

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Unit 10. Availability Management Course materials may not be reproduced in whole or in part without the prior written permission of IBM.

10-3

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IBM Global Services

Availability Management

Mission Statement Availability management ensures that IT delivers the right levels of availability required by the business to satisfy its business objectives and to deliver the quality of service demanded by its customers. Availability Management should ensure that the required level of availability is provided. The measurement and monitoring of IT availability is a key activity to ensure that availability levels are being met consistently. Availability Management should look continuously to optimize the availability of the IT Infrastructure, services, and supporting organisation, in order to provide cost-effective availability improvements that can deliver proven business enhancements to customers. Goal of Availability Management: ƒ Forecast, planning, and management of services availability, to ensure that: – All services are based on appropriate and latest CIs – For CIs not supported internally, appropriate agreements exist with third-party suppliers – Changes are suggested in order to avoid future service downtime ƒ Ensures that SLA-agreed availability is met 4

ITIL Foundation Course | Student material v1.0

Figure 10-3. Availability Management: Mission Statement

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10-4 ITIL Foundation

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Availability Management

Definitions (1) Availability: measured by Mean Time Between Failures (MTBF).

ƒ Ability of an IT service or component to perform its required function at a stated instant, or over a stated period of time

ƒ Underpinned by reliability, maintainability, serviceability, and resilience of the IT infrastructure Reliability: measured by Mean Time Between System Incidents (MTBSI) ƒ Ability to work without operational failure

ƒ Depends on the probability of failure of each component, the resilience built into the IT infrastructure, and the preventive maintenance applied to prevent a failure from occurring Maintainability: measured by the Mean Time To Repair (MTTR)

ƒ Ability to be retained or restored to an operational state ƒ Depends on anticipation, detection, diagnosis, resolution, recovery from failures, and restoration of data and IT service 5

© 2004 IBM Corporation

ITIL Foundation Course | Student material v1.0

Figure 10-4. Availability Management: Definitions (1)

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Notes: Availability Management • Availability is the ability of an IT service or component to perform at a stated instant, or over a stated period of time. • Reliability is the level of freedom from operational failure of the IT service or component. • Maintainability is the ability to retain in, or restore a service or component to, an operational state. • Security focuses on the Confidentiality, Integrity, and Availability (CIA) of data. • Serviceability on its own cannot be measured as a specific metric. It is a measure of the three Availability, Reliability, and Maintainability capabilities of the IT service and components that must be done.

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Availability Management

Definitions (2)

Serviceability: cannot be measured as a specific metric ƒ Ability to maintain the availability, reliability, and maintainability provided by the contractual agreements with the IT service providers Resilience: or Fault Tolerance ƒ Ability of an IT service to remain operational in spite of malfunction by one or more subcomponents

6

ITIL Foundation Course | Student material v1.0

Figure 10-5. Availability Management: Definitions (2)

© 2004 IBM Corporation

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Notes:

10-6 ITIL Foundation

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IBM Global Services

Availability Management

Tasks

Availability planning

Monitoring, Review, and Assessment

Availability plan Availability Availability Management Management

Availability Improvement

7

Identification Availability Requirements

© 2004 IBM Corporation

ITIL Foundation Course | Student material v1.0

Figure 10-6. Availability Management: Tasks

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Notes:

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Unit 10. Availability Management Course materials may not be reproduced in whole or in part without the prior written permission of IBM.

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Availability Management

Inputs and Outputs

Outputs: ƒ Availability and recovery design criteria for new or enhanced IT services

Inputs: ƒ Availability, reliability, and maintainability requirements of the business for new or enhanced IT services.

ƒ Availability techniques that will be

ƒ Business Impact Assessment (BIA)

deployed to provide additional infrastructure resilience

for each vital business function underpinned by the IT infrastructure.

ƒ Information on IT service and component failures coming from incidents and problems.

Availability Management

ƒ Configuration and monitoring data ƒ SLA achievements

ƒ Availability reporting to reflect the business, IT support, and user perspectives

ƒ Monitoring requirement for IT components that allow the detection of deviations in availability

ƒ Availability Plan for the proactive improvement of IT infrastructure availability

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Figure 10-7. Availability Management: Inputs and Outputs

© 2004 IBM Corporation

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Notes:

10-8 ITIL Foundation

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Availability Management

Uptime, Downtime, and Availability MTTR

Recognition

Incident

Repair

Diagnosis

Recovery

Recovery

Incident

MTBF

MTBSI

Time

MTTR - Mean Time to Repair Æ DOWNTIME Æ Maintainability MTBF - Mean Time Between Failure Æ UPTIME Æ Availability (Serviceability) MTBSI - Mean Time Between System IncidentÆ Average ReliabilityÆ Reliability 9

© 2004 IBM Corporation

ITIL Foundation Course | Student material v1.0

Figure 10-8. Availability Management: Uptime, Downtime, and Availability

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Notes: A guiding principle of Availability Management is to recognize that it is still possible to gain customer satisfaction even when things go wrong. One approach to help achieve this requires Availability Management to ensure that the duration of any incident is minimized to enable normal business operations to resume as quickly as possible. Availability Management should work closely with Incident Management and Problem Management in the analysis of unavailability incidents. A good technique to help with the technical analysis of incidents affecting the availability of components and IT services is to take an incident “lifecycle” view. Every incident passes through several major stages. The time elapsed in these stages may vary considerably. For Availability Management purposes, the standard incident “lifecycle”, as described within Incident Management, has been expanded to provide additional help and guidance, particularly in the area of “designing for recovery”.

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MTBF (Mean Time Between Failures) is the average elapsed time from the time an IT service or supporting component is fully restored until the next occurrence of a failure to the same service or component MTBSI (Mean Time Between System Incidents) is the average elapsed time between the occurrence of one failure and the next failure MTTR (Mean Time To Repair) is the average elapsed time from the occurrence of an incident to resolution of the incident.

10-10 ITIL Foundation

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Availability Management

Availability Measurements (1) When is a service not available? ”A service is not available to a customer if the locally required functions cannot be used, although the agreed conditions for the provision of the service are fulfilled." A simple calculation of availability in %:

Agreed service time - Downtime Agreed service time

100 X

1

But what does 98% availability mean?

10

© 2004 IBM Corporation

ITIL Foundation Course | Student material v1.0

Figure 10-9. Availability Management: Availability Measurements (1)

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Notes: This slide shows some of the simple mathematics required to enable component and total Infrastructure Availability to be calculated. This information is needed to help formulate availability targets for IT components and IT services. Additionally, these output calculations can be input to any availability modeling tools that are available. The examples provided in this section are fairly straightforward, with the calculations presented being sufficient to provide adequate estimates of availability. Where more detailed estimates of availability are required, it may be necessary to research more complex mathematical calculations. The statistical analysis of incident data and the forecasting of availability are a rich study field in many industries outside IT, such as electronics and aviation.

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Unit 10. Availability Management Course materials may not be reproduced in whole or in part without the prior written permission of IBM.

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Availability Management

Availability Measurement (2) Serial

Parallel Availability = 90%

Disk A Disk A Availability = 90%

Disk B Availability = 90%

Availability only then, if both are in operation =>

AxB=

0.9 * 0.9 = 0.81 or 81%

Disk B

Availability = 90%

Availability = 1 – not available 1 – both are not available = 1 – (A not available) x (B not available) = 1 – 0.1 * 0.1 = 0.99 or 99%

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ITIL Foundation Course | Student material v1.0

© 2004 IBM Corporation

Figure 10-10. Availability Management: Availability Measurement (2)

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Notes: The availability percentage for each IT component within the total IT infrastructure may be different, and as such it is necessary to provide a calculation that reflects the total infrastructure availability. The levels of resilience provided positively influence the availability percentage for the total infrastructure. This slide shows the serial and parallel configuration calculation of availability.

10-12 ITIL Foundation

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Availability Management

Availability Measurement Example (3) Example of availability in a parallel or a serial architecture

12

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Figure 10-11. Availability Management: Availability Measurement Example (3)

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Notes:

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Unit 10. Availability Management Course materials may not be reproduced in whole or in part without the prior written permission of IBM.

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Availability Management

Risk Management is also an aspect of availability

Assets

Threats

Risk analysis

Risks Risks

Weaknesses

Risk management

Countermeasures

13

Planning for possible downtimes

Management of downtimes

ITIL Foundation Course | Student material v1.0

© 2004 IBM Corporation

Figure 10-12. Availability Management: Risk Management is also an aspect of availability

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Notes: The identification of risks and the provision of justified countermeasures to reduce or eliminate the threats posed by such risks can play an important role in achieving the required levels of availability for a new or enhanced IT service. Risk Analysis should be undertaken during the design phase for the IT infrastructure and service to identify: • Risks that may incur non-availability for the IT components within the IT infrastructure and service design • Risks that may incur confidentiality, integrity exposures, or both within the IT infrastructure and service design Risk Analysis involves the identification and assessment of the level (measure) of the risks calculated from the assessed values of assets and the assessed levels of threats to, and vulnerabilities of, those assets.

10-14 ITIL Foundation

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Risk Management involves the identification, selection, and adoption of countermeasures justified by the identified risks to assets in terms of their potential impact upon services if failure occurs, and the reduction of those risks to an acceptable level. This approach, when applied via a formal method, ensures that coverage is complete together with sufficient confidence that: • All possible risks and countermeasures have been identified • All vulnerabilities have been identified and their levels accurately assessed • All threats have been identified and their levels accurately assessed • All results are consistent across the broad spectrum of the IT infrastructure reviewed • All expenditure on selected countermeasures can be justified.

