Foreword. Copyright Statement

Transcription

1 ITSM HANDBOOK

2 Foreword As you embark on your next step in your IT Service Management journey, I hope that this book is useful to you. It represents essential information that forms the basis for any Service Management project. When we first set out to create, educate and permeate best practices in our industry, we never imagined how popular and successful this venture would become. The ever increasing number of positive case studies around the application of service quality management should reassure you that your investment in this course is a good one. We now have a very solid worldwide certification scheme for individuals as well as organizations. Copyright Statement The information contained in this classroom material is subject to change without notice. This material contains proprietary information that is protected by copyright. No part of this material may be photocopied, reproduced, or translated to another language without the prior consent of ITpreneurs B.V. Copyright 2006 by ITpreneurs Nederland B.V. All rights reserved. ITIL is a registered trademark of Office of Government Commerce (OGC), Rosebery Court, St. Andrew s Business Park, Norwich, Norfolk, NR7 OHS, UK. As you complete this course, I would urge you to ensure that it is part of a roadmap to complete competence in this exciting field. There is Foundation, Practitioners, Service Managers, Service Quality Management, Institute of IT Service Management, COBIT, and ISO/IEC certification. Every step in the roadmap is supported by ROI for you and your employer/clients, and will enable you to take your rightful place in the worldwide network of experts that shape the future of IT. Thank you for taking this course, thank you for continuing your journey and welcome again to the brother/sisterhood! Alan Nance FISM A Founding Brother of the IT Service Management movement

3 Contents 1. Introduction 1.1 Introduction to ITSM Commonly used terms Pre-requisites to implement ITSM Components of a process Roles in a process Principles of quality 1.2 Introduction to ITIL Commonly used terms Structure of ITIL ITIL Framework Common Problems 2. Service Support 2.1 Service Desk Commonly used terms Activities Roles and responsibilities Relationship with other processes Common problem areas Key Performance Indicators Critical Success Factors 2.2 Incident Management Commonly used terms Process Roles and responsibilities Relationship with other processes Common problem areas Key Performance Indicators Critical Success Factors 2.3 Problem Management Commonly used terms Process Roles and responsibilities Relationship with other processes Common problem areas Key Performance Indicators Critical Success Factors 2.4 Configuration Management Commonly used terms Process Roles and responsibilities Relationship with other processes Common problem areas Key Performance Indicators Critical Success Factors 2.5 Change Management Commonly used terms Process Roles and responsibilities Relationship with other processes Common problem areas Key Performance Indicators Critical Success Factors 2.6 Release Management Commonly used terms Process Roles and responsibilities Relationship with other processes Common problem areas Key Performance Indicators Critical Success Factors 3. Service Delivery 3.1 Service Level Management Commonly used terms Process Roles and responsibilities Relationship with other processes Common problem areas Key Performance Indicators Critical Success Factors 3.2 Financial Management Commonly used terms Activities Roles and responsibilities Relationship with other processes Common problem areas Key Performance Indicators Critical Success Factors 3.3 Capacity Management Commonly used terms Process Roles and responsibilities Relationship with other processes Common problem areas Key Performance Indicators Critical Success Factors 3.4 Availability Management Commonly used terms Process Roles and responsibilities Relationship with other processes Common problem areas Key Performance Indicators Critical Success Factors 3.5 Security Management Commonly used terms Process Roles and responsibilities Relationship with other processes Common problem areas Key Performance Indicators Critical Success Factors 3.6 IT Service Continuity Management Commonly used terms Process Roles and responsibilities Relationship with other processes Common problem areas Key Performance Indicators Critical Success Factors

4 1.1 introduction to itsm The following terms and concepts are integral to IT Service Management (ITSM). Á Chapter 1.1 INTRODUCTION to ITSM OBJECTIvE The primary objective of IT Service Management is to ensure that IT Services are aligned to business needs. This can be achieved by: Providing high quality, reliable, and cost effective services Maintaining effective IT customer-supplier relationships Continuously improving the quality of IT services Using the IT services effectively to meet the current and changing business requirements BENEFITS Implementing IT Service Management has the following benefits for an organization: Business benefits: ITSM provides business benefits, such as enhanced quality, increased productivity, and improved working relationships. Financial benefits: ITSM provides financial benefits, such as cost justification for the following elements: Implemented changes Planned IT service continuity expenditure Estimated capacity requirements Innovation benefits: ITSM provides clarity of understanding, flexibility, and improved adaptability as part of its innovation benefits to organizations. Employee benefits: ITSM provides employee benefits, such as increased productivity, motivation, and transparency COMMONly used TErMS IT Infrastructure Library (ITIL) is a generic framework created by using the practical experience of professional users to manage IT infrastructure and services. Quality is defined by all the characteristics of a product or service that has the ability to satisfy the stated and implied needs of the customer. Service quality refers to the degree of service that fulfills the customers expectations and requirements. Ongoing dialog is a continuous communication between the Customer and the provider/supplier. It is used to refine the service and ensure that both parties are aware of the expected results of the service. 7

