ITIL (IT Infrastructure Library) Foundation (Course Code SM25)
Student NotebookERC 1.0
IBM Certified Course Material
V3.1.0.1
cover
��� Front cover
Student Notebook
September 2004 Edition
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ContentsCourse Description . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xi
Agenda . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xiii
Course Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xvITIL Foundation Course: IT Infrastructure Library Overview . . . . . . . . . . . . . . . . . . .xviITIL Foundation Course: Objectives and Contents of the Course . . . . . . . . . . . . . . xviiITIL Foundation Course: ITIL Defines a Three-Tiered Structure of Certification Training . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xviiiITIL Foundation Course: Process Chart Reference . . . . . . . . . . . . . . . . . . . . . . . . .xix
Unit 1. What ITIL Is . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-1Unit 01: What ITIL is . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-2What ITIL is: ITIL: de facto standard for service management built on industry “best practice” . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-3What ITIL is: Main characteristics of ITIL are: IT services are business-oriented, and provision of quality customer service . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-5What ITIL is: Originally created by the UK's Central Computer and Telecommunications Agency (CCTA) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-6What ITIL is: The BSI roadmap to make ITIL a standard for service management 1-7What ITIL is: ITIL is a library of books that aim to describe best practices for IT infrastructure management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-9What ITIL is: The ITIL books describe best practices in IT management, with a special focus on service management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-10Most people think of ITIL as service support, but the increasing popularity of ITIL should be leveraged against a broader spectrum of services . . . . . . . . . . . . . . . . . . . . . . 1-12What ITIL is: Service management focuses on the tactical and operational processes of service support and service delivery and their relationships, including security management (separate ITIL book) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-13What ITIL is: ITIL processes in service support represent many of the reactive processes within IT operations (operational) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-14What ITIL is: Service Delivery focuses on what service the business requires in order to provide adequate support to the business users (tactical) . . . . . . . . . . . . . . . . 1-15What ITIL is: Service support process (operational processes) relationships and their interaction with the CMDB . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-16What ITIL is: Service delivery process (tactical processes) relationships . . . . . . . 1-17What ITIL is: Other ITIL books . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-18What ITIL is: Customers across the globe are asking more and more about ITIL 1-19What ITIL is: ITIL implementation: Adopt and Adapt . . . . . . . . . . . . . . . . . . . . . . . 1-20
Unit 2. Process Implementation Strategy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-1Unit 02: Process Implementation Strategy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-2Process Implementation: What is a process? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-3
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Process Implementation: A process flows across the organizational hierarchies within a company and sometimes flows across company boundaries . . . . . . . . . . . . . . . .2-4Process Implementation: Why do we need processes? . . . . . . . . . . . . . . . . . . . . . .2-5Process Implementation: What are the benefits? (1) . . . . . . . . . . . . . . . . . . . . . . . .2-6Process Implementation: What are the benefits? (2) . . . . . . . . . . . . . . . . . . . . . . . .2-7Process Implementation: What are the benefits? (3) . . . . . . . . . . . . . . . . . . . . . . . .2-8Process Implementation: Mission-critical changes or reorganizations within an IT corporation require new processes or needs to improve existing processes . . . . . .2-9Process Implementation: Continuous processes improvement is also a trigger . .2-10Process Implementation: Why implement service management? . . . . . . . . . . . . .2-11Process Implementation: Service and Process . . . . . . . . . . . . . . . . . . . . . . . . . . .2-12Process Implementation: Service, Process, Procedure, and work instructions . . .2-13Process Implementation: Project Management . . . . . . . . . . . . . . . . . . . . . . . . . . .2-14Process Implementation: Factors who will influence the success of an ITSM project . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-15Process Implementation: People . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-16Process Implementation: Each task within a process is executed by a role . . . . . .2-17Process Implementation: ITSM Project (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-18Process Implementation: ITSM Project (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-19Process Implementation: From the above model, 5 phases of a ITSM project are definable . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-20Process Implementation: Ongoing quality improvement . . . . . . . . . . . . . . . . . . . .2-21Process Implementation: Communication Plan . . . . . . . . . . . . . . . . . . . . . . . . . . .2-22Process Implementation: Global Consideration . . . . . . . . . . . . . . . . . . . . . . . . . . .2-24Process Implementation: Process Description . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-25Process Implementation: High-Level Design of a Process . . . . . . . . . . . . . . . . . . .2-26Process Implementation: A Process Implementation considers both an initial process design and an improvement of the existing environment . . . . . . . . . . . . . . . . . . . .2-27Process Implementation: A review is important for quality assurance . . . . . . . . . .2-28Process Implementation: A review is important for quality assurance . . . . . . . . . .2-29Process Implementation: Critical success factors . . . . . . . . . . . . . . . . . . . . . . . . .2-31Process Implementation: Possible problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-32Process Implementation: Project costs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-33
Unit 3. Service Desk (SPOC) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-1Unit 03: Service Desk (SPOC) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-2Service Desk: Integration into the IPW Model . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-3Service Desk: The Service Desk is the Single Point of Contact [SPOC] between the users and the IT Services Organization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-4Service Desk: Mission Statement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-5Service Desk: The Service Desk is traditionally seen as a group of specialists who have the required knowledge to process any kind of request or incident . . . . . . . . . . . . .3-6Service Desk: The Importance of the Service Desk . . . . . . . . . . . . . . . . . . . . . . . . .3-7Service Desk: Communication . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-8Service Desk: Service Desk Responsibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-9Service Desk: Service Desk Activities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-10Service Desk: Processes within the Service Desk . . . . . . . . . . . . . . . . . . . . . . . . .3-11Service Desk: Inputs and Outputs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-12
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Service Desk: There are 3 Service Desk Types (1): the Local Service Desk . . . . 3-13Service Desk: There are 3 Service Desk Types (2): Central Service Desk . . . . . 3-14Service Desk: There are 3 Service Desk Types (3): Virtual Service Desk . . . . . . 3-15Service Desk: User empowerment (self-help) enhances customer satisfaction while lowering support cost . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-16Service Desk: A crucial success factor is standardized working methods . . . . . . 3-17Service Desk: Setting up a Service Desk . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-18Service Desk: Benefits and Costs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-19Service Desk: Risks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-20Service Desk: Best Practices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-21Service Desk: Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-22Unit 4. Incident Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-1Unit 04: Incident Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-2Incident Management: Integration into the IPW Model . . . . . . . . . . . . . . . . . . . . . . 4-3Incident Management: Mission statement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-4Incident Management: Definition: Incident, Problem and “Known Error” . . . . . . . . 4-5Incident Management: Tasks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-6Incident Management: Activity incident handling . . . . . . . . . . . . . . . . . . . . . . . . . . 4-7Incident Management: The status of an incident reflects its current position in its lifecycle . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-8Relationship with other IT services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-10Incident Management: Use of standard registration, documentation, and methods is basis of success . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-11Incident Management: Classification: Find service affected, match against SLA, and assign priority . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-12Incident Management: Priority order for handling incidents is primarily defined by impact and urgency . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-13Incident Management: Each priority is related to a certain recovery time… . . . . . 4-14Incident Management: … This results in an appropriate escalation . . . . . . . . . . . 4-15Incident Management: Escalation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-17Incident Management: Escalation – Trigger and Measures . . . . . . . . . . . . . . . . . 4-18Incident Management: Escalation – Escalation Levels . . . . . . . . . . . . . . . . . . . . . 4-19Incident Management: Escalation – Example of an Escalation Matrix . . . . . . . . . 4-20Incident Management: Input and Output . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-21Incident Management: Benefits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-22Incident Management: Risks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-23Incident Management: Best Practices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-24Incident Management: Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-25
Unit 5. Problem Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-1Unit 05: Problem Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-2Problem Management: Integration into the IPW Model . . . . . . . . . . . . . . . . . . . . . . 5-3Problem Management: Mission statement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-4Problem Management: Some definitions: Problem, Known Error, and RFC . . . . . . 5-5Problem Management: Tasks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-6Problem Management: Scope . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-8Problem Management: Activity: Problem Control . . . . . . . . . . . . . . . . . . . . . . . . . . 5-9
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Problem Management: Activity: Error Control . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-10Problem Management: Activity: Proactive Problem Management . . . . . . . . . . . . .5-11Problem Management: Reporting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-12Problem Management: Reactive - Proactive . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-13The Complete Picture . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-14Problem Management: Benefits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-15Problem Management: Risks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-16Problem Management: Best Practices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-17Problem Management: Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-18
Unit 6. Change Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6-1Unit 06: Change Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6-2Change Management: Integration into the IPW Model . . . . . . . . . . . . . . . . . . . . . . .6-3Change Management: Mission Statement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6-4Change Management: Some definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6-5Change Management: Why Change Management is so important . . . . . . . . . . . . .6-7Change Management: Tasks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6-8Change Management: The Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6-9The Process Steps . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6-10Change Management: Content of a Request for Change (RFC) . . . . . . . . . . . . . .6-11Change Management: Categorization: Minor – Significant – Major . . . . . . . . . . . .6-13Change Management: Prioritization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6-14Change Management: Composition of the Change Advisory Board (CAB) should reflect user, customer, and service provider view . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6-15Change Management: Optimization can be reached through correlation of RFCs on related CIs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6-16Change Management: Interfaces to other SM processes (1) . . . . . . . . . . . . . . . . .6-17Change Management: Interfaces to other SM processes (2) . . . . . . . . . . . . . . . . .6-18Change Management: Benefits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6-19Change Management: Risks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6-20Change Management: Best Practices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6-21Change Management: Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6-22
Unit 7. Configuration Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7-1Unit 07: Configuration Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .7-2Configuration Management: Integration into the IPW Model . . . . . . . . . . . . . . . . . .7-3Configuration Management: Mission Statement . . . . . . . . . . . . . . . . . . . . . . . . . . . .7-4Configuration Management: Tasks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .7-5Configuration Management: Definition: Configuration Item . . . . . . . . . . . . . . . . . . .7-6Configuration Management: Definition: Configuration Item – Scope and Level of Detail . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .7-7Configuration Management: Tasks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .7-9Configuration Management: Configuration Management Database (CMDB) – Structure Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .7-11Configuration Management: CMDB – Status of CI . . . . . . . . . . . . . . . . . . . . . . . . .7-12Configuration Management: Interfaces with all other processes . . . . . . . . . . . . . .7-13Configuration Management: Relationship with Release and Change Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .7-15
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Configuration Management: CIs and their relations to other processes . . . . . . . . 7-16Configuration Management: Variant and Baseline . . . . . . . . . . . . . . . . . . . . . . . . 7-17Configuration Management: Licence Management . . . . . . . . . . . . . . . . . . . . . . . . 7-18Configuration Management: Benefits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7-19Configuration Management: Costs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7-20Configuration Management: Risks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7-21Configuration Management: Best Practices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7-23Configuration Management: Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7-24Unit 8. Release Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8-1Unit 08: Release Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8-2Release Management: Integration into the IPW Model . . . . . . . . . . . . . . . . . . . . . . 8-3Release Management: Mission Statement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8-4Release Management: Goal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8-5Release Management: Why Release Management . . . . . . . . . . . . . . . . . . . . . . . . 8-6Release Management: Tasks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8-7Release Management: Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8-8Release Management: Major Activities of Release Management . . . . . . . . . . . . . . 8-9Interactions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8-11Release Management: DSL and DHS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8-12Release Management: Software Release . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8-13Release Management: Benefits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8-16Release Management: Costs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8-17Release Management: Risks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8-18Release Management: Best Practices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8-19Release Management: Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8-20
Unit 9. Service Level Management. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9-1Unit 09: Service Level Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9-2Service Level Management: Integration into the IPW Model . . . . . . . . . . . . . . . . . 9-3Service Level Management: Mission Statement . . . . . . . . . . . . . . . . . . . . . . . . . . . 9-4Service Level Management: Why Service Level Management . . . . . . . . . . . . . . . . 9-5Service Level Management: SLM – Balance service capabilities and service requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9-6Service Level Management: Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9-7Service Level Management: Tasks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9-8Service Level Management: Service Level Management Activities . . . . . . . . . . . . 9-9Service Level Management: Manage relationship with customers and suppliers (internal and external) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9-10Service Level Management: Different points of view: Communication . . . . . . . . . 9-11Service Level Management: Content of a Service Level Agreement (SLA) . . . . . 9-12Service Level Management: Service Level Agreement (SLA) – Basic Structure . 9-13Service Level Management: Service Level Agreement (SLA) – Legal Contents . 9-14Service Level Management: Elements of a Service Spec Sheet . . . . . . . . . . . . . 9-15Service Level Management: Benefits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9-16Service Level Management: Risks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9-17Service Level Management: Costs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9-18Service Level Management: Best Practices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9-19
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Service Level Management: Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9-20
Unit 10. Availability Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10-1Module 10: Availability Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .10-2Availability Management: Integration into the IPW Model . . . . . . . . . . . . . . . . . . .10-3Availability Management: Mission Statement . . . . . . . . . . . . . . . . . . . . . . . . . . . . .10-4Availability Management: Definitions (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .10-5Availability Management: Definitions (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .10-6Availability Management: Tasks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .10-7Availability Management: Inputs and Outputs . . . . . . . . . . . . . . . . . . . . . . . . . . . .10-8Availability Management: Uptime, Downtime, and Availability . . . . . . . . . . . . . . . .10-9Availability Management: Availability Measurements (1) . . . . . . . . . . . . . . . . . . .10-11Availability Management: Availability Measurement (2) . . . . . . . . . . . . . . . . . . . .10-12Availability Management: Availability Measurement Example (3) . . . . . . . . . . . .10-13Availability Management: Risk Management is also an aspect of availability . . .10-14Availability Management: Availability Reporting . . . . . . . . . . . . . . . . . . . . . . . . . .10-16Availability Management: Benefits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .10-18Availability Management: Risks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .10-19Availability Management: Best Practices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .10-20Availability Management: Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .10-21
Unit 11. Capacity Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11-1Unit 11: Capacity Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .11-2Capacity Management: Integration into the IPW Model . . . . . . . . . . . . . . . . . . . . .11-3Capacity Management: Mission Statement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .11-4Capacity Management: Why Capacity Management? . . . . . . . . . . . . . . . . . . . . . .11-5Capacity Management: Capacity Management has three sub-processes . . . . . . .11-6Capacity Management: Tasks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .11-8Capacity Management: Input & Output . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .11-10Capacity Management: Iterative Activities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .11-11Capacity Management: Capacity Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .11-12Capacity Management: Capacity Database . . . . . . . . . . . . . . . . . . . . . . . . . . . . .11-14Capacity Management: Benefits and Costs . . . . . . . . . . . . . . . . . . . . . . . . . . . . .11-16Capacity Management: Risks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .11-17Capacity Management: Best Practices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .11-20Capacity Management: Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .11-21
Unit 12. Financial Management for IT Services . . . . . . . . . . . . . . . . . . . . . . . . 12-1Unit 12: Financial Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .12-2Financial Management: Integration into the IPW Model . . . . . . . . . . . . . . . . . . . . .12-3Financial Management: Mission Statement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .12-4Financial Management: Why Financial Management for IT Services (1) . . . . . . . .12-5Financial Management: Why Financial Management for IT Services (2) . . . . . . . .12-6Financial Management: Tasks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .12-7Financial Management: Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .12-8Financial Management: Process – Budgeting and Accounting Activities (mandatory) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .12-10Financial Management: Process – Charging (optional) . . . . . . . . . . . . . . . . . . . .12-11
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Financial Management: Cost Types . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12-12Financial Management: Cost Classification . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12-14Financial Management: Costs types – Example: Printing a report . . . . . . . . . . . 12-17Financial Management: Example of IT Accounting . . . . . . . . . . . . . . . . . . . . . . . 12-18Financial Management: Links to other processes . . . . . . . . . . . . . . . . . . . . . . . . 12-19Financial Management: Benefits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12-21Financial Management: Risks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12-22Financial Management: Best Practices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12-24Financial Management: Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12-25Unit 13. IT Service Continuity Management (ITSCM) . . . . . . . . . . . . . . . . . . . . 13-1Unit 13: IT Service Continuity Management (ITSCM) . . . . . . . . . . . . . . . . . . . . . . 13-2ITSCM Management: Integration into the IPW Model . . . . . . . . . . . . . . . . . . . . . . 13-3ITSCM: Mission Statement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13-4ITSCM: Why ITSCM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13-5ITSCM: Definitions: Business Continuity Management (BCS) and ITSCM . . . . . . 13-6ITSCM: Tasks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13-7ITSCM: Continuity Management Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13-8ITSCM: Risk of events that can cause disaster . . . . . . . . . . . . . . . . . . . . . . . . . . . 13-9ITSCM: Some events that have caused problems . . . . . . . . . . . . . . . . . . . . . . . 13-10ITSCM: Risk Analysis as part of BCM Requirements definition . . . . . . . . . . . . . 13-11ITSCM: The continuity strategy involves the selection of recovery options . . . . 13-12ITSCM: Continuity Plan Invocation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13-14ITSCM: Test and Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13-15ITSCM: Benefits and Costs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13-16ITSCM: Risks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13-18ITSCM: Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13-19
Unit 14. Security Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14-1Unit 14: Security Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14-2ITSCM Management: Integration into the IPW Model . . . . . . . . . . . . . . . . . . . . . . 14-3Security Management: Mission Statement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14-4Security Management: Definitions: CIA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14-5Security Management: Why Security Management? . . . . . . . . . . . . . . . . . . . . . . 14-6Security Management: Information Security Incident . . . . . . . . . . . . . . . . . . . . . . 14-7Security Management: Security Measures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14-8Security Management: Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14-9Security Management: Process- Input from Customer . . . . . . . . . . . . . . . . . . . . 14-10Security Management: Process – Control . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14-11Security Management: Process – SLA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14-12Security Management: Process – Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14-13Security Management: Process – Implement . . . . . . . . . . . . . . . . . . . . . . . . . . . 14-14Security Management: Process – Evaluate . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14-15Security Management: Process – Maintain . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14-16Security Management: Process – Report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14-17Security Management: Level of measures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14-18Security Management: Benefits and Costs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14-19Security Management: Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14-20
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Course DescriptionITIL (IT Infrastructure Library) Foundation
Duration: 2 days
Purpose
Learn the basics of Information Technology (IT) Infrastructure Library (ITIL) and discover the importance of a systematic approach to management. The ITIL contains a comprehensive description of the processes involved in managing IT infrastructures. Build your awareness of the best practice approach to IT service support and service delivery. Gain an understanding of the importance of an IT infrastructure and IT service for an organization, a process-like approach to business organization, the ITIL management framework, basic terms, and concepts of the work processes used to manage an IT infrastructure. Take the ITIL Foundations Certification Exam upon course completion.
Audience
This course is intended for people working in the field of IT service management.
Prerequisites
None
Objectives
Upon completion of the course, the student will be able to:
• Understand the importance of an IT infrastructure
• Describe the best practices for IT service
• Develop a process-like approach to business organization
• Describe the ITIL management framework
• Understand the basic terms and concepts of the work processes used to manage an IT infrastructure
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Contents
Topics include:
• ITIL best practice: history, purpose, and acceptance
• Introduction to the ITIL booklets of best practices
• ITIL scope, infrastructure, and process terms
• Characteristics of the ITIL sets and process groups
• Strategic, tactical, and operational perspectives
• Service support set: configuration management, service desk incident management, problem management, change management, and release management
• Service delivery set: service level management, availability management, capacity management, IT service continuity management, and financial management for IT services
• Links with the security management process
• Example examination
Curriculum relationship
The Foundation Certificate in IT Service Management is a prerequisite for the Practitioner's and Manager's Certificate in IT Service Management.
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AgendaDay 1
ITIL IntroductionService Desk Incident ManagementProblem ManagementChange ManagementConfiguration ManagementRelease ManagementExercise
Day 2
Recap DiscussionSLMAvailability ManagementCapacity ManagementFinancial ManagementContinuity ManagementSecurity ManagementExamination
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Course IntroductionCourse materials may not be reproduced in whole or in part without the prior written permission of IBM.
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Figure 0-1. ITIL Foundation Course: IT Infrastructure Library Overview SM251.0
Notes:
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ITIL Foundation CourseIT Infrastructure Library Overview
Bu
sin
es
s
Tech
no
log
y
ITIL – Planning to Implement Service Management
The
Business
Perspective
Application Management
ICT
Infrastructure
Management
Service Management
Service Delivery
Service Support
Security
Management
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Figure 0-2. ITIL Foundation Course: Objectives and Contents of the Course SM251.0
Notes:
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ITIL Foundation CourseObjectives and Contents of the Course
Objectives
– Understand the ITIL Framework (what, who, where, why, and how)
– Understand the benefits of adopting ITIL
– Use the same language for Service Management
– Pass for the Foundation Certification Exam
Contents
– Overview of the 2 ITIL core modules:
• 5 Processes of Service Support und 1 Function
• 5 Processes of Service Delivery
• Security Management for IT Services
– Activities of each ITIL process
– Benefits/difficulties/costs of implementing ITIL process
– Links with other ITIL processes
– ITIL process roles and responsibilities
– Order of implementation within ITIL process
– Success factors within an ITIL implementation
– No details of procedures within process, which are organization-dependent!
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Figure 0-3. ITIL Foundation Course: ITIL Defines a Three-Tiered Structure of Certification Training SM251.0
Notes:
ITIL defines three levels of certification. The Foundations Certificate is the first level and covers Service Management essentials. Foundations classes typically last 2 days, and culminate with a 1-hour multiple choice exam.
Next, 9 Practitioner Certificates are available. These each concentrate on a specific process area within Service Management, such as Change Management. Each of the Practitioner classes lasts 5 days and ends with a 1-hour multiple choice exam.
ITIL's highest level of certification is the Service Manager, or Masters certificate. Service Manager classes involve two weeks of intense study, and Service Managers must pass two 3-hour essay-based exams: one for Service Support, and one for Service Delivery. Furthermore, the exam board must assess and validate that each person sitting for the Service Manager exam has met all of the defined prerequisites.
So, when someone holds ITIL certification, you know what you're getting because the levels of certification and testing are independently defined and verified.
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ITIL Foundation CourseITIL Defines a Three-Tiered Structure of Certification Training
Essential (2 days)
Availability Mgmt (5 days)Incident Mgmt (5 days)Problem Mgmt (5 days)
Configuration Mgmt (5 days)Service Level Mgmt (5 days)
Change Mgmt (5 days)
Service Support (5 days)
Service Delivery (5 days)
1 hour Multiple Choice
1 hour Multiple Choice
3 hours Essay Examination
3 hours Essay Examination
Prerequisites
assessed by
Examination
Board
Foundations
Practitioners (9 certificates)
Service Manager
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Figure 0-4. ITIL Foundation Course: Process Chart Reference SM251.0
Notes:
The chart which aims to show the flow of ITIL processes, and the most referenced by itSMF (IT Service Management Forum), is the IPW Process Model, a trade mark of Quint Wellington and KPN. The IPW Model is neither a complete nor a perfect plot of ITIL processes. It will, however, be used during the training, just to show some interfaces between processes, and the position of a process within the operational or tactical activities of the business.
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ITIL Foundation CourseProcess Chart Reference
Source: IPW Model is a trade mark of Quint Wellington Redwood and KPN Telecoms
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Unit 1. What ITIL IsWhat This Unit Is About
This unit is an introduction to ITIL. We will start with a short history, then discover ITIL, and explain why it is increasingly popular to help managing IT.
What You Should Be Able to Do
After completing this unit, you should be able to think about how a formalized framework can help a company manage its asset.
References
BS 15000-1:2002 IT Service Management (Part 1: Specification for Service Management)
BS 15000-2:2003 IT Service Management (Part 2: Code of Practice for IT Service Management)
PD 0005:2003 IT Service Management – A Manager’s Guide
PD 0015:2002 Service Management – Self-Assessment Workbook
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Figure 1-1. Unit 01: What ITIL is SM251.0
Notes:
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Unit 01What ITIL is
Contents of this module:
What ITIL is
ITIL history
Contents of ITIL books
Popularity and benefits of ITIL
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Figure 1-2. What ITIL is: ITIL: de facto standard for service management built on industry “best practice” SM251.0
Notes:
• Service support is currently the most popular topic worldwide in terms of customer popularity; the ITIL book on Service Support is most often referenced.
• ITIL is a library of books on what you need to do to manage IT as business; but it does not explain in detail how to do it.
• The ITIL framework places a strong emphasis on process; and is of most interest to customers who see process as important.
• Application management is NOT application development. Instead, it looks at the entire lifecycle of managing applications from a service point of view. For example, for SAP, when you are gathering requirements, you need to think about all of the service management elements to make the lifecycle effective. How will the application be configured? Will it be available at the required service levels? How will new releases be deployed? How will it be supported? And so on.
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What ITIL isITIL: de facto standard for service management built on industry “best practice”
What is ITIL?
ITIL stands for Information Technology Infrastructure Library
A set of books that describe best practices for IT infrastructure management
An internationally-recognized set of best practices in the public domain
• Provides guidance, but not a step-by-step methodology
A holistic approach to IT infrastructure management
ITIL by its widespread use became a de facto standard
The aims in developing the IT Infrastructure Library are
To facilitate the quality management of IT services, and in doing so increase the efficiency
with which the corporate objectives and business requirements are met
To improve efficiency, increase effectiveness, and reduce risks
To provide codes of practice in support of total quality
Benefits of implementing ITIL
Enhanced customer satisfaction, as it is clear what service providers know and deliver
Formalize the use of procedures so that they are more reliable to follow
Improved quality of service – more reliable business support
Better motivated staff through better management of expectations and responsibilities
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 1. What ITIL Is 1-3
Student Notebook
• All books are released except for The Business Perspective which will cover the business value chain (customer/IT/business), business alignment (how an organization is set up, how it is governed, and managing the relationship between IT and business); it is mostly an overview of ITIL's value to the business, and emphasizes that IT should have a business perspective.
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
1-4 ITIL Foundation © Copyright IBM Corp. 2004
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Figure 1-3. What ITIL is: Main characteristics of ITIL are: IT services are business-oriented, and provision of quality customer serviceSM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Partners
What ITIL isMain characteristics of ITIL are: IT services are business-oriented, and provision of quality customer service
Other Characteristics of ITIL
– Service and customer focused
– Helicopter view of processes and activities
– Provides a common language. This makes education very important to provide this common language to all people in the process.
– Independent of organizational structures, architectures or technologies
IT management is all about the efficient and effective use of the four Ps: people, processes, products (tools and technology), and partners (suppliers, vendors, and outsourcing organizations).
ProductsProcesses
People
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 1. What ITIL Is 1-5
Student Notebook
Figure 1-4. What ITIL is: Originally created by the UK's Central Computer and Telecommunications Agency (CCTA) SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
What ITIL is
Originally created by the UK’s Central Computer and Telecommunications Agency (CCTA)
Origin and History of ITIL
Originated from UK government in late 1980s (CCTA Central Computer and Telecommunications
Agency
First publications appeared in 1989
Further developed by incorporating public and private sector best practice (IBM, HP, Microsoft, and
so on)
Consolidated in 1999 into ITIL Version 2. Two books to improve consistency and focus on service
management were published – Service Support and Service Delivery
These two core books were supplemented by new books that cover implementation planning,
security management, infrastructure management, application management, and the business
perspective
2001: the CCTA is incorporated within the Office of Government Commerce (OGC). ITIL is a
registered mark of OGC.
ITIL has subsequently been used as the basis for the development of a British Standard for Service
Management.
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
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Figure 1-5. What ITIL is: The BSI roadmap to make ITIL a standard for service management SM251.0
Notes:
ITIL consists of modules containing advice and guidance on best practice relating to the provision of IT services. ITIL has subsequently been used as the basis for the development of a British Standard for Service Management. The standard and ITIL are aligned, and the standard has itself been recently revised and is now defined in the following set of documents:
• BS 15000-1:2002, IT Service Management (Part 1: Specification for Service Management)
• BS 15000-2:2003, IT Service Management (Part 2: Code of Practice for IT Service Management)
• PD 0005:2003, IT Service Management – A Manager's Guide
• PD 0015:2002, IT Service Management – Self Assessment Workbook
These documents provide a standard against which organizations can be assessed and certified with regard to the quality of their IT Service Management processes.
