HDI Problem Management Professional

Transcription

1 HDI Problem Management certification standard & self-study GuIde Official Curriculum

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3 HDI Problem Management A Self-Study Guide Version1.0 Official HDI Curriculum. Not for resale or distribution.

4 Acknowledgements Many thanks to the following people and companies for their time and assistance in participating on the first HDI Problem Management Standard committee: David Bliven Taco Bell James Bolton Propoint Solutions Laura Bullock Stonemor Partners Cíntia Caputto HDI Brasil David R. Garcia HDI John Custy JPC Group Alvin Gates Vitas Rick Fielding The Church of Jesus Christ of Latter-day Saints Rick Joslin HDI Shane Juedes UW Health Buff Scott III Propoint Solutions John Livingston Medical Mutual of Ohio Carrie Stark Volkswagen Group of America Ray Marchand RADAR Solutions Group Inc. Artur Sygnatowicz HDI Poland Version 1.0 Copyright 2014 UBM, LLC All rights reserved. Printed in the United States of America. ISBN: HDI 121 S. Tejon Street Suite 1100 Colorado Springs, CO US US and Canada: (800) HDI assumes no liability for error or omission. No part of this publication may be reproduced without the consent of HDI, with the exception of trade publications reporting on the data. In such cases, credit must be given to HDI. HDI is a registered trademark of UBM, LLC. HDI is a part of UBM TechWeb, a division of UBM, LLC. Portions of this document include information based on the ITIL and IT Infrastructure Library publications of the UK Office of Government Commerce. ITIL is a registered community trademark of the Office of Government Commerce, and is registered in the US Patent and Trademark Office. All other product or service names are the property of their respective owners. HDI Problem Management Official HDI Curriculum. Not for resale or distribution. Copyright 2014 HDI, Version 1.0 i

5 Introduction This document contains the HDI Problem Management Certification Standard. The certification exam is based on this standard. The competencies for the certification were identified and approved by the HDI International Certification Standards Committee (ICSC), a group of industry experts and experienced practitioners from a number of organizations. It is the committee s intent to recognize the breadth of knowledge required, document the needed skills, and provide leadership to the IT support industry on the meaning of a certification for customer service and technical support. An HDI Standard HDI bases its certifications on open, international industry standards, and is independent of any training curriculum. Open implies that the standards are published, allowing organizations to leverage the standards to improve their services, individuals to study the standards in preparation for a certification exam, and training and consulting providers to develop offerings that align with the standards. International indicates that a committee of professionals that have international experience and/or work for global companies has developed the standards, and that the standards are recognized in the global market. Industry refers to the IT service and support industry, which initially focused on internal support of information technology and later expanded to include external support organizations. Standard defines the knowledge that a support professional in a specific role is expected to know, and a set of best and common processes and practices within a support center. The latter is referred to as the HDI Support Center Standard. HDI Problem Management ii Official HDI Curriculum. Copyright 2014 Not HDI, for Version resale 1.0 or distribution.

6 As of 2011, the ICSC has developed standards for the following positions: HDI Customer Service Representative (HDI-CSR) HDI Desktop Support Technician (HDI-DST) HDI Support Center Team Lead (HDI-SCTL) HDI Support Center Manager (HDI-SCM) HDI Desktop Support Manager (HDI-DSM) HDI Support Center Director (HDI-SCD) In 2007, HDI partnered with the Consortium for Service Innovation to develop the Knowledge-Centered Support Principles Standard, based on the Knowledge-Centered Support (KCS) v5.1 methodology. HDI is pleased to offer the non role-based certification, Knowledge Management Foundations: Knowledge-Centered Support (KCS) Principles. HDI is committed to defining standards for additional support professional roles as the industry evolves and its needs change. In business today, customers want educated and certified professionals to support their business needs. Certification provides: Validation of current knowledge and skill sets Evidence of excellence achieved in your field development Personal pride Credentials that travel How is the Standard Organized? There are seven categories in the HDI Problem Management Certification Standard. Each category is, in turn, defined and supported by one or more topics against which a person can be evaluated. Within each topic are one or more competencies. For each competency, there is a range of knowledge. If one approaches the standard as if they were interviewing for a position in a support center, the competency would either be a specific question or a concept that an interviewer would ask in the interview process, and the range of knowledge would be the expected answer. In other words, it is expected that someone in a specific support center position will possess the range of knowledge for each competency. The following section provides a description of each standard category for the HDI Problem Management Certification Standard. The following section provides a description of each standard category. HDI Problem Management Official HDI Curriculum. Not for resale or distribution. Copyright 2014 HDI, Version 1.0 iii