5 1.1 introduction to itsm 1.1 introduction to itsm In Department-oriented organizations the departments, processes, and tasks are usually based on specific customers, products, disciplines, or regions. In Process-oriented organizations, all departments together perform different activities of one process. Roles and responsibilities are assigned according to the activities defined to deliver a particular service pre-requisites TO IMplEMENT ITSM COMPONENTS OF A PROCESS POLICY MISSION Good IT infrastructure in terms of tools and technology Well-defined organization mission, objectives, and policies Competent and trained people to improve service culture Effective and efficient ITSM processes OBJECTIVES MEASURE/STEER FEEDBACK COMpONENTS OF A process MEASURE/USER Each process has a clear-cut objective, set of activities, and defined inputs and outputs. These activities are executed using a set of procedures and working instructions. INPUT A PURCHASE B PRODUCE C SELL OUTPUT RESULT KEY PERFORMANCE INDICATOR s for efficiency KEY GOAL INDICATOR's for effectiveness

6 1.1 introduction to itsm 1.1 introduction to itsm roles IN A process Process Owner The Process Owner is accountable for the results of the process. They define the activities in the process. The Process Owner also determines that the actual performance matches the expected results. Depending on many factors, such as the size of the IT organization, the amount of cultural change and therefore levels of sponsorship required, the Process Owner role may or may not be combined with the Process Manager role. Process Manager The Process Manager is accountable for structuring the process. They control the day-to-day activities and operations. The Process Manager also generates the reports to help the Process Owner compare the actual and expected results, when these roles are separated. Roles Unique To Each Process Other process roles, unique to each process, are responsible for executing the defined activities. They may or may not have a direct organizational reporting line to the relevant Process Manager. Quality System The principle of Quality System specifies the organization-wide processes that specify the: Quality requirements Steps for meeting these requirements Procedures for improving the quality standards Methods for assuring the service quality levels The European Foundation Quality Model (EFQM) is used to determine the maturity of an organization. Organizational maturity is defined by the levels of technology, processes, and organizational culture. The EFQM model helps identify areas on which an organization needs to focus while managing services. Typically, a plan is developed to define the improvement areas in the organization. It also specifies the follow-up procedures for reviewing these areas. Therefore, this cyclic process of self-assessment and planning helps the organiztion in systematically improving its service quality principles OF quality Quality Management The principle of Quality Management involves cost-effective and systematic management of all the organizational activities, such as design, development, and implementation. Quality Assurance The principle of Quality Assurance specifies the complete set of measures and procedures for ensuring quality. These procedures help organizations ensure that the IT services continuously and consistently fulfill the expectations of the customers

7 1.1 introduction to itsm 1.1 introduction to itsm Deming Circle EFQM MODEL PEOPLE RESULTS PEOPLE KEY PERFORMANCE RESULTS CUSTOMER RESULTS POLICY LEADERSHIP AND PROGRESS STRATEGY SOCIETY RESULTS PARTNERSHIP AND RESOURCES ORGANIZATION RESULTS The Deming Circle is a tool used for assuring quality and tracking improvement efforts. Plan: This stage lists the planned actions for a service. Do: This is the implementation stage in which all the planned activities are executed. Check: This stage specifies the measures to check whether or not the implemented actions have delivered the expected results. Act: This stage suggests techniques to improve the service and current plans. These suggestions are based on the information that was collected during the check stage. MATURITY LEVEL THE DEMING CYCLE Consolidate the level reached ACT CHECK PLAN DO Effective Quality Improvement TIME SCALE 12 13

8 1.2 introduction to itil Á Chapter 1.2 INTRODUCTION to ITil The following terms and concepts are integral to ITIL. OBJECTIvE The Information Technology Infrastructure Library (ITIL) provides an effective IT Service Management approach, which increases service quality and ensures consistent improvement in IT strategy, design, development, and delivery requirements. BENEFITS Customers/Users Improves the quality of service as the provision of IT services becomes more customer-focused and agreements about service quality improve the relationships with the customer. Minimizes the disruptions in service delivery to the customers. Therefore, the costs at the customer end are also reduced because of effective and consistent IT service. Also, the customer gets a clear insight into the costs of the IT services needed. ITIL defines the roles in each process. This helps to channel communication in the organization in a structured manner. In addition, ITIL also provides a better description of services. IT organizations Process-oriented approach: ITIL provides clear and defined processes to help the organization: Easily implement changes Focus on corporate objectives Effectively outsource IT services Monitor the quality of services Introduce a Quality Management system Common Terminology: ITIL provides detailed definitions of terms to help the people in IT organizations understand each other and easily exchange information Standardization: ITIL provides a uniform frame of reference for internal and external communication and procedure identification 15