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Availability Management

Availability Reporting Classical reporting measures ƒ % available

ƒ % unavailable ƒ Duration of unavailability in hours ƒ Frequency of failure ƒ Impact of failure Problems with classical measures: – Fails to reflect IT availability as experienced by the business and users – Conceal “hot spots”. Generally good availability for the IT organization – Does not support continuous improvement Future measured variables (CCTA acceptance): ƒ Impact by user minutes lost (user productivity)

ƒ Impact by business transaction 14

ITIL Foundation Course | Student material v1.0

Figure 10-13. Availability Management: Availability Reporting

© 2004 IBM Corporation

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Notes: The IT support organization has for many years measured and reported on its perspective of availability. Traditionally, these measures have concentrated on component availability, and have been somewhat divorced from the business and user views. Typically, these traditional measures are based on a combination of an availability percentage (%), time lost, and the frequency of failure. Some examples of these traditional measures are as follows: % Available - The truly “traditional” measure which represents qvailability as a percentage and, as such, is much more useful as a component availability measure than as a service availability measure. It is typically used to track and report achievement against a service level target. It tends to emphasize the “big number”, such that if the service level target was 98.5% and the achievement was 98.3%, then it does not seem that bad. This can encourage a complacent behavior within the IT support organization. % Unavailable - The inverse of the above. This representation, however, has the benefit of focusing on non-availability. Based on the above example, if the target for non-availability was 1.5% and the achievement was 1.7%, then this is a much larger relative difference. 10-16 ITIL Foundation

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This method of reporting is more likely to create awareness of the shortfall in delivering the level of availability required. Duration - Achieved by converting the percentage unavailable into hours and minutes. This provides a more “human” measure that people can relate to. If the weekly downtime target is 2 hours but one week the actual was 4 hours, this would represent a trend leading to an additional 4 days of non-availability to the business over a full year. This type of measure and reporting is more likely to encourage focus on service improvement. Frequency of failure - Used to record the number of interruptions to the IT service. It helps provide a good indication of reliability from a user perspective. It is best used in combination with Duration to take a balanced view of the level of service interruptions and the duration of time lost to the business. Impact of failure - This is the true measure of service unavailability. It depends upon mature incident recording, where the inability of users to perform their business tasks is the most important piece of information captured. All other measures suffer from a potential to mask the real effects of service failure. The business may have, for many years, accepted as a fait accompli that the IT availability that they experience is represented in this way. However, this is no longer being viewed as acceptable, and the business is keen to better represent availability in measure(s) that demonstrate the positive and negative consequences of IT availability on their business and users. The traditional IT approach to measurement and reporting provides an indicator of IT availability and component reliability which is important for the internal IT support organization. However, to the business and users, these measures fail to reflect availability from their perspective and are rarely understood. This often fuels mistrust between the business and IT where, despite periods of instability, the “%” target has been met even though significant business disruption has occurred and customer complaints have been received. Furthermore, this method of measurement and reporting can often hide the benefits delivered to the business from IT improvements. The traditional IT availability measures can simply mask real IT “added value” to the business operation. While the traditional IT availability measurement and reporting methods can be considered appropriate for internal IT reporting, the disadvantages of this approach are that they: • Fail to reflect IT availability as experienced by the business and the users • Can conceal service “hot spots”, whereby regular reporting shows the SLA as being “met”, but the business, the users, or both, are becoming increasingly dissatisfied with the IT service • Do not easily support continuous improvement opportunities to drive improvements that can benefit the business and the users • Can mask IT “added value”, where tangible benefits to the business and users have been delivered, but the method of measurement and reporting does not make this visible. © Copyright IBM Corp. 2004

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IBM Global Services

Availability Management

Benefits

ƒ IT services with an availability requirement are designed, implemented, and managed to consistently meet that target

ƒ Improvement of capability of the IT infrastructure to attain the required levels of availability to support the critical business processes

ƒ Improvement of customer satisfaction and recognition that availability is the prime IT deliverable

ƒ Reduction in frequency and duration of incidents that impact IT availability ƒ Single point for availability is established within the IT organization (process owner)

ƒ Levels of IT availability provided are cost-justified and support SLAs fully ƒ Shortcomings in provision of availability are recognized and coped with in a formal way

ƒ Mindset moves from error correction to service enhancement: from reactive to proactive attitude 15

ITIL Foundation Course | Student material v1.0

Figure 10-14. Availability Management: Benefits

© 2004 IBM Corporation

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10-18 ITIL Foundation

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Availability Management

Risks Potential problem areas:

ƒ Costs of availability management are seen as overhead and are too high ƒ It is difficult to quantify the availability demands of the user and to determine their costs

ƒ Lack of available resources with the required skills ƒ Gathering of availability data requires many tools to underpin and support the process

ƒ Vendor dependency ƒ Broad knowledge of IT infrastructure

16

© 2004 IBM Corporation

ITIL Foundation Course | Student material v1.0

Figure 10-15. Availability Management: Risks

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Notes:

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Unit 10. Availability Management Course materials may not be reproduced in whole or in part without the prior written permission of IBM.

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IBM Global Services

Availability Management

Best Practices

ƒ Separation of design and measurement ƒ Usage in connection with capacity, financial management for IT services, and IT service continuity management

ƒ Determination of metrics using this process

17

ITIL Foundation Course | Student material v1.0

Figure 10-16. Availability Management: Best Practices

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10-20 ITIL Foundation

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Availability Management

Summary ƒ The goal of the Availability Management process is to optimize the capability of the IT infrastructure, services, and supporting organization to deliver a costeffective and sustained level of availability that enables the business to satisfy its business objectives.

ƒ Aspects: Availability, Maintainability, Reliability, Serviceability ƒ Risk Management ƒ Measures of Availability: – – – –

18

MTBSI (Mean Time Between System Incidents) MTTR (Mean Time To Repair ) MTBF (Mean Time Between Failures) Calculation of Availability

© 2004 IBM Corporation

ITIL Foundation Course | Student material v1.0

Figure 10-17. Availability Management: Summary

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Notes:

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Unit 10. Availability Management Course materials may not be reproduced in whole or in part without the prior written permission of IBM.

10-21

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10-22 ITIL Foundation

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Unit 11. Capacity Management What This Unit Is About This unit is an introduction to Capacity Management, and its relationship within IT Services.

What You Should Be Able to Do After completing this unit, you should be able to think about the mission of this service, and understand its benefits within the ITIL framework.

© Copyright IBM Corp. 2004

Unit 11. Capacity Management Course materials may not be reproduced in whole or in part without the prior written permission of IBM.

11-1

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Unit 11

Capacity Management Content:

ƒ Capacity Management – objectives and overview ƒ Responsibilities and obligations ƒ Important aspects – Capacity planning – Capacity Database (CDB) ƒ Benefits, risks, costs

ƒ Best practices ƒ Summary

2

ITIL Foundation Course | Student material v1.0

Figure 11-1. Unit 11: Capacity Management

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Notes:

11-2 ITIL Foundation

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Capacity Management

Integration into the IPW Model

Source: IPW Model is a trade mark of Quint Wellington and KPN Telecoms 3

© 2004 IBM Corporation

ITIL Foundation Course | Student material v1.0

Figure 11-2. Capacity Management: Integration into the IPW Model

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Notes:

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Unit 11. Capacity Management Course materials may not be reproduced in whole or in part without the prior written permission of IBM.

11-3

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IBM Global Services

Capacity Management

Mission Statement Capacity Management is responsible for ensuring that the capacity of the IT infrastructure matches the evolving demands of the business in the most cost-effective and timely manner. Capacity Management needs to understand the business requirements (the required provision of IT services), the organization's operation (the current provision of IT services), and the IT infrastructure (the means of provision of IT services), and to ensure that all the current and future capacity and performance aspects of the business requirements are provided cost-effectively. However, Capacity Management is also about understanding the potential for service provision. New technology needs to be understood and, if appropriate, used to deliver the services required by the business. Capacity Management needs to recognize that the rate of technological change will probably increase and that new technology should be harnessed to ensure that the IT services continue to satisfy changing business expectations. One of the result of the activities of Capacity Management is a documented capacity plan. The goal of Capacity Management:

Ensure Ensure required, required,acceptable, acceptable, costeffective cost cost-effectivecapacity capacity of IT resources, in of IT resources, inorder orderthat thatthe theservice servicelevels levelswhich whichare are agreed with the company are fulfilled in a timely manner. agreed with the company are fulfilled in a timely manner. 4

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Figure 11-3. Capacity Management: Mission Statement

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Capacity Management

Why Capacity Management? There are a number of reasons why an organization should implement Capacity Management. ƒ Capacity Management provides the required information about: – Which components need to be upgraded (such as main memory, faster hard disk, larger bandwidth) – When to perform upgrades – not too early, otherwise expensive overcapacities cannot be used; and not too late, in order to avoid bottlenecks, bad performance, and consequently, customer dissatisfaction – How much the upgrade will be – planning elements and predictions will influence budget planning ƒ Capacity management is based on: – Business requirements – Existing structures of the company – Existing IT infrastructure ƒ The customer does not require capacity; the customer requires services ƒ The expenditure for IT capacities needs to be continuously justifiable ƒ It provides information on current and planned resource utilization of individual components, allowing decisions on which components to upgrade, when to do so, and how much it will cost. 5

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Figure 11-4. Capacity Management: Why Capacity Management?