7 Standard Category Descriptions 1.0 IT Service Management This section of the standard provides the context for Problem Management as a process within IT Service Management. 2.0 Service Restoration Overview Incident and Problem Management are both considered resolution and service restoration processes within IT Service Management. Incident Management must be effective to have a mature Problem Management process. This section of the standard describes the relationship and interdependencies between Problem Management to Incident Management. 3.0 Problem Management Overview This section of the standard describes the inputs, outputs, and major activities of Problem Management, key terms and definitions, and Problem Management s relationship to other IT Service Management processes. 4.0 Problem Management Activities Problem Management activities are grouped into four major topics. They are: Problem Detection and Categorization, Problem Investigation and Diagnosis, Problem Resolution, and Problem Closure. This section of the standard describes Problem Management activities and provides details on the different Root Cause Analysis techniques that focus on how to investigate, diagnose, and determine the root cause. 5.0 Process Measurements Problem Management must be both effective and efficient. This section of the standard describes Critical Success Factors and related Key Performance Indicators for measuring Problem Management. 6.0 Roles & Responsibilities This section of the standard describes the different process roles related to Problem Management. 7.0 Developing a Problem Management Roadmap This section of the standard provides strategy and tactics on how to implement or improve a Problem Management process. HDI Problem Management iv Official HDI Curriculum. Copyright 2014 Not HDI, for Version resale 1.0 or distribution.

8 1.0 IT Service Management 1.1 Best Practices 1.2 IT Service Management Describe the concept of best practices in the public domain Define service Explain the concept of IT Service Management Define IT Service Provider Provide examples of commonly used IT standards and frameworks Best practices are generally-accepted, informallystandardized techniques, methods or processes that have proven themselves over time across multiple organizations. A service is work performed on behalf of another that delivers value to the customer by enabling them to achieve organizational outcomes. Service Management is the application of organizational resources and capabilities for the implementation and management of IT services. IT Service Management is performed by IT Service Providers through an appropriate mix of: People Process Technology An IT Service Provider provides IT services to customers of an organization. IT Service Providers may be an internal service provider (within the same organization as the customer) or an external service provider. Examples of commonly used IT standards and frameworks are: IT Governance/Regulatory Control Objectives for Information and related Technology (COBIT) Health Insurance Portability and Accountability Act HIPAA International Organization for Standards / International Electrotechnical Commission (ISO/IEC38500) Payment Card Industry (PCI) Security Standards SOX Sarbanes-Oxley SAS70/SSAE 16 HDI Problem Management Official HDI Curriculum. Not for resale or distribution. Copyright 2014 HDI, Version 1.0 1

9 1.2.4 Provide examples of commonly used IT standards and frameworks (Cont.) Application Development Agile Application Services Library (ASL) Business Information Services Library (BiSL) Software Development Lifecycle (SDLC) Security Management International Organization for Standards / International Electrotechnical Commission (ISO/IEC27000) Project Management Project Management Institute (PMI) Prince2 Continual Improvement Deming Cycle HDI Support Center Standard Kaizen LEAN Six Sigma Total Quality Management (TQM) IT Service Management Capability Maturity Model Integration for Services (CMMI-SVC) Hewlett Packard IT Service Management (HP ITSM) International Organization for Standards / International Electrotechnical Commission (ISO/IEC20000) Information Technology Infrastructure Library (ITIL) Knowledge Centered Support (KCS) Microsoft Operations Framework (MOF) HDI Problem Management 2 Official HDI Curriculum. Copyright 2014 Not HDI, for Version resale 1.0 or distribution.

10 1.3 Functions & Processes List the common benefits IT organizations have achieved through the implementation of IT Service Management best practices Describe a Function Describe the characteristics of a Function Define a Process Describe the characteristics of a Process Common benefits of implementing IT Service Management best practices: Increased productivity Increased customer satisfaction Reduced risk Reduced costs Improved communications and alignment between IT and the customer Consistent and predictable levels of IT support Customers know what to expect and what is expected of them Improved efficiency and effectiveness in delivering IT services A function is a team or group of people and the tools or resources they use to carry out one or more activities. Characteristics of a Function: Self-contained units with capabilities and resources necessary for their performance and outcomes Have their own body of knowledge and work methods Have defined roles, responsibilities, and authorities A process is a set of related activities designed to accomplish a specific objective that creates value for the customer or stakeholder by transforming inputs into outputs. Characteristics of a Process: They are measurable (cost, quality, time, etc.) Have specific outcomes Have Customers or Stakeholders Respond to a specific event (trigger) HDI Problem Management Official HDI Curriculum. Not for resale or distribution. Copyright 2014 HDI, Version 1.0 3

11 1.4 Process Structure 1.5 Process Roles Identify the three main aspects of a process Identify the common roles defined for a process The three main aspects of a process are: Process Control Policy Owner Documentation Process Construct Activities, procedures, work instructions Roles and responsibilities Metrics and measurements Process Enablers People Tools Facilities Training Quality controls The common roles defined for a process are: Process Owner Owns the process and is accountable for its design and outcomes Process Manager Responsible for the day-to-day operation of the process Process Practitioner Performs defined activities within the process HDI Problem Management 4 Official HDI Curriculum. Copyright 2014 Not HDI, for Version resale 1.0 or distribution.