9 1.2 introduction to itil 1.2 introduction to itil COMMONly used TErMS ITIL is a generic framework created by using the practical experience of professional users to manage IT infrastructure and services. ITIL Organizations include the Office of Government Commerce (OGC) and the IT Service Management Forum (itsmf). These forums help improve the services by promoting the use of the ITIL best practices and publishing a series of books written by experts from various leading companies and organizations. The itsmf also provides a platform for the organizations to share, discuss, and exchange information. Exchange of information enables the organizations in standardizing the quality of services. ITIL Certification Exams The Dutch Exam Foundation (EXIN) and the UK Information Systems Examination Board (ISEB) jointly provide a professional certification system in association with OGC and itsmf. Organizations can apply for the following certifications: Foundation-level Certification in ITIL Practitioner-level Certification in ITIL Service Manager-level Certification in ITIL Information Communication Technology (ICT) Infrastructure Management The ICT Infrastructure Management element provides information on: Network Service Management Operations Management Systems Management Local Processes Management Applications Management The Applications Management element helps redefine business requirements according to the changes in the business. It also helps the organization in incorporating these changes in its processes and functions. Context diagram is represented below: Planning To Implement Service Management Service Management Core STruCTurE OF ITIL The ITIL structure has five elements: Business Perspective: The business perspective element of ITIL provides information that helps bridge the gap between the organizations working needs and the customer s requirements. The Business Business Perspective Service Delivery Service Support Security Management ICT Infrastructure Management The Technology Service Delivery The Service Delivery element provides information that helps identify the services that are required to provide adequate support to the business. Service Support The Service Support element ensures that the customer has the appropriate access to the required services that support business functions. Application Management Suppliers 16 17

10 1.2 introduction to itil 1.2 introduction to itil These elements interface with each other and overlap to a certain extent. The boundaries of each element at these overlapping points cannot be clearly demarcated. In fact, these points are from the domains where the majority of the Service Management problems occur. It is, therefore, critical for the organization to identify and effectively manage these boundaries ITIl FrAMEWOrK The main focus of the ITIL framework is on Service Support and Service Delivery. CUSTOMER RELATIONSHIP MANAGEMENT SErvICE SuppOrT processes Service Desk The Service Desk is a function in the organization and not a process. The Service Desk serves as the single point of contact between service providers and users. Effectiveness of the Service Desk determines the smooth functioning of the business operations. The Service Desk can have multiple functions, such as: Facilitating the Incident Management process Performing Standard Changes Informing users about upcoming changes Performing Operational activities such as backups Incident Management An Incident is an external event in the standard business operations that affects or may affect the service quality. The Incident Management process helps in resolving Incidents to restore IT services to the agreed service levels with minimum impact on business operations. Problem Management A Problem is an undesirable situation created in the infrastructure, for which the causes are not known. The Problem Management process involves identifying, checking, eliminating, and controlling errors within the IT infrastructure, preventing the recurrence of Incidents. Long term planning and improvement of IT services provision Day to day operations and support of IT services IT SERVICE DELIVERY IT SERVICE SUPPORT AVAILABILITY MANAGEMENT Optimize today (Optimize the current IT infrastructure and cater to Availability requirements) PROBLEM MANAGEMENT Manage errors (Remove repetitive problems from the infrastructure) SERVICE LEVEL MANAGEMENT Manage services Defining agreements between the IT organizations and the business and managing the relationship with the business CAPACITY MANAGEMENT Manage tomorrow (Project future expectations and tune into new developments) CONTINUITY MANAGEMENT Manage the unthinkable (Incorporate a disaster recovery plan, platform survival, reduce user impact or major unexpected failure risk and vulnerability) CHANGE MANAGEMENT Manage changes Ensure changes are fast, easy, consistent and authorized INCIDENT MANAGEMENT Manage incidents (Get users back online up and running and satisfied) CONFIGURATION MANAGEMENT Manage Configuration Items FINANCIAL MANAGEMENT Manage costs (Define the budget and create transparency of the cost of services) RELEASE MANAGEMENT Manage software distributions (Control software, updates and batch processes) SERVICE PLANNING SECURITY MANAGEMENT Managing Confidentility Manage confidentility, integrity and availability INTEGRATED SERVICE DESK 18 19