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
What to
achieve
Deployed
solution
Management
overview
Process
definitions
Guidance
Standard
BS15000
In-house processes &
procedures
PD0005
ITIL
Specification
Code of Practice
OGC
questionnaire
PD0015
What ITIL is
The BSI roadmap to make ITIL a standard for service management
British Standards Institution (BSI)
1998 - Code of Practice [PD0005]
2000 - Self-assessment Workbook [PD0015]
- Specification [BS15000:2000]
2001 - Early adopters Feedback
2002 - Rewrite as Part 1 & 2
- Rewrite PD0015/PD0005
2003 - Formal certification scheme
2006 - ISO Standard
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 1. What ITIL Is 1-7
Student Notebook
A BS 15000 Certification scheme was introduced in July 2003. The scheme was designed by the itSMF and is operated under their control. A number of auditing organizations are accredited within the scheme to assess and certify organizations as compliant to the BS 15000 standard and its content. The BS 15000 standard is now progressing towards an international (ISO) standard on Service Management.
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
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Figure 1-6. What ITIL is: ITIL is a library of books that aim to describe best practices for IT infrastructure management SM251.0
Notes:
ITIL is a framework, not a methodology. It describes what needs to be done, but the advice it offers may be implemented in a variety of ways. ITIL provides guidance, not a step-by-step “how-to” for managing IT services, but it does include a rich body of documentation.
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What ITIL is
ITIL is a library of books that aim to describe best practices for IT infrastructure management
Content of ITIL“Currently ITIL consists in a set of
books, which document and place
existing methods and activities in a
structured context."
ITIL as a Guidance
"ITIL does not cast in stone every action you should do on a day to day basis because that is something that will differ from organization to organization. Instead it focuses on best practice that can be utilized in different ways according to need."
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
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Student Notebook
Figure 1-7. What ITIL is: The ITIL books describe best practices in IT management, with a special focus on service managementSM251.0
Notes:
The most widely used processes within the ITIL framework are those in Service Management.
IT Service Management is concerned with delivering and supporting IT services that are appropriate to the business requirements of the organization. ITIL provides a comprehensive, consistent, and coherent set of best practices for IT Service Management processes, promoting a quality approach to achieving business effectiveness and efficiency in the use of information systems. ITIL processes are intended to be implemented so that they underpin, but do not dictate, the business processes of an organization.
Being a framework, ITIL describes the contours of organizing Service Management. The models show the goals, general activities, inputs, and outputs of the various processes, which can be incorporated within IT organizations. ITIL does not cast in stone every action you should do on a day-to-day basis, because that is something which will differ from
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ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
What ITIL is
The ITIL books describe best practices in IT management, with a special focus on service management
Bu
sin
es
s
Tech
no
log
y
ITIL – Planning to Implement Service Management
The
Business
Perspective
Application Management
ICT
Infrastructure
Management
Service Management
Service Delivery
Service Support
Security
Management
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
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organization to organization. Instead, it focuses on best practice that can be utilized in different ways according to need.Thanks to this framework of proven best practices, the IT Infrastructure Library can be used within organizations with existing methods and activities in Service Management. Using ITIL does not imply a completely new way of thinking and acting. It provides a framework in which to place existing methods and activities in a structured context. By emphasizing the relationships between the processes, any lack of communication or cooperation between various IT functions can be eliminated or minimized.
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 1. What ITIL Is 1-11
Student Notebook
Figure 1-8. Most people think of ITIL as service support, but the increasing popularity of ITIL should be leveraged against a broader spectrum of services SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Most people think of ITIL as service support, but the increasing popularity of ITIL should be leveraged against a broader spectrum of services
Th
e b
usin
ess
Th
e te
ch
no
log
y
Planning to implement service management
Application management
The
business
perspective
ICT
Infrastructure
management
Service management
Service delivery
Service support
Security
management
Th
e b
usin
ess
Th
e te
ch
no
log
y
Planning to implement service management
Application management
The
business
perspective
ICT
Infrastructure
management
Service management
Service delivery
Service support
Security
management
• Not Published
(4/2004)
• Draft being
reviewed
(IBMers on
review team)
• Manage the Business Value
• Align Service Delivery with Business Strategy
• Drivers and Organizational Capability
• Application Lifecycle Management
• Organization Roles and Functions
• Control Methods and Techniques
• Design and Plan
• Deployment
• Operations
• Technical Support
• IT Infrastructure Security
Management
• Security setup from the IT
manager's point of view
• Service Level Management
• Availability Management
• Capacity Management
• Financial Management for IT Services
• IT Services Continuity Management
• Service Desk
• Configuration Management
• Incident Management
• Problem Management
• Change Management
• Release Management
• What is the vision?
• Where are we now?
• Where do we want to be?
• How do we check our milestones?
• How do we keep momentum?
Software Asset ManagementSoftware Asset Management
• Organization & Roles• Process Overview• Tools & Technology• Partners and SAM
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
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Figure 1-9. What ITIL is: Service management focuses on the tactical and operational processes of service support and service delivery and their relationships, including security management (separate ITIL book) SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
What ITIL is
Service management focuses on the tactical and operational processes of service support and service delivery and their relationships,including security management (separate ITIL book)
Capacity
Management
Availability
Management
Service Level
Management
Release
Management
Change
Management
Problem
Management
Incident
Management
Configuration
Management
Financial
Management
IT Service
Continuity
Service Support - Providestability and flexibility for IT
service provision
Service Delivery -
Provide quality, cost-
effective IT Services
Security
Management
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 1. What ITIL Is 1-13
Student Notebook
Figure 1-10. What ITIL is: ITIL processes in service support represent many of the reactive processes within IT operations (operational)SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
What ITIL is
ITIL processes in service support represent many of the reactiveprocesses within IT operations (operational)
Service DeskCentral point of contact between users and the IT service organization.
Incident ManagementRestore normal service operations as quickly as possible.
Problem ManagementPrevent and minimize the adverse effect on the business of errors in the IT Infrastructure.
Configuration ManagementProvide a logical model of the IT infrastructure by identifying, controlling, maintaining, and verifying the versions of all configuration items.
Change ManagementEnsure standardized methods and procedures are used for efficient, prompt, and authorized handling of all changes in the IT infrastructure.
Release ManagementEnsure that all technical and non-technical aspects of a release are dealt with in a coordinated approach.
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
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Figure 1-11. What ITIL is: Service Delivery focuses on what service the business requires in order to provide adequate support to the business users (tactical) SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
What ITIL is
Service Delivery focuses on what service the business requires in order to provide adequate support to the business users (tactical)
Service Level ManagementMaintain and improve IT service quality through a constant cycle of agreeing, monitoring, reporting, and reviewing IT service achievements.
Financial Management for IT ServicesProvide cost-effective stewardship of IT assets and resources used in providing IT services.
Capacity ManagementEnsure that capacity and performance aspects of the business requirements are provided in a timely and cost-effective manner.
Availability ManagementOptimize the capability of the IT infrastructure and supporting organization to deliver a cost-effective and sustained level of availability to satisfy business objectives.
IT Service Continuity ManagementEnsure that the required IT technical and service facilities can be recovered within the time scales required by Business Continuity Management.
Security ManagementManage a defined level of security on information and IT services.
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 1. What ITIL Is 1-15
Student Notebook
Figure 1-12. What ITIL is: Service support process (operational processes) relationships and their interaction with the CMDB SM251.0
Notes:
Explain the links between processes. Configuration Management is shown as the basic process.
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Configuration management database
What ITIL isService support process (operational processes) relationships and their interaction with the CMDB
Management
tools
IncidentsIncidents Service
deskChanges
Release
Incidents
Queries
Enquiries
Communications
Updates
Workarounds
Service reports
Incident statistics
Audit reports
Problem statistics
Trend analysis
Problem reports
Problem review
Diagnostic aids
Audit reports
Change schedule
CAB minutes
Change statistics
Change reviews
Audit reports Release schedule
Release statistics
Release reviews
Secure library
Testing standards
Audit reports
Customer
Survey
reports
CMDB reports
CMDB statistics
Policy standards
Audit reports
The business, customers, and users
IncidentsProblems
Known errorsChanges Releases
CIs
Relationships
Problem
management
Release
management
Configuration
management
Change
management
Incident
management
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
1-16 ITIL Foundation © Copyright IBM Corp. 2004
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Figure 1-13. What ITIL is: Service delivery process (tactical processes) relationships SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
What ITIL isService delivery process (tactical processes) relationships
System
Management
tools
Queries
Enquiries
Communications
Updates
Reports
SLAs, SLRs, OLAs, UCs
Service reports
Service catalog
SIP
Exception reports
Audit reports
The business, customers, and users
Service level
management
Requirements
Targets
Achievements
Availability
management
Capacity
management
Financial
management for
IT services
IT service
continuity
management
IT continuity plans
BIA and risk analysis
Requirement definition
Control centers
DB contracts
Reports
Audit reports
Financial plan
Types and models
Costs and charges
Reports
Budgets and forecasts
Audit reports
Capacity plan
CDB
Targets/thresholds
Capacity reports
Schedules
Audit reports
Availability plan
AMDB
Design criteria
Targets/thresholds
Reports
Audit reports
Alerts and
Exceptions
Changes
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 1. What ITIL Is 1-17
Student Notebook
Figure 1-14. What ITIL is: Other ITIL books SM251.0
Notes:
These books are not in focus for the foundation.
15
IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
What ITIL is
Other ITIL books
Planning to Implement Service Management - explains the steps necessary to identify
how an organization might expect to benefit from ITIL, and how to set about reaping those
benefits.
ICT Infrastructure Management - covering Network Service Management, Operations
Management, Management of Local Processors, Computer Installation, and Acceptance,
and for the first time, Systems Management.
Applications Management - embracing the Software Development Lifecycle, expanding
the issues touched on in Software Lifecycle Support and Testing of IT Services.
Applications Management also provides more detail on Business Change, with emphasis
being placed on clear requirement definition and implementation of solutions.
The Business Perspective - concerning the understanding and provision of IT service
provision. Issues covered include Business Continuity Management, Partnerships and
Outsourcing, Surviving Change, and Transformation of business practices through radical
change.
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
1-18 ITIL Foundation © Copyright IBM Corp. 2004
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Figure 1-15. What ITIL is: Customers across the globe are asking more and more about ITIL SM251.0
Notes:
ITIL is focused on improving service quality to the customer. Customers who adopt the ITIL framework can expect to see improved alignment of IT with the business, a long-term reduction in the cost of IT services, and better service quality and responsiveness. Customers should see a reduction in system outages as proactive planning and quality measures are implemented, and they should be able to implement IT infrastructure more quickly to support new business requirements. Customer satisfaction should increase because service providers will know and deliver what is expected of them, based on what the business requires. And support services should become more competitive.
Service providers will also benefit from the adoption of ITIL. Service providers should see improvements in service delivery because they will have a single definable, repeatable, scalable, and consistent set of IT processes. Roles and responsibilities will be properly aligned and understood. Communications between IT departments should improve because the linkages between processes will be documented and understood. Service providers should see better resource utilization — and resources will be allocated based on business demands — and staff will be more professional and motivated because skill requirements and capabilities, along with job expectations, are better understood.
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
What ITIL is
Customers across the globe are asking more and more about ITIL
Benefits of ITIL
More professional staff
Enhanced customer satisfaction as service providers know and
deliver what is expected of them
Better service quality and responsiveness
Properly aligned roles and responsibilities
ITIL incorporates a QM strategy
Long-term cost reduction for IT services
Improved alignment of IT with the business and improved service
delivery
ITIL brings a cross-organizational focus on business results and
customer satisfaction
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 1. What ITIL Is 1-19
Student Notebook
Figure 1-16. What ITIL is: ITIL implementation: Adopt and Adapt SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
What ITIL isITIL implementation: Adopt and Adapt
ITIL describes what needs to be done but not how it should be done.
ITIL does not define:
Every role, job, or organization design
Every tool, every tool requirement, every required customization
Every process, procedure, and task required to be implemented
ITIL does not claim to be a comprehensive description of everything within IT, but IT management “best practices” observed and accepted in the industry.
Adopt ITIL as a common language and reference point for IT Service Management best practices and key concepts.
Adapt ITIL best practices to achieve business objectives specific to each company.
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
1-20 ITIL Foundation © Copyright IBM Corp. 2004
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Unit 2. Process Implementation StrategyWhat This Unit Is About
This unit is an introduction to IT service management as a coordinated set of processes. We will start with defining the need for processes, then look at what processes are, how they evolve, and how ITIL and Service Management bring value to companies to develop their business.
What You Should Be Able to Do
After completing this unit, you should be able to think about how processes can help a company manage its assets better, with the ultimate objective of creating visible value for users and business customers.
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 2. Process Implementation Strategy 2-1
Student Notebook
Figure 2-1. Unit 02: Process Implementation Strategy SM251.0
Notes:
2
IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Unit 02Process Implementation Strategy
Content:
Understand processes and their benefits
Introduce new processes or improve existing processes
IT service management project
Success factors, problem areas, costs
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
2-2 ITIL Foundation © Copyright IBM Corp. 2004
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Figure 2-2. Process Implementation: What is a process? SM251.0
Notes:
Process control can similarly be defined as:
the process of planning and regulating, with the objective of performing the process in an effective and efficient way.
Processes, once defined, should be under control; once under control, they can be repeated and become manageable. Degrees of control over processes can be defined, and then metrics can be built in to manage the control process.
The output produced by a process has to conform to operational norms that are derived from business objectives. If products conform to the set norm, the process can be considered effective (because it can be repeated, measured, and managed). If the activities are carried out with minimum effort, the process can also be considered efficient. Process result metrics should be incorporated in regular management reports.
3
IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Process Implementation
What is a process?
ITIL focus on Processes
A process is a sequence of interrelated activities that collectively take an input, add
value to it, and produce an output which achieves a specific objective
CONTROL
ProcessInput Output
ENABLEPeopleToolsKnowledgeResources
PolicyBudgets
...
RequestsIncidentsAlertsRequirements...
Changed environmenta reporta resolved incident..
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 2. Process Implementation Strategy 2-3
Student Notebook
Figure 2-3. Process Implementation: A process flows across the organizational hierarchies within a company and sometimes flows across company boundaries SM251.0
Notes:
4
IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Process Implementation
A process flows across the organizational hierarchies within a company and sometimes flows across company boundaries
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
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Figure 2-4. Process Implementation: Why do we need processes? SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Process Implementation
Why do we need processes?
Process serves as a foundation for the definition of the remaining elements of the management system-organization and technology
Processes capture and document:-Ownership, responsibilities, measurements-Consistent, structured working practices-Policy decisions, scope, and objectives-Clear interfaces and two-way communication paths with other processes, people, and tools
Processes ensure a stable, controlled, repeatable service that can be objectively measured against contract deliverables and service levels
Processes enable:-Efficient and effective service to meet both client and provider needs-Cost and quality improvement
“Service-focused processes enable IT technology and organization to be
managed in ways which facilitate alignment with clients' business objectives.”
“Service-focused processes enable IT technology and organization to be
managed in ways which facilitate alignment with clients' business objectives.”
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 2. Process Implementation Strategy 2-5
Student Notebook
Figure 2-5. Process Implementation: What are the benefits? (1) SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Process Implementation
What are the benefits? (1)
Gartner has reported that:-Around 70% of systems management technology implementations fail due to neglect of process and organization considerations
-Approximately 80% of unplanned downtime is caused by process andpeople issues, with the remainder caused by technology failures and disasters
-Up to 70% of ROI derives from process improvements rather than tools
The implementation and continual improvement of effective processes utilizing
best practices enable delivery of a service in which these errors are reduced
”Processes are critical to maintain effective business operations.””Processes are critical to maintain effective business operations.”
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
2-6 ITIL Foundation © Copyright IBM Corp. 2004
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Figure 2-6. Process Implementation: What are the benefits? (2) SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Process Implementation
What are the benefits? (2)
CustomerCommitments Profitability
EFFICIENCIES
A cross-organizational focus on commitment versus profitability
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 2. Process Implementation Strategy 2-7
Student Notebook
Figure 2-7. Process Implementation: What are the benefits? (3) SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Process Implementation
What are the benefits? (3)
A cross-organizational focus on business results and customer satisfaction
• Measurable
• Auditable
• Service Level
Compliant
Delivery Costs Customer Satisfaction
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
2-8 ITIL Foundation © Copyright IBM Corp. 2004
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Figure 2-8. Process Implementation: Mission-critical changes or reorganizations within an IT corporation require new processes or needs to improve existing processes SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Process ImplementationMission-critical changes or reorganizations within an IT corporation require new processes or needs to improve existing processes
Which problems do IT organizations face today?
Service costs not allocatable
Difficulties to justify investments
Service improvements not measurable
A few people with too many responsibilities
Reluctance to change organizational culture
Lack of relationship management
Which challenges do IT organizations face today?
Should quality of IT services be improved?
Is a merger with another organization planned?
Are any mission-critical business changes planned?
– Server consolidation
– Additional clients to manage
Is any OS migration planned?
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 2. Process Implementation Strategy 2-9
Student Notebook
Figure 2-9. Process Implementation: Continuous processes improvement is also a trigger SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Process Implementation
Continuous processes improvement is also a trigger
Does the IT organization have the capability to provide the required service with
the required quality?
Are IT processes aligned with business processes?
How are main processes integrated with each other?
Are processes clearly defined, documented, and available for all concerned?
Are process inputs measurable and repeatable?
How efficiently is the existing IT organization providing services?
Method and tools used for process modeling and audit?
How are IT processes tool supported?
How difficult will it be to introduce or to change a process?
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
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Figure 2-10. Process Implementation: Why implement service management? SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Process Implementation
Why implement service management?
The specific goals of IT are to develop and maintain IT services that:
Develop and maintain good and responsive relationships with the business
Meet the existing IT requirements of the business
Are easily developed and enhanced to meet future business needs, within appropriate timescales and costs
Make effective and efficient use of all IT resources
Contribute to the improvement of the overall quality of IT service within the imposed cost constraints
One of the main objectives of ITIL is to assist IT service provider
organizations “to improve IT efficiency and effectiveness while
improving the overall quality of service to the business within
imposed cost constraints”.
One of the main objectives of ITIL is to assist IT service provider
organizations “to improve IT efficiency and effectiveness while
improving the overall quality of service to the business within
imposed cost constraints”.
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 2. Process Implementation Strategy 2-11
Student Notebook
Figure 2-11. Process Implementation: Service and Process SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Process ImplementationService and Process
Process 3Process 3
Understand
Customer
Requirements
Process 4Process 4
Realize
Solution
Process 5Process 5
Deploy
Solution
Offer
selection,
taking order
Preparing
order
Delivering
order,
monitoring
customer
Process 1Process 1
Manage
Facilities
Preparing
tables
Process 2Process 2
Handle
Customer
Interaction
Greeting and
seating
ServiceService
A delightful
dining
experience
Determine
the required
quality of
service
Implement
required
processes,
tools, and
organization
Providing
applications
and reporting
Building the
infrastructure
Contacting
potential
customerAvailability of
applications
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
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Figure 2-12. Process Implementation: Service, Process, Procedure, and work instructions SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Process ImplementationService, Process, Procedure, and work instructions
A Service can be defined as:
A specific output that provides customer value. It is a measurable product which
is the basis for doing business with customer, and is delivered through a series
of processes, or activities, or both.
A Process can be defined as:
a connected series of actions, activities, changes, and so on, performed by
agents with the intent of satisfying a purpose or achieving a goal.
A Procedure is a description of logically related activities, and who carries them
out. A procedure may include stages from different processes. A procedure
defines who does what, and varies depending on the organization.
A set of work instructions defines how one or more activities in a procedure
should be carried out.
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 2. Process Implementation Strategy 2-13
Student Notebook
Figure 2-13. Process Implementation: Project Management SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Process Implementation
Project Management
When implementing new processes in an organisation, there are benefits to
running the activity as a project.
One of the benefits of adopting a project approach to this activity is that it is
possible to undertake the necessary investigations and have designated
decision points where a decision can be made to continue with the project,
change direction, or stop.
A project can be defined as:
”A temporary organization that is needed to achieve a predefined
result at a predefined time using predefined resources.“
A project can be defined as:
”A temporary organization that is needed to achieve a predefined
result at a predefined time using predefined resources.“
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Figure 2-14. Process Implementation: Factors who will influence the success of an ITSM project SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Process Implementation
Factors who will influence the success of an ITSM project
1. Process
2. Infrastructure
3. Staff
4. Customers
5. Strategy
6. Culture &
Organization
1. Process
2. Infrastructure
3. Staff
4. Customers
5. Strategy
6. Culture &
Organization
6
2
4
3
1
5
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 2. Process Implementation Strategy 2-15
Student Notebook
Figure 2-15. Process Implementation: People SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Process Implementation People
implement the staff training plan and make this an ongoing activity, focusing on both social and technical skills
assign roles within the ITIL model to people, and make this part of their function description
delegate tasks and authorizations as low as possible in the organisation.
Authority matrix: The ARCI model
A – accountabilitycontrol the results of a process
R – responsibilityis responsible for the process and process activities
C – consultedprovide expertise, know-how to enable process
I – informedis informed about the process and the process quality
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
2-16 ITIL Foundation © Copyright IBM Corp. 2004
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Figure 2-16. Process Implementation: Each task within a process is executed by a role SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Process Implementation
Each task within a process is executed by a role
Typical roles within IT Service Management (ITSM)
Process owner
Process manager
Process team member (internal and external)
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 2. Process Implementation Strategy 2-17
Student Notebook
Figure 2-17. Process Implementation: ITSM Project (1) SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Process Implementation
ITSM Project (1)
Before starting a project, an organization should have a vision about
what the results are intended to be.
By defining the means necessary to achieve the project result, it is
possible to isolate these assets (people, budget, and so on) from the
day-to-day activities. This increases the success rate of the project.
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2-18 ITIL Foundation © Copyright IBM Corp. 2004
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Figure 2-18. Process Implementation: ITSM Project (2) SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Process Implementation
ITSM Project (2)
The following process model should be used by the organization as the
framework for the process improvement/introduction project.
Where do we
want to be?
How do we get
where we want
to be?
Where are we
now?
How do we
know we have
arrived?
Visions and
business
objectives
Assessments
Process change
Metrics
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 2. Process Implementation Strategy 2-19
Student Notebook
Figure 2-19. Process Implementation: From the above model, 5 phases of a ITSM project are definable SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Process Implementation
From the above model, 5 phases of a ITSM project are definable
Assessment the current situation
Production of the project plan
Definition of processes
-Process model
-Procedures
-Authority matrix
-Management information
-Quality assurance methods
-Support tools
Specification
-Roles and
responsibilities-Management reports
-Procedures-Tool
Implementation/Improvement
Project Review
Org
an
iza
tion
Co
mm
un
icatio
n S
trate
gy
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
2-20 ITIL Foundation © Copyright IBM Corp. 2004
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Figure 2-20. Process Implementation: Ongoing quality improvement SM251.0
Notes:
For quality improvement, Deming proposed the Deming Cycle (or Circle). The four key stages are plan, do, check, and act, after which a phase of consolidation prevents the “circle” from “rolling down the hill” as illustrated in the figure. The consolidation phase enables the organization to take stock of what has been taking place and to ensure that improvements are embedded. Often, a series of improvements have been made to processes that require documentation (both to allow processes to be repeatable and to facilitate recognition of the achievement of some form of quality standard).
21
IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Process Implementation
Ongoing quality improvement
Quality
improvement
Time Scale
Ma
turi
tyL
ev
el
PlanDo
Check Act
Consolidation of the level reached
(e.g ISO 9001, BSI)
Quality AssuranceP = Plan
D = Do
C = Check
A = Act
Continuous
step by step
The Deming Cycle
Clockwise direction
INITIAL 1
REPEATABLE 2
DEFINED 3
MANAGED 4
OPTIMIZED 5
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© Copyright IBM Corp. 2004 Unit 2. Process Implementation Strategy 2-21
Student Notebook
Figure 2-21. Process Implementation: Communication Plan SM251.0
Notes:
Managing change can only succeed with the correct use of communication. A Service Management project will involve a lot of people but, typically, the outcome will affect the working lives of many more. Implementing or improving Service Management within an organization requires a change of mindset by IT management and IT employees as well as IT customers and users. Communication around this transformation is essential to its success.
In order to ensure that all parties are aware of what is going on and can play a relevant part in the project, it is advisable to clarify how the project will communicate with all interested parties. A well-planned and executed communication plan will have a direct positive contribution to the success of the project.
A good communication plan should be built on a proper concept of what communication is. Communication is more than a one-way information stream. It requires continuous attention to the signals (positive and negative) of the various parties involved. Managing communications effectively involves the following nine steps:
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ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Process Implementation
Communication Plan
Managing change can only succeed with the correct use of communication.
In order to ensure that all parties are aware of what is going on and can play a relevant part
in the project, it is advisable to clarify how the project will communicate with all interested
parties.
Managing communications effectively involves the following nine steps:
Describe the communications process in the change process from the start
Analyze the communication structure and culture
Identify the important target groups
Assess the communication goals for each target group
Formulate a communication strategy for each target group
Choose the right communication media for each target group
Write a communication plan
Communicate
Measure and redirect if necessary.
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• Describing the communications process in the change process from the start• Analyzing the communication structure and culture
• Identifying the important target groups
• Assessing the communication goals for each target group
• Formulating a communication strategy for each target group
• Choosing the right communication media for each target group
• Writing a communication plan
• Communicating
• Measuring and redirecting if necessary.
A communication plan describes how target groups, contents, and media are connected in a timeframe. Much like a project plan, a communication plan shows how actions, people, means, and budgets are to be allocated for the communication process.
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 2. Process Implementation Strategy 2-23
Student Notebook
Figure 2-22. Process Implementation: Global Consideration SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Process Implementation
Global Consideration
Process
Product
People
High-level
process modelDetailed
process description
Process
implementation
Define tool
requirementsTool selection
Installation &
configuration
Awareness ITIL trainingProcess
workshops
Ass
ess
Pro
ject
pla
n
Sig
n Off
Sig
n Off
Rev
iew
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
2-24 ITIL Foundation © Copyright IBM Corp. 2004
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Figure 2-23. Process Implementation: Process Description SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Process Implementation
Process Description
To document processes, the following should be described:
A description of related activities with a defined goal
Which input for the process
Interfaces to other processes
Definition of process parameters (who, where, what, when)
The benefits of process description:
Process integrity
Consistent view
Comparable procedures
Easy check and review
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© Copyright IBM Corp. 2004 Unit 2. Process Implementation Strategy 2-25
Student Notebook
Figure 2-24. Process Implementation: High-Level Design of a Process SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Process Implementation
High-Level Design of a Process
Evaluation(Control points, parameters, attributes)
Activities Inputs Outputs
Process goals and
implementation strategies
Organization strategy
Organization targets
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2-26 ITIL Foundation © Copyright IBM Corp. 2004
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Figure 2-25. Process Implementation: A Process Implementation considers both an initial process design and an improvement of the existing environment SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Process Implementation A Process Implementation considers both an initial process design and an improvement of the existing environment
Inputs / Premises
– High-level process flow
– Procedures
– Roles and responsibilities
– Tool (installed and configured)
– Personal (skills and know-how)
– Management commitment
– Enabler team in relation to the ”authority matrix“
– Awareness und acceptance by customer/user
Develop a training plan
– Define target groups
– Define training content after
workshops
Develop a timetable
– Setup of workshops and training events
– Presentations
– Handouts and documents
– Marketing material
Plan of workshops and deployment
Specify time and goals of coaching
phase
Plan of the Initial Process Review and
Adjustment phase
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© Copyright IBM Corp. 2004 Unit 2. Process Implementation Strategy 2-27
Student Notebook
Figure 2-26. Process Implementation: A review is important for quality assurance SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Process Implementation A review is important for quality assurance
Post-Project Review
Achievement of the project's objectives
Performance against plan (estimated time and costs versus actuals)
Effect on the original plan and business case over the time of the project
Statistics on issues raised and changes made
Total impact of changes approved
Statistics on the quality of the work carried out (in relation to stated
expectations)
Lessons learned
Auditing for compliance using defined quality parameters and metrics
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Figure 2-27. Process Implementation: A review is important for quality assurance SM251.0
Notes:
As the project draws to a close, it is important to analyze how the project was managed and to identify lessons that were learned along the way. This information can then be used to benefit the project team as well as the organization as a whole. An End Project Report typically covers:
• Achievement of the project's objectives
• Performance against plan (estimated time and costs versus actuals)
• Effect on the original plan and business case over the time of the project
• Statistics on issues raised and changes made
• Total impact of changes approved
• Statistics on the quality of the work carried out (in relation to stated expectations)
• Lessons learned
• A post-project review plan
28
IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Improve
Define
Control
Evaluate
ITIL Best Practices
Service Management
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© Copyright IBM Corp. 2004 Unit 2. Process Implementation Strategy 2-29
Student Notebook
Post-project review
The business case will have been built from the premise that the outcome of the project will deliver benefits to the business over a period of time. Thus, delivery of benefits needs to be assessed at a point after the project products have been put into use. The post-project review is used to assess whether the expected benefits have been realized, as well as to investigate whether problems have arisen from use of the products.