12 2.0 Service Restoration Overview 2.1 Incident and Problem Management as restoration processes Identify the common goals and objectives of Incident and Problem Management Define Incident Define Problem Define Root Cause Define Workaround The common goals and objectives are to: Improve availability of services Improve service quality Minimize the impact to the organization when Incidents and Problems occur Improve customer satisfaction Incident: An Incident is an unplanned interruption to the standard operation of a service, or a reduction in the quality of that service. An Incident can also be the failure of an IT component that has not yet impacted a service. Something is broken or not working as expected. Problem: The underlying cause of one or more incidents whose root cause is usually not known Root Cause: The cause of an Incident or Problem to which you can apply a fix to resolve or prevent recurrence Workaround: A temporary solution that reduces or eliminates the impact of an Incident for which a permanent resolution is not yet available Workarounds may be used indefinitely when the cost of a permanent fix outweighs the benefits of a permanent resolution HDI Problem Management Official HDI Curriculum. Not for resale or distribution. Copyright 2014 HDI, Version 1.0 5

13 2.1.6 Define Known Error Explain the objectives of Incident Management Explain the objectives of Problem Management Identify the benefits of Problem Management Known Error: A Problem where the root cause is known and a temporary workaround has been identified Known Errors are stored in the Knowledge base or Known Error Database (KEDB), and can be used to resolve incidents and restore service quickly should future incidents occur The objectives of Incident Management are to: Restore normal service operation as quickly as possible Minimize service disruption Ensure that agreed levels of service quality are maintained The objectives of Problem Management are to: Proactively prevent the occurrence of Incidents Eliminate recurring Incidents Minimize the impact of Incidents and Problems when they cannot be prevented Some of the benefits in implementing Problem Management include: A reduction in Incident volume Improved First Call Resolution through better information in the Knowledge base or Known Error Database (KEDB) Shorter resolution times (i.e. - improved Mean Time To Restore Service (MTRS)) through collaboration and use of Workarounds Higher availability and reliability of IT services Higher productivity of the users and IT staff Increased customer satisfaction with IT HDI Problem Management 6 Official HDI Curriculum. Copyright 2014 Not HDI, for Version resale 1.0 or distribution.

14 2.2 Incident & Problem Management similarities and differences Describe the similarities between Incident Management and Problem Management Describe the differences between Incident Management and Problem Management Explain the purpose of logging Incidents and Problems Similarities are that Incident and Problem Management: Typically use the same categorization, impact, and priority coding systems Often capture similar data Use Knowledge Management best practices to facilitate the resolution of Incidents or Problems Use structured problem solving techniques The differences between Incident and Problem Management are that: Incident records are distinct from Problem records Incident records should be linked to their related Problem record Incident Management is focused on restoring service as quickly as possible, while Problem Management is focused on eliminating or minimizing errors in the infrastructure Logging Incidents and Problems: Provides a historical record of the organizational impact and level of IT effort to restore a service Enables access to relevant information (symptoms) and previous resolutions that enable Support Groups to quickly restore service Provides data that: Can be used to create and maintain a Knowledge base Is used for trending by both reactive and proactive Problem Management Is used to track progress towards process goals and objectives HDI Problem Management Official HDI Curriculum. Not for resale or distribution. Copyright 2014 HDI, Version 1.0 7

15 2.2.4 Explain the purpose of Categorization of Incidents and Problems Explain Priority Define Impact Categorizing Incidents and Problems is necessary: To ensure the appropriate and correct resources are assigned To correctly prioritize Incidents and Problems For accurate identification of trends Priority: Is the order in which an Incident, Problem, or Change is worked Should be defined and agreed to with the customers in Service Level Agreements Best practice suggests using the same prioritization schema for Incident and Problem Management Assigning the correct Priority is essential for triggering appropriate escalations Impact + Urgency = Priority Impact: Is a measure of the degree to which a service or business process has been effected by an Incident or Problem, e.g. the impact on the organization in terms of the number of services, users or potential financial loss HDI Problem Management 8 Official HDI Curriculum. Copyright 2014 Not HDI, for Version resale 1.0 or distribution.

16 2.2.7 Define Urgency Urgency: The acceptable delay to resolve an Incident or Problem based on the effect to the user or organization 3.0 Problem Management Process Overview 3.1 Problem Management Two Aspects 3.2 Problem Management Four Major Categories of Activities Identify the two aspects of Problem Management Explain Reactive Problem Management Explain Proactive Problem Management Identify the four major categories that Problem Management activities are organized into Explain Problem Detection and Categorization Explain Problem Investigation and Diagnosis Explain Problem Resolution The two aspects of Problem Management are: Reactive Problem Management Proactive Problem Management Reactive Problem Management is focused on solving Problems in response to one or more Incidents as they occur Proactive Problem Management is focused on identifying and solving Problems and Known Errors that might otherwise be missed, thereby preventing future Incidents Problem Management activities are organized into four major categories: Problem Detection and Categorization Problem Investigation and Diagnosis Problem Resolution Problem Closure Problem Detection and Categorization are those activities focused on identifying, logging, and classifying Problems Problem Investigation and Diagnosis are those activities focused on identifying root cause and transforming Problems into Known Errors Problem Resolution are those activities focused on identifying, approving, applying, and validating permanent fixes to Problems and Known Errors HDI Problem Management Official HDI Curriculum. Not for resale or distribution. Copyright 2014 HDI, Version 1.0 9