11 1.2 introduction to itil 1.2 introduction to itil Change Management A Change is regarded as a modification or addition to any part of the infrastructure, such as hardware, software, network, environment, or related documentation. The Change Management process describes standard methods and procedures for implementing Changes with minimum adverse impact on IT services, preventing change-related Incidents. Configuration Management The entire IT infrastructure can be broken down into logical units called Configuration Items (CIs). The attributes and location of each CI is defined in a database called the Configuration Management Database (CMDB). The Configuration Management process provides information to all other ITIL processes by managing and controlling the CIs and their inter-relationships. Release Management A Release is a new or changed software or hardware (CI) that is introduced in the IT infrastructure. The Release Management process controls the distribution of hardware and software, including integration, testing, and storage. It also ensures that only the correct and tested versions of the authorized software and hardware are implemented. SERVICE DELIVERY PROCESSES Service Level Management The Service Level Management process defines the services to be delivered to the Users. The service levels negotiated and agreed with the Customers are recorded in the Service Level Agreements (SLAs). The process involves ensuring that services are delivered at the agreed levels. Financial Management for IT Services The Financial Management process aims at managing the financial dependencies between the IT services and the IT resources that are being used by each service. Capacity Management The Capacity Management process aligns the resource levels with the requirements of the organization and the customers. The process also aims at providing the required IT resources at acceptable costs. IT Service Continuity Management The IT Service Continuity Management process attempts to ensure Business Continuity by restoring IT services immediately after any disasters. Security Management The Security Management process protects the IT infrastructure against unauthorized access. This is achieved by specifying security requirements in terms of Service Level Agreements, legislations, contractual requirements, and policies. The process is focused on Confidentiality, Integrity, and Availability COMMON PROBLEMS Common problems encountered while implementing the ITIL processes: Organizational culture, such as attitude of the employees to change, work culture, and values of the people employed in the organization affect process implementation. Bureaucracy, as processes might have rigorous time-consuming aspects. Lack of understanding of processes, business strategy, and process objectives can hinder process implementation. Lack of management support by not providing additional personnel, finances, and support tools, such as training programs can hamper process implementation. Staff resistance can lead to non-acceptance of processes by employees, which can lead to a failure in process implementation. Availability Management The Availability Management process ensures uninterrupted business operations by measuring and maintaining the availability levels of IT resources

12 2.1 service Desk Á Chapter 2.1 Service Desk The following terms and concepts are integral to the Service Desk function. OBJECTIVE The main objectives of Service Desk are to: Serve as a single point of contact for users that have IT-related queries and complaints Ensure restoration of normal services to users for uninterrupted operation of business activities by facilitating the Incident Management process and providing ownership of the Incident through the Incident lifecycle Guarantee access for all users to the IT organization to ensure required service support Reduce workload on other IT departments by routing only specific and relevant queries to each department BENEFITS The Service Desk function offers many benefits to the IT organization, such as: Reducing the time and effort spent by users to resolve their IT-related issues by prompt handling of user queries. Serving as an information source for other IT departments by providing data and metrics about customers queries Ensuring long-term customer retention for the IT organization by providing the required services to users COMMONLY USED TERMS Call Centers Call Centers typically manage high volume call environments, such as financial business call centers. In some call centers, recording and routing of calls might be automated by using voice response systems. Therefore, it is possible that the Service Desk personnel do not have any role to play in these types of call centers. Help Desk Help Desk facilitates the Incident Management process. Help Desk staff typically have access to CMDB information. 23

13 2.1 Service Desk 2.1 service Desk Service Desk types: Unskilled or Call Recording Service Desk This Service Desk only records the call and immediately assigns the records to the appropriate solution group. Skilled Service Desk This Service Desk has the competencies and the knowledge to resolve Incidents until a certain level. Expert Service Desk This Service Desk resolves the majority of all Incidents. Service Desk Structures Depending on the business requirements, Service Desks can be structured into the following three basic types: Centralized Service Desk All user queries are received and recorded at a central physical location. User queries can be divided into technical and business-related queries. Depending on their approach to handle queries, IT organizations can address these queries by using either a central entity or two separate entities. Local Service Desk Multiple Service Desks are spread across various locations to support local users with diverse cultural backgrounds. Distributed Service Desks have three different types of points of contact with the user: Central Point of Contact Local Points of Contact Call Centers Virtual Service Desk Virtual Service Desk uses network and telecom technologies to integrate a widespread network of Service Desks. For instance, Service Desks in different time zones around the world can ensure round-the-clock support to users by coordinating their activities and time differences. Technology IT organizations use various technologies to: Enhance interaction between Service Desks and users Track user data to provide inputs to other ITIL processes Service Desk technologies include: Computer Telephony Integration (CTI) Voice Over Internet Protocol (VOIP) Interactive Voice Response systems (IVR) Internet gateways Automated System Management tools Networking tools Call forwarding facilities s, telephones, and fax servers ACTIVITIES Responding to User Calls When a user contacts the Service Desk, it is termed as a call to the Service Desk. All calls are logged and recorded by the Service Desk to enable: Monitoring of the progress on user queries and resolving controllable delays Provision of metrics on customer queries to other organizational departments Resolving of complaints at the first level by referring to a set of standards and pre-existing solutions Providing Information to Users The Service Desk is the main source of information for users of IT services. It proactively informs users about: Current or expected errors New and existing services SLA provisions Change schedules Order procedures and associated costs 24 25