Each of the benefits mentioned in the business case should be assessed to see how well, if at all, it has been achieved. Other issues to consider are whether there were additional benefits, or unexpected problems. Both of these can be used to improve future business cases.
If necessary, follow-up actions may be identified to improve the situation that then exists.
Auditing for compliance using quality parameters
Process quality parameters can be seen as the “operational thermometer” of the IT organization. Using them, you can determine whether the IT organization is effective and efficient. Quality parameters need to be quantified for your own circumstances. However, this task will be easier once you have determined the required service levels and internal service requirements. There are two types of quality parameters: process-specific and generic.
Generic quality parameters for IT Service Management:
Generic quality parameters that need to be considered include:
• Customer satisfaction
• Staff satisfaction
• Efficiency
• Effectiveness
Appropriate information should be collected to rate the organization’s performance relative to these parameters. The nature of the information required will vary depending on how you decide to judge each aspect, but what information is required should be clearly thought through from the start of the project so that measurement is possible during the post-project review.
Process-specific parameters
Process-specific metrics for each process are discussed in each of the process-specific chapters of this book.
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
2-30 ITIL Foundation © Copyright IBM Corp. 2004
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Figure 2-28. Process Implementation: Critical success factors SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Process Implementation Critical success factors
Successful Service Management processes should:
Be of sound design, adapted to the culture of the organization in question,
but rigorous in their expectation of discipline in the manner of their following
Provide a good understanding of the customer requirements, concerns, and
business activities, and deliver business-driven rather than technology-
driven services
Enhance customer satisfaction
Improve value for money, resource utilization, and service quality
Deliver an infrastructure for the controlled operation of ongoing services by
formalized and disciplined processes
Equip staff with goals and an understanding of customers' needs
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© Copyright IBM Corp. 2004 Unit 2. Process Implementation Strategy 2-31
Student Notebook
Figure 2-29. Process Implementation: Possible problems SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Process Implementation Possible problems
Problems with Service Management processes that may be encountered include:
Excessively bureaucratic processes, with a high percentage of the total
support headcount dedicated to administering Service Management
Inconsistent staff performance for the same process (often accompanied by
noticeable lack of commitment to the process from the responsible staff)
Lack of understanding on what each process should deliver
No real benefits, service-cost reductions, or quality improvements arising
from the implementation of Service Management processes
Unrealistic expectations, so that service targets are rarely hit
No discernible improvement
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Figure 2-30. Process Implementation: Project costs SM251.0
Notes:
When building the business case for a project, it is essential to be clear about what the project costs are, and what the ongoing running costs of the Service Management processes will be. Project costs are one-off costs, while the running costs form a commitment for the organization that may involve long-term contracts with suppliers.
The costs of implementing IT Infrastructure Library processes clearly vary according to the scale of operations. The costs associated with the implementation and running of the processes are roughly categorized as follows:
• Project management costs
• Project delivery costs (consultancy fees, project team for implementation, process owner)
• Equipment and software
• Training costs (including awareness, training in specific tools, and training in business awareness)
• Documentation costs
31
IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Process Implementation Project costs
The costs associated with the implementation and running of the processes are
roughly categorized as follows:
Project management costs
Project delivery costs (consultancy fees, project team for implementation,
process owner)
Equipment and software
Training costs (including awareness, training in specific tools, and training in
business awareness)
Documentation costs
Ongoing staff and accommodation costs (for running the processes,
including subsequent training needs).
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© Copyright IBM Corp. 2004 Unit 2. Process Implementation Strategy 2-33
Student Notebook
• Ongoing staff and accommodation costs (for running the processes, including subsequent training needs)
The costs of failing to provide effective processes can be considerable.
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Unit 3. Service Desk (SPOC)What This Unit Is About
This unit is an introduction to the Service Desk, the single point of contact between the users and the IT Services organization.
What You Should Be Able to Do
After completing this unit, you should be able to think about the responsibilities and obligations of the service desk, and understand the benefits of the ITIL framework.
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 3. Service Desk (SPOC) 3-1
Student Notebook
Figure 3-1. Unit 03: Service Desk (SPOC) SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Unit 03Service Desk (SPOC)
Content:
Service Desk – objective and overview
Responsibilities and obligations
Important aspects
– User interaction
– Service Desk technologies
– Operational standards
– Implementation considerations
Costs, benefits, risks
Best practices
Summary
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
3-2 ITIL Foundation © Copyright IBM Corp. 2004
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Figure 3-2. Service Desk: Integration into the IPW Model SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Service DeskIntegration into the IPW Model
Source: IPW Model is a trade mark of Quint Wellington and KPN Telecoms
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© Copyright IBM Corp. 2004 Unit 3. Service Desk (SPOC) 3-3
Student Notebook
Figure 3-3. Service Desk: The Service Desk is the Single Point of Contact [SPOC] between the users and the IT Services OrganizationSM251.0
Notes:
4
IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Service DeskThe Service Desk is the Single Point of Contact [SPOC] between the users and the IT Services Organization
ITIL defines customers and users
Customers
People (generally senior managers) who commission, pay for, and own
the IT services, sometimes referred to as "the business"
Users
People who use the services on a day-to-day basis
Users
Customers
IT Service Organization
Service Desk
....ChangeProblemIncident
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Figure 3-4. Service Desk: Mission Statement SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Service Desk
Mission Statement
The Service Desk is the focal point for all service
requests from the business users to the IT organization
To record and manage the life cycle of incidents, with an
emphasis in rapid restoration of service with minimal
business impact, a Service Desk or Service Desk
organization is recommended. Help Desk, Service Line, and
First-Level Support are used as synonyms for Service Desk.
For the users, the Service Desk is there to:
provide a central communication interface
recover interrupted service as soon as possible
Service Desk asSingle Point of Contact
Requests
Incidents
Requests
Incidents
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 3. Service Desk (SPOC) 3-5
Student Notebook
Figure 3-5. Service Desk: The Service Desk is traditionally seen as a group of specialists who have the required knowledge to process any kind of request or incident SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Service Desk
The Service Desk is traditionally seen as a group of specialists who have the required knowledge to process any kind of request or incident
The Function Service Desk can reach a high efficiency using the following
measures:
Definition of the “service” mentality in the Service Desk documentation. The
task of the Service Desk does not only consist of “resolving an incident”, but
mainly in the “immediate recovery of the user’s service”.
Definition of clear processes to support the activities of Service Desk
members (Incident Management process).
Definition of close relationships between Service Desk and other important
ITSM processes, such as Problem Management.
The importance of the Service Desk is seen particularly in its special role as
interface between IT and the user; thus the Service Desk represents the IT
organization from the user’s point of view.
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Figure 3-6. Service Desk: The Importance of the Service Desk SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Service Desk
The Importance of the Service Desk
The Service Desk
.... directly performs customer-oriented service.
.... interacts with the users.
.... is a decisive factor of the acceptance of IT.
.... strives to provide a faster and more direct incident recovery.
.... coordinates second- and third-level support.
.... recognizes the current needs of the user.
.... performs organized support, instead of disorganized support performed in a rush.
.... is able to organize support with high availability economically.
.... centrally evaluates incident reports.
.... proves the effectiveness of changes and improvements performed.
.... recognizes problems early.
.... reduces customer requests on a long-term basis.
.... supplies information about IT productivity.
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 3. Service Desk (SPOC) 3-7
Student Notebook
Figure 3-7. Service Desk: Communication SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Service Desk
Communication
Communication is key for quality of service.
The Service Desk informs about:
current status of services
usability
planned changes
Service quality supports customer relations.
Because of the importance of communication with users, IT services demands a position which fulfils this task with.....
.... dedication
.... and especially competency..
The Service Desk is a function of
Service Management and not a
process within Service Management.
This function is held by an internal
organization unit.
SPOC – Single Point of Contact.
All requests, information, wishes,
claims, complaints, requirements, and
so on, are transferred via the Service
Desk to the relevant departments, and
information is passed from there via
the Service Desk to the customer.
Communication is one of the success factors for IT services management.
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
3-8 ITIL Foundation © Copyright IBM Corp. 2004
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Figure 3-8. Service Desk: Service Desk Responsibility SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Service Desk
Service Desk Responsibility
The Service Desk is responsible for:
Servicing the user contact point
Controlling incident recovery
Supporting the running of the business
Providing management information
SPOC
Incident Mgmt
1st Level Support
Reporting
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 3. Service Desk (SPOC) 3-9
Student Notebook
Figure 3-9. Service Desk: Service Desk Activities SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Service Desk
Service Desk Activities
Call handling
Recording and tracking service requests, including incidents, until closure
and verification with the user
Requesting incident classification and initial support, including forwarding to
second level, within Service Level Agreements (SLA)
Keeping customer informed on request status and priority
Initiating escalation procedures in relation to the SLA
Coordinating incident handling until resolution with 2nd- and 3rd-line support
Helping to identify problems by recording all incidents
Providing management information and recommendations for service
improvement
Communicating planned changes to users
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
3-10 ITIL Foundation © Copyright IBM Corp. 2004
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Figure 3-10. Service Desk: Processes within the Service Desk SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Service Desk
Processes within the Service Desk
useruser useruser
creation of ticket advise, information if required, delivery of information materialrequestrequestinformed
user
informeduser
initiation of follow-up actionscomplaint
entryhandling satisfied
user
satisfieduser
recover satisfactioncomplaintcomplaint
registration, analysis
customerinformation
direct solution
tracking and escalation
2nd level satisfieduser
satisfieduser
transfer callbackdocumen-
tationincidentincident
entryentitlement
checkchange user with
change
user with change
initiation of measuresadmin request
admin request
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 3. Service Desk (SPOC) 3-11
Student Notebook
Figure 3-11. Service Desk: Inputs and Outputs SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Service Desk
Inputs and Outputs
Management
information and monitoring
Request via
e-mail/voice/
video
Telephone
requestsRequests via
Internet/
browser
Fax
requestsHardware/
application
events
External
service
support
Product
support
Sales &
Marketing
Contract
support
Internal
service
support
Service DeskEscalations
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
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Figure 3-12. Service Desk: There are 3 Service Desk Types (1): the Local Service Desk SM251.0
Notes:
These three slides describe the key factors of each service desk type.
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Service Desk
There are 3 Service Desk Types (1):the Local Service Desk
Establishment of identical
processes and procedures in
all locations
Transfer of local skills to
other Service Desks
Assurance of compatibility of
hardware, software, and
network
Usage of identical escalation
processes and identical
codes for impact, severities,
priorities, and status in all
locations
User 1 User 2 User 3
Desktop
Support
Network
Support
Application
SupportSystem &
Operation
Support
Vendor
Support
Local
Service DeskFirst-Level-Support
There is no “universal” type of Service Desk. Choosing which one to adopt depends on a number of factors:
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 3. Service Desk (SPOC) 3-13
Student Notebook
Figure 3-13. Service Desk: There are 3 Service Desk Types (2): Central Service Desk SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Service Desk
There are 3 Service Desk Types (2): Central Service Desk
Reduced
operational
costs
Consolidated
management
overview
Improved usage
of available
resources
Customer
location 1
Customer
location 2
Customer
location 3
Desktop
support
Network
support
Application
support
System &
operation
support
Other
manufacturer
support
Central
Service DeskFirst-level support
Second-level support
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
3-14 ITIL Foundation © Copyright IBM Corp. 2004
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Figure 3-14. Service Desk: There are 3 Service Desk Types (3): Virtual Service Desk SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Service Desk
There are 3 Service Desk Types (3):Virtual Service Desk
“Follow the sun”
Common, agreed-on
language should be
used for data entry
Depends on the
technology in use
(not every tool is
able to build a VSD)
Seattle Service Desk
Amsterdam
Service-Desk
Sydney
Service Desk
location 1 location ‘n’
Service
Management
database
remote user
local user
other manufacturer/
supplier
service desks
Virtual
Service Desk
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 3. Service Desk (SPOC) 3-15
Student Notebook
Figure 3-15. Service Desk: User empowerment (self-help) enhances customer satisfaction while lowering support cost SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Service Desk
User empowerment (self-help) enhances customer satisfaction while lowering support cost
User value:
Empowers them with ability to resolve problems at their own pace
Benefit from the ability to get assistance in context
Spend less time on call resolution
Avoids costly and inconvenient re-imaging solutions
Consistent 7x24 support experience
Support Center Value:
Self-support tools and self-healing tools eliminate calls to the call center
Arms the agent with information about the user prior to initiating contact
Remote control and chat improve agent productivity
Increases customer satisfaction
Reduces dependency on desk-side support
Allows support professionals to focus on the incidents that do require
assistance
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
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Figure 3-16. Service Desk: A crucial success factor is standardized working methods SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Service Desk
A crucial success factor is standardized working methods
In order to ensure efficiency, person-independent quality, integrity of data, and
traceability, a highly standardized working method is necessary.
Therefore, actions are mainly performed:
supported by tools
with electronic forms
on standard solution and configuration databases
For help, one can refer to a support manual, which contains all procedures and
necessary information.
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 3. Service Desk (SPOC) 3-17
Student Notebook
Figure 3-17. Service Desk: Setting up a Service Desk SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Service Desk
Setting up a Service Desk
For the conceptual design of a Service Desk, you will have to consider the following points:
Number of expected calls
Structure of the Service Desk: central or local
Tools (hardware, software, and telephone systems)
The way business operates, and working procedures of the users
Service Desk processes
Workload distribution between first-, second-, and third-level support
Know-how of Service Desk team
For setting up a Service Desk, the following points have to be considered:
Business goals that users aim for
Support by management
Involvement of users to find a common understanding
Involvement of members of staff
Explain to those involved the benefits and their responsibilities
In project management quick wins, several phases with defined milestones
Marketing of new services
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
3-18 ITIL Foundation © Copyright IBM Corp. 2004
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Figure 3-18. Service Desk: Benefits and Costs SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Service Desk
Benefits and Costs
Benefits:
Complete incident control
Effective support of the specialist department
Higher user productivity
Improved relationship between IT and users
Significant management information
Costs:
Costs vary depending on type and volume of Service Desk tasks
Include purchase price for hardware, software, employees, and
premises; and current costs for employees, premises and
telephony
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 3. Service Desk (SPOC) 3-19
Student Notebook
Figure 3-19. Service Desk: Risks SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Service Desk
Risks
Without Service Desk:
Users don’t know whom to contact in
case of an incident
Incidents are not registered and get
forgotten
Incident escalation cannot be
addressed properly
IT specialists are interrupted by user
calls
Higher effort for resolving problems
No conclusive management
information
With Service Desk:
The Service Desk could become a
bottleneck when there are more
incidents or users than expected
User still contact the specialists if they
had been doing this in the past
Tensions between Service Desk and
other IT service fields are likely,
especially if the Service Desk does
not escalate in compliance with
regulations or even report directly to IT
management
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
3-20 ITIL Foundation © Copyright IBM Corp. 2004
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Figure 3-20. Service Desk: Best Practices SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Service Desk
Best Practices
Standardized documentation of caller data
Automatic ID allocation of the request; sending of return receipt and feedback form
Selective administration of user data in the Configuration Management Data Base
Usage of CTI and ACD technologies (voice calls, routing, and so on)
Utilization of system monitoring for early detection of service impairment
Staff from second-level support are temporarily deployed in Service Desk
Large Service Desks are structured in teams with special know-how and are
supported by skill routing
Working with super users
CTI = Computer Telephony Integration
ACD: Automatic Call Distribution
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 3. Service Desk (SPOC) 3-21
Student Notebook
Figure 3-21. Service Desk: Summary SM251.0
Notes:
22
IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Service Desk
Summary
Service Desk is a function, not a process within Service Management
Service Desk is the focal point for all service requests from business users directed
to the IT organization (including third-party providers), and manages them within
Service Level Agreements
Service Desk responsibilities include:
– Single Point of Contact (SPOC)
– Incident Management
– First-level support
– Reporting
Service Desk is the window on the level of service offered by the IT organization to
the business
Keeps users up-to-date with the status of their service request
Provides management information on relevant topics regarding the service
Three Service Desk types: Local, Central, and Virtual Service Desk
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
3-22 ITIL Foundation © Copyright IBM Corp. 2004
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Unit 4. Incident ManagementWhat This Unit Is About
This unit is an introduction to Incident Management, and its relationship with the Service Desk.
What You Should Be Able to Do
After completing this unit, you should be able to think about the responsibilities and obligations of this service, and understand the benefits of the ITIL framework.
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 4. Incident Management 4-1
Student Notebook
Figure 4-1. Unit 04: Incident Management SM251.0
Notes:
2
IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Unit 04Incident Management
Content:
Incident Management – objective and overview
Some definitions
Responsibilities and obligations
Important aspects:
– Incident lifecycle
– Incident recording
– Incident priority
– Escalation
Benefits and risks
Best practices
Summary
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
4-2 ITIL Foundation © Copyright IBM Corp. 2004
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Figure 4-2. Incident Management: Integration into the IPW Model SM251.0
Notes:
3
IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Incident ManagementIntegration into the IPW Model
Source: IPW Model is a trade mark of Quint Wellington and KPN Telecoms
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 4. Incident Management 4-3
Student Notebook
Figure 4-3. Incident Management: Mission statement SM251.0
Notes:
4
IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Incident ManagementMission statement
The primary goal of incident management is to restore normal service operation, within Service Level Agreement limits, as quickly as possible, after an incident has occurred to that service, and minimize the adverse impact on business operations.
Practice shows that handling both of failures in the infrastructure and of service requests is similar, and both are therefore included in the definition and scope of the process for Incident Management.
The Service Desk is responsible for monitoring the resolution process of all registered incidents; indeed the Service Desk is the owner of all incidents. The process is mostly reactive. To react efficiently and effectively therefore demands a formal method of working that can be supported by software tools.
Goals of Incident Management:Restore the service as quickly as possible.
Minimum disruption to users’ work
Management of an incident during its entire lifecycle
Support of operational activities
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
4-4 ITIL Foundation © Copyright IBM Corp. 2004
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Figure 4-4. Incident Management: Definition: Incident, Problem and “Known Error” SM251.0
Notes:
5
IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Incident ManagementDefinition: Incident, Problem and “Known Error”
Incident
An event, not part of the standard operation of a service, which causes, or may
cause, an interruption or reduction in the quality of that service
Problem (Unknown Error)
The unknown cause of one or more incidents
(which are not resolved in any case when finalizing the incident)
Normally a problem record is raised only if investigation is warranted.
“Known Error”
A problem which is successfully diagnosed and for which a workaround has been
identified
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 4. Incident Management 4-5
Student Notebook
Figure 4-5. Incident Management: Tasks SM251.0
Notes:
Help desk and incident control: Even if the incident is transferred to second- or third-level support, the service desk is responsible for the management of the incident, giving feedback to the user, and so on.
6
IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Incident ManagementTasks
Incident
Management
Incident Incident
ManagementManagement
User InterfaceUser Interface
Problem ManagementProblem Management
Management Management
InformationInformation
Support of Support of
operational operational
processesprocesses
Incident ControlIncident Control
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
4-6 ITIL Foundation © Copyright IBM Corp. 2004
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Figure 4-6. Incident Management: Activity incident handling SM251.0
Notes:
Incident management activities:
• Incident handling
• To restore normal working conditions as quickly as possible
• Incident monitoring
• Registration of incidents
7
IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Incident ManagementActivity incident handling
Identification and
registration of incidents
Service
Request?
Service Request
Procedure
Incident closure
Yes
First classification
and support
No
Troubleshooting
and recovery
Analysis and diagnosis
Inc
ide
nt
ow
ners
hip
, m
on
ito
rin
g,
tra
ck
ing
,
an
d c
om
mu
nic
ati
on
Progress control
Reporting
Quality assurance
Responsibility
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 4. Incident Management 4-7
Student Notebook
Figure 4-7. Incident Management: The status of an incident reflects its current position in its lifecycle SM251.0
Notes:
The status of an Incident reflects the current position in its lifecycle, sometimes known as its workflow position. Everyone should be aware of each status and its meaning. Some examples of status categories might include:
• New
• Accepted
• Scheduled
• Assigned/dispatched to specialist
• Work in progress (WIP)
• On hold
• Resolved
• Closed
8
IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Incident ManagementThe status of an incident reflects its current position in its lifecycle
Incident detection
and recording
Service
Request?
Service Request
Procedure
Incident closure
Yes
Classification
and initial support
No
Resolution
and recovery
Investigation and
diagnosis
new
accepted
planned
assigned
in process
on hold
solved
closed
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
4-8 ITIL Foundation © Copyright IBM Corp. 2004
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Throughout an Incident lifecycle, it is important that the incident record be maintained. This allows any member of the service team to provide a customer with an up-to-date progress report. Examples of update activities include:• Update history details
• Modify status (such as “new” to “work-in-progress” or “on hold”)
• Modify business impact or priority
• Enter time spent and costs
• Monitor escalation status
An originally reported customer description may change as the incident progresses. It is, however, important to retain the description of the original symptoms, both for analysis and so that you can refer to the complaint in the same terms used in the initial report. For example, the customer may have reported a printer not working, which is found to be have been caused by a network failure. When responding to the customer, it is better initially to explain that the printer incident has been resolved rather than to talk about resolution of network problems.
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 4. Incident Management 4-9
Student Notebook
Figure 4-8. Relationship with other IT services SM251.0
Notes:
9
IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Classification and initial supportClassification and initial support
Incident detection and recordingIncident detection and recording
Report of an incident
Investigation and diagnosisInvestigation and diagnosis
Incident closureIncident closure
Process for Service Request
Ow
ne
rsh
ip,
tra
ck
ing
,
eva
lua
tio
n,
info
rma
tio
n
Ow
ne
rsh
ip,
tra
ck
ing
,
eva
lua
tio
n,
info
rma
tio
n
Service
Request?
CMDBCMDB
Service Desk Data center
operation
Data center
operation Net operationNet operation
OrganizationOrganization
Other sourcesOther sources
Change
Management
Problem
errors
DB
Problem
errors
DB
Problem
Management
Resolution and recoveryResolution and recovery
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
4-10 ITIL Foundation © Copyright IBM Corp. 2004
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Figure 4-9. Incident Management: Use of standard registration, documentation, and methods is basis of success SM251.0
Notes:
10
IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Incident ManagementUse of standard registration, documentation, and methods is basis of success
Data about an incident
Reporter of the incident
Name, user ID
Phone number
Department
Department number
Affected person
Incident ID
Date, time
Status
Effect, severity,
priority
Service Level
Affected system
Inventory number, CI ID
Class/ type/ model
Symptom description
Category
Free text description
Problem editor
Transfer to
Performed actions
Solution
Date, time
Category
History
Identification &
registration of incidents
Service
Request?
Service Request
Procedure
Incident Closure
Yes
First classification
and support
No
Troubleshooting and recovery
Analysis and diagnosis
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 4. Incident Management 4-11
Student Notebook
Figure 4-10. Incident Management: Classification: Find service affected, match against SLA, and assign priority SM251.0
Notes:
One of the important aspects of managing an incident is to define its priority: how important it is, and its impact on the business. The responsibility for its definition lies with Service Level Management within the parameters set in the Service Level Agreement (SLA). The priority with which incidents need to be resolved, and therefore the amount of effort to be put into the resolution of, and recovery from, incidents, will depend upon:
• Impact on the business
• Urgency to the business
• Size, scope, and complexity of the incident
• Resource availability, for coping in the meantime, and for correcting the fault.
Impact is a measure of the business criticality of an incident or problem, often equal to the extent to which an incident leads to degradation of agreed service levels. Impact is often measured by the number of people or systems affected. Criteria for assigning impact should be set up in consultation with the business managers and formalized in SLAs.
11
IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Incident ManagementClassification: Find service affected,match against SLA, and assign priority
Classification:
Impact
– Reflects business criticality of the incident
– Reflects extent to which an incident leads to degradation of SLA, such as number of users that suffer
Urgency
– Reflects required speed of solving an incident
Workload
– Reflects expected effort to solve the incident
Priority
– Reflects order in which to solve the incidents
Priority = Impact x Urgency
Identification &
registration of incidents
Service
Request?
Service Request
Procedure
Incident Closure
Yes
First classification
and support
No
Troubleshooting and recovery
Analysis and diagnosis
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
4-12 ITIL Foundation © Copyright IBM Corp. 2004
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Figure 4-11. Incident Management: Priority order for handling incidents is primarily defined by impact and urgency SM251.0
Notes:
12
IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Incident ManagementPriority order for handling incidents is primarily defined by impact and urgency
A simple priority matrix example
Priority 4Limited damage,
does not need
to be recovered
immediately
Priority 3Significant damage,
does not need
to be recovered
immediately
Priority 1Significant
damage, must be
recovered
immediately
Priority 2Limited
damage, should
be recovered
immediately
Impact
Urg
en
cy
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 4. Incident Management 4-13
Student Notebook
Figure 4-12. Incident Management: Each priority is related to a certain recovery time… SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Incident ManagementEach priority is related to a certain recovery time…
Priority 1: Significant damage, must be
recovered immediately
Priority 2: Limited damage, should be
recovered immediately
Priority 3: Significant damage, does not
need to be recovered immediately
Priority 4: Limited damage, does not need
to be recovered immediately
1 hour
4 hours
2 hours
8 hours
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
4-14 ITIL Foundation © Copyright IBM Corp. 2004
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Figure 4-13. Incident Management: … This results in an appropriate escalation SM251.0
Notes:
Escalation is the mechanism that assists timely resolution of an incident. It can take place during every activity in the resolution process.
There are two levels of escalation possible:
• Hierarchical (vertical escalation): for example, asking management for more human resources, equipment, or both (exception)
• Functional (horizontal escalation): for example, ask a specialist (second-line support)
Transferring an incident from first-line to second-line support groups or further is called functional escalation, and primarily takes place because of a lack of knowledge or expertise. Preferably, functional escalation also takes place when agreed time intervals elapse. The automatic functional escalation based on time intervals should be planned carefully and should not exceed the (SLA) agreed resolution times.