17 3.3 Problem Management inputs and outputs Explain Problem Closure List the inputs to Problem Management List the outputs from Problem Management Problem Closure are those activities focused on closing Problems, Known Errors and related Incidents with updated and reusable information The inputs to Problem Management are: Incident records Incident reports Configuration Management Database (CMDB) and Configuration Item (CI) information System and monitoring tool logs Knowledge base article reuse counts can be useful for trending by proactive Problem Management in identifying recurring Incidents Known Error Database (KEDB) and the number of Incidents linked to Known Errors can assist in prioritizing Problem Management activities Output from risk analysis activities The outputs from Problem Management are: Workarounds Known Errors Permanent fixes Request for Change Closed Problem and Incident records Management reports Training requirements Financial requirements for resolution options Resource requirements for resolution options HDI Problem Management 10 Official HDI Curriculum. Copyright 2014 Not HDI, for Version resale 1.0 or distribution.

18 3.4 IT Service Management Process Interfaces List the IT Service Management processes that interface with Problem Management Explain how Problem Management interfaces with Incident Management Explain how Problem Management interfaces with Event Management Explain how Problem Management interfaces with Supplier Management Problem Management interfaces with the following IT Service Management processes or functions: Incident Management Event Management Supplier Management Knowledge Management Configuration Management Change Management Release & Deployment Management Capacity Management Service Level Management Financial Management Continual Service Improvement Incidents are reviewed and analyzed by Problem Management to determine if a Problem exists Incidents are linked to problem records and can indicate the impact on the business and aid in prioritization of the Problem Information captured by event detection and alert mechanisms can assist in the diagnosis of Problems Suppliers and their goods and services may be the source of Problems Suppliers will need to be involved in identification, investigation, and resolution of Problems related to their goods and services Suppliers will provide Known Errors and fixes for their goods and services HDI Problem Management Official HDI Curriculum. Not for resale or distribution. Copyright 2014 HDI, Version

19 3.4.5 Explain how Problem Management interfaces with Knowledge Management Explain how Problem Management interfaces with Configuration Management Explain how Problem Management interfaces with Change Management Explain how Problem Management interfaces with Release & Deployment Management The Knowledge Management System or organizational Knowledge base, can be used to form the basis for the KEDB, or the KEDB can be the foundation for the Knowledge base Knowledge articles are updated when Problem Management discovers the root cause, permanent fix, or when better Workarounds are identified Knowledge base article reuse counts can be useful for trending by (proactive) Problem Management in identifying recurring Incidents Proactive Problem Management can search the CMDB to find a CI(s) with multiple incidents related to it, as this could be an indication of an underlying problem The Configuration Management System holds records for Incidents, Problems, Known Errors, Changes, and Releases, along with their relationships The CMDB can assist in identifying the services impacted and the key stakeholders who need to be involved in the resolution and communications regarding the Problem. As Problems are analyzed within Problem Management and resolutions are identified, a Request for Change (RFC) may be submitted to Change Management Change Management is responsible for ensuring changes to resolve open Incidents and Problems are authorized, implemented, and reviewed Release & Deployment Management is responsible for implementing changes to resolve open Incidents and Problems Release & Deployment Management assists in ensuring that the associated Known Errors are transferred from the development and testing environments to the live Known Error Database HDI Problem Management 12 Official HDI Curriculum. Copyright 2014 Not HDI, for Version resale 1.0 or distribution.

20 3.4.9 Explain how Problem Management interfaces with Capacity Management Explain how Problem Management interfaces with Service Level Management Explain how Problem Management interfaces with Financial Management Capacity Management may identify Problems and initiate a Request for Change (RFC) to resolve Problems Problem Management will engage Capacity Management to investigate performance related Problems Problem Management can provide a trigger to Capacity Management to monitor performance as part of Problem investigation and diagnosis activities Service level reviews can be a source for the identification of an underlying Problem Information from Problem Management pertaining to Workarounds and Problem closures can be used as part of Service Level Agreement (SLA) review meetings Problem Management works with Financial Management to provide information about the cost and value of the different options for resolving and preventing Problems HDI Problem Management Official HDI Curriculum. Not for resale or distribution. Copyright 2014 HDI, Version

21 Explain how Problem Management interfaces with Continual Service Improvement (CSI) Identify the IT Service Management functions that interface with Problem Management Explain how Problem Management interfaces with the IT Service Management functions Proactive Problem Management activities will become input into the CSI register (which is used to record and track improvement recommendations) Support Center (Service Desk) Technical Management Operations Management Application Management Functions log, prioritize and categorize Incidents, which allows for the identification of Problems and the frequency of Incidents related to a Problem Functions are responsible for identifying incident trends and patterns that may be indicative of a Problem Functions link Incidents to Problems, Known Error records and to Knowledge base articles Technical and Application Management functions are responsible for opening and resolving Problem records Support Center and Operations Management functions may be delegated the responsibility of opening Problem records or requesting one be opened by Support Group personnel HDI Problem Management 14 Official HDI Curriculum. Copyright 2014 Not HDI, for Version resale 1.0 or distribution.