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Capacity Management

Capacity Management has three sub-processes

Demand Management Business Capacity Management

Service Capacity Management

Resource Capacity Management

Capacity Plan Iterative activities (Performance Mgmt)

Capacity Database

6

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Figure 11-5. Capacity Management: Capacity Management has three sub-processes

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Notes: Capacity Management consists of a number of sub-processes, within which there are various activities. The sub-processes of Capacity Management are: Business Capacity Management: This sub-process is responsible for ensuring that the future business requirements for IT services are considered, planned, and implemented in a timely fashion. This can be achieved by using the existing data on the current resource utilization by the various services to trend, forecast, or model the future requirements. These future requirements come from business plans outlining new services, improvements and growth in existing services, development plans, and so on. Service Capacity Management: The focus of this sub-process is the management of the performance of the live, operational IT services used by the customers. It is responsible for ensuring that the performance of all services, as detailed in the targets in the SLAs and SLRs, is monitored and measured, and that the collected data is recorded, analyzed, and reported. As necessary, action is taken to ensure that the performance of the services meets the business requirements. This is performed by staff with knowledge of all the

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areas of technology used in the delivery of end-to-end service, and often involves seeking advice from the specialists involved in Resource Capacity Management. Resource Capacity Management: The focus in this sub-process is the management of the individual components of the IT infrastructure. It is responsible for ensuring that all components within the IT infrastructure that have finite resource are monitored and measured, and that the collected data is recorded, analyzed, and reported. As necessary, action must be taken to manage the available resource to ensure that the IT services that it supports meet the business requirements. In carrying out this work, the Capacity Management process is assisted by individuals with specialist knowledge in the particular areas of technology.

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Capacity Management

Tasks Iterative Activities

Business Capacity Management

Analyze Tuning

Service Capacity Management

Resource Capacity Management

7

Implementation

Capacity Capacity Management Management

Monitoring

Demand Management Capacity Database (CDB)

Application Sizing

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Figure 11-6. Capacity Management: Tasks

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Notes: Ongoing: iterative activities, Demand Management, storage of data in the Capacity Database (CDB) Ad hoc: Modeling and application sizing Regularly: Production of capacity plan

Iterative activities: Monitoring in order to ensure optimum use of hardware and software such that agreed service levels can be achieved. Metrics are: • CPU, memory, file store utilization • Transactions: per second, response time • Batch duration profiles

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Distinguish between availability data and performance data. Thresholds should be set based on analysis of previously recorded data. They should be set below targets in SLAs to allow for corrective action before an SLA is breached. Analysis of the collected data to identify trends from which normal utilization and service levels can be established. Report on exception conditions compared with baseline. Predict future resource usage. Analysis should happen on short-term, medium-term, and long-term. Tuning of configurations to improve performance through: • Balancing workloads or disk traffic • Change locking strategy (database, page, table, record, row) • Efficient use of memory Implementation of tuning activities in the live environment should happen through Change Management to limit impact on the customers of the service.

Capacity Database It is a cornerstone of a successful Capacity Management system. It is the basis of performance and capacity reports to be delivered to management and technical personnel. All sub-processes use it. For more details, see notes on page 11-14.

Demand Management • Influence demand for, and use of, resources • Carried out as short-term solution to a capacity problem (like the breakdown of a redundant component that was also in use, hence halving capacity) • Carried out as longer-term solution if difficult to justify expensive upgrade • Exercised through: - Physical constraints or limiting usage - Financial constraints or charging • Can be carried out by any of the three sub-processes.

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Capacity Management

Input & Output SUB-PROCESS

INPUT ƒ Technologies ƒ SLAs, SLRs, and service portfolio ƒ Business plans and strategies ƒ Maintenance windows ƒ Employment and development plans and programmes ƒ Planning of future changes ƒ Incidents and problems ƒ Service reviews ƒ SLA violation ƒ Financial plans ƒ Budgets

8

Business Capacity Management Trend, forecast, model, prototype, size, and documentation of future business requirements Service Capacity Management Monitor, analyze, tune, and report on service performance; establish baselines and profiles of use of services Manage demand for service Resource Capacity Management Monitor, analyze, and report on utilization of components, Establish baselines and profiles on use of components

OUTPUT ƒ Capacity plans ƒ CDB ƒ Minimum requirements and profiles ƒ Threshold values and signals ƒ Capacity reports (regular, ad hoc, and in special cases) ƒ SLA and SLR recommendations ƒ Costs and recommendations for further calculations ƒ Proactive changes and service improvements ƒ Revised maintenance windows ƒ Effectiveness review ƒ Audit reports

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Figure 11-7. Capacity Management: Input & Output

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Iterative Activities A number of the activities of Capacity Management need to be carried out iteratively, and form a natural cycle: Tuning

ƒ Set up and maintain the Capacity Database ƒ Reporting – Analyzes and reports – Production of the capacity plan ƒ Demand Management and Monitoring – Ensure that the future business requirements for IT services are considered – Report on performance against targets contained in SLA – Monitoring of resources – Forecast future capacity requirements ƒ Document costs associated with options

ƒ Assess new technology and its relevance

9

Implementation

Analysis

Monitoring

Resource Utilization Thresholds

SLM Exception

Resource Utilization

Reports

Exception Reports

SLM Thresholds Capacity Management Database (CDB)

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Figure 11-8. Capacity Management: Iterative Activities

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Notes: Monitors should be established on all the components and for each of the services. The data should be analyzed, using, wherever possible, expert systems to compare usage levels against thresholds. The results of the analysis should be included in reports, and recommendations made as appropriate. Some form of control mechanism may then be put in place to act on the recommendations. This may take the form of balancing services, changing concurrency levels, and adding or removing resource. The cycle then begins again, monitoring any changes made to ensure that they have had a beneficial effect, and collecting the data for the next day, week, or month.

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Capacity Management

Capacity Plan The Capacity Plan should be published annually in line with the budgetary cycle. Ideally, it should be updated quarterly, and consists of the following parts:

ƒ Introduction ƒ ƒ ƒ ƒ ƒ ƒ ƒ ƒ

– Scope of planning – Methods Assumptions and prerequisites Management summary Business evaluations and scenarios Service summary Resource summary Options for service improvement Cost model Recommendations • Business benefit to expect • Potential impact (of not) carrying out recommendations; risks involved – Required resources – Costs: unique and ongoing

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Figure 11-9. Capacity Management: Capacity Plan

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Notes: Capacity Plan Contains: Introduction Explains background to this issue of the capacity plan: • Current levels of capacity of the organization • Problems and pain points identified due to over- or under-capacity. • Changes since last issue of capacity plan Scope of plan is given (ideally all IT resources). Methods used (how and when information obtained from sub-processes): • Business forecasts from business plans • Workload forecasts from users • Service level forecasts from modeling 11-12 ITIL Foundation

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Management summary Highlight main issues, options, recommendations and costs. Business scenarios Put the plan in the context of the current and future business environment. Mention all known business forecasts so that readers can determine what is inside and outside the scope of the plan. Service summary For each current and recent service provision, provide a service profile, including throughput rates and resulting resource utilization. Trends should be presented. Service forecasts should be detailed because of new and demised services. Resource summary Current and recent resource usage should be documented, reporting on trends. Resource forecasts coming from service forecasts. Options for service improvement Outlines possible options for improving effectiveness and efficiency of service delivery; upgrading network, consolidating applications, rewriting custom built applications, and so on. Cost model Costs associated with options should be documented. Current and forecasted cost of providing IT services (data generally coming from IT financial management). Recommendations Summary of recommendations made in previous plan and status. Any new recommendations should be made. Recommendations should be quantified in terms of: • Business benefit to expect • Potential impact in (not) carrying out recommendations • Risks involved • Resources required • Setup cost and ongoing cost

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Capacity Management

Capacity Database Capacity Database (CDB)

ƒ Data in the CDB is stored and used by all the sub-processes of Capacity Management because it is a repository that holds a number of different types of data: business, service, technical, financial, and utilization data.

ƒ The CDB is unlikely to be a single database, and probably exists in several physical locations.

ƒ The information in the CDB is used to form the basis of performance and Capacity Management reports that are to be delivered to management and technical personnel.

ƒ The data is also utilized to generate future capacity forecasts, and to allow Capacity Management to plan for future capacity requirements.

11

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Figure 11-10. Capacity Management: Capacity Database

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Notes: Capacity Database It is a cornerstone of a successful Capacity Management system. It is the basis of performance and capacity reports to be delivered to management and technical personnel. All sub-processes use it. It contains business data: • Number of accounts • Number of branches • Number of calls into call centers • Number of PCs • Anticipated workloads It contains service data: • Transaction response times 11-14 ITIL Foundation

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• Times for batch jobs to be processed • SLM thresholds It contains technical data: • Limitations of resources (80% CPU, 30% Ethernet) It contains financial data: • Financial plans • IT budgets • External suppliers • CMDB It contains utilization data of resources: • Data of current utilization of components • Lower granularity data on older utilization data of components Can exist in several physical locations. Outputs are: • Service- and component-based reports • Exception reporting on capacity and performance for component or service. Special interest in reporting on items that affect SLAs. • Capacity forecasts to predict future growth.

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Capacity Management

Benefits and Costs Benefits ƒ Reduced risk of performance problems and

Costs ƒ Setting up Capacity Management:

failure

ƒ Cost savings ƒ Both achievable through:

ƒ

– Planned buying – Deferring expenditure until really needed (but in a controlled way) – Matching capacity to business need Ensures that systems have sufficient capacity to run the applications required by the business for the foreseeable future

ƒ Provides information on current and planned

ƒ

– Procurement of required hardware and software, such as monitoring tools – Project management – Staff costs – Accommodation Daily management of Capacity Management: – Annual maintenance and upgrades – Ongoing staff costs – Recurring accommodation costs (leasing, rental, energy)

resource utilization of individual components allowing decisions on which components to upgrade, when to do so, and how much it will cost.