Hierarchical escalation can take place at any moment during the resolution process when it is likely that the resolution of an incident will not be in time or satisfactory. In case of a lack of knowledge or expertise, hierarchical escalation is generally performed manually (by the
14
IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Incident Management… This results in an appropriate escalation
Information / Support
(Escalation)
Transfer or integration of further knowledge carriers
Managing
Board
Incident Mgt.Hierarchical
Escalation
Functional
Escalation
Functional versus hierarchical escalation
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 4. Incident Management 4-15
Student Notebook
Service Desk or other support staff). Automatic hierarchical escalation can be considered after a certain critical time interval, when it is likely that a timely resolution will fail. Preferably, this takes place long enough before the (SLA) agreed resolution time is exceeded so that corrective actions by authorized line management can be carried out, for example hiring third-party specialists.
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
4-16 ITIL Foundation © Copyright IBM Corp. 2004
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Figure 4-14. Incident Management: Escalation SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Incident ManagementEscalation
Objective of an escalation or escalation procedure is the avoidance or minimizing of material or immaterial damage. The definition of an escalation comprises:
escalation trigger
escalation measures
escalation levels
The combination of the three keys results in an
escalation matrix with escalation paths
The escalation procedures should be clearly agreed between all involved parties. Escalation can usefully improve service provision only if it is accepted by all parties.
Escalation should not be misused as a proof of guilt.
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 4. Incident Management 4-17
Student Notebook
Figure 4-15. Incident Management: Escalation – Trigger and Measures SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Incident ManagementEscalation – Trigger and Measures
Escalation triggerThe escalation trigger indicates at which opportunity, state, or incident the procedure of processing a problem will be intensified, increased, or changed in order to recover the service.
after exceeding the reaction time
one hour before the expiration of the recovery time
when exceeding the recovery time
after the third transfer
VIP
Escalation measuresOnce an escalation has been released, incident processing is intensified, increased, or changed in order to recover the service. This results in raising of three general possible measures:
Organisational measurements, such as calling in third level or the vendor;
Information, such as to the higher hierarchical level;
Increased assignment of resources: budget, staff, material
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
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Figure 4-16. Incident Management: Escalation – Escalation Levels SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Incident ManagementEscalation – Escalation Levels
Escalation Levels
Escalation levels ensure that for repeated occurrences of an escalation trigger,
the according measures are intensified, increased, or changed.
Reasons for increasing the escalation level can be the following:
threatening exceeding or already expired reaction time;
threatening exceeding or already expired recovery time;
very high priority of the disrupted service
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 4. Incident Management 4-19
Student Notebook
Figure 4-17. Incident Management: Escalation – Example of an Escalation Matrix SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Incident ManagementEscalation – Example of an Escalation Matrix
5
4
3
2
1
Priority
measures
to informnot urgent
and not
important
measures
to informnot urgent
and important
measures
to informurgent and
not important
measures
to informurgent and
important
measures
to informvery urgent
and very
important
Measures
43210
Escalation steps
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
4-20 ITIL Foundation © Copyright IBM Corp. 2004
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Figure 4-18. Incident Management: Input and Output SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Incident ManagementInput and Output
Input
Incident reports from Service Desk
and Monitoring
Information about users, system
configuration, service levels
Information about solutions, tested
workarounds
Information about changes
performed
Output
Requests for change to Change
Management
Information about incidents or
problems to Problem Management
Solved and closed incidents
Information to the user
Reports to management
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 4. Incident Management 4-21
Student Notebook
Figure 4-19. Incident Management: Benefits SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Incident ManagementBenefits
Reduced business impact of incidents by timely resolution
Proactive identification of possible enhancements
Management information related to business-focused SLA
Improved monitoring
Improved management information related to aspects of service
Better staff utilization: no more interruption-based handling of incidents
Elimination of lost incidents and service requests
Better CMDB information
Better user/customer satisfaction
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
4-22 ITIL Foundation © Copyright IBM Corp. 2004
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Figure 4-20. Incident Management: Risks SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Incident ManagementRisks
Potential problem areas:
No management/staff commitment, hence no resources
Lack of clarity of business needs
Badly-defined service goals
Working practices not reviewed or changed
No service levels defined with customer
Lack of knowledge on resolving incidents
The quality of the Configuration Database
No integration with other processes
Resistance to using process
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 4. Incident Management 4-23
Student Notebook
Figure 4-21. Incident Management: Best Practices SM251.0
Notes:
The integration with Service Level management means that the service desk is aware of the availability and constraints within the provision of services.Some service desks may have just a "dispatching" role concerning incoming calls, and other individuals may then have to handle the incoming incidents from a technical point of view. It would be preferable, however, to have broad-skilled service desk operators who do handle the incidents themselves, rather than just registering calls and routing them.Interpersonal skills are essential for service desk personnel, as every contact with the customer is an opportunity to improve the customer’s perception of the IT function.Consider how many of your technical staff are currently skilled and trained to manage the customer interface for your department or organization.Support departments often mistake “quick fixes” for good service. In some cases, this is, of course, true. The customer wants a fix or response, but knows that this is not always practical. It is important to engender in customers and users the confidence that, once an incident has been reported, it will be professionally managed. If that confidence is not present, they may revert to calling their favorite support specialist and bypass the service desk. In some cases, they might stop calling on IT altogether.
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ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Incident ManagementBest Practices
Integration with Service Level Management
Qualified processing of requests instead of simple transfer
More important than just a cost reduction is the increase of the company’s
efficiency
Separation of incident and problem management
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Figure 4-22. Incident Management: Summary SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Incident ManagementSummary
The goal of incident management is to restore normal service operation, within Service
Level Agreement limits, as quickly as possible, after an incident has occurred to that
service, and to minimize the adverse impact on business operations.
Incident Management process
– Incident detection and recording
– Classification and initial support
– Investigation and diagnosis
– Resolution and recovery
– Incident closure
Prioritization primarily determined by impact on business and urgency with which a
resolution or workaround is needed; correct prioritization enables optimum staffing and
use of other resources to customer satisfaction.
Escalation (functional and hierarchical)
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
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Student Notebook
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Unit 5. Problem ManagementWhat This Unit Is About
This unit is an introduction to Problem Management, and its relationship within IT Services.
What You Should Be Able to Do
After completing this unit, you should be able to think about the mission of this service, and understand its benefits within the ITIL framework.
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 5. Problem Management 5-1
Student Notebook
Figure 5-1. Unit 05: Problem Management SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Unit 05Problem Management
Content:
Problem Management – objective and overview
Some definitions
Responsibilities and obligations
Important aspects
– Incidents, problems, and changes
– Proactive/reactive problem management
Benefits, costs, risks
Best practices
Summary
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
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Figure 5-2. Problem Management: Integration into the IPW Model SM251.0
Notes:
3
IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Problem ManagementIntegration into the IPW Model
Source: IPW Model is a trade mark of Quint Wellington and KPN Telecoms
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 5. Problem Management 5-3
Student Notebook
Figure 5-3. Problem Management: Mission statement SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Problem ManagementMission statement
The goal of Problem Management is to minimize the adverse impact of Incidents and problems on the business that are caused by errors within the IT Infrastructure, and to prevent recurrence of incidents related to these errors.
In order to achieve this goal, Problem Management seeks:
To find the root cause of problems and to initiate corrective action
Permanently reduce number and severity of incidents and problems by identifying improvements in the infrastructure
2 aspects:
Reactive: identify and solve problems in response to one or more incidents
Proactive: analyze trends of incidents, and identify and solve problems before they occur
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Figure 5-4. Problem Management: Some definitions: Problem, Known Error, and RFC SM251.0
Notes:
A problem is a condition often identified as a result of multiple incidents that exhibit common symptoms. Problems can also be identified from a single significant incident, indicative of a single error, for which the cause is unknown, but for which the impact is significant.
A known error is a condition identified by successful diagnosis of the root cause of a problem, and the subsequent development of a workaround.
Structural analysis of the IT infrastructure, reports generated from support software, and user-group meetings can also result in the identification of problems and known errors. This is proactive Problem Management.
Problem control focuses on transforming problems into known errors. Error control focuses on resolving known errors structurally through the Change Management process.
5
IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Problem ManagementSome definitions: Problem, Known Error, and RFC
Problem
The unknown cause of one (significant) incident or multiple incidents exhibiting
common symptoms (which are not resolved in any case when finalizing the
incident)
Normally a problem record is raised only if investigation is warranted.
Known Error
A problem that is successfully diagnosed and for which a workaround has been
identified
Request for Change (RFC)
Request for Change to any component of an IT infrastructure or to any aspect of
an IT service
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 5. Problem Management 5-5
Student Notebook
Figure 5-5. Problem Management: Tasks SM251.0
Notes:
The Problem Management process is intended to reduce both the number and severity of incidents and problems on the business. Therefore, part of Problem Management's responsibility is to ensure that previous information is documented in such a way that it is readily available to first-line and other second-line staff. This is not simply a matter of producing documentation. What is required includes:
• The information to be indexed so that it is easily referenced by simple and detectable triggers from new incidents
• Regular inspection to ensure the continued relevance of documentation in the light of changing:
- Technology
- Available external solutions
- Business practices and requirements
- In-house skills
6
IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Problem ManagementTasks
Problem
Management
Problem Problem
ManagementManagement
Problem Problem
ControlControl
Error ControlError Control Management Management
InformationInformation
Incident ControlIncident Control
RFCsChange
Management
Incident
Management
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- Frequency and impact of recurring incidents- Interpretation of internal best practice
• That the process should be subject to a detailed review
• Staff using the information to be trained to understand the depth and power of the information available, how to access and interpret it, and their role in providing feedback on its relevance and ease of use
• A suitable repository for the information, typically based on an integrated Service Management tool which can capture it at logging or first-analysis stage of the incident handling process.
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 5. Problem Management 5-7
Student Notebook
Figure 5-6. Problem Management: Scope SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Problem ManagementScope
Problem control, error control, and proactive Problem Management are all
within the scope of the Problem Management process
Problem Control:
Handle problems in an effective way. Identify root cause (CI at fault), and provide
the Service Desk with information and workaround. Similar to incident control, but
more carefully managed to avoid reoccurrence.
Error Control:
Progresses from known errors until elimination by implementation of a change.
Proactive Problem Management:
Analysis of trends from incident records provides view on potential problems
before they occur
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Figure 5-7. Problem Management: Activity: Problem Control SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Problem ManagementActivity: Problem Control
Problem Control is concerned with:
Problem identification and recording: if
incidents cannot be matched against known
errors and problems, or are recurring. Also
when major Incident occurs.
Problem classification: determine effort
required to detect and recover failing CI.
Impact on service levels assessed. CMDB
helps! Determine: category, impact, urgency,
priority.
Problem investigation and diagnosis:
leading to a known error (which includes a
workaround for the associated incident). Find
underlying cause. Procedural errors do not
become known errors. These problems are
closed with appropriate categorization code.
Identification and
Registration
Classification
Assign Resources
Investigation and
Diagnosis
Definition
Known Error
Progress Control
Reporting
Quality Control
Responsibility
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© Copyright IBM Corp. 2004 Unit 5. Problem Management 5-9
Student Notebook
Figure 5-8. Problem Management: Activity: Error Control SM251.0
Notes:
Error identification and recording: faulty CI is detected, and known error status is assigned.
Error assessment: initial assessment of means required to solve the problem and raising of an RFC. The actual work done is under control of Change Management. Also the decision can be that some errors are not solved because, for example, it is too expensive.
Recording error resolution: solution for each known error should be in the PM system, made available for incident matching.
Error Closure: After successful implementation of the change, the error is closed, together with all associated incident records. Potentially, interim status given.
Monitoring problem and error resolution progress: Change Management is responsible for implementing RFCs, but error control is responsible for monitoring progress in resolving known errors and the continuing impact of the problem. Hence close interaction between both (PM might raise CAB). Monitoring against SLA should happen.
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Problem ManagementActivity: Error Control
Error identification and recording: faulty CI is detected, and known error status is assigned.
Error assessment: initial assessment of means required to solve the problem and raising of an RFC.
Recording error resolution: solution for each known error should be in the PM system, made available for incident matching
Error closure: After successful implementation of the change, the error is closed together with all associated Incident records.
Monitoring problem and error resolution progress: Change management is responsible for implementing RFCs, but error control is responsible for monitoring progress in resolving known errors.
Error Identification &
Recording
Error Assessment
Record Error Solution
Close Error and
Associated Problems
Progress Control
Reporting
Quality Control
Responsibility
Change successful
RFC
Error control covers the processes involved in successful correction of known errors.
The objective is to change IT components to remove known errors affecting the IT
infrastructure, and thus to prevent any recurrence of incidents.
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Figure 5-9. Problem Management: Activity: Proactive Problem Management SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Problem ManagementActivity: Proactive Problem Management
Trend analysis: identify “fragile” components and their
reason. Requires availability of sufficient historical data.
Targeting support action: towards problem areas
requiring most support time, or causing most impact to
the business (volume of incidents, number of users
impacted, cost to the business).
Providing information to organization: Providing insight
in effort and resources spent by organization in
diagnosing and resolving problems and known errors to
management. Also information on workarounds,
permanent fixes, and status information should be given
to Service Desk.
Proactive problem management activities are concerned with identifying and
resolving problems and known errors before Incidents occur, thus minimizing
the adverse impact on the service and business-related costs.
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© Copyright IBM Corp. 2004 Unit 5. Problem Management 5-11
Student Notebook
Figure 5-10. Problem Management: Reporting SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Problem ManagementReporting
Reporting on problem management serves an internal purpose as well as an external purposeItems that can be reported to IT management:
Time spent on research and diagnosis
Brief description of actions taken
Planning unresolved problems with regard to use of people, use of tools, and costs
Problems categorized into: status, service, impact, category, user group
Turnaround time of closed problems
Elapsed time and expected resolution period for unresolved problems
Temporary corrective actions
Items that are important for Service Level Management
Number of problems categorized into: user group, category, impact, service
Turnaround time of closed problems
Expected solution period for unresolved problems
Items that are important for Service Desk
Status of problems
Information on bypasses
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Figure 5-11. Problem Management: Reactive - Proactive SM251.0
Notes:
Problem Management should focus on proactive function.
When Problem Management is introduced in an organization, its main focus is reactive. But this process should ideally mature from reactive to proactive, otherwise improvement is necessary.
12
IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Problem ManagementReactive - Proactive
Reactive Proactive
2nd / 3rd level support for incidents
Problem identification and problem diagnosis
Identify trends
Initiate changes in order to avoid:
- the occurrence of incidents
- the reoccurrence of incidents
Monitoring of change management
Avoid problems in other
systems and applications
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 5. Problem Management 5-13
Student Notebook
Figure 5-12. The Complete Picture SM251.0
Notes:
13
IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Tra
ck
ing
Tra
ck
ing
Tra
ck
ing
Tra
ck
ing
ClassificationClassification
RecordingRecording
RegistrationRegistration
DiagnosisDiagnosis
ResolutionResolution
Incident closureIncident closure
Process for Service Requests
Service
Request?
SupportSupport
ClassificationClassification
RecordingRecording
IdentificationIdentification
DiagnosisDiagnosis
Problem ResolutionProblem Resolution
Tra
ck
ing
Tra
ck
ing
AssessmentAssessment
RecordingRecording
identificationidentification
DiagnosisDiagnosis
SolutionSolution
Error / problem
Incident closure
Error / problem
Incident closure
Error?Assign
RFC?
Change
Management
Change
Management
Problem?
The Complete Picture
Incident Mgmt Problem Control Error Control Change Mgmt
Change
Evaluation (PIR)
Change
Evaluation (PIR)
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Figure 5-13. Problem Management: Benefits SM251.0
Notes:
• Improved IT service quality. Problem Management helps generate a cycle of rapidly increasing IT service quality. High-quality reliable service is good for the business users of IT, and good for the productivity and morale of the IT service providers.
• Incident volume reduction. Problem Management is instrumental in reducing the number of incidents that interrupt the conduct of business.
• Permanent solutions. There will be a gradual reduction in the number and impact of problems and known errors as those that are resolved stay resolved.
• Improved organizational learning. The Problem Management process is based on the concept of learning from past experience. The process provides the historical data to identify trends, and the means of preventing failures and of reducing the impact of failures, resulting in improved user productivity.
• Better first-time fix rate at the Service Desk. Problem Management enables a better first-time fix rate of incidents at the Service Desk, achieved via the capture, retention, and availability of incident resolution and workaround data within a knowledge database available to the Service Desk at call logging.
14
IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Problem ManagementBenefits
The benefits of taking a formal approach to problem management include
the following:
Improved IT service quality: removal of structural errors improves quality of
service
Incident volume reduction: Structural errors generating Incidents are
removed
Permanent solutions: Problems resolved stay resolved
Improved knowledge on organization: Problem Management learns from
past experience, using historical data to identify trends
Higher first call resolution rate at Service Desk: Problem management
creates incident workaround data for rapid incident closure
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 5. Problem Management 5-15
Student Notebook
Figure 5-14. Problem Management: Risks SM251.0
Notes:
15
IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Problem ManagementRisks
Potential problem areas:
Simultaneous assignment of support agents to incident and problem
management
Less common tools of the individual departments
Insufficient communication between system development and problem
management in regard to known errors
Lack of discipline in the support team
Note: While Incident Management focuses on quick resolution of incidents,
Problem Management analyzes the root cause of incidents.
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
5-16 ITIL Foundation © Copyright IBM Corp. 2004
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Figure 5-15. Problem Management: Best Practices SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Problem ManagementBest Practices
Make a clear separation between incidents and
problems (clear fields of responsibility with their
own measurement criteria and KPIs)
Focus on minimizing or avoidance of incidents
In addition to the production environment, the
development environment should also be involved
in the process.
Incident Management
(fighting fires)
Problem Management(find root cause)
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 5. Problem Management 5-17
Student Notebook
Figure 5-16. Problem Management: Summary SM251.0
Notes:
17
IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Problem ManagementSummary
The goal of problem management is to minimize the impact of incidents and problems
on the business that are caused by errors within the IT infrastructure and to prevent
recurrence of incidents related to these errors.
Stabilize IT services, through:
– minimizing the impact of incidents (quick fix)
– tracing (and removing) errors in the IT infrastructure to obtain the highest possible
stability of IT services, both reactively and proactively
– Better use of resources
Problem management activities
– Problem control
– Error control
– Proactive problem management
Problem: the root cause is known
Known error: root cause is known, a workaround is provided, but the definitive fix is not
provided
Proactive - Reactive
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5-18 ITIL Foundation © Copyright IBM Corp. 2004
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Unit 6. Change ManagementWhat This Unit Is About
This unit is an introduction to Change Management, and its relationship within IT Services.
What You Should Be Able to Do
After completing this unit, you should be able to think about the mission of this service, and understand its benefits within the ITIL framework.
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 6. Change Management 6-1
Student Notebook
Figure 6-1. Unit 06: Change Management SM251.0
Notes:
2
IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Unit 06Change Management
Content:
Change Management – objective and overview
Some definitions
Responsibilities and obligations
Important aspects:
– RFC content
– Categorization and prioritization of changes
– Change Advisory Board (CAB)
– Interface to other processes
Benefits and risks
Best practices
Summary
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
6-2 ITIL Foundation © Copyright IBM Corp. 2004
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Figure 6-2. Change Management: Integration into the IPW Model SM251.0
Notes:
3
IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Change ManagementIntegration into the IPW Model
Source: IPW Model is a trade mark of Quint Wellington and KPN Telecoms
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 6. Change Management 6-3
Student Notebook
Figure 6-3. Change Management: Mission Statement SM251.0
Notes:
Changes arise as a result of problems, but many changes can come from proactively seeking business benefits such as reducing costs or improving services. The goal of the Change Management process is to ensure that standardized methods and procedures are used for efficient and prompt handling of all changes, in order to minimize the impact of change-related incidents upon service quality, and consequently to improve the day-to-day operations of the organization.
To make an appropriate response to a change request entails a considered approach to assessment of risk and business continuity, change impact, resource requirements, and change approval. This considered approach is essential to maintain a proper balance between the need for change against the impact of the change.
It is particularly important that Change Management processes have high visibility and open channels of communication in order to promote smooth transitions when changes take place.
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Change ManagementMission Statement
Change Management ensures that standardized methods and procedures are used for efficient and prompt handling of all changes, to minimize the impact of change-related incidents on service quality, and to improve the day-to-day operations of the organization.
Goal of Change Management:
Efficient and cost-saving
implementation of
authorized changes
with minimum risk
for existing and new IT infrastructure
Efficient and cost-saving
implementation of
authorizedauthorized changes
with minimum minimum risk
for existing and new IT infrastructure
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
6-4 ITIL Foundation © Copyright IBM Corp. 2004
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Figure 6-4. Change Management: Some definitions SM251.0
Notes:
A problem is a condition often identified as a result of multiple incidents that exhibit common symptoms. Problems can also be identified from a single significant incident, indicative of a single error, for which the cause is unknown, but for which the impact is significant.
A known error is a condition identified by successful diagnosis of the root cause of a problem, and the subsequent development of a workaround.
Structural analysis of the IT infrastructure, reports generated from support software, and user-group meetings can also result in the identification of problems and known errors. This is proactive Problem Management.
Problem control focuses on transforming problems into known errors. Error control focuses on resolving known errors structurally through the Change Management process.
When major problems arise, there may not be time to convene the full Change Advisory Board (CAB), and it is therefore necessary to identify a smaller organization with authority to make emergency decisions. Such a body is known as the CAB Emergency Committee
5
IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Change ManagementSome definitions
Change:
Process of moving from one defined state to another
Request for Change (RFC)
Request for Change to any component of an IT infrastructure or to any aspect of
an IT service
Change Advisory Board (CAB):
Body which approves changes and assists Change Management in assessment
and prioritization of changes
CAB/EC:
CAB Emergency Committee. Convened for urgent changes, or when emergency
decisions have to be made.
Post Implementation Review (PIR):
Assessment of implemented changes after a predefined period of time.
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 6. Change Management 6-5
Student Notebook
(CAB/EC). Change procedures should specify how the composition of the CAB and CAB/EC will be determined in each instance, based on the criteria listed above and any other criteria that may be appropriate to the business. This is intended to ensure that the composition of the CAB will be flexible, in order to represent business interests properly when major changes are proposed. It will also ensure that the composition of the CAB/EC will provide the ability, both from a business perspective and from a technical standpoint, to make appropriate decisions in any conceivable eventuality.
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
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Figure 6-5. Change Management: Why Change Management is so important SM251.0
Notes:
6
IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Change ManagementWhy Change Management is so important
IT becomes an increasingly critical factor for business. Business demands
continuous change as new technologies are adopted. Users demand
increasing services in order to be able to fulfil their tasks. All these factors
require an IT environment in which management and control of changes are
very precisely managed.
Experience shows that a high percentage of problems with regard to IT
service quality can be traced back to a change of a system. Such problems
cause enormous costs and are becoming less acceptable.
This module describes the best practices for change management; they
impact the implementation of many other ITSM best practices. Finally, each
development - either relating to capacity management or a service desk -
corresponds with changes which again stand for a risk. That is why a very
strict procedure for effective change management makes sense.
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© Copyright IBM Corp. 2004 Unit 6. Change Management 6-7
Student Notebook
Figure 6-6. Change Management: Tasks SM251.0
Notes:
Most activities of change management involve control and decide (approval or rejection). Changes must be carefully managed throughout their entire lifecycle from initiation and recording, through filtering, assessment, categorization, authorization, scheduling, building, testing, implementation, and eventually their review and closure. One of the key deliverables of the process is the Forward Schedule of Change (FSC), a central programme of change agreed by all areas, based on business impact and urgency.
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Change ManagementTasks
Change
Management
Change
Management
Review of all
implemented
changesMonitoring of change
realization, testing,
and implementation
Authorize and
plan changes
Management of RFCs
(change requests)
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6-8 ITIL Foundation © Copyright IBM Corp. 2004
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Figure 6-7. Change Management: The Process SM251.0
Notes:
Implementation and management activities within change management.
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Change ManagementThe Process
Implementation Management
RFCRFC Preparation
Implementation
Realization
Test
CABCAB
Classification
Prioritization
Approval
Planning
Authorization
Evaluation/PIR
Backout
Rejection
Rejection
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 6. Change Management 6-9
Student Notebook
Figure 6-8. The Process Steps SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Service PlanningService Planning
Release ManagerRelease Manager
RFCRFC
Processing/Classification -Registration-
Scheduling and Planning
Control and Approval
TestTest
Building
Control and
Authorization
Implementation
PIR
Proof of Success
Changes
Realization ofSimple Changes
Rejected
Decline
/ Reject
Review End
Acceptance andDocumentation
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
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Figure 6-9. Change Management: Content of a Request for Change (RFC) SM251.0
Notes:
Requests for Change (RFCs) are triggered for a wide variety of reasons, from a wide variety of sources. The reasons include:
• Required resolution of an incident or problem report
• User or customer dissatisfaction expressed via customer liaison or Service Level Management
• The proposed introduction or removal of a new CI
• Qproposed upgrade to some component of the infrastructure
• Changed business requirements or direction
• New or changed legislation
• Location change
• Product or service changes from vendors or contractors.
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Change ManagementContent of a Request for Change (RFC)
RFCRFC
What? Why?
When?
HardwareSoftware
Documentation
Environment
SLA
and so on
CIsCIs
Impact on
Business
Services
Category
Priority
Resource
Cost
Estimation
Purpose
and so on
Change
Advisory Board
(CAB)
Sponsor and
Change
Requester
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© Copyright IBM Corp. 2004 Unit 6. Change Management 6-11
Student Notebook
RFCs can be concerned with any part of the infrastructure or with any service or activity. Here are some examples:
• Hardware
• Software
• Documentation
• Telecommunications facilities
• Engineering cover
• Training courses
• IT infrastructure management procedures
• Tactical plans
• Environmental infrastructure
RFCs can, of course, be in paper form, or — as is increasingly the case — be held electronically, perhaps on the company intranet.
The following items should be included in an RFC form, whether paper or electronic:
• RFC number (plus cross-reference to problem report number, where necessary)
• Description and identity of item(s) to be changed (including CI identification(s) if Configuration Management system is in use)
• Reason for change
• Effect of not implementing the change
• Version of item to be changed
• Name, location, and telephone number of person proposing the change
• Date that the change was proposed
• Change priority
• Impact and resource assessment (which may be on separate forms where convenient)
• CAB recommendations where appropriate (which may be held separately, with impact and resource assessments, where convenient)
• Authorization signature (could be electronic)
• Authorization date and time
• Scheduled implementation (release identification, date and time, or both)
• Location of release or implementation plan
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
6-12 ITIL Foundation © Copyright IBM Corp. 2004
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Figure 6-10. Change Management: Categorization: Minor – Significant – Major SM251.0
Notes:
The issue of risk to the business of any change should also be considered prior to the approval of any change. Change Management should examine each RFC and decide how to proceed based on the (predefined) category into which the RFC falls. The categorization process examines the impact of the approved change on the organization in terms of the resources needed to effect the change. Note that the structure and complexity of these categories will very much depend on the needs of the business, including the range of priority ratings identified
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Change ManagementCategorization: Minor – Significant – Major
Category of changes is based on impact to environment (risk to the business).
Category 1 (Minor Changes):
Minor impact only, and few “build” or additional “runtime” resources required. The
Change Manager should have delegated authority to authorize and schedule such
changes.
Category 2 (Significant Changes):
Significant impact, significant build or runtime resources required, or both.
The Change Advisory Board should be convened in order to authorize and schedule
such changes.
Category 3 (Major Changes):
Major impact, very large amount of build or runtime resources required, or both; or
impact likely upon other parts of the organization.
The RFC should be referred to the organization's top Management Board or other
appropriate body for discussion and a policy decision.
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 6. Change Management 6-13
Student Notebook
Figure 6-11. Change Management: Prioritization SM251.0
Notes:
Every RFC should be allocated a priority that is based on the impact of the problem and the urgency for the remedy. This priority rating is used to decide which changes should be discussed and assessed first, either by Change Management or by the CAB if necessary. Change Management should be responsible for assigning this priority. The priority of RFCs ideally should be decided in collaboration with the initiator and, if necessary, with the CAB; but it should not be left to the initiator alone, as a higher priority than is really justified may result. Risk assessment is of crucial importance at this stage. The CAB will need information on business consequences in order to assess effectively the risk of implementing or denying the change.