22 4.0 Problem Management Activities 4.1 Problem Detection and Categorization List the common reactive Problem Management triggers for the opening of a Problem record List the common proactive Problem Management triggers for the opening of a Problem record The common reactive Problem Management triggers are: The Support Center suspects an Incident may recur after resolving it When there is an Incident for which the root cause is not known Analysis of an Incident by a Support Group reveals a potential underlying Problem Event and alerting tools automatically create an Incident record due to fault detection. This may reveal the need for a Problem record. The declaration of a Major Incident Notification from a Supplier that a Problem or Known Error exists in their product or service The common proactive Problem Management triggers are: Trending analysis of Incidents over differing time periods reveals a recurring trend, indicating an underlying Problem might exist Analysis of the IT infrastructure by Support Groups identifies a potential Problem Conclusions drawn from data and knowledge mining of the Knowledge base Announcements of Known Errors from application and release and deployment teams Reports generated from application or system software Service review meetings Supplier review meetings HDI Problem Management Official HDI Curriculum. Not for resale or distribution. Copyright 2014 HDI, Version

23 4.2 Problem Investigation & Diagnosis Identify some of the common fields to record when logging and categorizing Problems Explain the benefits of correctly categorizing Problems Explain the purpose of Problem investigation and diagnosis Common fields when logging and categorizing Problems: Problem source Problem assignee Problem priority User(s) affected Service(s) affected Location(s) affected Suspected CI at fault Date and time initially logged Incident or Event trigger details (links) Details of all diagnostic or attempted recovery actions taken The benefits of correctly categorizing Problems: The true nature of the Problem can be easily traced back to the Incident(s) Allows for more effective Incident and Problem matching Provides the business impact that can be used to determine prioritization and whether to proceed with Problem investigation and diagnosis Facilitates effective utilization of Problem Management resources Provides data that can be used for reporting on Critical Success Factors and Key Performance Indicators Investigation and diagnosis seeks to: Determine what happened Identify why it happened (understand causal factors) Identify and document a workaround Determine root cause HDI Problem Management 16 Official HDI Curriculum. Copyright 2014 Not HDI, for Version resale 1.0 or distribution.

24 4.3 Knowledge base and KEDB Identify the six activities associated with investigation and diagnosis Identify components for the tactical implementation of a Knowledge base and KEDB The six activities are: Define the Problem What? Where? When? Significance? (impact; frequency of occurrence) Update the known error record (KEDB) or knowledge article (Knowledge base) with the workaround Collect data Evidence that supports or points to the causal factors resulting in the Problem Analyze the data and identify possible causes Look for causes in actions and conditions Identify how causes interact with one another Identify the root cause A cause to which you can attach a solution Document the analysis done to reach the conclusion Support your position and conclusion with evidence Components for the tactical implementation of a Knowledge base and KEDB include: The principles of Knowledge Centered Support (KCS) Developing an easily searchable Knowledge base and KEDB Tools that can link Incidents to Problems, Known Errors, and Workarounds Promoting and communicating the benefits of a Knowledge base and KEDB HDI Problem Management Official HDI Curriculum. Not for resale or distribution. Copyright 2014 HDI, Version

25 4.3.2 Identify the benefits of a Knowledge base and KEDB Explain Knowledge Article and Known Error Record Identify the minimum structure of a Knowledge Article or Known Error Record The benefits of a Knowledge base and KEDB are: The ability to resolve incidents faster through the use of Workarounds, thus reducing downtime A reduction in the number of Emergency Changes because a Workaround is available to restore service A reduction in the time to make new Support Center staff effective A reduction in the number of escalations to level 2 and 3 support Improved service availability Knowledge Articles and Known Error Records: Are findable, reusable and structured objects that contain workarounds or resolutions primarily used by Incident Management Are created and updated by Problem Management The minimum structure is: Issue - Incident/Problem description Environment Cause (if known) Workaround or Resolution (if known) Meta data such as: Author Data created Last Modified Date Last Modified By Reuse Counter or Rank HDI Problem Management 18 Official HDI Curriculum. Copyright 2014 Not HDI, for Version resale 1.0 or distribution.