““Planned Planned buying buying is is cheaper cheaper than than panic panic buying.” buying.” 12

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Figure 11-11. Capacity Management: Benefits and Costs

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Capacity Management

Risks Potential problem areas:

ƒ Customer expectations exceed technical capability ƒ Unrealistic product information from vendor ƒ Wrong estimation of future workload by the customer ƒ Precise predictions become more difficult with shorter business planning cycles

ƒ Considering all service areas (software, PC, server, LAN, WAN, TK, and so on) within the scope of capacity management

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© 2004 IBM Corporation

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Figure 11-12. Capacity Management: Risks

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Notes: Possible problems: Over-expectation Customer expectations often exceed technical capability. Therefore it is essential that customer expectations for new applications be managed from the outset. Capacity Management needs to discuss with customers the technical feasibility and, more importantly, the cost implications, of meeting over-ambitious requirements. The opportunity to achieve this is provided as part of the application sizing activity, where requirements and expectations should be discussed and agreed between all parties. The improvements that can be made through regular tuning may not be significant. However, if a service or application has been badly designed or implemented, a large performance gain may be possible. Also Demand Management is often constrained by the requirement for constant online access to corporate information. It is not always easy or possible to reschedule the use of

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services to quieter off-peak periods. For example, it would be difficult for an Internet site selling flowers to influence the demand for flowers on or around St Valentine's Day! Vendor influence Where budget and sales target deadlines coincide, it is not uncommon to be offered what seems to be the deal of a lifetime, such as “purchase sufficient capacity for today and tomorrow at yesterday’s prices”. On face value, cost efficiencies can be realized; however, before purchasing, remember: • The pace of change is rapid: today's special offer is often tomorrow's end-of-line product • Technological advancement: tomorrow's technology will perform faster and have more built-in capacity than today's technology • The overall reducing cost of technology: today's performance and capacity will always be cheaper tomorrow and considerably cheaper in six months’ time. Manufacturers’ quoted performance figures are often not achievable within a production environment. Care should be taken when negotiating with vendors for additional performance. Where possible, performance figures should be verified before purchase through reference site visits and by simulation testing where appropriate. Lack of information Time-to-market pressures are placing ever-increasing demands, and as a result business planning cycles are shorter. This is not an excuse, but a statement of fact about the environment within which Capacity Management must function. Traditionally, it has always been difficult to obtain accurate business forecasts, in order to predict increases and decreases in demand for IT capacity. However, even the best business planning function cannot always accurately predict demand. There have been numerous recent examples of unprecedented and unpredicted consumer demand for either the latest product or the latest information. Internet sites that are suddenly popular are good examples of consumer demand far outstripping supply and causing failed or drastically delayed delivery of information or products. The Internet is a prime example where consumers literally “at the click of a button” are lost forever as they go elsewhere to receive a service, never again to return to a temporarily unavailable or slow site. It is not possible to provide consistently high-quality service levels, cost-effectively, without timely, accurate business planning information being made available. However, Capacity Management can work effectively, even with crude business estimates. Also, it helps if the Capacity Management process understands the business and can talk to the customer in their language. The business is much more likely to know how many chocolate bars it is going to sell than the amount of CPU seconds it uses in the process. The Capacity Management process always improves over time.

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Capacity Management in a distributed environment Capacity Management is often considered only as a requirement within the host environment; the network and client environments are not always included as part of the Capacity Management process. Anecdote A group of network managers were asked, “When is the first time you get involved in capacity planning for new applications to be utilized across the network?” Unfortunately, the most common answer was, “Usually during the first week of live running, when users complain about poor performance”. Another common answer was “During customer acceptance testing, when the application is being tested by users just before transition to live running”. However, when also asked, “If you had been involved from the outset, when the new application was just a customer requirement, could you have provided accurate figures on spare network capacity within the target environment?”, only a handful were confident in their ability to do so. Result There are a number of results and lessons to be learned from the above: • The network is not within the scope of Capacity Management, but it should be. • Huge potential exists for new applications to perform poorly or fail totally. • Customer perception is that IT fails to deliver (again). • Potential financial costs are incurred by the business due to application failure. • Unpredicted and unbudgeted IT costs are incurred to resolve the performance problems, which usually require to be addressed urgently and thus cost even more. Level of monitoring to be implemented Tools available today provide extremely comprehensive monitoring capabilities. It is possible to monitor most aspects of most components in the IT infrastructure. However, careful consideration should be given to the level of monitoring to be undertaken, and the decision should be based upon: • Business impact of component failure: can monitoring be justified on the basis of potential impact of failure? • Utilization volatility: is utilization subject to a steady growth or decline over time, or do highly volatile changes in utilization occur? • Ability to monitor components: can monitoring and reporting be automated? • Cost of component monitoring and reporting: are costs greater than the potential use that can be made of the data collected?

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Capacity Management

Best Practices ƒ The Capacity Management process should be reviewed for effectiveness and efficiency at regular intervals to ensure that: – It is producing the required output at the required times for the appropriate audience – Its activities are cost-effective

ƒ Critical Success Factors Success in Capacity Management is dependent on a number of factors: – – – – – –

14

Accurate business forecasts Knowledge of IT strategy and plans, and that the plans are accurate An understanding of current and future technologies An ability to demonstrate cost-effectiveness Interaction with other effective Service Management processes An ability to plan and implement the appropriate IT capacity to match business needs

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Figure 11-13. Capacity Management: Best Practices

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Capacity Management

Summary

ƒ The goal of Capacity Management is to ensure that all the current and future capacity and performance aspects of the business requirements are provided in a timely and cost-effective manner.

ƒ Responsibilities: Business Capacity Management, Service Capacity Management, Resource Capacity Management

ƒ Demand Management ƒ Capacity Plan and Capacity Database (CDB)

““Good Good Capacity Capacity Management Management ensures ensures NO NO SURPRISES! SURPRISES!””

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Figure 11-14. Capacity Management: Summary

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Unit 12. Financial Management for IT Services What This Unit Is About This unit is an introduction to Capacity Management, and its relationship within IT Services.

What You Should Be Able to Do After completing this unit, you should be able to think about the mission of this service, and understand its benefits within the ITIL framework.

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Unit 12

Financial Management Content:

ƒ Financial Management – objectives and overview ƒ Responsibilities and obligations ƒ Important aspects – Costs types – IT accounting – Interfaces to other service management processes

ƒ Benefits and risks ƒ Best practices ƒ Summary

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Figure 12-1. Unit 12: Financial Management

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Financial Management

Integration into the IPW Model

Source: IPW Model is a trade mark of Quint Wellington and KPN Telecoms 3

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Figure 12-2. Financial Management: Integration into the IPW Model

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Financial Management

Mission Statement Financial Management ensures that the IT organization is able to account fully on the money spent on IT services, to attribute these costs to IT services delivered to customers, and to assist management decisions on IT investment by providing detailed business cases for changes to IT services. The goal of IT Financial Management is also: ƒ For internally (in-house) oriented IT service providers – Monitoring of the usage of IT components and resources for supplying IT services with regard to cost efficiency ƒ For externally oriented IT service providers – Recording of costs incurred, and details of how these relate to services performed for the customer – Support management decisions about IT investment by means of detailed business cases. 4

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Figure 12-3. Financial Management: Mission Statement

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Financial Management

Why Financial Management for IT Services (1) Because you can provide the best service and nevertheless can go bankrupt

Because there are minimal legal requirements for financial reporting

Because service providers should be business-oriented

Because of increasing economic pressure

5

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Figure 12-4. Financial Management: Why Financial Management for IT Services (1)

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Financial Management

Why Financial Management for IT Services (2) IT Financial Management...

ƒ ƒ ƒ ƒ ƒ ƒ ƒ

Supports the development of a solid investment strategy Enables definitions of performance objectives Enables the measurement of services performed Makes it easier to prioritize resource deployment, and with it, optimized resource planning Ensures solid, financially justified administration of the assets used in the organization Supports management in their daily decision-making in order to plan risk reduction Creates organizational prerequisites for performing cost-objective accounting

Cost-objective accounting enables...

ƒ Flexible determination of services which are to be defined. It is the basis for the business design of IT services.

ƒ Determination of real IT service costs, enabling transparent, well-measured, content-related pricing ƒ Reporting for planning and controlling ƒ Reporting for financial accounting

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Figure 12-5. Financial Management: Why Financial Management for IT Services (2)

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Financial Management

Tasks

ITITFinancial Financial Management Management

Budgeting IT Accounting

Ensures that business provides sufficient funds to run the IT services it requires

7

Provides management information on the cost of providing IT services supporting business needs

Charging

Provides sound business method of balancing shape and quantity of IT services with needs and resources of the customers

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Figure 12-6. Financial Management: Tasks

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Financial Management

Process

Business IT Business IT requirements requirements

IT operational IT operational plan (including plan (including budgets) budgets)

Financial targets

Cost analysis Cost analysis (accounting) (accounting)

Costing models

external

Charging Charging

internal

Charging Charging

Charging policies

Feedback of proposed charges to businesses

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Figure 12-7. Financial Management: Process

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Notes: This slide looks at methods for an IT organization to predict and calculate the costs of service, and discusses ways of estimating the proportion of costs that can be attributed to each customer where an IT service is shared. This simple diagram is used as a basis for the whole item. In summary: Budgeting enables an organization to: • Predict the money required to run IT services for a given period • Ensure that actual spend can be compared with predicted spend at any point • Reduce the risk of overspending • Ensure that revenues are available to cover predicted spend (where charging is in place) IT accounting enables an organization to: • Account for the money spent in providing IT services 12-8 ITIL Foundation

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• Calculate the cost of providing IT services to both internal and external customers • Perform cost-benefit or Return-on-Investment analyses • Identify the cost of changes Charging enables an organization to: • Recover the costs of the IT services from the customers of the service • Operate the IT organization as a business unit if required • Influence user and customer behavior

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Financial Management

Process – Budgeting and Accounting Activities (mandatory) To understand whether an IT organization is doing the best that it can and to demonstrate this to its customers, it has to both understand the true cost of providing a service and manage those costs professionally. To do this, it is usual to implement IT accounting and budgeting processes, and often to implement charging processes as well.