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Change ManagementPrioritization
Every RFC should be allocated a priority that is based on the impact of the problem and the urgency of the remedy.
Immediate:Causing loss of service or severe usability problems to a larger number of users, a mission-critical system, or some equally serious problem. Immediate action required.
High:Severely affecting some users, or impacting a large number of users. To be given highest priority for change building, testing, and implementation resources.
Medium:No severe impact, but rectification cannot be deferred until the next scheduled release or upgrade. To be allocated medium priority for resources.
Low:A change is justified and necessary, but can wait until the next scheduled release or upgrade. Resources to be allocated accordingly.
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
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Figure 6-12. Change Management: Composition of the Change Advisory Board (CAB) should reflect user, customer, and service provider view SM251.0
Notes:
The Change Advisory Board (CAB) is a decision authority, which is made up for the most part of people from other functions within the organization. Note also that it is Configuration Management who are responsible for ensuring that information regarding the possible implications of a proposed change is made available, and that these possible impacts are detected and presented appropriately. There will also be a need to have managers from different areas of the organization within the CAB. The Change Manager is the executive authority within the CAB. CAB is an ITIL term.
There will be occasions when a proposed infrastructure change will potentially have a wider impact upon other parts of the organization (such as application development projects or business operations), or vice versa. To mitigate possible negative impacts from either direction, it is imperative that the infrastructure and other Change Management systems be appropriately interfaced.
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
CAB/ECCAB/EC
Change ManagementComposition of the Change Advisory Board (CAB) should reflect user, customer, and service provider view
CABCAB
Manager
Finance Dept
Problem
Manager
Release Manager
Services Staff
Application
Manager
Service Level
Manager
Change
Manager
(Executive)
Experts,
Technical
Consultants
CAB/EC = Emergency Committee
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 6. Change Management 6-15
Student Notebook
Figure 6-13. Change Management: Optimization can be reached through correlation of RFCs on related CIs SM251.0
Notes:
Configuration Management enables visualization of related CIs. Thus it is possible to globally estimate the impact of an RFC in the whole IT environment. It would be useful to consider the impact of an RFC on related CIs; this will give the support team a better view of the realistic impact on the business, and will reduce bureaucratic expenditure.
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Change ManagementOptimization can be reached through correlation of RFCs on related CIs
Realistic impact of changes and reduction of bureaucratic expenditure
Original request for
change
Original request for
change
Summarized request for changeSummarized request for change
Software CI to be
changed
Correlating
operating CI
Correlating
hardware CI
Correlating
education CI
Configuration Management
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
6-16 ITIL Foundation © Copyright IBM Corp. 2004
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Figure 6-14. Change Management: Interfaces to other SM processes (1) SM251.0
Notes:
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IBM Global Services
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Change ManagementInterfaces to other SM processes (1)
Generate new servicesInform customers
Distribution
Identify affected CIs
Determine effects of
planned changes
Initiate change
Capacity ManagementCapacity Management
Security ManagementSecurity Management
Problem ManagementProblem Management
Service DeskService Desk
Account Management
(for customers)
Account Management
(for customers)
Security ManagementSecurity Management
Availability and IT Services
Continuity Management
Availability and IT Services
Continuity Management
Capacity ManagementCapacity Management
Service Level ManagementService Level Management
Service Build and TestService Build and Test
Service DeskService Desk
Co
nfi
gu
rati
on
Man
ag
em
en
t D
ata
Base
Co
nfi
gu
rati
on
Man
ag
em
en
t D
ata
Base
Service DesignService Design
Financial Mgmt IT ServicesFinancial Mgmt IT Services
Configuration ManagementConfiguration Management
Release ManagementRelease Management Update CMDB
Configuration ManagementConfiguration Management
Change
Management
ProcessTransfer
RFCReports
Status Change Report
......
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 6. Change Management 6-17
Student Notebook
Figure 6-15. Change Management: Interfaces to other SM processes (2) SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Change ManagementInterfaces to other SM processes (2)
Configuration
Management
Configuration
ManagementCapacity
Management
Capacity
Management
Configuration ManagementConfiguration Management Change
Management
Change
ManagementRelease
Management
Release
Management
Check distribution
of new software
or, if required, the
hardware change
Determine
impact
Determine
impact on
business and
IT performance
Approve
change
Configuration
Management
Configuration
Management
Determine
affected areas
Documentation
update CMDB
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
6-18 ITIL Foundation © Copyright IBM Corp. 2004
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Figure 6-16. Change Management: Benefits SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Change ManagementBenefits
Better alignment of IT services to business requirements
Increased visibility and better communication of changes
Improved risk assessment
Reduced adverse impact of changes on service quality and SLA
Fewer backed out failed changes
Better problem and availability management due to management information on accumulated changes
Better productivity of users (fewer disruptions, better service quality)
Better productivity of IT staff, as duties are better planned, and fewer wrong changes
Ability to absorb larger volume of changes
Better perception of IT by the business
Reduction in number of changes with adverse impact because of poor CM
Reduction in number of incidents because of changes
Low number of urgent changes
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 6. Change Management 6-19
Student Notebook
Figure 6-17. Change Management: Risks SM251.0
Notes:
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IBM Global Services
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Change ManagementRisks
Potential problem areas:
Tracking of the change lifecycle easily leads to overload for a paper-based system
Employees try to bypass change management
Untested backup procedures – failing blackout procedures
Integration of external suppliers
Cultural conflicts – lacking acceptance of the change management process
Frequent refusal due to lack of strategic expedience
Possible stagnancy due to continuous analyses
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
6-20 ITIL Foundation © Copyright IBM Corp. 2004
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Figure 6-18. Change Management: Best Practices SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Change ManagementBest Practices
Concurrent integration with configuration and release management
Include the development environment in the change management process
separately from the production environment
Assign process responsibility, if possible, independently from the organisation’s
hierarchy
Conceive separate procedure for urgent changes and standard changes instead of
using the normal change management process
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 6. Change Management 6-21
Student Notebook
Figure 6-19. Change Management: Summary SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Change ManagementSummary
The goal of the change management process is to ensure that standardized
methods and procedures are used for efficient and prompt handling of all changes,
in order to minimize the impact of change-related incidents upon service quality,
and consequently to improve the day-to-day operations of the organization.
Implement only authorized changes; minimize risk and costs.
Request for Change (RFC) applies to all components of the IT infrastructure
Tasks
– Requests for change management, authorize and plan changes, monitor realization, test and implementation, support the ongoing needs of business
CAB and Emergency Committee
Severity/Priority: urgent, high, medium, low
Effect - Category: none to significant effect
Back-out procedure
Process is always closed with change review
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
6-22 ITIL Foundation © Copyright IBM Corp. 2004
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Unit 7. Configuration ManagementWhat This Unit Is About
This unit is an introduction to Configuration Management, and its relationship with IT Services.
What You Should Be Able to Do
After completing this unit, you should be able to think about the mission of this service, and understand its benefits within the ITIL framework.
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 7. Configuration Management 7-1
Student Notebook
Figure 7-1. Unit 07: Configuration Management SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Unit 07Configuration Management
Content:
Configuration Management – objective and overview
Some definitions
Responsibilities and obligations
Important aspects:
– Configuration Management Database (CMDB)
– Interfaces to other SM processes
– Variant and baseline
– License management
Benefits, costs, risks
Best practices
Summary
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
7-2 ITIL Foundation © Copyright IBM Corp. 2004
Student NotebookV3.1.0.1
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Figure 7-2. Configuration Management: Integration into the IPW Model SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Configuration ManagementIntegration into the IPW Model
Source: IPW Model is a trade mark of Quint Wellington and KPN Telecoms
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 7. Configuration Management 7-3
Student Notebook
Figure 7-3. Configuration Management: Mission Statement SM251.0
Notes:
Configuration Management is concerned with selecting and identifying the configuration structures for all the infrastructure's CIs, including their “owner”, their interrelationships, and configuration documentation. It includes allocating identifiers and version numbers for CIs, labelling each item, and entering it on the Configuration Management Database (CMDB). CI and CMDB are both ITIL terms.
4
IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Configuration ManagementMission Statement
Configuration Management provides a logical model for the infrastructure or a service by identifying, controlling, maintaining, and verifying the versions of Configuration Items (CIs) in existence.
Configuration Management covers the identification, recording, and reporting of IT components, including their versions, constituent components, and relationships. Items that should be under the control of Configuration Management include hardware, software, and associated documentation.
The goal of Configuration Management is to provide IT infrastructure control through the identification, registration, monitoring, and management of:
All the Configuration Items of the IT infrastructure in scope
All configurations, versions, and their documentation
All changes, errors, service level agreements, and history of the components in general
Relationships between the different components
Exceptions between configuration records and the real infrastructure
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
7-4 ITIL Foundation © Copyright IBM Corp. 2004
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Figure 7-4. Configuration Management: Tasks SM251.0
Notes:
CM is responsible for records and data associated with a CI, including incidents, known errors, and problems, and corporate data about employees, suppliers, locations, business units, and procedures.
5
IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Configuration ManagementTasks
Specification of versions, configuration status accounting of all current and historical data concerned with each CI throughout its lifecycle
Documentation of the relationship between all CIs
Tracing records about any CI
Ensuring that only authorised changes on a Configuration Item have been implemented
Reviews and audits that verify the physical existence of CIs and check that only authorised and identifiable CIs are accepted and correctly recorded in the Configuration Management system.
CMDB
IT
Infrastructure
IT
Infrastructure
Control
Status proof
Verification
and audit
Planning
Identification
& naming
Configuration Management is responsible for:
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 7. Configuration Management 7-5
Student Notebook
Figure 7-5. Configuration Management: Definition: Configuration Item SM251.0
Notes:
CIs may be hardware, software, or documentation. Examples include services, servers, environments, equipment, network components, desktops, mobile units, applications, licences, telecommunication services, and facilities. Configuration identification includes allocating identifiers for CIs, including individual versions of the CI and their configuration documents. Other records and data associated with a CI include incidents, known errors, and problems, and corporate data about employees, suppliers, locations, business units, and procedures.
Examples of CIs:
• Personal computers • Network components • Service Level Agreements • Manuals • Applications
What do you think is part of your IT infrastructure?
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Configuration ManagementDefinition: Configuration Item
Configuration Items:
Are required to provide services
Should be clearly identifiable
Are submitted for changes
Have to be administered
Configuration Items have:
A category
Relationships
An attribute
A status CI
CI
CI
CICI
All components that are part of the IT infrastructure are called Configuration Items
(CIs).
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
7-6 ITIL Foundation © Copyright IBM Corp. 2004
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Figure 7-6. Configuration Management: Definition: Configuration Item – Scope and Level of Detail SM251.0
Notes:
All configuration items that are under control of the IT organization are registered in the Configuration Management Database (CMDB). CIs have relationships to each other. Every extra detail will bring more work to keep it up to date.
The scope of the Configuration Management database is defined by the area of responsibility of the IT organization.
The level of detail is defined by the need for information of the IT management processes, the control of the information, and the costs and benefits of a CMDB.
The attributes of CIs also depend on the need for information, the control of the information, and the costs and benefits.
The distinction between Configuration Management and Asset Management is the recognition of relationships between CIs.
7
IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Configuration ManagementDefinition: Configuration Item – Scope and Level of Detail
ServiceService
HardwareHardware
SoftwareSoftware Documen-
tation
Documen-
tation EnvironmentEnvironment
L
e
v
e
l
o
f
d
e
t
a
i
l
L
e
v
e
l
o
f
d
e
t
a
i
l
Network
printer
Local
printer
PC
HD KeyboardSLA
USV
Software
bundle
DBMS W.P. e-mail
scopescope
CPU
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 7. Configuration Management 7-7
Student Notebook
Examples of these relationships:
• Hierarchically subjected to (parent-child relation)
• Is part of (a processor is part of a PC)
• Interfaced with (a system is connected to a printer)
• Uses (a program uses a subroutine)
• Is a copy of (program is a copy of ....)
• Is related to (attribute) (serial number, location, status)
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
7-8 ITIL Foundation © Copyright IBM Corp. 2004
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Figure 7-7. Configuration Management: Tasks SM251.0
Notes:
Configuration identification is the selection, identification, and labelling of the configuration structures and CIs, including their respective “owner” and the relationships between them. CIs may be hardware, software, or documentation. Examples include services, servers, environments, equipment, network components, desktops, mobile units, applications, licences, telecommunication services, and facilities. Configuration identification includes allocating identifiers for CIs, including individual versions of the CI and their configuration documents.
Configuration control is concerned with ensuring that only authorized and identifiable CIs are recorded from receipt to disposal. It ensures that no CI is added, modified, replaced, or removed without appropriate controlling documentation, such as an approved change request.
Configuration status accounting is the reporting of all current and historical data concerned with each CI throughout its lifecycle. It enables tracking of changes to CIs and their records, for example tracking the status as a CI changes from one state to another, such as “development”, “test”, “live”, or “withdrawn”.
8
IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Configuration ManagementTasks
Configuration
Management
Configuration
Management
Verification and
AuditStatus
Accounting
Configuration
Control
Configuration
identification
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 7. Configuration Management 7-9
Student Notebook
The first audit must be conducted after the implementation of configuration management. Furthermore, at regular intervals, verification must take place, in other words the registered data within the CMDB will be verified with the actual data.
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
7-10 ITIL Foundation © Copyright IBM Corp. 2004
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Figure 7-8. Configuration Management: Configuration Management Database (CMDB) – Structure Overview SM251.0
Notes:
Many organizations are already using some elements of Configuration Management, often using spreadsheets, local databases, or paper-based systems. In today's large and complex IT infrastructures, Configuration Management requires the use of support tools, which includes a Configuration Management Database (CMDB). Physical and electronic libraries are needed along with the CMDB to hold definitive copies of software and documentation. The CMDB is likely to be based upon database technology that provides flexible and powerful interrogation facilities.
The CMDB should hold the relationships between all system components, including incidents, problems, known errors, changes, and releases. The CMDB also contains information about incidents, known errors, and problems, and corporate data about employees, suppliers, locations, and business units.
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Configuration ManagementConfiguration Management Database (CMDB) – Structure Overview
IT InfrastructureIT Infrastructure
HardwareHardware
SoftwareSoftware
NetworkNetwork
DocumentationDocumentation
Suite 1Suite 1
Suite 2Suite 2
Program 1- 1Program 1- 1
Program 1- 3Program 1- 3
Program 1- 2Program 1- 2
Module 1- 2- 1Module 1- 2- 1
Module 1- 2- 2Module 1- 2- 2
CI Categories
Superordinated CI
(Parent)
Subordinated CI
(Children)
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 7. Configuration Management 7-11
Student Notebook
Figure 7-9. Configuration Management: CMDB – Status of CI SM251.0
Notes:
Status is a mandatory attribute of a CI. Also, status accounting is an activity within Configuration Management. It covers the reporting of all current and historical data concerned with each CI throughout its lifecycle. This enables changes to CIs and their records to be traceable, for example tracking the status of a CI as it changes from one state to another, for instance “under development”, “being tested”, “live”, or “withdrawn”.
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Configuration ManagementCMDB – Status of CI
Lifecycle of a CI
plan
ned
orde
red
in d
evel
opm
ent
In te
st
in s
tock
Live
(in
prod
uctio
n)
in m
aint
enan
cewith
draw
n
CMDB scope
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
7-12 ITIL Foundation © Copyright IBM Corp. 2004
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Figure 7-10. Configuration Management: Interfaces with all other processes SM251.0
Notes:
Configuration Management provides information to other processes of Services Management.
The Configuration Management process interfaces with all other processes:
• Service Desk / Incident Management • Problem Management • Change Management • Release Management • Service Level Management • Availability Management • Capacity Management • IT Service Continuity Management • Financial Management for IT Services • Security Management
Providing accurate information on CIs and their documentation. This information supports all other Service Management processes, such as Release Management, Change
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Configuration ManagementInterfaces with all other processes
Start
Closure
Incident
Problem
Known error
RFC
Approved change
Changed, tested,
implemented
Configuration
Management
Data Base
(CMDB)
Pr o
bl e
m fin
din
g a
nd
so
lutio
n p
r ocess
Finance
Architectures
Strategic processes
Other modules
Service Level
Management
IT Continuity
Management
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 7. Configuration Management 7-13
Student Notebook
Management, Incident Management, Problem Management, Capacity Management, and Contingency Planning. For example, if a new product is available that requires a minimum configuration, Configuration Management can provide information for upgrade planning and replacements.
Controlling valuable CIs. For example, if a computer were stolen then it would have to be replaced. Configuration Management helps IT management to know what its assets are supposed to be, who is responsible for their safekeeping, and whether the actual inventory matches the official one.
Facilitating adherence to legal obligations. Configuration Management maintains an inventory of all items of software within an IT infrastructure. CIs that come to light, via configuration audits or calls to the Service Desk, that are not on this list are not authorized, and may well have not been paid for. Illegal copies can easily be identified, for erasure or destruction.
Helping with financial and expenditure planning. Configuration Management provides a complete list of CIs. It is easy to produce from this list expected maintenance costs and licence fees; maintenance contracts; licence renewal dates; CI life expiry dates; and CI replacement costs (provided that this information is stored). By providing this information, Configuration Management contributes to IT directorates' financial planning.
Making software changes visible. Such changes can be used to trigger investigations by IT management into possible changes that may be needed for data protection, licence management, and regulatory compliance.
Contributing to contingency planning. The CMDB and secure libraries facilitate the restoration of IT service in the event of a disaster, by identifying the required CIs and their location (provided, of course, that they are themselves properly backed up).
Supporting and improving Release Management. Configuration Management information supports the rollout across distributed locations by providing information on the versions of CIs and changes incorporated into a release.
Improving security by controlling the versions of CIs in use. This makes it more difficult for these CIs to be changed accidentally, maliciously, or for erroneous versions to be added.
Enabling the organization to reduce the use of unauthorized software. Unauthorized software, and non-standard and variant builds, all increase complexity and support costs, and so any reduction in their occurrence should bring benefits to the organization.
Allowing the organization to perform impact analysis and schedule changes safely, efficiently, and effectively. This reduces the risk of changes affecting the live environment.
Providing Problem Management with data on trends. Such data will relate to trends in problems affecting particular CI types, such as from particular suppliers or development groups, for use in improving the IT services. This information on problem trends supports the proactive prevention of problems.
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
7-14 ITIL Foundation © Copyright IBM Corp. 2004
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Figure 7-11. Configuration Management: Relationship with Release and Change Management SM251.0
Notes:
Configuration Management has a strong relationship with Change and Release Management. Therefore, these processes are often planned alongside Configuration Management.
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Configuration ManagementRelationship with Release and Change Management
Configuration
Management
Configuration
ManagementChange
Management
Change
ManagementRelease
Management
Release
Management Co
nfig
ura
tion
Ma
na
ge
me
nt D
ata
ba
se
De
finitiv
e S
oftw
are
Lib
rary
Register RFC and
assign ID
Impact analysis
Approve change
Implementation
(includes pre-release
testing for software)
Post-implementation
review
Distribution of
software and
hardware
documentation
Update
documentation
Update
documentation
Reporting of
affected CIs, areas,
and people
Documentation and
configuration audit
Close RFC
Store changed CIs
according to quality
required
Closure
Example: release of new software
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 7. Configuration Management 7-15
Student Notebook
Figure 7-12. Configuration Management: CIs and their relations to other processes SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Configuration ManagementCIs and their relations to other processes
CICI
Incident RecordIncident Record
Problem RecordProblem Record
Service / SLAService / SLA
Known Error RecordKnown Error Record
Change RecordChange Record
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
7-16 ITIL Foundation © Copyright IBM Corp. 2004
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Figure 7-13. Configuration Management: Variant and Baseline SM251.0
Notes:
General guidance is: if a CI can be regarded as slightly different from another related CI, and problems affecting one are likely to affect the other, or changes made to the one will probably have to be made to the other, then use of a variant should be considered; otherwise, a different CI should be used.
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Configuration ManagementVariant and Baseline
Variant
Configuration items with same base functionality, but with minor differences (for
example, a printer with additional RAM is a variant of a printer).
Baseline (basis of comparison)
A configuration baseline is the configuration of a product or system established at a
specific point in time, which captures both the structure and details of a configuration. It
serves as a reference for further activities. An application or software baseline provides
the ability to change or to rebuild a specific version at a later date.
A configuration baseline is also a snapshot, or a position, that is recorded. Although the
position may be updated later, the configuration baseline remains fixed as the original
state and is thus available to be compared with the current position. A configuration
baseline is used to assemble all relevant components in readiness for a change or
release, and to provide the basis for a configuration audit and regression, for example
after a change.
The Configuration Management system should be able to save, protect, and report on a
configuration baseline, its contents, and documentation.
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 7. Configuration Management 7-17
Student Notebook
Figure 7-14. Configuration Management: Licence Management SM251.0
Notes:
Licence Management is part of Configuration Management.
Company directors, senior managers, and others are liable to face imprisonment and fines if illegal software is found to be in use within their enterprise. Configuration Management enables an enterprise to monitor and control software licences, from purchase to disposal. Software licence structures, and corporate and multi-licensing schemes, need to be understood and communicated to service-provider staff and Customers.
Responsibility for controlling and auditing software licences should be unambiguous and should involve purchasing and Asset or Configuration Management. This may be difficult when Users find it so easy to purchase and download software from the Internet, but this can be resolved by links to disciplinary procedures detailed within the organization’s Security Policy.
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Configuration ManagementLicence Management
Responsibility for controlling and auditing software licences should be
unambiguous and involves purchasing and Asset or Configuration Management.
Company directors, senior managers, and others, are liable to face
imprisonment and fines if illegal software is found to be in use within their
enterprise.
Purchase of unnecessary licences wastes resources.
Configuration Management enables an enterprise to monitor and control
software licences, from purchase to disposal.
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
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Figure 7-15. Configuration Management: Benefits SM251.0
Notes:
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Configuration ManagementBenefits
Improved Asset Management
Helps to minimize risks of changes
Provides accurate information on CIs and their documentation
Improves security by controlling the versions of CIs in use
Facilitates adherence to legal obligations
Helps in financial and expenditure planning
Supports Release Management and Service Level Management
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 7. Configuration Management 7-19
Student Notebook
Figure 7-16. Configuration Management: Costs SM251.0
Notes:
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Configuration ManagementCosts
Costs are outweighed by benefits, because Configuration Management allows
handling of a large volume of changes, thus keeping quality. Configuration
Management control reduces risks of viruses, wrong software, fraud, theft, and so
on.
Staff costs for developing and running procedures
Hardware and software configuration identification
Hardware and software for the CMDB & DSL
Customization of Configuration Management tool
Integration with other Service Management tools
Training and education
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Figure 7-17. Configuration Management: Risks SM251.0
Notes:
CIs are defined at the wrong level with too much detail (so that staff become involved in unnecessary work) or too little detail (so that there is inadequate control).
Implementation is attempted without adequate analysis and design. The end result is, consequently, not what is required.
Tactical schedules are over-ambitious. Configuration Management may be perceived as a bottleneck if adequate time is not built into schedules to allow staff to carry out their duties. When changes and releases are being scheduled, past experience of the time taken to complete Configuration Management activities should be taken into account. IT management needs to be proactive in providing automated facilities for activities on the critical path and to make it clear that time should be allowed for Configuration Management.
Commitment is lacking. Without a firm commitment to the processes from managers, it is difficult to introduce the controls that some staff would prefer to avoid. Examples of poor Change Management and Configuration Management can often convince managers of the need for better control.
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Configuration ManagementRisks
Potential problem areas:
CIs with too much or too little detail
Interfaces to other systems in which CI information is stored
Keep the information in the CMDB accurate
Roles and responsibilities
Lack of configuration control
Overambitious schedules and unrealistic expectations
No commitment from management
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 7. Configuration Management 7-21
Student Notebook
The process is perceived to be too bureaucratic or rigorous. Consequently, individuals and groups use this as an excuse for not following the process.
The process is routinely circumvented. Some people will try to circumvent Configuration Management in the interests of speed or with malicious intent. Attempts should be made to overcome this problem by making such people aware of the benefits of Configuration Management.
Processes are inefficient and error-prone. This is often the case where manual processes are in use. In almost all cases it is advisable to choose an automated solution from the outset.
Expectations of what the tool can do are unrealistic. Staff and managers may expect a Configuration Management tool to deliver a total solution and end up blaming the tool for processes or people that appear insufficient for the task.
The chosen tool may lack flexibility. Problems can occur when the Configuration Management tool does not allow for new requirements or does not support all CI categories.
Configuration Management has been implemented in isolation. If Configuration Management is implemented without Change Management or Release Management, it is much less effective and the intended benefits may not be realized.
Expectations of what the Configuration Management process can do are unrealistic. Asset and Configuration Management cannot and should not be expected to make up for poor project management or poor acceptance testing. Poorly controlled installations and test environments will affect the quality of releases and result in additional incidents, problems, and changes, which will in turn require additional resources.
Proper configuration control is not in place. For example, Configuration Management may be difficult where Users have the ability to purchase, download, and install software from the Internet.
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
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Figure 7-18. Configuration Management: Best Practices SM251.0
Notes:
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Configuration ManagementBest Practices
Early establishment of configuration management
Show the extraordinary significance of the database thus created
Enforce the compliance of change management processes
Meticulous selection and design of support tools
Inventory should be tool supported and automated
"You can only control what you know or what is documented."
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© Copyright IBM Corp. 2004 Unit 7. Configuration Management 7-23
Student Notebook
Figure 7-19. Configuration Management: Summary SM251.0
Notes:
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Configuration ManagementSummary
Configuration Management provides a logical model of the infrastructure or a
service by identifying, controlling, maintaining, and verifying the versions of
Configuration Items (CIs) in existence.
Activities: planning, identification and registration, status accounting, control,
verification and audit, reporting, role for the evaluation of change effects.
Configuration Items: categories, attribute, relationships, status, unique
reference number
Configuration Management Database (CMDB)
Scope and level of detail of CMDB (value of information)
Variant and Baselines
Licence Management
Configuration Management process supports all other service management
processes
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Unit 8. Release ManagementWhat This Unit Is About
This unit is an introduction to Release Management, and its relationship within IT Services.
What You Should Be Able to Do
After completing this unit, you should be able to think about the mission of this service, and understand its benefits within the ITIL framework.
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 8. Release Management 8-1
Student Notebook
Figure 8-1. Unit 08: Release Management SM251.0
Notes:
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ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Unit 08Release Management
Content:
Release Management – objective and overview
Responsibilities and obligations
Some definitions
Important aspects:
– Definitive software library/definitive hardware store
– Software release
Benefits, costs, risks
Best practices
Summary
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Figure 8-2. Release Management: Integration into the IPW Model SM251.0
Notes:
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ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Release ManagementIntegration into the IPW Model
Source: IPW Model is a trade mark of Quint Wellington and KPN Telecoms
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 8. Release Management 8-3
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Figure 8-3. Release Management: Mission Statement SM251.0
Notes:
Software Control & Distribution (SC&D) is more than just application software. Software items are operating systems software, middleware configurations, and application software. In addition to startup scripts and configuration scripts, firmware is also included under software items.
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Release ManagementMission Statement
Release Management takes a holistic view of a change to an IT service, and should ensure that all aspects of a release, both technical and non-technical, are considered together.
Release Management should be used for:
Large or critical hardware rollouts, especially when there is a dependency on a
related software change in the business systems, in other words not every single
PC that needs to be installed
Major software rollouts, especially initial instances of new applications along with
accompanying software distribution and support procedures for subsequent use if
required
Bundling or batching related sets of changes into manageable-sized units
Release Management undertakes the planning, design, building, configuration, and testing of hardware and software to create a set of release components for a live environment. Activities also cover the planning, preparation, and scheduling of a release to many customers and locations.