14 2.1 Service Desk 2.1 service Desk Communicating with Suppliers The Service Desk manages a two-way communication process between the IT organization and its maintenance suppliers. A key responsibility of the Service Desk is to ensure the repair and replacement of infrastructure components, such as printers, workstations, and telecommunication equipment. Performing Operational Management Tasks In addition to resolving complaints, the Service Desk performs various tasks for managing business operations of the IT organization. These operational management tasks include: Providing system backups Managing the disk space on local servers Creating user accounts authorizing and resetting passwords Installing LAN connections Monitoring the ICT Infrastructure The Service Desk might be equipped with tools that detect faults in software and hardware. These tools examine equipment, such as routers, servers, and gateways, for defects. These tools can also estimate the possible impact of the detected defects. Then, the Service Desk notifies the Incident Management process ROLES AND RESPONSIBILITIES The responsibilities and functional skills of the Service Desk personnel vary according to the type of Service Desk to which they are attached. The various Service Desks can be categorized as: Unskilled or Call Recording Service Desks: Unskilled or Call Recording Service Desk personnel record the user s call, describe it in general terms, and then route the call to the concerned department. This Service Desk is efficient in Incident recording, but has low first call resolution percentages. Skilled or Problem Solving Service Desks: Skilled or Problem Solving Service Desk personnel have the required technical skills to handle users Incidents. They usually resolve Incidents by using documented or previously recorded solutions. Only the unresolved Incidents are routed to specialist support teams for Incident resolution. Expert Service Desks: Expert Service Desks have personnel with specialist knowledge of the entire IT infrastructure. These personnel also have the expertise to resolve most Incidents on their own RELATIONSHIP WITH OTHER PROCESSES With Incident Management Most calls received by the Service Desk are related to Incidents. It reports these Incidents to Incident Management. It also matches similar previous Incidents and if possible, applies existing solutions to the newly reported Incidents as part of the Incident Management process. In this regard, Incident Management provides solution-related information. The process also refers to the Service Desk records for resolving and managing the Incidents and restoring services to Users. With Change/Release Management The Service Desk is responsible for activities, such as: Installing software and hardware Standard Changes for example relocating workstations, setting up LAN connections, etc. These activities are closely coordinated with Change Management and Release Management to: Evaluate Changes in terms of development and distribution of applications and IT infrastructure Ensure that the timing of implementing the Changes has a very low impact on the existing service quality 26 27

15 2.1 Service Desk 2.1 service Desk With Configuration Management When responding to calls, the Service Desk records the details of the users and their IT resources. Then, the Service Desk validates these user-provided details with the records in the CMDB. Verifying the user details enables the Service Desk to: Ensure the accuracy of users details Determine the level of service to be provided to users With Service Level Management If a particular user request cannot be met, Service Level Management is informed of the request. The Service Desk also provides information to Service Level Management on: Users perception of service quality Users feedback on service interruptions and response times CRITICAL SUCCESS FACTORS The following critical success factors enhance the effectiveness of the Service Desk function. User should be able to easily access the desk for resolving their issues. Users should be encouraged to approach the desk for recording and resolving each Incident. Users should be discouraged from bypassing the desk. Users should clearly understand the Service Desk function through effective use of SLAs and product and service catalogs COMMON PROBLEM AREAS Effective performance of a Service Desk is often interrupted by bottlenecks, such as: Limited understanding of business needs by the IT organization Inadequate investment in training Unrealistic service levels Insufficient significance attributed to the Service Desk KEY PERFORMANCE INDICATORS The key performance indicators for the Service Desk are: Average duration and answer time per call Average time to resolve an Incident Percentage of Incidents resolved without referring to other departments Number of calls processed per workstation Total number of calls to the Service Desk 28 29

16 2.2 incident management Á Chapter 2.2 incident management The following terms and concepts are integral to the Incident Management process. OBJECTIVE The Incident Management process ensures that breakdowns and errors related to IT infrastructure and services are resolved quickly and efficiently in an organization. The Incident Management process resolves these breakdowns (referred to as Incidents ) without adverse impact on the business processes, at affordable costs. BENEFITS An organization that implements the Incident Management process derives dual benefits for its: IT services: Improved monitoring, allowing performance against SLAs to be accurately measured Accurate recording of Incidents and Service Requests Elimination of lost or incorrect Incidents and Service Requests Organized and efficient use of personnel for resolving Incidents Availability of information on IT errors for effective management More accurate CMDB information for ongoing audit while registering Incidents Improved user and customer satisfaction Business Timely solution of Incidents to reduce their impact on business Proactive identification of beneficial system enhancements and amendments Customer-specific monitoring of Incidents Availability of business-focused management information related to the SLA Increased productivity 31