Budgeting is the process of predicting and controlling the spending of money within the organization, and consists of a periodic negotiation cycle to set budgets (usually annual) and the day-to-day monitoring of the current budgets. Budgeting enables an organization to: ƒ Predict the money required to run IT services for a given period ƒ Ensure that actual spending can be compared with predicted spending at any point ƒ Reduce the risk of overspending ƒ Ensure that revenues are available to cover predicted spending (where charging is in place) Accounting is the set of activities that enable the IT organization to account fully for the way its money is spent. IT accounting enables an organization to: ƒ Account for the money spent in providing IT services ƒ Calculate the cost of providing IT services to both internal and external customers ƒ Perform cost-benefit or return-on-Investment analyses ƒ Identify the cost of changes

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Figure 12-8. Financial Management: Process – Budgeting and Accounting Activities (mandatory)

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Notes: The aim of budgeting is that the actual costs match the budget (predicted costs). This budget is usually set by negotiations with the customers who are providing the funds (although this sometimes happens at an unrefined level, where the business leaders agree proportions of their revenue to be used to fund IT, based upon what IT have told them their costs are). Good budgeting is essential to ensure that the money does not run out before the period ends. Where shortfalls are likely to occur, the organization needs early warning and accurate information to enable good decisions to best manage the situation. Current leading practice is to use IT accounting to aid investment and renewal decisions, and to identify inefficiencies or poor value, but to charge a fixed amount for an agreed capacity (determined by the level of service agreed in the Service Level Agreements or SLAs). In this case, IT Finance Management works with Service Level Management (they may even be the same person) to ensure that the overall costs of running the agreed services should not exceed the predicted costs. Charging is then often a matter of billing for agreed periods at an agreed rate, for example 1/12 of each customer's IT budget each calendar month. Additional charges are made for work above the agreed service levels (such as office moves, major roll-out, unplanned hardware upgrade). 12-10 ITIL Foundation

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Financial Management

Process – Charging (optional) Charging has motivational aspects, considering the effects upon both the provider and the customer of the service. The objective is to optimize the behavior of both parties in achieving the organization's aims. Charging enables an organization to:

ƒ Recover the costs of the IT services from the customers of the service ƒ Operate the IT organization as a business unit if required ƒ Achieve transparency for customers ƒ Influence user and customer behavior ƒ Achieve profit – Use market strength (invisible hand) – Deliver effective services in agreed quality and quantity

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Figure 12-9. Financial Management: Process – Charging (optional)

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IBM Global Services

Financial Management

Cost Types For producing a cost model, the suggested cost types are:

ƒ Hardware costs (CPU, disk storage, LANs, peripherals….) ƒ Software costs (OS, applications, database, systems management….) ƒ People costs (payroll costs, company cars, relocation costs, expenses, overtime, consultancy)

ƒ Accommodation costs (offices, storage, secure areas, utilities) ƒ External service costs (security, outsourced services,…) ƒ Transfer costs (goods and services that are sold from one part of an organization to another)

•• All All costs costs for for services services can can be be grouped grouped into into the the cost cost types types listed. listed. •• Other types are possible; this is not a fixed rule. Other types are possible; this is not a fixed rule. •• Important: Important: all all major major cost cost elements elements in in the the current current or or proposed proposed IT IT budget are identified and then attributed to the customers who budget are identified and then attributed to the customers who “cause” “cause” them. them.

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Figure 12-10. Financial Management: Cost Types

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Notes: External service and transfer costs need further explanation. It is now common to buy in services from external parties (external services) that are a mixture of cost types, for example an outsourced service for providing an organization’s application development, or the provision of a data center. It may be difficult to break down this cost (into each of the first four categories), as it is likely to contain elements that are indivisible or that the supplier will not wish to detail. It is easier and more usual to categorize this as an external service cost. Transfer costs are those that represent goods and services that are sold from one part of an organization to another (often within a multinational or other large organization that has a sophisticated internal accounting system). Transfer costs may be for: • Hardware (an IT organization buying PCs on behalf of a business customer) • Software (the corporate finance department producing control mechanisms for IT to manage their costs) • People (the HR overhead levied by the corporate HR department) • Accommodation (a charge made by the Facilities Management department) 12-12 ITIL Foundation

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Transfer costs should be visible in the cost model, because people may forget that internal goods and services represent a cost to the organization and are part of the cost of providing service. Hence, a false figure may be reached when assessing costs if a service is dependent upon activity from another part of the organization but this cost is excluded from calculations. Some organizations will insist on these transfer costs being accounted for in each part of the organization, while others might only use them when modeling costs, and no money will actually pass across the organization. In this publication, it is assumed that it is not necessary to separately identify transfer costs in the cost model examples.

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Financial Management

Cost Classification Capital Costs

Operational Costs

are the purchase or major enhancement of fixed assets, for example computer equipment, building, and plant, often also referred to as “one-off” costs.

are those resulting from the day-to-day running of the IT Services organization, such as staff costs, hardware maintenance and electricity, and relate to repeating payments whose effects can be measured within a short timeframe, usually less than the 12-month financial year.

Direct Costs those clearly attributable to a single customer, such as manufacturing systems used only by the Manufacturing division.

Indirect Costs (sometimes called overheads) are those incurred on behalf of all, or a number of, customers, such as the network or technical support department, which have to be apportioned to all, or a number of, customers in a fair manner.

Fixed Costs

Variable Costs

Costs that do not vary even when resource usage varies. Examples of this would be a maintenance contract for a server or a corporate software licence (within agreed user limits).

are those that vary with some factor, such as usage or time.

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Figure 12-11. Financial Management: Cost Classification

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Notes: The cost-by-customer cost model requires that all major cost elements in the current or proposed IT budget be identified and then attributed to the customers who “cause” them. To do this, the costs first have to be identified as either direct or indirect: Direct costs are those clearly attributable to a single customer, such as manufacturing systems used only by the Manufacturing division. Indirect costs (sometimes called overheads) are those incurred on behalf of all, or a number of, customers, such as the network or the technical support department, which has to be apportioned to all, or a number of, customers in a fair manner. Any indirect costs (sometimes called unabsorbed overheads) which cannot be apportioned to a set of customers have then to be recovered from all customers in as fair a way as possible, usually by uplifting the costs calculated so far by a set amount. This ensures that the sum of all of the costs attributed to each customer still equals the total costs incurred by the IT organization; this is referred to as the “balance check”. This “balance check” can be applied to costs divided in other ways, such as by service or location; the sum of the parts should always equal the whole. 12-14 ITIL Foundation

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If the cost model is being produced for the first time, the categories and cost elements for it need to be developed first, to a level of detail that meets the needs of IT accounting and of any charging to be performed. Hence an understanding of charging policies is necessary when the cost model is drawn up. If costs are mainly direct, perhaps because each customer has independent hardware and software, the method of recording and of apportioning costs can be very simple. For example, if Finance are the only customers of the general ledgers and the system on which they run, all costs directly associated with the general ledgers, including purchase, maintenance, and support, can be attributed to the Finance department's code in the ledgers (often called a cost center or a charge code). However, if resources are shared, for instance a mainframe is running applications for more than one customer, the hardware costs may have to be classified as indirect and apportioned to each customer, say by CPU seconds, disk storage, print volumes, and so on, from workload predictions. To do this requires a model that allows these costs to be spread across a number of customers. For finance purposes, costs are classified into either capital or operational when the financial ledgers are reported (the “books”). This is because capital expenditure is assumed to increase the total value of the company, while operational expenditure does not, although in practice the value of capital expenditure decreases over time (depreciates). This distinction affects IT accounting, because the cost model needs a method of calculating the annual cost of using a capital item (such as a mainframe) to deliver an IT service. The annual costs must make allowance for the decreasing value of capital items (assets), and make for timely renewal of capital items, such as buildings, servers, and applications. Usually, this is taken as the annual depreciation, from a method set by the Finance department (within the boundaries of the country's laws). Capital costs are typically those applying to the physical (substantial) assets of the organization. Traditionally this was the accommodation and machinery necessary to produce the organization’s product. Capital costs are the purchase or major enhancement of fixed assets; for example, computer equipment, building, and plant are often also referred to as “one-off” costs. It is important to remember that it is not usually the actual cost of items purchased during the year that is included in the calculation of the cost of the services, but the annualized depreciation for the year. Operational costs are those resulting from the day-to-day running of the IT services organization, such as staff costs, hardware maintenance, and electricity, and relate to repeating payments whose effects can be measured within a short timeframe, usually less than the 12-month financial year.

Fixed or Variable Costs that do not vary even when resource usage varies are referred to as fixed costs. Examples of this would be a maintenance contract for a server, or a corporate software license (within agreed user limits). © Copyright IBM Corp. 2004

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Variable costs are those that vary with some factor, such as usage or time. They are likely to be used for cost elements which cannot be easily predicted, and for which it is to the benefit of both supplier and customer to determine the costs exactly, perhaps for variable charges to be applied. Examples of charges that might vary, because the underlying cost varies, are out-of-hours cover, major equipment relocation, and the production of additional quarterly reports. A cost element such as file store may be considered to be variable. If a customer requires an additional 10 GB, it may be possible to calculate that the cost of this is £1000, and hence that the cost per GB is £100. The danger of this approach is that there are often sharp changes in costs because they cannot be continuously scaled: the next disk drive may require another cabinet, or an additional process run on the server may cause queuing problems resulting in all jobs taking longer to run. It is sometimes necessary to view a cost as having a fixed element and a variable element, for example, using file store at all requires disk controllers and bandwidth, causing a fixed cost. The variable cost of additional disk drives can then be calculated and added to the fixed portion. This level of detail is not usually needed in calculating the cost of a service, but can be useful when evaluating competing technologies or services.