26 4.4 Root Cause Analysis Identify the four classifications of root causes Identify the common Root Cause Analysis techniques Explain Chronological Analysis The four classifications of root causes are: Physical causes components failed System errors software failed Human causes people did something wrong or failed to do something they should have Organizational causes a process, policy, or procedure is in error The common Root Cause Analysis techniques are: Chronological Analysis Brainstorming Ishikawa (Cause/Effect) Diagrams Pareto Analysis Five Why s Kepner-Tregoe Fault Tree Analysis Chronological Analysis is useful for complex Problems in determining: what happened, when, and in what sequence. Steps for Chronological Analysis: Develop a timeline Document all events in chronological order Determine which events triggered other events Discount claims that are not supported by evidence Correlate and identify root cause Attempt recreation, if practicable, to confirm root cause HDI Problem Management Official HDI Curriculum. Not for resale or distribution. Copyright 2014 HDI, Version

27 4.4.4 Explain Brainstorming Explain Cause/Effect Ishikawa Diagrams Brainstorming is the utilization of the knowledge of various personnel to identify potential causes and solutions. Steps include (using the Nominal Group technique): Gather together a group of relevant Subject Matter Experts Discussion is usually led by the Problem Manager Identify a list of possible causes Rank those possible causes Identify a list of possible solutions Rank those solutions Document, agree, and assign actions to prove the solutions Ishikawa Diagrams are often referred to as fishbone or cause and effect diagrams. They help with identification of all possible causes and effects or where something may be improved. Define the Problem (spine and head of fish, i.e. the effect) List broad categories of possible main causes (ribs) Use brainstorming techniques to get participants to suggest possible causes Note possible causes on the relevant branch (main cause/rib) of the diagram Rank the top causes based on experience and available data Identify possible solutions to the most likely cause HDI Problem Management 20 Official HDI Curriculum. Copyright 2014 Not HDI, for Version resale 1.0 or distribution.

28 4.4.6 Explain Pareto Analysis Explain the Five Why s Explain Kepner-Tregoe Pareto Analysis is used to identify the most important potential causes (based on frequency of occurrence) and separates them from the trivial ones. Develop a table of causes of failures by count and their frequency as a percentage of the total Arrange the rows in the decreasing order of frequency of the causes, i.e. the most frequent cause first Add a cumulative percentage column to the table Create a bar chart (histogram) of the causes and arrange the bars in order of their percentage of the total count Identify the top causes which have a cumulative total of 80% Focus initially on these as the primary causes The Five Why s (derivative of Cause/Effect) are useful for less complex Problems and is used to get to the root cause: Define the Problem Identify what event took place For each event, ask WHY that occurred Repeat this four times for a total of five Why s Kepner-Tregoe (KT) is a systematic approach to problem solving. There are four techniques used in KT: Situation Appraisal Problem Analysis Decision Analysis Potential Problem Analysis HDI Problem Management Official HDI Curriculum. Not for resale or distribution. Copyright 2014 HDI, Version

29 4.5 Problem Resolution Explain Fault Tree Analysis Identify the two activities associated with Problem Resolution Explain Solution Identification Identify the activities associated with Solution Identification Fault Tree Analysis is useful for identifying links between possible causes. List the Problem at the top of tree Brainstorm possible causes Determine if there are lower level causes Use Boolean logic gates to indicate relationships The two activities associated with Problem Resolution are: Solution Identification Solution Implementation Solution Identification are the activities taken to determine a permanent solution to a Problem or Known Error Activities associated with Solution Identification are: Research and identify possible solutions Choose a solution Obtain approval to proceed with development of the proposed solution Develop the proposed solution Test the proposed solution Submit a Request For Change (RFC) to Change Management for the approval to implement the identified solution If an urgent fix is needed, an Emergency change may be submitted Until the change has been implemented, the Workaround in the Known Error record or Knowledge base Article is used to quickly resolve further occurrences of incidents Determine Problem prevention actions to take HDI Problem Management 22 Official HDI Curriculum. Copyright 2014 Not HDI, for Version resale 1.0 or distribution.

30 4.6 Problem Closure 4.7 Major Problem Reviews Explain Solution Implementation Identify the activities associated with Solution Implementation Identify the activities associated with Problem Closure Explain Major Problem reviews Explain the purpose of Major Problem reviews Solution Implementation are the activities taken to approve, implement and validate the proposed solution to the Problem or Known Error Activities associated with Solution Implementation are: Obtain approval to implement the proposed solution Implement the proposed solution (as per RFC submitted from Solution Identification) Verify the solution corrected the error Execute Problem prevention activities Update Knowledge base or KEDB with resolution information Activities associated with Problem Closure are: Verify that the Problem and Known Error records are updated, correct and complete Close the Problem or Known Error records when the change has been implemented and the solution verified (there are no new Incidents related to the Problem) Update the status of related open Incidents at the time of Problem and Known Error record closure Conduct a post-implementation review for capturing lessons learned to be applied to future Problems Major Problem reviews are performed on Problems where the impact was significant enough that Management decides to review the process, actions taken, and the tools. The purpose of Major Problem reviews is to improve future outcomes: What went well? What didn t go well? What can be improved for the future? (including the Problem Management process) How can we prevent recurrence? HDI Problem Management Official HDI Curriculum. Not for resale or distribution. Copyright 2014 HDI, Version