17 2.2 incident management 2.2 incident management COMMONLY USED TERMS Incident refers to any event that is not part of the standard operation of a service, and that may cause an interruption or a reduction in the quality of that service. Service Requests are requests from a User to the Service Desk for support, delivery, information, advice, or documentation. A password reset is also an example of a Service Request. A Standard Change is a change where the risk and costs are known, are fairly repetitive, and are pre-approved by the Change Management process. The Service Desk often performs these Standard Changes, for example, basic moves, adds and deletions. Functional Escalation occurs when Incidents are reported to higher Support Group levels to be solved. Hierarchical Escalation occurs when the resources or authority required to resolve the Incidents are not adequate, and the Incident is passed on to higher authorities or departments until solved. Impact of the Incident refers to its adverse effect on a business process PROCESS Process Inputs Incidents reported from various parts of the infrastructure by the: Users IT Departments Automatically reported through System Management tools Process Outputs Information related to the Incidents of other processes and departments Information related to the solution of the Incidents of other departments and processes Detecting and Recording Incidents Accepting the reported Incident and assigning a unique Incident number to each Incident by the Service Desk Recording the details of the Incidents, such as the user details, symptoms, time of occurrence, and location Alerting the users and management about the Incidents having a high Impact on business Automatic recording of Incidents from System Management tools Urgency of the Incident refers to the necessary speed (high, medium, low) for solving an Incident of a certain degree of impact. Priority of the Incidents is based on the impact of the Incident on the business and the urgency of the Incident to be solved. Known Error refers to a Problem for which the root cause is known, and for which a temporary workaround or a permanent solution has been identified. A workaround is either a temporary fix or technique to solve the Incident. It is used to eliminate the customer s dependency on the particular aspect of a service that is known to have a problem. Service Level Agreement (SLA) is a written agreement between a service provider and customer(s). This agreement defines the agreed levels for a service

18 2.2 incident management 2.2 incident management ACTIVITIES INCIDENT DETECTION AND RECORDING REQUEST? NO YES Service Request Procedure Classifying Incidents and Providing Initial First-line Support Sorting the Incidents into categories, such as networking, workstations, and procedures Assigning priority to each Incident Identifying the services related to the Incidents Identifying the Support Groups for resolving the Incidents Informing the Users about the time for resolving the Incident Identifying the status of the Incident Providing First-line Support by the Service Desk to solve Incidents Matching the Incidents with the previously reported Incidents, Problems and Known Errors Applying solutions or workarounds to the Incidents Informing the User about the solution of the Incident once it is solved OWNERSHIP, MONITORING, TRACKING, AND COMMUNICATON CLASSIFICATION AND INITIAL SUPPORT NO ANALYSIS AND DIAGNOSIS RESOLUTION AND RECOVERY MATCH? Incident Management process Investigating and Diagnosing Incidents The Support Group with the required expertise and resources investigates the cause of the Incident, diagnoses the cause, and solves the Incident. Resolving and Recovering Incidents Record the solution of the Incident and submit a Request for Change (RFC), if necessary, to ensure correct implementation of the solution. Monitoring and Tracking the Incidents All the unresolved or open Incidents are monitored and tracked at each stage by the Service Desk The Service Desk informs the Users about the status of the open Incidents The Service Desk maintains ownership of the Incident throughout its lifecycle INCIDENT CLOSURE Closure of Incidents After resolving the Incident, the Support Group routes the Incident back to the Service Desk after implementing the solution The Service Desk contacts the User who reported the Incident The Service Desk records the Incident as closed after the User agrees to the solution and ensures all Incident data is complete 34 35

19 2.2 incident management 2.2 incident management Roles and responsibilities The roles defined to perform the activities and tasks of the Incident Management process are: Incident Manager Service Desk (Level 1 support) Support Groups and external vendors (Level 2, 3, n support groups) The Incident Manager is the owner of the Incident Management process. The Incident Manager s responsibilities include: Preparing the Process Reports that detail the performance and efficiency trends of the Incident Management process Organizing the management information required for the implementation of Incident Management. For example, collecting information, such as number of resources and inter-relationships with other processes Recommending measures for improvements in Incident Management Developing and maintaining the Incident Management system Monitoring the responsibilities of the Incident Support Groups The Incident Support Groups resolve Incidents at different levels. The different levels of the Support Groups include: First-line Support Groups comprising the Service Desk Other Support Groups that include the Second-line, Third-line, Fourth/N-line Support Groups The responsibilities of the First-line Support Group include: Recording the reported Incidents Classifying the Incidents and providing Initial Support Routing Incidents to other Support Groups Monitoring, tracking, and owning the Incident Resolving Incidents Closing the solved Incidents The responsibilities of other Support Groups include: Handling Incidents that are not solved by the First-line Support Group Investigating the Incident details Diagnosing the cause of the Incidents Recovering the solved Incidents RELATIONSHIP WITH OTHER PROCESSES With the Service Desk The Service Desk assists Incident Management by recording the reported Incidents. The Service Desk also provides First-line Support to the Users by applying pre-identified solutions to the reported Incidents. Similarly, Incident Management solves Incidents and informs the Service Desk, which further communicates these solutions to the Users. With The Configuration Management Process To classify the Incidents, Incident Management requires details of the affected IT components (CIs) like version number, date of purchase, license, and location. These details are stored in the Configuration Management Database (CMDB) of Configuration Management. With the Problem Management Process All the Incidents for which the root cause is unknown can be defined as Problems. Incident Management refers these unknown errors to Problem Management. Problem Management provides workarounds and permanent fixes for these Problems to Incident Management. With the Change Management Process To implement the solutions for the Incidents, certain Changes might be required in the infrastructure. These Changes are communicated to Change Management, which records the Changes related to the IT infrastructure components. Change Management provides details of the scheduled Changes to the Incident Management process. With the Service Level Management Process The Service Level Agreements (SLAs) of Service Level Management define service levels for solving Incidents for the Incident Management process. The Incident records assist Service Level Management in generating reports related to the Incident Management process. With the Availability Management Process Availability Management requires information from Incident Management about the availability of the levels of the IT services agreed in the SLAs. Incident Management informs Availability Management about the lifecycle of the Incidents, which specifies the time duration right from when the Incident was first detected to when it was solved. This time duration is referred to as Downtime or Mean Time to Repair (MTTR)