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IBM Global Services

Financial Management

Costs types – Example: Printing a report Printing out a report:

ƒ Fixed direct costs – Depreciation of the printer

ƒ Fixed indirect costs – IT Management team, support team ƒ Variable direct costs – Paper consumed for printing ƒ Variable indirect costs – Printing another report on the same printer – Ink cartridge

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Figure 12-12. Financial Management: Costs types – Example: Printing a report

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Financial Management

Example of IT Accounting Hardware Software Personnel Hardware Software Personnel

Facility Facility

External services External services

Transfer Transfer

Cost category calculation Cost category calculation Cost centre accounting Cost centers Overhead costs

Indirect costs (overhead costs)

Cost centers

Direct costs (individual costs)

Overhead costs extra charge

Cost objective calculation Revenue - Individual costs - Overhead costs = accumulated profit 14

Calculation Calculation

Product (groups)

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Figure 12-13. Financial Management: Example of IT Accounting

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Financial Management

Links to other processes

ƒ Service Level Management: Cost of meeting customer SLA requirements impacts shape and scope of services that are agreed. IT Finance manager cooperates with Service Level manager about the costs meeting business demands and charging policies influencing customer behavior. The more variations to service levels, the larger the scope of charging, but the larger the overheads of budgeting, IT accounting, and charging.

ƒ Capacity/Availability Management: Cost information can be used to estimate cost of desired capacity or availability.

ƒ Configuration Management: Financial management requires asset and cost information which can be provided through the CMDB.

ƒ Change Management: Influence of changes on cost.

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Figure 12-14. Financial Management: Links to other processes

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Notes: Financial Management for IT Services interacts with most IT service processes and has particular dependencies upon and responsibilities to: • Service Level Management - The SLA specifies customer expectations and IT Services’ obligations. The cost of meeting the customer's requirements may have a major impact on the shape and scope of the services that are eventually agreed. IT Finance Management liaises with Service Level Management about the costs of meeting current and new business demands, the charging policies for the organization, their effects on customers, and how the policies are likely to influence customer and user behavior. The more that the SLA allows individual customers to request variations to service levels, the greater is the scope for (and potential benefits of) charging for IT services, but also the greater the overheads of budgeting, IT accounting, and charging. • Capacity Management - Cost information can be used to estimate the costs of the desired capacity and availability of the system. In planning the capacity, it may be necessary to discuss the costs with individual customers or the organization as a whole.

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Data that is collected so that costs can be determined may also be relevant to capacity assessments, such as staff effort, machine usage. • Configuration Management -Financial Management requires asset and cost information that may be managed by large organization-wide systems. Configuration Management is responsible for managing the data relating to assets (configuration items) and their attributes (such as cost).

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Financial Management

Benefits

ƒ IT accounting supports the IT Service Manager ƒ Statements about profitability of the individual IT services ƒ Essential decisions about IT services and the required investments ƒ Data for justifying IT expenditures ƒ Essential planning and budgeting ƒ Overview of costs, created by service failures, as a basis for expenditure justification in strategy planning

ƒ Users can track costs of the services they have used

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Figure 12-15. Financial Management: Benefits

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Financial Management

Risks Potential problem areas:

ƒ New discipline, so limited understanding of leading practice in cost modeling and charging mechanisms, leading to overly complex or ineffective systems

ƒ IT accounting relies on planning information provided by other functions within and outside IT services management, and is sometimes difficult to obtain

ƒ Combination of IT skills and accountancy skills is rare ƒ IS strategy and objectives are not clear, hence prediction of capacity requirement is not accurate

ƒ Senior management may not realize benefits of IT accounting and charging ƒ Resentment of administrative overhead and workload ƒ Complex IT accounting and charging makes cost larger than value of information provided

ƒ Monitoring tools providing resource usage are inaccurate or not cost-efficient 17

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Figure 12-16. Financial Management: Risks

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Notes: There are a number of possible problems in implementing IT accounting and charging: • IT accounting and charging are often new disciplines in IT Services, and there is limited understanding of leading practice in cost modelling and charging mechanisms, which could lead to over-complex or ineffective systems. • IT accounting relies on planning information provided by other processes both within and outside IT Services Management which may not be routinely available, delaying the project. • Staff combining accountancy and IT experience are rare, so many activities may need to be shared with staff from outside IT Services who may not have this as their priority. • The IS strategies and objectives of an organization may not be well formulated and documented, and prediction of capacity requirement may not be accurate. • Senior business managers may not recognize the benefits of IT accounting and charging, and may resent the administrative overheads and the limitations on workload.

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• The IT organization may not be able to respond to changes in users' demands once costs become an influence. • The IT accounting and charging processes are so elaborate that the cost of the system exceeds the value of the information produced. • The monitoring tools providing resource usage information are inaccurate or irrelevant, or cost too much to develop and maintain..

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IBM Global Services

Financial Management

Best Practices

ƒ Clear differentiation between accounting and charging ƒ Connection with Availability Management, Capacity Management, Configuration Management, and Change Management

ƒ Customer-specific charging ƒ Financing, benchmarks, and investments are very important

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Figure 12-17. Financial Management: Best Practices

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IBM Global Services

Financial Management

Summary

ƒ The goal of Financial Management is to provide cost-effective stewardship of the IT assets and resources used in providing IT services

ƒ Responsibilities: Budgeting, accounting, charging ƒ Cost classification (capital/operational, direct/indirect, fixed/variable)

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Figure 12-18. Financial Management: Summary

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Unit 13. IT Service Continuity Management (ITSCM) What This Unit Is About This unit is an introduction to Continuity Management, and its relationship within IT Services.

What You Should Be Able to Do After completing this unit, you should be able to think about the mission of this service, and understand its benefits within the ITIL framework.

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Unit 13

IT Service Continuity Management (ITSCM) Content:

ƒ IT Service Continuity Management – objectives and overview ƒ Responsibilities and obligations ƒ Some definitions ƒ Important aspects – – – – –

Business impact Risk analysis Service recovery Continuity plan Continuity plan testing and review

ƒ Benefits, risks, costs ƒ Summary

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Figure 13-1. Unit 13: IT Service Continuity Management (ITSCM)

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Notes:

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ITSCM Management

Integration into the IPW Model

Source: IPW Model is a trade mark of Quint Wellington and KPN Telecoms 3

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Figure 13-2. ITSCM Management: Integration into the IPW Model

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ITSCM

Mission Statement The mission for IT Service Continuity Management (ITSCM) is to support the overall Business Continuity Management process by managing risks to ensure that IT services (including computer systems, networks, applications, telecommunications, technical support, and service desks) can be recovered within required, agreed-to business timescales. ITIL Discipline Contingency Planning (disaster planning) was renamed to IT Service Continuity Management (ITSCM), and is now part of Business Continuity Management.. The dependencies between business processes and technology are now so intertwined that Contingency Planning (or Business Continuity Management, as it is now sometimes termed) incorporates both a business element (Business Continuity Planning) and a technology element (IT Service Continuity Management Planning). Goal of ITSCM: ƒ The goal for ITSCM is to support the overall Business Continuity Management process by ensuring that the required IT technical and services facilities, including: – computer systems – networks – applications – telecommunications – technical support and Service Desk can be recovered within required, and agreed, business timescales.

ƒ

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Figure 13-3. ITSCM: Mission Statement

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ITSCM

Why ITSCM

ƒ In today's highly competitive and service-oriented business environment, organizations are judged on their ability to continue to operate and provide a service at all times. ITSCM focus is to: - Increase dependence on IT services and business protection - Reduce cost and time effort for recovery - Ensure survival

ƒ Continuity planning is therefore essential. ITSCM ensures that a business is capable of recovering substantial services and their access in the event of a disaster.

ƒ Many businesses do not survive the first year after an IT disaster! 5

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Figure 13-4. ITSCM: Why ITSCM

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ITSCM

Definitions: Business Continuity Management (BCS) and ITSCM

ƒ Business Continuity Management (BCM) is concerned with managing risks to ensure that an organization can continue operating to at least a predetermined minimum level. The BCM process involves: – Reducing the risk to an acceptable level – Planning for recovery of business processes should a disruption to the business occur ƒ IT Service Continuity Management (ITSCM) is a part of the overall BCM process and is dependent on information derived from it. It focuses on the continuity of IT services to the business. Before it is implemented, the minimum business requirements must be determined.

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Figure 13-5. ITSCM: Definitions: Business Continuity Management (BCS) and ITSCM

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ITSCM

Tasks

ITSCM ITSCM

Taking requirements from BCM

Making, testing, improving, and maintaining a continuity plan Risk analysis and risk management

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Figure 13-6. ITSCM: Tasks

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ITSCM

Continuity Management Process Phase 1: Initiation

Initiate BCM Business Impact Analysis

Phase 2: Requirements and Strategy

Risk Assessment Business Continuity Strategy Phase 3: Implementation

Organizational and Implementation Planning Implement Standby Arrangements

Develop Recovery Rules

Implement Risk Reduction Measures

Develop Procedures Initial Testing

Education and Awareness Review and Audit Testing Change Management Training Assurance 8

Phase 4: Operational Management

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Figure 13-7. ITSCM: Continuity Management Process

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Notes: It is not possible to develop an effective ITSCM plan in isolation; it must fully support the requirements of the business. This section considers the four stages of the Business Continuity lifecycle, with particular emphasis on the IT aspects. A full understanding of the Business Continuity process can be obtained through the OGC ITIL publications, An Introduction to Business Continuity Management and A Guide to Business Continuity Management.