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Figure 8-4. Release Management: Goal SM251.0
Notes:
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Release ManagementGoal
Plan and oversee successful rollout of software and hardware releases
Design and implement efficient procedures for distribution and installation of
changes to IT systems
Ensure changes in hardware and software are traceable, authorized, tested, and
correct
Communicate and manage expectations to the customer during planning and
rollout of releases
Agree content and rollout plan for the release, through Change Management
Implement software and hardware releases in operational environment using
controls from Configuration Management and Change Management
Ensure that all master copies of all software are secured in the DSL and that the
CMDB is updated
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 8. Release Management 8-5
Student Notebook
Figure 8-5. Release Management: Why Release Management SM251.0
Notes:
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Release ManagementWhy Release Management
Software is increasingly considered as an important capital value with even a strategic importance. The control of software is therefore mandatory. Some of the most important aspects are:
Preventive measures (for example, to avoid pirate copies)
Consistency (for example, compatibility of client programmes with server programmes)
Licences (for example, software should not be used by more than the agreed number of users simultaneously)
Release management is responsible for the storage of authorized software (self-developed, purchased or licensed applications, or utility software), the release of software in a production environment, the distribution of software to remote locations, as well as the implementation of software to make it operational.
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
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Figure 8-6. Release Management: Tasks SM251.0
Notes:
The Release Management process takes a holistic view of changes to IT services, considering all aspects of a release, both technical and non-technical. Release Management is responsible for all legal and contractual obligations for all hardware and software in use within the organization. In order to achieve this and to protect the IT assets, Release Management establishes secure environments, both for hardware in the Definitive Hardware Store (DHS), and for software in the Definitive Software Library (DSL).
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Release ManagementTasks
Release
Management
Release
Management
Definition of release
guidelines
Monitoring of the
release creation
Management of
the releases
Distribution of
software, hardware,
and linked CIs
Control of the
Definitive Software
Library (DSL) and
DHS
Performing software
and hardware audits
(using CMDB)
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 8. Release Management 8-7
Student Notebook
Figure 8-7. Release Management: Definitions SM251.0
Notes:
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Release ManagementDefinitions
Release: a collection of authorized changes to an IT service. Often divided into:
Major software releases and hardware upgrades
Minor software releases and hardware upgrades
Emergency software and hardware fixes
Release Unit: portion of IT infrastructure that is normally released together.
Full Release: all components of the Release Unit are built, tested, and implemented
together. Reduced likelihood of untested errors; longer time to implement.
Delta Release: includes only those CIs in the Release Unit that have actually changed
since the last release.
Package Release: grouping of Full and Delta Release to reduce the frequency of
releases. Reduces probability of outdated or incompatible software in use.
Definitive Software Library (DSL): Secure compound containing all definitive
authorized versions of all SW CIs (master copies). Also for master copies of
documentation.
Definitive Hardware Store: secure area containing definitive hardware spares.
CMDB: contains definitions of planned releases, and CIs impacted by planned and past
releases.
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Figure 8-8. Release Management: Major Activities of Release Management SM251.0
Notes:
The main components to be controlled are:
• Application programs developed in-house
• Externally developed software (including standard off-the-shelf software as well as customer-written software)
• Utility software
• Supplier-provided systems software
• Hardware, and hardware specifications
• Assembly instructions and documentation, including user manuals.
All deliverables need to be managed effectively, from development or purchasing, through customization and configuration, through testing and implementation, to operation in the live environment.
This figure outlines the major activities in Release Management and their position in the lifecycle of a change. Configuration Management records should be updated during build
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Release ManagementMajor Activities of Release Management
Development EnvironmentDevelopment Environment Controlled Test EnvironmentControlled Test Environment Live
Environment
Live
Environment
Rele
ase P
olicy
Rele
ase P
olicy
Rele
as
e P
lan
nin
gR
ele
as
e P
lan
nin
g
De
sig
n,
De
velo
pm
en
t,
Pro
cu
rem
en
t
De
sig
n,
De
velo
pm
en
t,
Pro
cu
rem
en
t
Bu
ild
& C
on
fig
ure
Bu
ild
& C
on
fig
ure
Fit
-fo
r-P
urp
ose
Te
sti
ng
Fit
-fo
r-P
urp
ose
Te
sti
ng
Rele
as
e A
cc
ep
tan
ce
Rele
as
e A
cc
ep
tan
ce
Ro
ll-O
ut
Pla
nn
ing
Ro
ll-O
ut
Pla
nn
ing
Co
mm
un
ica
tio
n,
Pre
para
tio
n,
Tra
inin
g
Co
mm
un
ica
tio
n,
Pre
para
tio
n,
Tra
inin
g
Dis
trib
uti
on
&
Ins
tall
ati
on
Dis
trib
uti
on
&
Ins
tall
ati
on
CMDB with Definitive Software Library (DSL)CMDB with Definitive Software Library (DSL)
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 8. Release Management 8-9
Student Notebook
and release to ensure that there are trusted releases that can be reverted to in case of problems. A release should be under Change Management, and the content and timing of a release should be authorized in advance via the Change Management process.
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
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Figure 8-9. Interactions SM251.0
Notes:
Some subprocesses of release management.
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Service
Provider
Service
ProviderUserUser
System support
Application support
Update of the CMDB
System reload
Software roll-out
Individual software installation
Transmission of error protocols
Transmission of error protocolsHardware inventoryHardware inventory CMDBCMDBDocumentation of the
software configuration
Documentation of the software configurationConfigurationConfiguration
Softwareinstallation
Softwareinstallation
Softwaremanagement
Softwaremanagement
Installation monitoring
Installation monitoring ConfigurationConfiguration Function testingFunction testingSoftware
transmission
Software transmission
Application support
Application supportApplicationsApplications Configuration checkConfiguration checkGuidance to usersGuidance to usersRemote operation of the
application
Remote operation of the application
Updates and patches
Updates and patches
System support
System support
System technology
System technology
Installation of updates
Installation of updates
Update / configuration of PC and ISDN technology
Update / configuration of PC and ISDN technology
System support
System supportBase systemBase system Reinstallation of the base systemReinstallation of the base system User-specific configurationUser-specific configuration
Directed information flow
Directed information flow
Time
Individualprograms
Individualprograms
Individualprograms
Individualprograms
Installation and configuration of individual programmes
Installation and configuration of individual programmes Installation of updatesInstallation of updates
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 8. Release Management 8-11
Student Notebook
Figure 8-10. Release Management: DSL and DHS SM251.0
Notes:
The Definitive Software Library (DSL) is the term used to describe a secure compound in which the definitive authorized versions of all software CIs are stored and protected. This one storage area may, in reality, consist of one or more software libraries or file-storage areas that should be separate from development, test, or live file-store areas. It contains the master copies of all controlled software in an organization. The DSL should include definitive copies of purchased software (along with licence documents or information), as well as software developed on-site. Master copies of controlled documentation for a system will also be stored in the DSL in electronic form.
DHS - An area should be set aside for the secure storage of definitive hardware spares. These are spare components and assemblies that are maintained at the same level as the comparative systems within the live environment. Details of these components and their respective builds and contents should be comprehensively recorded in the CMDB. These can then be used in a controlled manner when needed for additional systems or in the recovery from major incidents. Once their (temporary) use has ended, they should be returned to the DHS or replacements obtained.
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Release ManagementDSL and DHS
DSL = Definitive Software Librarycontains the master copies of all controlled software in an organization
DHS = Definitive Hardware Storesecure storage of definitive hardware spares
These are spare components and assemblies that are maintained at the same level as the comparative systems within the live environment.
Details of these components and their respective builds and contents are comprehensively recorded in the CMDB.
Logical
Storage
Physical
Distribution
Physical
Storage
Release issue
Quality Control
(Viruses / Licence /
Test /
Completeness)
Software and
linked
Configuration
Items
DSL
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
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Figure 8-11. Release Management: Software Release SM251.0
Notes:
Please note the following for the slide:
Full Release
The major advantage of full releases is that all components of the release unit are built, tested, distributed, and implemented together. There is no danger that obsolete versions of CIs that are incorrectly assumed to be unchanged will be used within the release. There is less temptation to short-circuit testing of supposedly unchanged CIs and of the interfaces from changed CIs to unchanged ones.
Any problems are therefore more likely to be detected and rectified before entry into the live environment. The disadvantage is that the amount of time, effort, and computing resources needed to build, test, distribute, and implement the release will increase. Although in some circumstances the testing of a delta release (see below) may need to be as extensive as that for an equivalent full release, the amount of building effort required to test a delta release is normally less than for a full release.
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Release ManagementSoftware Release
Release UnitDetermines the content of the software package
Release Types
Full Release (All software CIs from the release are built, tested, and implemented together.)
Delta Release (includes only those CIs within the Release unit that have actually changed or are new since the last full or delta release.)
Package Release (individual releases (full units, delta releases, or both) are grouped together to form Package Releases.)
Emergency Fix
Mainframes
Software
Management
System
Network
Computer
Planning
Software
Distribution
Software
Distribution
Laptops
PCs
Client/Server
CDs
Internet
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 8. Release Management 8-13
Student Notebook
Regression testing as part of the process of implementing a full release allows a large number of components to be retested to ensure that there is no degradation in system function or behavior.
An example of a full release could consist of the complete release of a new version of client desktop software, or client desktop hardware, or both.
Delta Release
A delta, or partial, release is one that includes only those CIs within the release unit that have actually changed or are new since the last full or delta release. For example, if the release unit is the program, a delta release contains only those modules that have changed, or are new, since the last full release of the program or the last delta release of the modules.
There may be occasions when release of a full unit cannot be justified. In such cases, a delta release may be more appropriate. A decision should be made on whether delta releases are allowed, and under what circumstances. There is no single “correct” choice. It is recommended that delta releases be allowed, with the decision being taken on a case by case basis.
In each case, the Change Advisory Board (CAB) should make a recommendation, based upon all the relevant facts, on whether the release unit stipulated in the release policy is appropriate, or whether a delta release is preferable. In making its recommendation, the CAB should take into account:
• The size of a delta release in comparison with a full release, and hence the resources and effort required
• The urgency of the need for the facilities to be provided by the release to the users
• The number of CIs (below the release unit level) that have changed since the last full release; a very large number may enforce a full release
• The possible risk to the business if compatibility errors are found in the release (for example, would it be preferable to wait for a full release than to risk interface problems arising with a delta release?)
• The resources available for building, testing, distributing, and implementing the delta release (for example, if implementation is to be via non-technical staff, is it easier to implement a complete new release than a delta release?)
• The completeness of impact analysis information to make an informed and objective decision.
Package Release
To provide longer periods of stability for the live environment by reducing the frequency of releases, it is recommended that, where appropriate and where the resulting larger amount of change can be confidently handled without problems, individual releases (full units, delta releases, or both) are grouped together to form “package releases”. For example, changes to one system or suite will often require changes to be made to others. If all these
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changes have to be made at the same time, they should be included in the same package release.A package can, for example, contain an initial version of a new TP service, several new versions of batch programs, a number of new and initial versions of individual modules, together with the release of a complete new desktop system (both hardware and software). Both full and delta releases may be included.
The use of package releases can reduce the likelihood of old or incompatible software being wrongly kept in use. It can encourage organizations to ensure that all changes that should be made concurrently, in different suites and systems, are actually made concurrently. It can also encourage organizations to test the interworking of these suites and systems fully.
Care should be taken, however, not to exceed, in any particular package release, the amount of change that can be handled comfortably. When making a decision on what to include in the package, care should be taken to ensure that the full impact of all individual parts on each other part is understood and has been properly assessed.
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 8. Release Management 8-15
Student Notebook
Figure 8-12. Release Management: Benefits SM251.0
Notes:
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ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Release ManagementBenefits
Greater success rate in hardware and software release, hence improved QOS delivered to the business
Consistency in the release processes of hardware and software environments
Less disruption of service to business by synchronizing releases having impact on different components
Assurance that hardware and software in use is of known quality, because releases are built properly (quality control, testing, under Change Management)
More stable environment, as changes are bundled into releases, hence fewer implementations required
Better expectation level because of release schedule
Audit trail of changes
Control and safeguarding of hardware and software assets
Higher rate of changes can be absorbed without affecting IT QOS by using a release comprising multiple changes
Lower probability of illegal copies in environment
Easier detection of wrong versions and unauthorized copies
Reduced time to release and fewer delays
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8-16 ITIL Foundation © Copyright IBM Corp. 2004
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Figure 8-13. Release Management: Costs SM251.0
Notes:
This slide discusses the costs of building the DSL and the DHS. For secure release distribution, a secure network is needed. The staff who support the process and the tailoring of the process will generate expense.
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Release ManagementCosts
Resources
– Software: supported software tools, database
– Security for DSL
– Hardware and equipment, especially data storage
– Spare components (DHS)
– Network resources (remote control)
Staff:
– Salary, training
– Tests
Tailoring of the process
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 8. Release Management 8-17
Student Notebook
Figure 8-14. Release Management: Risks SM251.0
Notes:
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Release ManagementRisks
Potential problem areas:
Establishment of version and release guidelines with external suppliers
Bypass defined procedures
Creation of the definitive software library
DSL integration using automatic software distribution
Ensure that version numbering guidelines comply with releases
Staff resistance to procedures because of lack of knowledge of benefits.
Education is required.
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Figure 8-15. Release Management: Best Practices SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Release ManagementBest Practices
Physical storage of all operational software in the definitive software library
(DSL)
Distribution of each software item from the DSL. Use of the DSL as source
for distribution.
Integration of Release Management (operational), Change Management
(control), and Configuration Management (control and administration)
Control of each software item using release, version, and package
guidelines
Release Management process also for additionally purchased software (not
only for self-developed software)
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 8. Release Management 8-19
Student Notebook
Figure 8-16. Release Management: Summary SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Release ManagementSummary
Release Management undertakes the planning, design, building, configuration,
and testing of hardware and software to create a set of release components for a
live environment. The focus is to protect the live environment and services
through the implementation of formal procedures and release checks.
A Release is a collection of authorized changes to an IT service.
Responsibilities: control of the DSL, definition, building and management of
software releases, distribution of software CIs, software audits
Release types: Full, Package, Delta Release, and Emergency Fix
DSL and DHS
Process relationship
– Release Management (Operational)
– Change Management (Control).
– Configuration Management (Control and Administration).
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
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Unit 9. Service Level ManagementWhat This Unit Is About
This unit is an introduction to Service Level Management, and its relationship within IT Services.
What You Should Be Able to Do
After completing this unit, you should be able to think about the mission of this service, and understand its benefits within the ITIL framework.
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 9. Service Level Management 9-1
Student Notebook
Figure 9-1. Unit 09: Service Level Management SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Unit 09Service Level Management
Content:
Service Level Management – objective and overview
Responsibilities and obligations
Some definitions
Important aspects:
– Service Level Agreement (SLA)
– Service spec sheet
Benefits, risks, costs
Best practices
Summary
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
9-2 ITIL Foundation © Copyright IBM Corp. 2004
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Figure 9-2. Service Level Management: Integration into the IPW Model SM251.0
Notes:
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ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Service Level ManagementIntegration into the IPW Model
Source: IPW Model is a trade mark of Quint Wellington and KPN Telecoms
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 9. Service Level Management 9-3
Student Notebook
Figure 9-3. Service Level Management: Mission Statement SM251.0
Notes:
Service Level Management is the name given to the processes of planning, coordinating, drafting, agreeing, monitoring, and reporting on SLAs, and the ongoing review of service achievements to ensure that the required and cost-justifiable service quality is maintained and gradually improved. SLAs provide the basis for managing the relationship between the provider and the customer.
What is an SLA?
A written agreement between an IT service provider and the IT customer(s), defining the key service targets and responsibilities of both parties. The emphasis must be on agreement, and SLAs should not be used as a way of holding one side or the other to ransom. A true partnership should be developed between the IT provider and the customer, so that a mutually beneficial agreement is reached, otherwise the SLA could quickly fall into disrepute and a culture of blame prevent any true service quality improvements from taking place.
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Service Level ManagementMission Statement
The goal for Service Level Management is to maintain and improve IT service quality, through a constant cycle of agreeing, monitoring, and reporting upon IT service achievements and instigation of actions to eradicate poor service, in line with business or cost justification. Through these methods, a better relationship between IT Services and its customers can be developed.
Service Level Management (SLM) is essential in any organization so that the level of IT service needed to support the business can be determined, and monitoring can be initiated to identify whether the required service levels are being achieved - and if not, why not.Service Level Agreements (SLA), which are managed through the SLM Process, provide specific targets against which the performance of the IT organization can be judged.
The following belong to the scope of Service Level Management::
Service relationship customer - supplier
Improved specification and knowledge of service demands
Higher flexibility and reaction readiness of the service provider
Balanced relation between customer demands and service costs
Measurable service level
Objective conflict solution
Quality improvement (continuous review)
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Figure 9-4. Service Level Management: Why Service Level Management SM251.0
Notes:
5
IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Service Level ManagementWhy Service Level Management
Service Level Management (SLM) is responsible for the qualitative and quantitative management of the services provided by the IT organization to its customers. An essential element in the service management level process is the service level agreement (SLA), a "contract" between the IT organization and its customers, that specifies the services to be delivered. Qualitative as well as quantitative details such as performance and availability of those services are specified within the SLA.
A Service Level Agreement (SLA) is important for the judgement and execution of most activities in the IT organization. SLAs provide the basis for managing the relationship between the provider and the customer.
Due to organizational and cultural effects, the SLM process is one of the most important but also the most complex. It formalizes the relationship between the customer organization and the IT organization. The SLA can also serve as a catalyst to demonstrate the necessity of further important ITSM processes and their contributions to the fulfilment of the SLA.
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 9. Service Level Management 9-5
Student Notebook
Figure 9-5. Service Level Management: SLM – Balance service capabilities and service requirements SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Service Level ManagementSLM – Balance service capabilities and service requirements
Knowledge of business requirement
Knowledge of the service catalog
Knowledge of business requirement
Knowledge of the service catalog
Demand for IT services
Offer
IT services
Requirement Capabilities
Service Provider Primary Issues:
•Efficiency
•Effectiveness
Customer Primary Issues:
•Cost, Convenience
•Satisfaction
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Figure 9-6. Service Level Management: Definitions SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Service Level ManagementDefinitions
Service Level Agreement (SLA): agreement between IT service provider and the IT
customer(s), detailing key service targets and responsibilities of both parties.
Operational Level Agreement (OLA): agreement between IT service provider and
other internal service providers on which the service depends.
Underpinning Contract (UC): contract with external IT service providers (for hardware
or software).
Service Catalog (SC): list of all IT services provided which can come into scope for
SLAs. Also lists users of the service and their maintainers.
Service Level Requirement (SLR): list of all customer requirements for the service.
Service Improvement Program (SIP): Management can instigate a SIP to identify and
implement whatever actions are necessary to overcome any difficulties and restore
service quality.
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© Copyright IBM Corp. 2004 Unit 9. Service Level Management 9-7
Student Notebook
Figure 9-7. Service Level Management: Tasks SM251.0
Notes:
The tasks which belong to SLM activities include those shown on the slide.
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Service Level ManagementTasks
Service Level
Management
Service Level
Management
Service
catalog
Customer
relationship
care
Monitoring,
review, and
evaluationService
improvement
program
Operational
level agreements
and contracts (UC)
Service level
agreement
Demand of
service level
Service specification
sheet (service
specification)
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Figure 9-8. Service Level Management: Service Level Management Activities SM251.0
Notes:
The main activities within the SLM process are shown on the slide.
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Service Level ManagementService Level Management Activities
Identify existing service levels
and new requirements
Agree on SLAs
and maintain
Service Catalog
Monitor and
evaluate
service levels
versus SLAs
Report to the
customer and
IT organization
Define offerings with OLAs and Underpinning
Contracts
Review and
adjust service
provision, SLA
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 9. Service Level Management 9-9
Student Notebook
Figure 9-9. Service Level Management: Manage relationship with customers and suppliers (internal and external) SM251.0
Notes:
To define the service which a IT organization should provide, an SLA is a mandatory contract. To ensure delivery of service, the IT organization needs an underpinning contract with its suppliers.
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Service Level ManagementManage relationship with customers and suppliers (internal and external)
Business Context IT Provider Internal IT Provider
Serv
ice L
evel
Man
ag
em
en
t IT Organizations
Network
Operating ...
HW
OLA
UC
IT customer
SLA
SLA
External Provider
Service
Portfolio
Service Level Agreement
(SLA)A written agreement between an IT Service Provider and the IT Customer(s).
An SLA should have a commercial and a legal part.
Operational Level Agreement
(OLA)A contract or agreement with an internal supplier covering delivery of services.
An OLA has no legal part.
Underpinning Contract (UC)A contract with an external supplier covering delivery of services
A UC should have a commercial and a legal part.
A UC is a SLA with the external supplier or provider‘s point of view
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Figure 9-10. Service Level Management: Different points of view: Communication SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Service Level ManagementDifferent points of view: Communication
The communication between all individuals concerned is a
key factor for effective and efficient SLAs!
Negotiation of
service level
agreements
Legal:
Contract law, handling,
disputes, penalties
SLA
Commercial:
Accounting, charging
Technical:
Tools, methods,
metrics collection procedures
Customer’s point of view:
Reaction time, service time,
...
Staff point of view:
Operational specification,
education, administration
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© Copyright IBM Corp. 2004 Unit 9. Service Level Management 9-11
Student Notebook
Figure 9-11. Service Level Management: Content of a Service Level Agreement (SLA) SM251.0
Notes:
Not a fixed rule: some of the content items are mandatory, and others are not.
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Service Level ManagementContent of a Service Level Agreement (SLA)
Service Level
Agreement
Service Level
Agreement
Name, date,
parties,
signatures
Management
reporting, review
methods
Service
specification
sheet
Quality
objectives, care
and support
Concerned parties,
roles and
responsibilities
General information:
contact persons,
escalation, penalties,
definitions
SLA release
management and
service change
procedures
Version numbers,
dates, contents,
signatures
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Figure 9-12. Service Level Management: Service Level Agreement (SLA) – Basic Structure SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Service Level ManagementService Level Agreement (SLA) – Basic Structure
• Costs accounting and charging
• Bonus/Malus Regulation
• Validity
• Name of the client or customer
• Business field, products
• Type of service or product
Definition and scope of business
Customer requirements
Process steps description for the product handling
• Agreed quality standards
Availability
“Deadlines” for same-day handling
Quality degrees
Emergency regulation (reference to emergency concepts)
Incidents
Claims and escalation procedures
• Action plans
Reports
Periodic checks
Q circle
• Prerequisites that have to be fulfilled by the customer or client
... + signatures of the
contract partners
Recourse claims for
non-compliance of SLAs
-> liability regulation
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© Copyright IBM Corp. 2004 Unit 9. Service Level Management 9-13
Student Notebook
Figure 9-13. Service Level Management: Service Level Agreement (SLA) – Legal Contents SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Service Level ManagementService Level Agreement (SLA) – Legal Contents
§ Preamble § Costs and performance clearing
§ Change Management § Performance control, measuring method
§ Scope § Reporting
§ General conditions § Failure of provision
§ Cooperation duties of the customer § Penalties
§ Consulting § Warranty, liability, damages
§ Education § Duration of contract
§ Performance description § Extraordinary termination
§ Backup and data protection § Conversion
§ Limitations, restrictions, exclusions § Claim to working results
§ Priorities § Venue
§ Escalations § Writing
§ Other obligations § Final provision
§ Secrecy
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Figure 9-14. Service Level Management: Elements of a Service Spec Sheet SM251.0
Notes:
The specification sheet specifies in detail what the customer wants (external), and what consequences this has for the service provider (internal), such as required resources and skills.
15
IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Service Level ManagementElements of a Service Spec Sheet
Name, date,
parties
Procedures for
changes, delivery,
recovery action
Security, backup
and recovery,
contingency,
security
Service levels,
availability,
performance
Supplied
products and
accessories
Service time
and location, terms
of delivery and
financial terms
Service description,
date, duration,
signatures
Service
specification
sheet
Service
specification
sheet
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 9. Service Level Management 9-15
Student Notebook
Figure 9-15. Service Level Management: Benefits SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Service Level ManagementBenefits
Improvement in IT service quality and reduction of service outages can lead to
significant financial savings
Satisfied customers and better customer relationship
Clearer view between both parties on roles and responsibilities
Specific targets that have to be achieved and that can be measured and reported
Focusing of IT effort on what the business thinks is key
IT and customers have consistent expectations on the level of service required
Identification of weak areas that can be remedied subsequently
SLM underpins supplier management and vice-versa
IT services are designed to meet Service Level Requirements
SLAs can be the basis for charging, and are the demonstration of what customers
receive for their money.
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
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Figure 9-16. Service Level Management: Risks SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Service Level ManagementRisks
Potential problem areas:
Monitoring actual achievements and having the same perception as the customer.
This impacts the following:
– Committing only to achievable targets
– Verifying targets prior to agreement
– SLAs based on desires rather than achievable targets
Inadequate resources and time – SLA management done in the margin of …
Too low seniority for SLA manager
SLAs not supported by adequate UCs and OLAs
Unclear definition of responsibilities of each party, making some things fall between
the “cracks”
IT-based rather than business-aligned
Business not knowing its requirements
Not focused SLAs
SLAs being considered as overhead rather than chargeable service
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© Copyright IBM Corp. 2004 Unit 9. Service Level Management 9-17
Student Notebook
Figure 9-17. Service Level Management: Costs SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Service Level Management
Costs
The costs for SLM should be viewed as investment and added value.
Staff: salaries, training, consultancy – initial and ongoing
Support tools and hardware
Marketing costs
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
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Figure 9-18. Service Level Management: Best Practices SM251.0
Notes:
19
IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Service Level ManagementBest Practices
Show the winning of business oriented to SLA
Clearly differentiate Service Level Management (Process) from Service
Level Agreements (Contract)
Charging on SLA basis and not globally
Clear definition in a clear language of SLA for all parties
SLA Definition only as an activity of the Service Level Management process
Each SLA should be supported by its own OLAs and UCs
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 9. Service Level Management 9-19
Student Notebook
Figure 9-19. Service Level Management: Summary SM251.0
Notes:
20
IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Service Level ManagementSummary
The goal of SLM: to maintain and gradually improve business-aligned IT
service quality, though a constant cycle of agreeing, monitoring, reporting, and
reviewing IT service achievements, and through instigating actions to eradicate
unacceptable levels of service
Important reasons for implementing Service Level Management: alignment of
expectations, which is a major prerequisite for running the service organization as
a business; improvement of service quality (customer-oriented) through
measurable service levels
Responsibilities: care of customer relations; planning and maintenance of the
service catalog; drafting of SLRs; negotiation, preparation, and monitoring of
higher service overall contracts, SLAs, OLAs and UCs, as well as plans for
improving service and quality
SLA: Service Level Agreement (duration, service description, transfer rate,
availability, reaction times, signature)
The quality of IT services supports the company’s success!
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Unit 10. Availability ManagementWhat This Unit Is About
This unit is an introduction to Availability Management, and its relationship within IT Services.
What You Should Be Able to Do
After completing this unit, you should be able to think about the mission of this service, and understand its benefits within the ITIL framework.
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 10. Availability Management 10-1
Student Notebook
Figure 10-1. Module 10: Availability Management SM251.0
Notes:
2
IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Module 10Availability Management
Content:
Availability Management – objective and overview
Responsibilities and obligations
Some definitions
Important aspects:
– Uptime, downtime, and availability
– Availability measurement
– Availability reporting
Benefits and risks
Best practices
Summary
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
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Figure 10-2. Availability Management: Integration into the IPW Model SM251.0
Notes:
3
IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Availability ManagementIntegration into the IPW Model
Implementing your Service Desk infrastructure
IPW Model is a trade mark of Quint Wellington and KPN Telecoms
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 10. Availability Management 10-3
Student Notebook
Figure 10-3. Availability Management: Mission Statement SM251.0
Notes:
4
IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Availability ManagementMission Statement
Availability management ensures that IT delivers the right levels of availability required by the business to satisfy its business objectives and to deliver the quality of service demanded by its customers.