20 2.2 incident management 2.2 incident management With the Capacity Management Process Capacity Management provides information related to diagnostic tools like simulation models and scripts to solve Incidents. Incident Management ensures that the Incidents are solved within the capacity levels mentioned in the SLAs. Incident Management also provides Capacity Management information about Capacity-related Incidents COMMON problem ArEAS If the Users are not properly trained on the process, they might not follow the proper procedures and try to resolve the Incidents themselves There might be an overload of Incidents if the categories of Incidents are not clearly defined or if the procedures for allocating and routing Incidents are not followed If the First-level Support Groups do not have adequately skilled resources, more Incidents might get escalated quickly to higher Support Groups If the services and products that are supported by Incident Management are not clearly defined in the SLA, the Incident Management personnel do not know which reported errors or requests qualify as Incidents A higher level of commitment, responsibility, and discipline is expected from the personnel. There can be resistance to such changes among personnel CrITICAl SuCCESS FACTOrS The critical success factors for the Incident Management process are: An up-to-date CMDB to estimate the impact and the urgency of Incidents A knowledgebase is necessary to record Incidents, their solutions or workarounds and to link it with the Problem Management process An automated system is necessary for recording, tracking, and monitoring Incidents Close ties with Service Level Management to ensure appropriate prioritization and resolution times for the Incidents KEy performance INDICATOrS The key performance indicators of the Incident Management process are: Number of recorded Incidents by group, by type, by service, etc. Average time to resolve the prioritized and non-prioritized Incidents Number of resolved Incidents per workstation or per Service Desk, within the time duration specified in the SLAs Percentage of Incidents resolved by the First-line support Average support cost per Incident Total Incidents solved without the Support Groups needing to visit the user s location 38 39

21 2.3 problem management Á Chapter 2.3 Problem management The following terms and concepts are integral to the Problem Management process. OBJECTIvE The Problem Management process aims at identifying the root causes of errors or Incidents in the IT infrastructure and provides permanent solutions to remove these errors from the infrastructure. This eliminates recurring Incidents and prevents Incidents from occurring in the first place. BENEFITS The Problem Management process helps in rapidly improving the IT service quality by: Documenting and eliminating errors Reducing the number of Incidents Providing permanent solutions to the problems in the IT infrastructure The Problem Management process enables a better first-time-fix-rate (first-line resolution rate) of Incidents at the Service Desk. The efficiency of the Service Desk is improved by capturing the Incident resolution and workaround data COMMONly used TErMS Known Errors are problems where the root cause is known, and for which a temporary workaround or a permanent solution has been identified. Workarounds are temporary fixes or techniques for resolving an Incident. They are used to eliminate the customer s dependency on that aspect of the service, which is known to have a problem. Reactive Problem Management activities help in identifying the root causes of the Incidents and in identifying permanent solutions for Incidents. Proactive Problem Management activities aim at preventing Incidents before they occur, by identifying weaknesses in the IT infrastructure and suggesting methods to eliminate these weaknesses. Problems are categorized into various groups or domains, such as hardware, software, and support software. Problems can be allocated to the support staff on the basis of these categories. 41