13-8 ITIL Foundation

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ITSCM

Risk of events that can cause disaster Event Event

Percent Percent

Theft Theft

36% 36%

Virus Virus

20% 20%

Hacking Hacking

16% 16%

Hardware Hardware // Communication Communication

11% 11%

Environment Environment

7% 7%

Software Software

4% 4%

Fire Fire // Flood Flood // Force Force Majeure Majeure

3% 3%

Other Other

3% 3%

Gartner Study 2001

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Figure 13-8. ITSCM: Risk of events that can cause disaster

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IBM Global Services

ITSCM Some events that have caused problems Below Below is is aa brief brief list list of of high-profile high-profile events events that that have have caused caused significant significant problems problems to to organizations organizations over over the the years: years: ƒƒ Technical Technical failure: failure: London London Stock Stock Exchange Exchange (2000) (2000) ƒƒ Poison Poison gas: gas: Tokyo Tokyo Underground Underground System, System, Japan Japan (March (March 1995) 1995) ƒƒ Power Power Loss: Loss: Auckland, Auckland, New New Zealand Zealand (December (December 1997) 1997) •• in in 2003 2003 alone: alone: US/Canada, US/Canada, Italy, Italy, Sweden/Denmark Sweden/Denmark Earthquake: Earthquake: Kobe, Kobe, Japan Japan (January, (January, 1995), 1995), Los Los Angeles, Angeles, USA USA (January (January 1994) 1994)

ƒƒ ƒƒ Bombing Bombing :: –– –– –– –– –– ––

World World Trade Trade Center, Center, New New York, York, USA USA (February (February 1993) 1993) Oklahoma City, Oklahoma, USA (April Oklahoma City, Oklahoma, USA (April 1995) 1995) Docklands, Docklands, London, London, England England (February (February 1996) 1996) Bishopsgate, Bishopsgate, London, London, England England (April (April 1993) 1993) Manchester, Manchester, England England (June (June 1996) 1996) World Trade Center, New York, World Trade Center, New York, USA USA (September (September 2001) 2001)

ƒƒ Flood: Flood: Bangladesh Bangladesh (July (July 1996), 1996), Pakistan Pakistan (August (August 1996), 1996), Germany/Poland Germany/Poland (2002) (2002) ƒƒ Web site denial of service attacks, such as Yahoo (2000), Microsoft (2003), Web site denial of service attacks, such as Yahoo (2000), Microsoft (2003), SCO SCO (2004) (2004)

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Figure 13-9. ITSCM: Some events that have caused problems

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ITSCM

Risk Analysis as part of BCM Requirements definition

Assets

Threats

Risk analysis

Risks Risks

Weaknesses

Risk management

Countermeasures

11

Damage Reduction

Disaster Management

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Figure 13-10. ITSCM: Risk Analysis as part of BCM Requirements definition

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Notes: The second driver in determining ITSCM requirements is the likelihood that a disaster or other serious service disruption will actually occur. This is an assessment of the level of threat and the extent to which an organization is vulnerable to that threat. The top section of the figure refers to the risk analysis: if an organization’s assets are highly valued, and there is a high threat to those assets, and the vulnerability of those assets to those threats is high, there would be a high risk. The bottom section of the figure shows risk management, where countermeasures (proactive), damage reduction (operation), and disaster management are applied to manage the business risks by protecting the assets.

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ITSCM

The continuity strategy involves the selection of recovery options

ƒ Manual workaround – Can be an effective interim measure but mostly not to be used for more complex business processes

ƒ Takeover by another organization with similar equipment (reciprocal) – Arrangement with a another organization using similar technology

ƒ Gradual recovery (cold standby) – Recovery of service about 72 hours – Provision of empty accommodation is foreseen – New Installation

ƒ Intermediate recovery (warm standby) – Recovery of service about 24 hours – Disaster Recovery center for data recovery only ƒ Immediate recovery (hot standby) – For immediate restoration of service (seconds) ƒ Using internal, external, fixed, portable, mobile centers 12

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Figure 13-11. ITSCM: The continuity strategy involves the selection of recovery options

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Notes: Strategy: Recovery options To be considered for: • People and accommodation: alternative premises, location, and mobility of staff • IT systems and networks: recovery of hardware, software, networks, and data used. Relies on effective backups and good availability management • Critical services: such as power, telecommunications, water • Critical assets: such as paper records and reference material It should take short-term and long-term recovery into account. Options are: • Do nothing: not a very good idea • Manual workarounds: can be an effective interim measure but mostly not to be used for more complex business processes

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• Reciprocal arrangements with another organization using similar technology is a good solution in a batch processing environment, but doesn't work in a distributed environment • Gradual recovery or cold-standby is good for an organization that can wait up to 72 hours for recovery of full IT services. Provision of empty accommodation is foreseen but everything else has to be installed (computer equipment and restoration of data). • Intermediate recovery or warm-standby for recovering IT services within 24 hours. Typically this is through an equipped disaster recovery center where only data needs to be recovered. Disadvantages are the distance and sharing with other customers. • Immediate recovery or hot-standby is for immediate restoration of services, and is mostly an extension of intermediate recovery, where exclusive access to systems is provided. Also a mirroring service can be established with regular data transfers. Times of recovery vary from a second to between 2 and 4 hours.

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IBM Global Services

ITSCM

Continuity Plan Invocation ƒ The invocation is the ultimate test of BCM and ITSCM plans. ƒ The following should be known in case of emergency: - Where the plans are located - The most important actions and points of decision - Contact information of the crisis management team

ƒ The plan should contain the following details: - Where are the backup media? - Where are the essential documentations, procedures, PC images, and so on? - How should the technical staff be mobilized, and which staff? - Contacting and alerting external suppliers (hardware; software if required).

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Figure 13-12. ITSCM: Continuity Plan Invocation

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ITSCM

Test and Review Testing of the continuity plan:

ƒ Should be conducted every 6 to 12 months and after every case of disaster ƒ Should be conducted under realistic conditions Review of and changes to the continuity plan: ƒ Changes of the ITSCM plan due to change in the IT infrastructure – Custom / Services / SLRs / Risks – Dependencies / Assets / CIs / Personal – Contracts / SLAs / Countermeasures / … ƒ ALL critical and major changes should be approved by the Change Advisory Board (CAB)

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Figure 13-13. ITSCM: Test and Review

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Notes:

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Unit 13. IT Service Continuity Management (ITSCM) Course materials may not be reproduced in whole or in part without the prior written permission of IBM.

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ITSCM

Benefits and Costs Benefits

Costs

ƒ Potential lower insurance premiums ƒ Business relationship with the rest of the enterprise is fostered because IT organization is forced to get a better understanding of the business

ƒ Positive marketing of contingency capabilities. Effective ITSCM allows organization to provide high service levels and thus win business

ƒ Organizational credibility is increased towards customers, business partners, and stakeholders

ƒ Cost of organization ƒ Cost of implementation ƒ Cost of HW to recover critical IT services

ƒ Contracts for offsite storage, recovery centers, recovery systems

ƒ Cost of implementation of backup/recovery strategy taking ITSCM into account

ƒ Cost of testing recovery plans ƒ Cost of maintaining recovery plans

ƒ Competitive advantage over organizations without it 15

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Figure 13-14. ITSCM: Benefits and Costs

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Notes: The advantages of ITSCM include: • Potential lower insurance premiums: The IT organization can help the organization demonstrate to underwriters or insurers that they are proactively managing down their business risks. Therefore, the risk to the insurance organization is lower and the premiums due should reflect this. Alternatively, the organization may feel comfortable in reducing cover or self-insuring in certain areas as a result of limiting potential losses. • Regulatory requirements: In some industries a recovery capability is becoming a mandatory requirement (for example, regulators stipulate that financial organizations have sufficient continuity and security controls to meet the business requirements). Failure to demonstrate tested business and ITSCM facilities could result in heavy fines or the loss of trading licenses. Within the service community, there is an obligation to provide continuous services, such as hospitals, emergency services, and prisons. • Business relationship: The requirement to work closely with the business to develop and maintain a continuity capability fosters a much closer working relationship between

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IT and the business areas. This can assist in creating a better understanding of the business requirements and the capability of IT to support those requirements. • Positive marketing of contingency capabilities: Being able to demonstrate effective ITSCM capabilities enables an organization to provide high service levels to clients and customers and thus win business. • Organizational credibility: There is a responsibility on the directors of organizations to protect the shareholders' interest and those of their clients. Contingency facilities increase an organization’s credibility and reputation with customers, business partners, stakeholders, and industry peers. For example, the growth of call centers in many organizations has meant that the need to maintain customer communications at all times is vital to the ability to retain customer confidence and loyalty. • Competitive advantage: Service organizations are increasingly being asked by business partners, customers, and stakeholders to demonstrate their contingency facilities, and may not be invited to tender for business unless they can demonstrate appropriate recovery capabilities. In many cases this is a good incentive for customers to continue a business relationship, and becomes a part of the competitive advantage used to win or retain customers.

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Unit 13. IT Service Continuity Management (ITSCM) Course materials may not be reproduced in whole or in part without the prior written permission of IBM.

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ITSCM

Risks Potential problem areas:

ƒ No senior management commitment during implementation or ongoing phase ƒ No personal resource for creating ITSCM plans ƒ Testing of continuity plans only realistic in the live environment

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Figure 13-15. ITSCM: Risks

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IBM Global Services

ITSCM

Summary ƒ The mission of ITSCM is to support the Business Continuity Management process by ensuring that the required IT technical and services facilities can be recovered within required and agreed timescales

ƒ The dependencies between business processes and technology are now so intertwined that Contingency Planning (or Business Continuity Management, as it is now sometimes termed) incorporates both a business element (Business Continuity Management) and a technology element (IT Service Continuity Management).

ƒ Activities: risk analysis, continuity plan, review and test

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Figure 13-16. ITSCM: Summary

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Unit 13. IT Service Continuity Management (ITSCM) Course materials may not be reproduced in whole or in part without the prior written permission of IBM.

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Unit 14. Security Management What This Unit Is About This unit is an introduction to Security Management, and how it relates with all other IT Services.

What You Should Be Able to Do After completing this unit, you should be able to think about the mission of this service, and understand its benefits within the ITIL framework.