31 5.0 Process Measurements 5.1 Process Metrics 5.2 Terms & Concepts for Process Metrics Explain the purpose of process measurements Explain the purpose of Critical Success Factors List the characteristics of Critical Success Factors Explain the purpose of Key Performance Indicators List the characteristics of Key Performance Indicators The purpose of measuring a process is to determine the overall health of a process in terms of: Progress the change/evolution of process maturity over time Efficiency use of resources (e.g., throughput, speed, and productivity) Effectiveness consistency and accuracy of result(s) (getting it right the first time) Compliance to the process, and are the regulatory/legislative requirements being complied with The purpose of Critical Success Factors (CSF) are to help an organization focus its time, energy and attention on those things that matter for success Critical Success Factors: Are those things that must consistently happen if a process, project, plan, or IT service is to succeed Show alignment with organizational goals and objectives The purpose of Key Performance Indicators (KPI) is to provide information that will assist an organization in assessing its performance and effectiveness in achieving a desired goal Key Performance Indicators: Measure the achievement of CSFs Reflect key process aspects such as quality, performance, value, and compliance Can be qualitative or quantitative Reflect progress towards achievement of goals or deviation from goals HDI Problem Management 24 Official HDI Curriculum. Copyright 2014 Not HDI, for Version resale 1.0 or distribution.

32 5.3 Problem Management Critical Success Factors and Key Performance Indicators Define Metric Define Baseline Explain the purpose of establishing a Baseline List examples of common relationships between Problem Management CSF s and KPI s Metric: A measure of an organizations activities and performance as it relates to the management of a process, IT service, or activity Baseline: Represents a marker, or starting point, for later comparison. Baselines: Are used to establish an initial data point to measure changes in performance or the effect of process improvements over time Must be established at each level: Strategic (goals and objectives) Tactical (process maturity) Operational (metrics and KPIs) Must be documented, recognized, and communicated throughout the organization CSF: Improve Service Quality KPI: Increase percentage of proactive Changes submitted by Problem Management KPI: Reduce in the number of Incidents (over time) affecting services to Customers CSF: Minimize impact of Problems KPI: Increase in first call resolution through use of workarounds KPI: Reduce in average time to implement fixes to Problems CSF: Resolve Problems effectively and efficiently KPI: Reduce in the backlog of open Problems KPI: Increase in the number of Problems that met or exceeded their target resolution times HDI Problem Management Official HDI Curriculum. Not for resale or distribution. Copyright 2014 HDI, Version

33 5.3.2 List the common Critical Success Factors for the successful implementation of Problem Management Common CSF s for implementing Problem Management include: Obtaining Senior IT Leadership support Establishing a vision and purpose Having a clearly defined and documented process policy, plan, and SOP Having an effective Incident Management process Having clearly defined data and relationships between Incident and Problem Management Defining and filling roles with the right personnel Creation and execution of a communication campaign Rolling out Problem Management to a pilot team and then to the rest of the organization Choosing the right support tools Effective KPI and management reporting HDI Problem Management 26 Official HDI Curriculum. Copyright 2014 Not HDI, for Version resale 1.0 or distribution.

34 6.0 Roles & Responsibilities 6.1 Problem Management Roles 6.2 RACI Model Describe the primary roles in the Problem Management process Identify the complimentary roles that interface with Problem Management Describe RACI Model The primary roles involved in Problem Management are: Process Owner owns and maintains the Problem Management Process Problem Manager responsible for the dayto-day operation of the Problem Management process Problem Analyst members of Support Groups who are assigned Problems The complimentary roles that interface with Problem Management are: Change Manager responsible for managing all the activities of the Change Management process and receiving and processing RFC s submitted from Problem Management Incident Manager responsible for managing incidents and for ensuring the execution of tasks in the Incident Management process Knowledge Manager responsible for the health of Knowledge Management practices and the overall quality of the Knowledge base Report Specialist responsible for creating and running KPI and management reports for Problem Management A RACI model is a responsibility assignment matrix that is used to map roles and responsibilities in relation to a project or process. RACI stands for: Responsibility - correct execution of process/ activity Accountability - one person who has ownership of quality and end result Consulted - input of knowledge, information, opinions Informed - kept up to date about process execution and quality HDI Problem Management Official HDI Curriculum. Not for resale or distribution. Copyright 2014 HDI, Version

35 6.3 Process Owner Identify the benefits of using a RACI model Describe the responsibilities of the Process Owner The benefits of using a RACI model are it: Clearly portrays the participation of various roles in completing activities and tasks Clarifies roles and responsibilities in crossfunctional teams Assigns accountability Establishes responsibility The responsibilities of the Process Owner include: Collaborating with stakeholders to define and agree on process requirements, priorities, and performance levels that meet the needs of the organization Providing input and approval into the process design and scope Ensuring appropriate CSFs and KPIs are defined to measure the process Identifying improvements that ensure the process achieves the goals and objectives of the organization Ensuring education (knowledge transfer), training (skill transfer), and communication systems are developed and implemented in support of the process Reviewing and approving the process documentation to be used throughout the Problem Management process (e.g. policy, SOP, etc.) Communicating management information reporting requirements to be produced from the process Ensuring compliance with process policies and standards HDI Problem Management 28 Official HDI Curriculum. Copyright 2014 Not HDI, for Version resale 1.0 or distribution.