22 2.3 problem management 2.3 problem management The Problem Management team identifies the impact of the Problem on the business process of the organization. The Problem Management team defines the urgency of a Problem. Knowing the urgency of the Problem helps determine the time for which solutions can be deferred. The Problem Management team assigns the priority to a Problem on the basis of its urgency, impact, risk, and resource availability. Priority indicates the relative order in which a series of Problems should be addressed. Problem Control Identifying and recording Problems Classifying Problems based on its impact on the existing service levels by assigning Category, Impact, Urgency, and Priority Investigating and diagnosing the root cause, such as hardware and software errors, documentation errors, or human or procedural errors, behind each Problem. Formal methodologies, such as Kepner-Tregoe or Ishikawa can be used process Process Inputs Incident details from Incident Management Workarounds defined by Incident Management Configuration details from the CMDB Details of products (hardware and software) used in the IT infrastructure from the suppliers Details about the IT infrastructure and its behavior, for example, registration of capacity and performance monitoring Information about Known Errors from the development environment Process Outputs Known Errors (root cause and workarounds) Requests for Changes (RFCs) Up-to-date Problem records Closed Problem records for resolved Problems Management information to help monitor the effectiveness of Problem Management Activities Problem Control, which includes activities, such as trend analysis, defining, and investigating Problems Error Control, which includes activities, such as monitoring Known Errors and submitting RFCs 42 43

23 2.3 problem management 2.3 problem management IDENTIFICATION AND RECORDING CLASSIFICATION ERROR INVESTIGATION AND DIAGNOSIS TRACKING AND MONITORING TRACKING AND MONITORING ERROR IDENTIFICATION AND RECORDING ESTABLISH KNOWN ERROR PROBLEM ERROR ASSESSMENT RECORD ERROR RESOLUTION CLOSURE RAISE RFC PIR Error Control Error identification (from the Known Error identified in the output of Problem Control) Error assessment to identify the best solution to remove the error from the infrastructure Recording the resolution for each Known Error and raising a Request for Change (RFC) Post Implementation Review (PIR) to confirm the effectiveness of the solution prior to final closure Monitoring the progress of Problems and Known Errors during all stages of Problem Control and Error Control (continuous activity) Proactive Problem Management Perform trend analysis to identify and remove repetitive Incidents and to provide high-quality management information about the behavior of infrastructure Perform preventative maintenance to prevent Incidents from occurring Perform major problem reviews to identify: What was done right? What was done wrong? What could be done better next time? How to prevent problems? roles AND responsibilities The Problem Manager is responsible for all the Problem Management activities. The responsibilities of the Problem Manager include: Developing and maintaining the Problem Control and Error Control processes Assessing the effectiveness of the Problem Control and Error Control activities Providing Problem-related information to the management Managing the problem support staff Allocating resources for the support activities Evaluating the effectiveness of the Proactive Problem Management process ACTIVITIES 44 45

24 2.3 problem management 2.3 problem management The Support Group personnel assist the Problem Manager and have the following two types of responsibilities: Reactive responsibilities Identifying and recording Problems by analyzing Incident details Investigating Problems based on their priority Submitting RFCs to remove errors Monitoring the resolution of Known Errors Advising the Incident Management team about workarounds and quick fixes Proactive responsibilities Identifying trends and potential sources of Problems Submitting RFCs to prevent the recurrence of Incidents Preventing the replication of Problems across multiple systems relationship WITH OTHEr processes With Service Level Management The Service Level Management team provides information about the agreed service levels to the Problem Management team. The Problem Management team uses this information to classify the Problems. With Change Management The Problem Management team suggests Changes in the IT components and submits them as RFCs to eliminate errors. Change Management assesses the impact of the proposed Change and informs the Problem Management process about the progress and completion of the suggested Changes. With Configuration Management Configuration Management provides details about the components of the IT infrastructure, such as the hardware and software configurations, services, and other relationships. Problem Management uses this information for identifying the impact and urgency of the Problems. With Incident Management The Problem Management team uses Incident records to identify the Problems and suggests workarounds to the Incident Management team until permanent solutions for the Incidents can been found. With Availability Management Availability Management specifies the availability levels to the Problem Management team. Problem Management identifies the problems causing the disparity between the actual and agreed availability levels and attempts to diagnose and eliminate these problems. The Availability Management team uses information from the Problem Management process to prevent such Problems and Incidents by optimizing availability planning. With Capacity Management Capacity Management provides capacity-related information to Problem Management. The Problem Management team helps the Capacity Management team by identifying the causes of capacity-related Problems and rectifying them COMMON problem ArEAS If the Incident Management team does not properly record the details of the Incident and the related IT components, the Problem Management team will not be able to accurately classify the Problem. For software applications that are transferred from the development environment to the live environment, details of Known Errors should be properly communicated otherwise Problem Management will need to redefine these errors, leading to duplicate effort. If there is a lack of managerial commitment, the support staff might tend to ignore the proactive aspects of Problem Management. Strong management support is required in order to allow the time needed for the Support staff to perform the Problem Management activities KEy performance INDICATOrS The key performance indicators for an effective Problem Management process include trends in the: Number of Incidents resolved by closed Problems Time needed to resolve Problems Costs (people, material, and resources) incurred during resolving a Problem Reduction in the number of recurring Incidents 46 47