Availability Management should ensure that the required level of availability is provided. The measurement and monitoring of IT availability is a key activity to ensure that availability levels are being met consistently. Availability Management should look continuously to optimize the availability of the IT Infrastructure, services, and supporting organisation, in order to provide cost-effective availability improvements that can deliver proven business enhancements to customers.
Goal of Availability Management:
Forecast, planning, and management of services availability, to ensure that:
– All services are based on appropriate and latest CIs
– For CIs not supported internally, appropriate agreements exist with third-party suppliers
– Changes are suggested in order to avoid future service downtime
Ensures that SLA-agreed availability is met
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Figure 10-4. Availability Management: Definitions (1) SM251.0
Notes:
Availability Management
• Availability is the ability of an IT service or component to perform at a stated instant, or over a stated period of time.
• Reliability is the level of freedom from operational failure of the IT service or component.
• Maintainability is the ability to retain in, or restore a service or component to, an operational state.
• Security focuses on the Confidentiality, Integrity, and Availability (CIA) of data.
• Serviceability on its own cannot be measured as a specific metric. It is a measure of the three Availability, Reliability, and Maintainability capabilities of the IT service and components that must be done.
5
IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Availability ManagementDefinitions (1)
Availability: measured by Mean Time Between Failures (MTBF).
Ability of an IT service or component to perform its required function at a
stated instant, or over a stated period of time
Underpinned by reliability, maintainability, serviceability, and resilience of the
IT infrastructure
Reliability: measured by Mean Time Between System Incidents (MTBSI)
Ability to work without operational failure
Depends on the probability of failure of each component, the resilience built
into the IT infrastructure, and the preventive maintenance applied to prevent a
failure from occurring
Maintainability: measured by the Mean Time To Repair (MTTR)
Ability to be retained or restored to an operational state
Depends on anticipation, detection, diagnosis, resolution, recovery from
failures, and restoration of data and IT service
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 10. Availability Management 10-5
Student Notebook
Figure 10-5. Availability Management: Definitions (2) SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Availability ManagementDefinitions (2)
Serviceability: cannot be measured as a specific metric
Ability to maintain the availability, reliability, and maintainability provided by
the contractual agreements with the IT service providers
Resilience: or Fault Tolerance
Ability of an IT service to remain operational in spite of malfunction by one or
more subcomponents
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Figure 10-6. Availability Management: Tasks SM251.0
Notes:
7
IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Availability ManagementTasks
Identification
Availability
Requirements
Monitoring,
Review, and
Assessment
Availability
Improvement
Availability
plan
Availability
planning
Availability
Management
Availability
Management
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 10. Availability Management 10-7
Student Notebook
Figure 10-7. Availability Management: Inputs and Outputs SM251.0
Notes:
8
IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Availability ManagementInputs and Outputs
Inputs:
Availability, reliability, and maintainability
requirements of the business for new or
enhanced IT services.
Business Impact Assessment (BIA)
for each vital business function
underpinned by the IT infrastructure.
Information on IT service and
component failures coming from
incidents and problems.
Configuration and monitoring data
SLA achievements
Outputs:
Availability and recovery design criteria for new or enhanced IT services
Availability techniques that will be deployed to provide additional infrastructure resilience
Availability reporting to reflect the business, IT support, and user perspectives
Monitoring requirement for IT components that allow the detection of deviations in availability
Availability Plan for the proactive improvement of IT infrastructure availability
Availability
Management
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Figure 10-8. Availability Management: Uptime, Downtime, and Availability SM251.0
Notes:
A guiding principle of Availability Management is to recognize that it is still possible to gain customer satisfaction even when things go wrong. One approach to help achieve this requires Availability Management to ensure that the duration of any incident is minimized to enable normal business operations to resume as quickly as possible.
Availability Management should work closely with Incident Management and Problem Management in the analysis of unavailability incidents.
A good technique to help with the technical analysis of incidents affecting the availability of components and IT services is to take an incident “lifecycle” view.
Every incident passes through several major stages. The time elapsed in these stages may vary considerably. For Availability Management purposes, the standard incident “lifecycle”, as described within Incident Management, has been expanded to provide additional help and guidance, particularly in the area of “designing for recovery”.
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Availability ManagementUptime, Downtime, and Availability
MTTR - Mean Time to Repair DOWNTIME Maintainability
MTBF - Mean Time Between Failure UPTIME Availability (Serviceability)
MTBSI - Mean Time Between System Incident Average Reliability Reliability
Incident
Repair
Diagnosis Recovery
Recovery
Incident
Time
Recognition
MTTR
MTBF
MTBSI
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 10. Availability Management 10-9
Student Notebook
MTBF (Mean Time Between Failures) is the average elapsed time from the time an IT service or supporting component is fully restored until the next occurrence of a failure to the same service or component
MTBSI (Mean Time Between System Incidents) is the average elapsed time between the occurrence of one failure and the next failure
MTTR (Mean Time To Repair) is the average elapsed time from the occurrence of an incident to resolution of the incident.
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Figure 10-9. Availability Management: Availability Measurements (1) SM251.0
Notes:
This slide shows some of the simple mathematics required to enable component and total Infrastructure Availability to be calculated. This information is needed to help formulate availability targets for IT components and IT services. Additionally, these output calculations can be input to any availability modeling tools that are available.
The examples provided in this section are fairly straightforward, with the calculations presented being sufficient to provide adequate estimates of availability. Where more detailed estimates of availability are required, it may be necessary to research more complex mathematical calculations. The statistical analysis of incident data and the forecasting of availability are a rich study field in many industries outside IT, such as electronics and aviation.
10
IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Availability ManagementAvailability Measurements (1)
When is a service not available?
”A service is not available to a customer if the locally required functions cannot
be used, although the agreed conditions for the provision of the service are
fulfilled."
A simple calculation of availability in %:
Agreed service time - Downtime
But what does 98% availability mean?
100X
Agreed service time 1
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 10. Availability Management 10-11
Student Notebook
Figure 10-10. Availability Management: Availability Measurement (2) SM251.0
Notes:
The availability percentage for each IT component within the total IT infrastructure may be different, and as such it is necessary to provide a calculation that reflects the total infrastructure availability.
The levels of resilience provided positively influence the availability percentage for the total infrastructure.
This slide shows the serial and parallel configuration calculation of availability.
11
IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Availability ManagementAvailability Measurement (2)
Serial Parallel
Disk A Disk B
Disk A
Disk BAvailability = 90% Availability = 90%
Availability only then, if both are in operation
=> A x B =
0.9 * 0.9 = 0.81 or 81%
Availability = 90%
Availability = 1 – not available
1 – both are not available =
1 – (A not available) x (B not available) =
1 – 0.1 * 0.1 = 0.99 or 99%
Availability = 90%
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Figure 10-11. Availability Management: Availability Measurement Example (3) SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Availability ManagementAvailability Measurement Example (3)
Example of availability in a parallel or a serial architecture
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 10. Availability Management 10-13
Student Notebook
Figure 10-12. Availability Management: Risk Management is also an aspect of availability SM251.0
Notes:
The identification of risks and the provision of justified countermeasures to reduce or eliminate the threats posed by such risks can play an important role in achieving the required levels of availability for a new or enhanced IT service.
Risk Analysis should be undertaken during the design phase for the IT infrastructure and service to identify:
• Risks that may incur non-availability for the IT components within the IT infrastructure and service design
• Risks that may incur confidentiality, integrity exposures, or both within the IT infrastructure and service design
Risk Analysis involves the identification and assessment of the level (measure) of the risks calculated from the assessed values of assets and the assessed levels of threats to, and vulnerabilities of, those assets.
13
IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Availability ManagementRisk Management is also an aspect of availability
Assets Weaknesses
RisksRisks
Threats
Risk analysis
Risk management
Countermeasures Planning forpossible downtimes
Managementof downtimes
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Risk Management involves the identification, selection, and adoption of countermeasures justified by the identified risks to assets in terms of their potential impact upon services if failure occurs, and the reduction of those risks to an acceptable level.This approach, when applied via a formal method, ensures that coverage is complete together with sufficient confidence that:
• All possible risks and countermeasures have been identified
• All vulnerabilities have been identified and their levels accurately assessed
• All threats have been identified and their levels accurately assessed
• All results are consistent across the broad spectrum of the IT infrastructure reviewed
• All expenditure on selected countermeasures can be justified.
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 10. Availability Management 10-15
Student Notebook
Figure 10-13. Availability Management: Availability Reporting SM251.0
Notes:
The IT support organization has for many years measured and reported on its perspective of availability. Traditionally, these measures have concentrated on component availability, and have been somewhat divorced from the business and user views.
Typically, these traditional measures are based on a combination of an availability percentage (%), time lost, and the frequency of failure. Some examples of these traditional measures are as follows:
% Available - The truly “traditional” measure which represents qvailability as a percentage and, as such, is much more useful as a component availability measure than as a service availability measure. It is typically used to track and report achievement against a service level target. It tends to emphasize the “big number”, such that if the service level target was 98.5% and the achievement was 98.3%, then it does not seem that bad. This can encourage a complacent behavior within the IT support organization.
% Unavailable - The inverse of the above. This representation, however, has the benefit of focusing on non-availability. Based on the above example, if the target for non-availability was 1.5% and the achievement was 1.7%, then this is a much larger relative difference.
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Availability ManagementAvailability Reporting
Classical reporting measures
% available
% unavailable
Duration of unavailability in hours
Frequency of failure
Impact of failure
Problems with classical measures:
– Fails to reflect IT availability as experienced by the business and users
– Conceal “hot spots”. Generally good availability for the IT organization
– Does not support continuous improvement
Future measured variables (CCTA acceptance):
Impact by user minutes lost (user productivity)
Impact by business transaction
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This method of reporting is more likely to create awareness of the shortfall in delivering the level of availability required.Duration - Achieved by converting the percentage unavailable into hours and minutes. This provides a more “human” measure that people can relate to. If the weekly downtime target is 2 hours but one week the actual was 4 hours, this would represent a trend leading to an additional 4 days of non-availability to the business over a full year. This type of measure and reporting is more likely to encourage focus on service improvement.
Frequency of failure - Used to record the number of interruptions to the IT service. It helps provide a good indication of reliability from a user perspective. It is best used in combination with Duration to take a balanced view of the level of service interruptions and the duration of time lost to the business.
Impact of failure - This is the true measure of service unavailability. It depends upon mature incident recording, where the inability of users to perform their business tasks is the most important piece of information captured. All other measures suffer from a potential to mask the real effects of service failure.
The business may have, for many years, accepted as a fait accompli that the IT availability that they experience is represented in this way. However, this is no longer being viewed as acceptable, and the business is keen to better represent availability in measure(s) that demonstrate the positive and negative consequences of IT availability on their business and users.
The traditional IT approach to measurement and reporting provides an indicator of IT availability and component reliability which is important for the internal IT support organization. However, to the business and users, these measures fail to reflect availability from their perspective and are rarely understood. This often fuels mistrust between the business and IT where, despite periods of instability, the “%” target has been met even though significant business disruption has occurred and customer complaints have been received.
Furthermore, this method of measurement and reporting can often hide the benefits delivered to the business from IT improvements. The traditional IT availability measures can simply mask real IT “added value” to the business operation.
While the traditional IT availability measurement and reporting methods can be considered appropriate for internal IT reporting, the disadvantages of this approach are that they:
• Fail to reflect IT availability as experienced by the business and the users • Can conceal service “hot spots”, whereby regular reporting shows the SLA as being
“met”, but the business, the users, or both, are becoming increasingly dissatisfied with the IT service
• Do not easily support continuous improvement opportunities to drive improvements that can benefit the business and the users
• Can mask IT “added value”, where tangible benefits to the business and users have been delivered, but the method of measurement and reporting does not make this visible.
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Figure 10-14. Availability Management: Benefits SM251.0
Notes:
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Availability ManagementBenefits
IT services with an availability requirement are designed, implemented, and
managed to consistently meet that target
Improvement of capability of the IT infrastructure to attain the required levels of
availability to support the critical business processes
Improvement of customer satisfaction and recognition that availability is the
prime IT deliverable
Reduction in frequency and duration of incidents that impact IT availability
Single point for availability is established within the IT organization (process
owner)
Levels of IT availability provided are cost-justified and support SLAs fully
Shortcomings in provision of availability are recognized and coped with in a
formal way
Mindset moves from error correction to service enhancement: from reactive to
proactive attitude
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Figure 10-15. Availability Management: Risks SM251.0
Notes:
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Availability ManagementRisks
Potential problem areas:
Costs of availability management are seen as overhead and are too high
It is difficult to quantify the availability demands of the user and to determine
their costs
Lack of available resources with the required skills
Gathering of availability data requires many tools to underpin and support the
process
Vendor dependency
Broad knowledge of IT infrastructure
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Figure 10-16. Availability Management: Best Practices SM251.0
Notes:
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Availability ManagementBest Practices
Separation of design and measurement
Usage in connection with capacity, financial management for IT services,
and IT service continuity management
Determination of metrics using this process
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Figure 10-17. Availability Management: Summary SM251.0
Notes:
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Availability ManagementSummary
The goal of the Availability Management process is to optimize the capability of
the IT infrastructure, services, and supporting organization to deliver a cost-
effective and sustained level of availability that enables the business to satisfy
its business objectives.
Aspects: Availability, Maintainability, Reliability, Serviceability
Risk Management
Measures of Availability:
– MTBSI (Mean Time Between System Incidents)
– MTTR (Mean Time To Repair )
– MTBF (Mean Time Between Failures)
– Calculation of Availability
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Unit 11. Capacity ManagementWhat This Unit Is About
This unit is an introduction to Capacity Management, and its relationship within IT Services.
What You Should Be Able to Do
After completing this unit, you should be able to think about the mission of this service, and understand its benefits within the ITIL framework.
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Figure 11-1. Unit 11: Capacity Management SM251.0
Notes:
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Unit 11Capacity Management
Content:
Capacity Management – objectives and overview
Responsibilities and obligations
Important aspects
– Capacity planning
– Capacity Database (CDB)
Benefits, risks, costs
Best practices
Summary
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Figure 11-2. Capacity Management: Integration into the IPW Model SM251.0
Notes:
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Capacity ManagementIntegration into the IPW Model
Source: IPW Model is a trade mark of Quint Wellington and KPN Telecoms
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Figure 11-3. Capacity Management: Mission Statement SM251.0
Notes:
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Capacity ManagementMission Statement
Capacity Management is responsible for ensuring that the capacity of the IT infrastructure matches the evolving demands of the business in the most cost-effective and timely manner.
Capacity Management needs to understand the business requirements (the required provision of IT services), the organization's operation (the current provision of IT services), and the IT infrastructure (the means of provision of IT services), and to ensure that all the current and future capacity and performance aspects of the business requirements are provided cost-effectively.
However, Capacity Management is also about understanding the potential for service provision. New technology needs to be understood and, if appropriate, used to deliver the services required by the business. Capacity Management needs to recognize that the rate of technological change will probably increase and that new technology should be harnessed to ensure that the IT services continue to satisfy changing business expectations. One of the result of the activities of Capacity Management is a documented capacity plan.
The goal of Capacity Management:
Ensure
required, acceptable,
cost-effective capacity
of IT resources, in order that the service levels which are
agreed with the company are fulfilled in a timely manner.
Ensure
required, acceptable,required, acceptable,
costcost--effective capacityeffective capacity
of IT resources, in order that the service levels which are
agreed with the company are fulfilled in a timelytimely manner.
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Figure 11-4. Capacity Management: Why Capacity Management? SM251.0
Notes:
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Capacity ManagementWhy Capacity Management?
There are a number of reasons why an organization should implement Capacity Management.
Capacity Management provides the required information about:
– Which components need to be upgraded (such as main memory, faster hard disk, larger bandwidth)
– When to perform upgrades – not too early, otherwise expensive overcapacities cannot be used; and not too late, in order to avoid bottlenecks, bad performance, and consequently, customer dissatisfaction
– How much the upgrade will be – planning elements and predictions will influence budget planning
Capacity management is based on:
– Business requirements
– Existing structures of the company
– Existing IT infrastructure
The customer does not require capacity; the customer requires services
The expenditure for IT capacities needs to be continuously justifiable
It provides information on current and planned resource utilization of individual components, allowing decisions on which components to upgrade, when to do so, and how much it will cost.
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Figure 11-5. Capacity Management: Capacity Management has three sub-processes SM251.0
Notes:
Capacity Management consists of a number of sub-processes, within which there are various activities. The sub-processes of Capacity Management are:
Business Capacity Management: This sub-process is responsible for ensuring that the future business requirements for IT services are considered, planned, and implemented in a timely fashion. This can be achieved by using the existing data on the current resource utilization by the various services to trend, forecast, or model the future requirements. These future requirements come from business plans outlining new services, improvements and growth in existing services, development plans, and so on.
Service Capacity Management: The focus of this sub-process is the management of the performance of the live, operational IT services used by the customers. It is responsible for ensuring that the performance of all services, as detailed in the targets in the SLAs and SLRs, is monitored and measured, and that the collected data is recorded, analyzed, and reported. As necessary, action is taken to ensure that the performance of the services meets the business requirements. This is performed by staff with knowledge of all the
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Capacity ManagementCapacity Management has three sub-processes
Iterative activities
(Performance Mgmt)Capacity
Database
Capacity Plan
Demand Management
Business
Capacity
Management
Service
Capacity
Management
Resource
Capacity
Management
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areas of technology used in the delivery of end-to-end service, and often involves seeking advice from the specialists involved in Resource Capacity Management.Resource Capacity Management: The focus in this sub-process is the management of the individual components of the IT infrastructure. It is responsible for ensuring that all components within the IT infrastructure that have finite resource are monitored and measured, and that the collected data is recorded, analyzed, and reported. As necessary, action must be taken to manage the available resource to ensure that the IT services that it supports meet the business requirements. In carrying out this work, the Capacity Management process is assisted by individuals with specialist knowledge in the particular areas of technology.
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Figure 11-6. Capacity Management: Tasks SM251.0
Notes:
Ongoing: iterative activities, Demand Management, storage of data in the Capacity Database (CDB)
Ad hoc: Modeling and application sizing
Regularly: Production of capacity plan
Iterative activities:
Monitoring in order to ensure optimum use of hardware and software such that agreed service levels can be achieved. Metrics are:
• CPU, memory, file store utilization
• Transactions: per second, response time
• Batch duration profiles
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Capacity ManagementTasks
Demand
Management
Business
Capacity
Management
Service
Capacity
Management
Analyze
Iterative
Activities
Resource
Capacity
ManagementCapacity
Database
(CDB)
Capacity
Management
Capacity
Management
Tuning
Implementation
Monitoring
Application
Sizing
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Distinguish between availability data and performance data. Thresholds should be set based on analysis of previously recorded data. They should be set below targets in SLAs to allow for corrective action before an SLA is breached.Analysis of the collected data to identify trends from which normal utilization and service levels can be established. Report on exception conditions compared with baseline. Predict future resource usage. Analysis should happen on short-term, medium-term, and long-term.
Tuning of configurations to improve performance through:
• Balancing workloads or disk traffic
• Change locking strategy (database, page, table, record, row)
• Efficient use of memory
Implementation of tuning activities in the live environment should happen through Change Management to limit impact on the customers of the service.
Capacity Database
It is a cornerstone of a successful Capacity Management system. It is the basis of performance and capacity reports to be delivered to management and technical personnel.
All sub-processes use it.
For more details, see notes on page 11-14.
Demand Management
• Influence demand for, and use of, resources
• Carried out as short-term solution to a capacity problem (like the breakdown of a redundant component that was also in use, hence halving capacity)
• Carried out as longer-term solution if difficult to justify expensive upgrade
• Exercised through:
- Physical constraints or limiting usage
- Financial constraints or charging
• Can be carried out by any of the three sub-processes.
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Figure 11-7. Capacity Management: Input & Output SM251.0
Notes:
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Capacity ManagementInput & Output
SUB-PROCESS
Business Capacity Management
Trend, forecast, model, prototype,
size, and documentation
of future business requirements
Service Capacity Management
Monitor, analyze, tune, and report
on service performance; establish
baselines and profiles of use of
services
Manage demand for service
Resource Capacity Management
Monitor, analyze, and report on
utilization of components,
Establish baselines and profiles on
use of components
TechnologiesSLAs, SLRs, and
service portfolioBusiness plans and
strategiesMaintenance windowsEmployment and
development plans and programmes
Planning of future changes
Incidents and problems
Service reviewsSLA violationFinancial plansBudgets
Capacity plansCDBMinimum requirements
and profilesThreshold values and
signalsCapacity reports
(regular, ad hoc, and in special cases)
SLA and SLR recommendations
Costs and recommendations for further calculations
Proactive changes and service improvements
Revised maintenance windows
Effectiveness reviewAudit reports
INPUT OUTPUT
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Figure 11-8. Capacity Management: Iterative Activities SM251.0
Notes:
Monitors should be established on all the components and for each of the services. The data should be analyzed, using, wherever possible, expert systems to compare usage levels against thresholds. The results of the analysis should be included in reports, and recommendations made as appropriate. Some form of control mechanism may then be put in place to act on the recommendations. This may take the form of balancing services, changing concurrency levels, and adding or removing resource. The cycle then begins again, monitoring any changes made to ensure that they have had a beneficial effect, and collecting the data for the next day, week, or month.
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Capacity ManagementIterative Activities
A number of the activities of Capacity Management need to be carried out iteratively, and form a natural cycle:
Set up and maintain the Capacity Database
Reporting
– Analyzes and reports
– Production of the capacity plan
Demand Management and Monitoring
– Ensure that the future business requirements for IT services are considered
– Report on performance against targets contained in SLA
– Monitoring of resources
– Forecast future capacity requirements
Document costs associated with options
Assess new technology and its relevance
Tuning
Implementation
Monitoring
Analysis
SLM Exception
Reports
Capacity
Management
Database
(CDB)
Resource Utilization
Exception Reports
SLM Thresholds
Resource
Utilization
Thresholds
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Figure 11-9. Capacity Management: Capacity Plan SM251.0
Notes:
Capacity Plan
Contains:
Introduction
Explains background to this issue of the capacity plan:
• Current levels of capacity of the organization
• Problems and pain points identified due to over- or under-capacity.
• Changes since last issue of capacity plan
Scope of plan is given (ideally all IT resources).
Methods used (how and when information obtained from sub-processes):
• Business forecasts from business plans
• Workload forecasts from users
• Service level forecasts from modeling
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Capacity ManagementCapacity Plan
The Capacity Plan should be published annually in line with the budgetary cycle. Ideally, it
should be updated quarterly, and consists of the following parts:
Introduction
– Scope of planning– Methods
Assumptions and prerequisites
Management summary
Business evaluations and scenarios
Service summary
Resource summary
Options for service improvement
Cost model
Recommendations
• Business benefit to expect• Potential impact (of not) carrying out recommendations; risks involved– Required resources– Costs: unique and ongoing
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Management summaryHighlight main issues, options, recommendations and costs.
Business scenarios
Put the plan in the context of the current and future business environment. Mention all known business forecasts so that readers can determine what is inside and outside the scope of the plan.
Service summary
For each current and recent service provision, provide a service profile, including throughput rates and resulting resource utilization. Trends should be presented.
Service forecasts should be detailed because of new and demised services.
Resource summary
Current and recent resource usage should be documented, reporting on trends.
Resource forecasts coming from service forecasts.
Options for service improvement
Outlines possible options for improving effectiveness and efficiency of service delivery; upgrading network, consolidating applications, rewriting custom built applications, and so on.
Cost model
Costs associated with options should be documented.
Current and forecasted cost of providing IT services (data generally coming from IT financial management).
Recommendations
Summary of recommendations made in previous plan and status.
Any new recommendations should be made.
Recommendations should be quantified in terms of:
• Business benefit to expect
• Potential impact in (not) carrying out recommendations
• Risks involved
• Resources required
• Setup cost and ongoing cost
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Figure 11-10. Capacity Management: Capacity Database SM251.0
Notes:
Capacity Database
It is a cornerstone of a successful Capacity Management system. It is the basis of performance and capacity reports to be delivered to management and technical personnel.
All sub-processes use it.
It contains business data:
• Number of accounts
• Number of branches
• Number of calls into call centers
• Number of PCs
• Anticipated workloads
It contains service data:
• Transaction response times
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Capacity ManagementCapacity Database
Capacity Database (CDB)
Data in the CDB is stored and used by all the sub-processes of Capacity
Management because it is a repository that holds a number of different types of
data: business, service, technical, financial, and utilization data.
The CDB is unlikely to be a single database, and probably exists in several
physical locations.
The information in the CDB is used to form the basis of performance and Capacity
Management reports that are to be delivered to management and technical
personnel.
The data is also utilized to generate future capacity forecasts, and to allow
Capacity Management to plan for future capacity requirements.
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• Times for batch jobs to be processed• SLM thresholds
It contains technical data:
• Limitations of resources (80% CPU, 30% Ethernet)
It contains financial data:
• Financial plans
• IT budgets
• External suppliers
• CMDB
It contains utilization data of resources:
• Data of current utilization of components
• Lower granularity data on older utilization data of components
Can exist in several physical locations.
Outputs are:
• Service- and component-based reports
• Exception reporting on capacity and performance for component or service. Special interest in reporting on items that affect SLAs.
• Capacity forecasts to predict future growth.
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Figure 11-11. Capacity Management: Benefits and Costs SM251.0
Notes:
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Capacity ManagementBenefits and Costs
Benefits
Reduced risk of performance problems and failure
Cost savings
Both achievable through:
– Planned buying
– Deferring expenditure until really needed (but in a controlled way)
– Matching capacity to business need
Ensures that systems have sufficient capacity to run the applications required by the business for the foreseeable future
Provides information on current and planned resource utilization of individual components allowing decisions on which components to upgrade, when to do so, and how much it will cost.
Costs
Setting up Capacity Management:
– Procurement of required hardware and software, such as monitoring tools
– Project management
– Staff costs
– Accommodation
Daily management of Capacity Management:
– Annual maintenance and upgrades
– Ongoing staff costs
– Recurring accommodation costs (leasing, rental, energy)
“Planned buying is cheaper than panic buying.”“Planned buying is cheaper than panic buying.”
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Figure 11-12. Capacity Management: Risks SM251.0
Notes:
Possible problems:
Over-expectation
Customer expectations often exceed technical capability. Therefore it is essential that customer expectations for new applications be managed from the outset. Capacity Management needs to discuss with customers the technical feasibility and, more importantly, the cost implications, of meeting over-ambitious requirements. The opportunity to achieve this is provided as part of the application sizing activity, where requirements and expectations should be discussed and agreed between all parties.
The improvements that can be made through regular tuning may not be significant. However, if a service or application has been badly designed or implemented, a large performance gain may be possible.
Also Demand Management is often constrained by the requirement for constant online access to corporate information. It is not always easy or possible to reschedule the use of
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Capacity ManagementRisks
Potential problem areas:
Customer expectations exceed technical capability
Unrealistic product information from vendor
Wrong estimation of future workload by the customer
Precise predictions become more difficult with shorter business planning
cycles
Considering all service areas (software, PC, server, LAN, WAN, TK, and so
on) within the scope of capacity management
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Student Notebook
services to quieter off-peak periods. For example, it would be difficult for an Internet site selling flowers to influence the demand for flowers on or around St Valentine's Day!