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Unit 14. Security Management Course materials may not be reproduced in whole or in part without the prior written permission of IBM.

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Unit 14

Security Management Content:

ƒ Security Management – objectives and overview ƒ Definition: CIA, security incident ƒ Responsibilities and obligations ƒ Important aspects – Security measures ƒ Benefits and costs

ƒ Summary

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Figure 14-1. Unit 14: Security Management

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ITSCM Management

Integration into the IPW Model

Source: IPW Model is a trade mark of Quint Wellington and KPN Telecoms 3

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Figure 14-2. ITSCM Management: Integration into the IPW Model

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Unit 14. Security Management Course materials may not be reproduced in whole or in part without the prior written permission of IBM.

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Security Management

Mission Statement Security Management is the process of managing a defined level of security on information and IT services, including managing the responses to security incidents. The goal of Security Management is to counter risks of threats to one of the most important assets for business: the information. Information is threatened in many ways: ƒ Confidentiality

ƒ Integrity / Accuracy ƒ Availability / Accessibility C C –– Confidentiality Confidentiality II –– Integrity Integrity A A –– Availability Availability

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Figure 14-3. Security Management: Mission Statement

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Notes: IT Security Management is the process of managing a defined level of security for information, IT services, and infrastructure. IT Security Management enables and ensures that: • Security controls are implemented and maintained to address changing circumstances, such as changed business and IT service requirements, IT architecture elements, threats, and so on • Security incidents are managed • Audit results show the adequacy of security controls and measures taken • Reports are produced to show the status of information security. IT Security Management needs to be part of every IT manager's job description. Management is responsible for taking appropriate steps to reduce to acceptable levels the chances of a security incident occurring. This is the process of risk assessment and management.

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IBM Global Services

Security Management

Definitions: CIA Security Management should protect the value of the information. Confidentiality

ƒ Protecting sensitive information from unauthorized disclosure or intelligible interception

Integrity

ƒ Safeguarding the accuracy and completeness of information and software Availability

ƒ Ensuring that information and vital IT services are available and accessible when required

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Figure 14-4. Security Management: Definitions: CIA

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Notes:

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Unit 14. Security Management Course materials may not be reproduced in whole or in part without the prior written permission of IBM.

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Security Management

Why Security Management? ƒ Information is the most important production factor of the world ƒ Threat to information = threat to the organization‘s productivity ƒ Security Management gets increasingly important, because... – Public networks (Internet) are increasingly used – Internal networks are opened to customers and business partners – Internet usability is increasingly extended (e-commerce, online banking) – Processes are controlled via networks

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Figure 14-5. Security Management: Why Security Management?

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IBM Global Services

Security Management

Information Security Incident Information Security Incidents are incidents at which

ƒ the confidentiality ƒ the integrity ƒ or the availability of the information is threatened. Information security incidents ƒ can accidentally occur,

ƒ or can be intentionally caused.

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Figure 14-6. Security Management: Information Security Incident

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Unit 14. Security Management Course materials may not be reproduced in whole or in part without the prior written permission of IBM.

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Security Management

Security Measures Security measures make it possible to reduce or eliminate the risks associated with information. Security measures only add value when used harmoniously. Security organization

ƒ With clear responsibilities and tasks ƒ Policies, codes of conduct, or both Physical security measures

The The security security organization organization has has to to establish and maintain a proper establish and maintain a proper balance balance between between the the level level of of security security and and the the ability ability to to use use the the service. service.

ƒ Physical separation of the computer room Technical security measures

ƒ Security in a computer system or network Procedural security measures

ƒ How the staff are required to act in particular cases ƒ Work instructions

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Figure 14-7. Security Management: Security Measures

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Notes: Corporate executive management is accountable to stakeholders and shareholders for security, and is responsible for defining the corporate security policy. IT Security Management is governed by that policy. The existence of the policy registers and reinforces the corporate decision to invest in the security of information and information processing. It provides management with guidelines and direction regarding the relative importance of various aspects of the organization, and of what is allowable and what is not, in the use of ICT systems and data.

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Security Management

Process Customer Report

SLA

Plan

Maintain

Control

Evaluate

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Implement

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Figure 14-8. Security Management: Process

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Notes: This slide illustrates the information security process as seen by the business. It covers all stages, from policy setting and initial risk assessment, through planning, implementation and operation, to evaluation and audit. The level of security required are defined after the customer or the business security requirements. The slide provides an overview of the ITIL IT Security Management Process. The process shows the complete route, from the collection of a customer's requirements, through planning, implementation, evaluation and maintenance – under a framework of control – with regular status reporting to the customer closing the loop.

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Unit 14. Security Management Course materials may not be reproduced in whole or in part without the prior written permission of IBM.

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Security Management

Process- Input from Customer Customer

Defines its security requirements based on its business requirements

Report

SLA

Plan

Maintain

Control

Evaluate

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Figure 14-9. Security Management: Process- Input from Customer

Implement

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IBM Global Services

Security Management

Process – Control Customer Report • Define processes, functions, roles, responsibilities • Organization structure between sub-processes • Reporting structure/line of command

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SLA

Plan

Maintain

Control

Evaluate

Implement

© 2004 IBM Corporation

ITIL Foundation Course | Student material v1.0

Figure 14-10. Security Management: Process – Control

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Notes: Processes, functions, roles, and allocation of responsibilities have to be defined within the sub-processes. • The organization structure between these • The reporting structure or line of command • The way the security plans are established • The process through which these are implemented • The way in which the implementation is evaluated • The process through which the results of these evaluations are used for the maintenance of security plans and the implementation thereof • The reporting structure to the customer

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Unit 14. Security Management Course materials may not be reproduced in whole or in part without the prior written permission of IBM.

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Security Management

Process – SLA Customer Report Report

SLA

Plan

Maintain

Control

Evaluate

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The section security in SLA is negotiated between customer and service provider

Implement

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Figure 14-11. Security Management: Process – SLA

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IBM Global Services

Security Management

Process – Plan Customer Report

SLA

• SLA • Underpinning contracts • OLA • Policy statement

Plan

Maintain

Control

Evaluate

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Implement

© 2004 IBM Corporation

ITIL Foundation Course | Student material v1.0

Figure 14-12. Security Management: Process – Plan

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Notes: The Plan activity includes the way the security section of the SLA is established as well as the underpinning contracts. The generic security requirements in the SLA are refined in Operational Level Agreements (OLAs). These define support requirements internally. The Plan activities may also use policy statements for the IT service providers to which they have to comply.

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Unit 14. Security Management Course materials may not be reproduced in whole or in part without the prior written permission of IBM.

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Security Management

Process – Implement Customer Report

SLA

Plan

Maintain

Control

Evaluate

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Implement

• Maintaining awareness - Security works only if discipline and motivation • Security incident handling responsiveness • Security incident registration - measurement - classification - and reporting

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Figure 14-13. Security Management: Process – Implement

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Security Management

Process – Evaluate Customer Report

SLA

Plan

Maintain Avoid the atmosphere of phantom security • Internal audits • External audits • Self-assessments • Security incident evaluation

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Control

Evaluate

Implement

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Figure 14-14. Security Management: Process – Evaluate

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Notes: Three types of evaluation: • Internal audits • External audits • Self-assessments Evaluation results are used to determine or refine measures taken. Evaluation also assesses standards and policies. • Can result in RFCs • Blindly trusting security measures installed long ago will create an atmosphere of phantom security.

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Unit 14. Security Management Course materials may not be reproduced in whole or in part without the prior written permission of IBM.

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Security Management

Process – Maintain Customer Report

• Collect experiences, lessons learned • Improvements will be considered for the next round of - planning - implementation

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SLA

Plan

Maintain

Control

Evaluate

ITIL Foundation Course | Student material v1.0

Figure 14-15. Security Management: Process – Maintain

Implement

© 2004 IBM Corporation

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Notes: It is important to keep security measures up to date, as the threats on the infrastructure, organization, and processes are changing constantly. Maintenance is based on: • The results of the periodic reviews • Insight into the changing risk picture • Changes in the input material (including SLAs)

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IBM Global Services

Security Management

Process – Report Customer Report

• Show conformity with SLA • Management without information is impossible

SLA

Plan

Maintain

Control

Evaluate

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Implement

© 2004 IBM Corporation

ITIL Foundation Course | Student material v1.0

Figure 14-16. Security Management: Process – Report

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Notes: One of the major reasons why information security has been neglected for so long is the absence of historical records. Generally no one has any idea of what kind of security incidents have troubled the organization in the past. • Ignorance • Not exposing the dirty linen Management needs to be aware of the efficiency of the resources spent on security measures and the effectiveness of the measures.

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Unit 14. Security Management Course materials may not be reproduced in whole or in part without the prior written permission of IBM.

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Security Management

Level of measures Threat

How could the security incident happen? Prevent Reduction

Security Incident

Detection Repression

Damage Correction

How can it be avoided in the future? Recovery Evaluation

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ITIL Foundation Course | Student material v1.0

Figure 14-17. Security Management: Level of measures

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IBM Global Services

Security Management

Benefits and Costs Costs

Benefits

ƒ Can only be qualified with difficulty ƒ The costs are nevertheless clear if security is not sufficient

19

ƒ Provision of information and training (depends on staff mentality)

ƒ Staff, hardware, software

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Figure 14-18. Security Management: Benefits and Costs

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Notes:

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Unit 14. Security Management Course materials may not be reproduced in whole or in part without the prior written permission of IBM.

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Security Management

Summary

ƒ Security Management is responsible for managing and improving a defined level of security on information and IT services.

ƒ Information Security Incidents are incidents at which – the confidentiality – the integrity – or the availability of the information is threatened.

ƒ Activities: plan, implement, evaluate, maintain

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Figure 14-19. Security Management: Summary

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Notes:

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