36 6.3.2 List the common skills and knowledge needed by the Problem Management Process Owner Common skills and knowledge needed: In-depth knowledge of: The organization and how IT supports the needs of the organization The IT department and its structure and culture How Problem Management integrates with other IT service management processes Collaborative and consensus building skills Intermediate-level IT service management training in Service Restoration recommended HDI Problem Management Official HDI Curriculum. Not for resale or distribution. Copyright 2014 HDI, Version

37 6.4 Problem Manager (Other industry names used): Process Manager Problem Coordinator Problem Queue Manager Describe the responsibilities of the Problem Manager The responsibilities of the Problem Manager include: The day-to-day operation of the Problem Management process, i.e. - facilitating and ensuring the execution of tasks Addressing and resolving issues with process operation and execution Securing and assigning required resources to perform Problem Management activities The proactive identification of trends and potential Problems from Incident and Problem data Reviewing proposed Problems from other processes such as Incident, Capacity, and Availability Management, and interface as needed Monitoring progress of Problems and Known Errors Ensuring target resolution times are met Ensuring that sufficient communication is provided to the customer regarding the progress Problems and their resolutions Chairing Problem Management meetings to review outstanding problems and resolutions Guiding and assisting support staff in delivering Workarounds and/or permanent fixes Reviewing and approving proposed workarounds HDI Problem Management 30 Official HDI Curriculum. Copyright 2014 Not HDI, for Version resale 1.0 or distribution.

38 6.4.1 Describe the responsibilities of the Problem Manager (Cont.) List the common skills and knowledge needed by a Problem Manager Advising incident management staff of workarounds and resolved Problems Reviewing Major Incidents for information that may assist in Problem investigation and diagnosis activities Coordinating the organization s response to Major Problems by leading a Problem resolution team Conducting Major Problem reviews and publishing a post-review report to stakeholders Validating Problem and Known Error records are properly documented prior to closure Ensuring required management reports are being produced for the process Reviewing the efficiency and effectiveness of proactive Problem Management activities by Support Groups Common Problem Manager skills and knowledge needed: In-depth knowledge of: The process workflow and CSF s/kpi s The service management tools used to support the Problem Management process How Problem Management integrates with other IT service management processes Ability to successfully explain and guide staff through the process Analytical and trend analysis skills Teamwork/team building skills Resource management skills Effective meeting facilitation skills Intermediate-level IT service management training in Service Restoration recommended HDI Problem Management Official HDI Curriculum. Not for resale or distribution. Copyright 2014 HDI, Version

39 6.5 Problem Analyst (Other industry names used): Process Practitioner Describe the responsibilities of the Problem Analyst List the common skills and knowledge needed by a Problem Analyst The responsibilities of the Problem Analyst include: Receiving and working assigned Problem records Creating Problem records based on analysis and trending of alerts, events and Incidents Identifying and documenting: HDI Problem Management 32 Official HDI Curriculum. Copyright 2014 Not HDI, for Version resale 1.0 or distribution. The root cause of Problem records through the use of Root Cause Analysis techniques Workarounds within the Problem or Known Error record Involving required resources from other Support Groups or Suppliers to determine root cause, workarounds and/or permanent solutions Testing resolutions and workarounds Updating Problem and Known Error records as new information is available Adjusting priority of Problem records based on business needs, e.g. - impact or urgency changes Informing the Problem Manager of any roadblocks or impediments to their ability in supporting Problem Management and/or resolving Problems Submitting RFCs to resolve Problems or Known Errors Common Problem Analyst skills and knowledge needed: In-depth knowledge of: The process workflow The service management tools used to support the Problem Management process Understanding of how Problem Management integrates with other IT service management processes Analytical and problem solving skills Excellent documentation skills Root Cause Analysis education & training

40 6.6 Problem Management Complimentary Roles Describe the responsibilities of the Change Manager as it relates to Problem Management Describe the responsibilities of the Incident Manager as it relates to Problem Management Describe the responsibilities of the Knowledge Manager as it relates to Problem Management The responsibilities of the Change Manager include: Receiving and processing RFC s submitted from Problem Management for the purposing of resolving Problems and Known Errors Ensuring RFC s submitted for implementation are presented to the appropriate level of authority for approval Communicating change status to Problem Management The responsibilities of the Incident Manager include: Ensuring incident data are logged and categorized appropriately for use by proactive Problem Management Leading the organization s response to Major Incidents including any required handoffs to Problem Management Ensuring Incidents are appropriately linked to Problem records The responsibilities of the Knowledge Manager include: Ensuring that data is gathered, analyzed, captured and available to Problem Management regarding Workarounds and Known Errors Describe the responsibilities of the Report Specialist Working with Problem Management staff to develop scripts and capture supporting data within Problem Management The responsibilities of the Report Specialist include: Working with stakeholders and the Process Manager to create and produce actionable Problem Management KPI and management reports HDI Problem Management Official HDI Curriculum. Not for resale or distribution. Copyright 2014 HDI, Version