Vendor influence
Where budget and sales target deadlines coincide, it is not uncommon to be offered what seems to be the deal of a lifetime, such as “purchase sufficient capacity for today and tomorrow at yesterday’s prices”. On face value, cost efficiencies can be realized; however, before purchasing, remember:
• The pace of change is rapid: today's special offer is often tomorrow's end-of-line product
• Technological advancement: tomorrow's technology will perform faster and have more built-in capacity than today's technology
• The overall reducing cost of technology: today's performance and capacity will always be cheaper tomorrow and considerably cheaper in six months’ time.
Manufacturers’ quoted performance figures are often not achievable within a production environment. Care should be taken when negotiating with vendors for additional performance. Where possible, performance figures should be verified before purchase through reference site visits and by simulation testing where appropriate.
Lack of information
Time-to-market pressures are placing ever-increasing demands, and as a result business planning cycles are shorter. This is not an excuse, but a statement of fact about the environment within which Capacity Management must function. Traditionally, it has always been difficult to obtain accurate business forecasts, in order to predict increases and decreases in demand for IT capacity.
However, even the best business planning function cannot always accurately predict demand. There have been numerous recent examples of unprecedented and unpredicted consumer demand for either the latest product or the latest information. Internet sites that are suddenly popular are good examples of consumer demand far outstripping supply and causing failed or drastically delayed delivery of information or products. The Internet is a prime example where consumers literally “at the click of a button” are lost forever as they go elsewhere to receive a service, never again to return to a temporarily unavailable or slow site.
It is not possible to provide consistently high-quality service levels, cost-effectively, without timely, accurate business planning information being made available. However, Capacity Management can work effectively, even with crude business estimates. Also, it helps if the Capacity Management process understands the business and can talk to the customer in their language. The business is much more likely to know how many chocolate bars it is going to sell than the amount of CPU seconds it uses in the process. The Capacity Management process always improves over time.
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Capacity Management in a distributed environmentCapacity Management is often considered only as a requirement within the host environment; the network and client environments are not always included as part of the Capacity Management process.
Anecdote
A group of network managers were asked, “When is the first time you get involved in capacity planning for new applications to be utilized across the network?” Unfortunately, the most common answer was, “Usually during the first week of live running, when users complain about poor performance”. Another common answer was “During customer acceptance testing, when the application is being tested by users just before transition to live running”.
However, when also asked, “If you had been involved from the outset, when the new application was just a customer requirement, could you have provided accurate figures on spare network capacity within the target environment?”, only a handful were confident in their ability to do so.
Result
There are a number of results and lessons to be learned from the above:
• The network is not within the scope of Capacity Management, but it should be.
• Huge potential exists for new applications to perform poorly or fail totally.
• Customer perception is that IT fails to deliver (again).
• Potential financial costs are incurred by the business due to application failure.
• Unpredicted and unbudgeted IT costs are incurred to resolve the performance problems, which usually require to be addressed urgently and thus cost even more.
Level of monitoring to be implemented
Tools available today provide extremely comprehensive monitoring capabilities. It is possible to monitor most aspects of most components in the IT infrastructure. However, careful consideration should be given to the level of monitoring to be undertaken, and the decision should be based upon:
• Business impact of component failure: can monitoring be justified on the basis of potential impact of failure?
• Utilization volatility: is utilization subject to a steady growth or decline over time, or do highly volatile changes in utilization occur?
• Ability to monitor components: can monitoring and reporting be automated?
• Cost of component monitoring and reporting: are costs greater than the potential use that can be made of the data collected?
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Figure 11-13. Capacity Management: Best Practices SM251.0
Notes:
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Capacity ManagementBest Practices
The Capacity Management process should be reviewed for effectiveness and
efficiency at regular intervals to ensure that:
– It is producing the required output at the required times for the appropriate
audience
– Its activities are cost-effective
Critical Success Factors
Success in Capacity Management is dependent on a number of factors:
– Accurate business forecasts
– Knowledge of IT strategy and plans, and that the plans are accurate
– An understanding of current and future technologies
– An ability to demonstrate cost-effectiveness
– Interaction with other effective Service Management processes
– An ability to plan and implement the appropriate IT capacity to match business
needs
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Figure 11-14. Capacity Management: Summary SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Capacity ManagementSummary
The goal of Capacity Management is to ensure that all the current and
future capacity and performance aspects of the business requirements
are provided in a timely and cost-effective manner.
Responsibilities: Business Capacity Management, Service Capacity
Management, Resource Capacity Management
Demand Management
Capacity Plan and Capacity Database (CDB)
“Good Capacity Management ensures NO SURPRISES!”“Good Capacity Management ensures NO SURPRISES!”
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
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Unit 12. Financial Management for IT ServicesWhat This Unit Is About
This unit is an introduction to Capacity Management, and its relationship within IT Services.
What You Should Be Able to Do
After completing this unit, you should be able to think about the mission of this service, and understand its benefits within the ITIL framework.
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 12. Financial Management for IT Services 12-1
Student Notebook
Figure 12-1. Unit 12: Financial Management SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Unit 12Financial Management
Content:
Financial Management – objectives and overview
Responsibilities and obligations
Important aspects
– Costs types
– IT accounting
– Interfaces to other service management processes
Benefits and risks
Best practices
Summary
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Figure 12-2. Financial Management: Integration into the IPW Model SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Financial Management Integration into the IPW Model
Source: IPW Model is a trade mark of Quint Wellington and KPN Telecoms
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 12. Financial Management for IT Services 12-3
Student Notebook
Figure 12-3. Financial Management: Mission Statement SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Financial ManagementMission Statement
Financial Management ensures that the IT organization is able to account fully on the money spent on IT services, to attribute these costs to IT services delivered to customers, and to assist management decisions on IT investment by providing detailed business cases for changes to IT services.
The goal of IT Financial Management is also:
For internally (in-house) oriented IT service providers
– Monitoring of the usage of IT components and resources for supplying IT services with regard to cost efficiency
For externally oriented IT service providers
– Recording of costs incurred, and details of how these relate to services performed for the customer
– Support management decisions about IT investment by means of detailed business cases.
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Figure 12-4. Financial Management: Why Financial Management for IT Services (1) SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Financial ManagementWhy Financial Management for IT Services (1)
Because you can provide the best service and nevertheless can gobankrupt
Because there are minimal legal requirements for financial reporting
Because service providers should be business-oriented
Because of increasing economic pressure
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 12. Financial Management for IT Services 12-5
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Figure 12-5. Financial Management: Why Financial Management for IT Services (2) SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Financial ManagementWhy Financial Management for IT Services (2)
IT Financial Management...
Supports the development of a solid investment strategy
Enables definitions of performance objectives
Enables the measurement of services performed
Makes it easier to prioritize resource deployment, and with it, optimized resource planning
Ensures solid, financially justified administration of the assets used in the organization
Supports management in their daily decision-making in order to plan risk reduction
Creates organizational prerequisites for performing cost-objective accounting
Cost-objective accounting enables...
Flexible determination of services which are to be defined. It is the basis for the business design of IT services.
Determination of real IT service costs, enabling transparent, well-measured, content-related pricing
Reporting for planning and controlling
Reporting for financial accounting
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Figure 12-6. Financial Management: Tasks SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Financial ManagementTasks
IT Financial
Management
IT Financial IT Financial
ManagementManagement
IT AccountingIT Accounting ChargingChargingBudgetingBudgeting
Ensures that business provides sufficient funds to run the IT services
it requires
Provides management information on the cost of providing IT services supporting
business needs
Provides sound business method of
balancing shape and quantity of IT
services with needs and resources of the
customers
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© Copyright IBM Corp. 2004 Unit 12. Financial Management for IT Services 12-7
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Figure 12-7. Financial Management: Process SM251.0
Notes:
This slide looks at methods for an IT organization to predict and calculate the costs of service, and discusses ways of estimating the proportion of costs that can be attributed to each customer where an IT service is shared. This simple diagram is used as a basis for the whole item.
In summary:
Budgeting enables an organization to:
• Predict the money required to run IT services for a given period
• Ensure that actual spend can be compared with predicted spend at any point
• Reduce the risk of overspending
• Ensure that revenues are available to cover predicted spend (where charging is in place)
IT accounting enables an organization to:
• Account for the money spent in providing IT services
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ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Financial ManagementProcess
Business IT
requirements
Business IT
requirements
Financial targets Costing
models
Charging
policies
Feedback of proposed charges to
businesses
Cost analysis
(accounting)
Cost analysis
(accounting) ChargingCharging
ChargingCharging
IT operational
plan (including
budgets)
IT operational
plan (including
budgets)
external
internal
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• Calculate the cost of providing IT services to both internal and external customers• Perform cost-benefit or Return-on-Investment analyses
• Identify the cost of changes
Charging enables an organization to:
• Recover the costs of the IT services from the customers of the service
• Operate the IT organization as a business unit if required
• Influence user and customer behavior
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© Copyright IBM Corp. 2004 Unit 12. Financial Management for IT Services 12-9
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Figure 12-8. Financial Management: Process – Budgeting and Accounting Activities (mandatory) SM251.0
Notes:
The aim of budgeting is that the actual costs match the budget (predicted costs). This budget is usually set by negotiations with the customers who are providing the funds (although this sometimes happens at an unrefined level, where the business leaders agree proportions of their revenue to be used to fund IT, based upon what IT have told them their costs are). Good budgeting is essential to ensure that the money does not run out before the period ends. Where shortfalls are likely to occur, the organization needs early warning and accurate information to enable good decisions to best manage the situation.
Current leading practice is to use IT accounting to aid investment and renewal decisions, and to identify inefficiencies or poor value, but to charge a fixed amount for an agreed capacity (determined by the level of service agreed in the Service Level Agreements or SLAs). In this case, IT Finance Management works with Service Level Management (they may even be the same person) to ensure that the overall costs of running the agreed services should not exceed the predicted costs. Charging is then often a matter of billing for agreed periods at an agreed rate, for example 1/12 of each customer's IT budget each calendar month. Additional charges are made for work above the agreed service levels (such as office moves, major roll-out, unplanned hardware upgrade).
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Financial ManagementProcess – Budgeting and Accounting Activities (mandatory)
To understand whether an IT organization is doing the best that it can and to demonstrate this to its customers, it has to both understand the true cost of providing a service and manage those costs professionally. To do this, it is usual to implement IT accounting and budgeting processes, and often to implement charging processes as well.
Budgeting is the process of predicting and controlling the spending of money within the organization, and consists of a periodic negotiation cycle to set budgets (usually annual) and the day-to-day monitoring of the current budgets. Budgeting enables an organization to:
Predict the money required to run IT services for a given period
Ensure that actual spending can be compared with predicted spending at any point
Reduce the risk of overspending
Ensure that revenues are available to cover predicted spending (where charging is in place)
Accounting is the set of activities that enable the IT organization to account fully for the way its money is spent. IT accounting enables an organization to:
Account for the money spent in providing IT services
Calculate the cost of providing IT services to both internal and external customers
Perform cost-benefit or return-on-Investment analyses
Identify the cost of changes
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Figure 12-9. Financial Management: Process – Charging (optional) SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Financial ManagementProcess – Charging (optional)
Charging has motivational aspects, considering the effects upon both the
provider and the customer of the service. The objective is to optimize the
behavior of both parties in achieving the organization's aims.
Charging enables an organization to:
Recover the costs of the IT services from the customers of the service
Operate the IT organization as a business unit if required
Achieve transparency for customers
Influence user and customer behavior
Achieve profit
– Use market strength (invisible hand)
– Deliver effective services in agreed quality and quantity
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© Copyright IBM Corp. 2004 Unit 12. Financial Management for IT Services 12-11
Student Notebook
Figure 12-10. Financial Management: Cost Types SM251.0
Notes:
External service and transfer costs need further explanation. It is now common to buy in services from external parties (external services) that are a mixture of cost types, for example an outsourced service for providing an organization’s application development, or the provision of a data center. It may be difficult to break down this cost (into each of the first four categories), as it is likely to contain elements that are indivisible or that the supplier will not wish to detail. It is easier and more usual to categorize this as an external service cost.
Transfer costs are those that represent goods and services that are sold from one part of an organization to another (often within a multinational or other large organization that has a sophisticated internal accounting system). Transfer costs may be for:
• Hardware (an IT organization buying PCs on behalf of a business customer) • Software (the corporate finance department producing control mechanisms for IT to
manage their costs) • People (the HR overhead levied by the corporate HR department) • Accommodation (a charge made by the Facilities Management department)
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Financial ManagementCost Types
For producing a cost model, the suggested cost types are:
Hardware costs (CPU, disk storage, LANs, peripherals….)
Software costs (OS, applications, database, systems management….)
People costs (payroll costs, company cars, relocation costs, expenses, overtime,
consultancy)
Accommodation costs (offices, storage, secure areas, utilities)
External service costs (security, outsourced services,…)
Transfer costs (goods and services that are sold from one part of an organization
to another)
• All costs for services can be grouped into the cost types listed.
• Other types are possible; this is not a fixed rule.
• Important: all major cost elements in the current or proposed IT
budget are identified and then attributed to the customers who
“cause” them.
• All costs for services can be grouped into the cost types listed.
• Other types are possible; this is not a fixed rule.
• Important: all major cost elements in the current or proposed IT
budget are identified and then attributed to the customers who
“cause” them.
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Transfer costs should be visible in the cost model, because people may forget that internal goods and services represent a cost to the organization and are part of the cost of providing service. Hence, a false figure may be reached when assessing costs if a service is dependent upon activity from another part of the organization but this cost is excluded from calculations. Some organizations will insist on these transfer costs being accounted for in each part of the organization, while others might only use them when modeling costs, and no money will actually pass across the organization. In this publication, it is assumed that it is not necessary to separately identify transfer costs in the cost model examples.Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 12. Financial Management for IT Services 12-13
Student Notebook
Figure 12-11. Financial Management: Cost Classification SM251.0
Notes:
The cost-by-customer cost model requires that all major cost elements in the current or proposed IT budget be identified and then attributed to the customers who “cause” them. To do this, the costs first have to be identified as either direct or indirect:
Direct costs are those clearly attributable to a single customer, such as manufacturing systems used only by the Manufacturing division.
Indirect costs (sometimes called overheads) are those incurred on behalf of all, or a number of, customers, such as the network or the technical support department, which has to be apportioned to all, or a number of, customers in a fair manner.
Any indirect costs (sometimes called unabsorbed overheads) which cannot be apportioned to a set of customers have then to be recovered from all customers in as fair a way as possible, usually by uplifting the costs calculated so far by a set amount. This ensures that the sum of all of the costs attributed to each customer still equals the total costs incurred by the IT organization; this is referred to as the “balance check”. This “balance check” can be applied to costs divided in other ways, such as by service or location; the sum of the parts should always equal the whole.
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Financial ManagementCost Classification
Variable Costsare those that vary with some factor, such as usage or time.
Fixed CostsCosts that do not vary even when resource usage varies. Examples of this would be a maintenance contract for a server or a corporate software licence (within agreed user limits).
Indirect Costs (sometimes called overheads) are those incurred on behalf of all, or a number of, customers, such as the network or technical support department, which have to be apportioned to all, or a number of, customers in a fair manner.
Direct Coststhose clearly attributable to a single customer, such as manufacturing systems used only by the Manufacturing division.
Operational Costsare those resulting from the day-to-day running of the IT Services organization, such as staff costs, hardware maintenance and electricity, and relate to repeating payments whose effects can be measured within a short timeframe, usually less than the 12-month financial year.
Capital Costsare the purchase or major enhancement of fixed assets, for example computer equipment, building, and plant, often also referred to as “one-off” costs.
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If the cost model is being produced for the first time, the categories and cost elements for it need to be developed first, to a level of detail that meets the needs of IT accounting and of any charging to be performed. Hence an understanding of charging policies is necessary when the cost model is drawn up.If costs are mainly direct, perhaps because each customer has independent hardware and software, the method of recording and of apportioning costs can be very simple. For example, if Finance are the only customers of the general ledgers and the system on which they run, all costs directly associated with the general ledgers, including purchase, maintenance, and support, can be attributed to the Finance department's code in the ledgers (often called a cost center or a charge code).
However, if resources are shared, for instance a mainframe is running applications for more than one customer, the hardware costs may have to be classified as indirect and apportioned to each customer, say by CPU seconds, disk storage, print volumes, and so on, from workload predictions. To do this requires a model that allows these costs to be spread across a number of customers.
For finance purposes, costs are classified into either capital or operational when the financial ledgers are reported (the “books”). This is because capital expenditure is assumed to increase the total value of the company, while operational expenditure does not, although in practice the value of capital expenditure decreases over time (depreciates).
This distinction affects IT accounting, because the cost model needs a method of calculating the annual cost of using a capital item (such as a mainframe) to deliver an IT service. The annual costs must make allowance for the decreasing value of capital items (assets), and make for timely renewal of capital items, such as buildings, servers, and applications. Usually, this is taken as the annual depreciation, from a method set by the Finance department (within the boundaries of the country's laws).
Capital costs are typically those applying to the physical (substantial) assets of the organization. Traditionally this was the accommodation and machinery necessary to produce the organization’s product. Capital costs are the purchase or major enhancement of fixed assets; for example, computer equipment, building, and plant are often also referred to as “one-off” costs. It is important to remember that it is not usually the actual cost of items purchased during the year that is included in the calculation of the cost of the services, but the annualized depreciation for the year.
Operational costs are those resulting from the day-to-day running of the IT services organization, such as staff costs, hardware maintenance, and electricity, and relate to repeating payments whose effects can be measured within a short timeframe, usually less than the 12-month financial year.
Fixed or Variable
Costs that do not vary even when resource usage varies are referred to as fixed costs. Examples of this would be a maintenance contract for a server, or a corporate software license (within agreed user limits).
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© Copyright IBM Corp. 2004 Unit 12. Financial Management for IT Services 12-15
Student Notebook
Variable costs are those that vary with some factor, such as usage or time. They are likely to be used for cost elements which cannot be easily predicted, and for which it is to the benefit of both supplier and customer to determine the costs exactly, perhaps for variable charges to be applied. Examples of charges that might vary, because the underlying cost varies, are out-of-hours cover, major equipment relocation, and the production of additional quarterly reports.
A cost element such as file store may be considered to be variable. If a customer requires an additional 10 GB, it may be possible to calculate that the cost of this is £1000, and hence that the cost per GB is £100. The danger of this approach is that there are often sharp changes in costs because they cannot be continuously scaled: the next disk drive may require another cabinet, or an additional process run on the server may cause queuing problems resulting in all jobs taking longer to run.
It is sometimes necessary to view a cost as having a fixed element and a variable element, for example, using file store at all requires disk controllers and bandwidth, causing a fixed cost. The variable cost of additional disk drives can then be calculated and added to the fixed portion. This level of detail is not usually needed in calculating the cost of a service, but can be useful when evaluating competing technologies or services.
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Figure 12-12. Financial Management: Costs types – Example: Printing a report SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Financial ManagementCosts types – Example: Printing a report
Printing out a report:
Fixed direct costs
– Depreciation of the printer
Fixed indirect costs
– IT Management team, support team
Variable direct costs
– Paper consumed for printing
Variable indirect costs
– Printing another report on the same printer
– Ink cartridge
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 12. Financial Management for IT Services 12-17
Student Notebook
Figure 12-13. Financial Management: Example of IT Accounting SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Financial ManagementExample of IT Accounting
HardwareHardware
Cost centre accounting
Co
st
ce
nte
rs
Cost centers
CalculationCalculationCost objective calculation
Product (groups)
= accumulated
profit
Overhead costs extra charge
Direct costs
(individual costs)
Overhead costs
Cost category calculationCost category calculation
Revenue
- Individual costs
- Overhead costs
SoftwareSoftware
PersonnelPersonnel
FacilityFacility
External servicesExternal services
TransferTransfer
Indirect costs
(overhead costs)
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Figure 12-14. Financial Management: Links to other processes SM251.0
Notes:
Financial Management for IT Services interacts with most IT service processes and has particular dependencies upon and responsibilities to:
• Service Level Management - The SLA specifies customer expectations and IT Services’ obligations. The cost of meeting the customer's requirements may have a major impact on the shape and scope of the services that are eventually agreed. IT Finance Management liaises with Service Level Management about the costs of meeting current and new business demands, the charging policies for the organization, their effects on customers, and how the policies are likely to influence customer and user behavior. The more that the SLA allows individual customers to request variations to service levels, the greater is the scope for (and potential benefits of) charging for IT services, but also the greater the overheads of budgeting, IT accounting, and charging.
• Capacity Management - Cost information can be used to estimate the costs of the desired capacity and availability of the system. In planning the capacity, it may be necessary to discuss the costs with individual customers or the organization as a whole.
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Financial ManagementLinks to other processes
Service Level Management: Cost of meeting customer SLA requirements impacts shape and scope of services that are agreed. IT Finance manager cooperates with Service Level manager about the costs meeting business demands and charging policies influencing customer behavior. The more variations to service levels, the larger the scope of charging, but the larger the overheads of budgeting, IT accounting, and charging.
Capacity/Availability Management: Cost information can be used to estimate cost of desired capacity or availability.
Configuration Management: Financial management requires asset and cost information which can be provided through the CMDB.
Change Management: Influence of changes on cost.
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© Copyright IBM Corp. 2004 Unit 12. Financial Management for IT Services 12-19
Student Notebook
Data that is collected so that costs can be determined may also be relevant to capacity assessments, such as staff effort, machine usage.
• Configuration Management -Financial Management requires asset and cost information that may be managed by large organization-wide systems. Configuration Management is responsible for managing the data relating to assets (configuration items) and their attributes (such as cost).
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Figure 12-15. Financial Management: Benefits SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Financial ManagementBenefits
IT accounting supports the IT Service Manager
Statements about profitability of the individual IT services
Essential decisions about IT services and the required investments
Data for justifying IT expenditures
Essential planning and budgeting
Overview of costs, created by service failures, as a basis for expenditure
justification in strategy planning
Users can track costs of the services they have used
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© Copyright IBM Corp. 2004 Unit 12. Financial Management for IT Services 12-21
Student Notebook
Figure 12-16. Financial Management: Risks SM251.0
Notes:
There are a number of possible problems in implementing IT accounting and charging:
• IT accounting and charging are often new disciplines in IT Services, and there is limited understanding of leading practice in cost modelling and charging mechanisms, which could lead to over-complex or ineffective systems.
• IT accounting relies on planning information provided by other processes both within and outside IT Services Management which may not be routinely available, delaying the project.
• Staff combining accountancy and IT experience are rare, so many activities may need to be shared with staff from outside IT Services who may not have this as their priority.
• The IS strategies and objectives of an organization may not be well formulated and documented, and prediction of capacity requirement may not be accurate.
• Senior business managers may not recognize the benefits of IT accounting and charging, and may resent the administrative overheads and the limitations on workload.
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Financial ManagementRisks
Potential problem areas:
New discipline, so limited understanding of leading practice in cost modeling and
charging mechanisms, leading to overly complex or ineffective systems
IT accounting relies on planning information provided by other functions within and
outside IT services management, and is sometimes difficult to obtain
Combination of IT skills and accountancy skills is rare
IS strategy and objectives are not clear, hence prediction of capacity requirement is
not accurate
Senior management may not realize benefits of IT accounting and charging
Resentment of administrative overhead and workload
Complex IT accounting and charging makes cost larger than value of information
provided
Monitoring tools providing resource usage are inaccurate or not cost-efficient
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• The IT organization may not be able to respond to changes in users' demands once costs become an influence.• The IT accounting and charging processes are so elaborate that the cost of the system exceeds the value of the information produced.
• The monitoring tools providing resource usage information are inaccurate or irrelevant, or cost too much to develop and maintain..
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© Copyright IBM Corp. 2004 Unit 12. Financial Management for IT Services 12-23
Student Notebook
Figure 12-17. Financial Management: Best Practices SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Financial ManagementBest Practices
Clear differentiation between accounting and charging
Connection with Availability Management, Capacity Management,
Configuration Management, and Change Management
Customer-specific charging
Financing, benchmarks, and investments are very important
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Figure 12-18. Financial Management: Summary SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Financial ManagementSummary
The goal of Financial Management is to provide cost-effective stewardship
of the IT assets and resources used in providing IT services
Responsibilities: Budgeting, accounting, charging
Cost classification (capital/operational, direct/indirect, fixed/variable)
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© Copyright IBM Corp. 2004 Unit 12. Financial Management for IT Services 12-25
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Unit 13. IT Service Continuity Management (ITSCM)What This Unit Is About
This unit is an introduction to Continuity Management, and its relationship within IT Services.
What You Should Be Able to Do
After completing this unit, you should be able to think about the mission of this service, and understand its benefits within the ITIL framework.
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 13. IT Service Continuity Management (ITSCM) 13-1
Student Notebook
Figure 13-1. Unit 13: IT Service Continuity Management (ITSCM) SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Unit 13IT Service Continuity Management (ITSCM)
Content:
IT Service Continuity Management – objectives and overview
Responsibilities and obligations
Some definitions
Important aspects
– Business impact
– Risk analysis
– Service recovery
– Continuity plan
– Continuity plan testing and review
Benefits, risks, costs
Summary
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Figure 13-2. ITSCM Management: Integration into the IPW Model SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
ITSCM Management Integration into the IPW Model
Source: IPW Model is a trade mark of Quint Wellington and KPN Telecoms
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 13. IT Service Continuity Management (ITSCM) 13-3
Student Notebook
Figure 13-3. ITSCM: Mission Statement SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
ITSCMMission Statement
The mission for IT Service Continuity Management (ITSCM) is to support the overall Business Continuity Management process by managing risks to ensure that IT services (including computer systems, networks, applications, telecommunications, technical support, and service desks) can be recovered within required, agreed-to business timescales.
ITIL Discipline Contingency Planning (disaster planning) was renamed to IT Service Continuity Management
(ITSCM), and is now part of Business Continuity Management.. The dependencies between business
processes and technology are now so intertwined that Contingency Planning (or Business Continuity
Management, as it is now sometimes termed) incorporates both a business element (Business Continuity
Planning) and a technology element (IT Service Continuity Management Planning).
Goal of ITSCM:
The goal for ITSCM is to support the overall Business Continuity Management process by ensuring that the required IT technical and services facilities, including:
– computer systems
– networks
– applications
– telecommunications
– technical support and Service Desk
can be recovered within required, and agreed, business timescales.
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Figure 13-4. ITSCM: Why ITSCM SM251.0
Notes:
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ITSCMWhy ITSCM
In today's highly competitive and service-oriented business environment,
organizations are judged on their ability to continue to operate and provide a
service at all times. ITSCM focus is to:
- Increase dependence on IT services and business protection
- Reduce cost and time effort for recovery
- Ensure survival
Continuity planning is therefore essential. ITSCM ensures that a business is
capable of recovering substantial services and their access in the event of a
disaster.
Many businesses do not survive the first year after an IT disaster!
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
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Student Notebook
Figure 13-5. ITSCM: Definitions: Business Continuity Management (BCS) and ITSCM SM251.0
Notes:
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ITSCMDefinitions: Business Continuity Management (BCS) and ITSCM
Business Continuity Management (BCM) is concerned with managing
risks to ensure that an organization can continue operating to at least a
predetermined minimum level. The BCM process involves:
– Reducing the risk to an acceptable level
– Planning for recovery of business processes should a disruption to the
business occur
IT Service Continuity Management (ITSCM) is a part of the overall BCM
process and is dependent on information derived from it. It focuses on the
continuity of IT services to the business. Before it is implemented, the
minimum business requirements must be determined.
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Figure 13-6. ITSCM: Tasks SM251.0
Notes:
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ITSCMTasks
ITSCMITSCM
Risk analysis
and risk
management
Making, testing,
improving, and
maintaining a
continuity plan
Taking
requirements
from BCM
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Student Notebook
Figure 13-7. ITSCM: Continuity Management Process SM251.0
Notes:
It is not possible to develop an effective ITSCM plan in isolation; it must fully support the requirements of the business. This section considers the four stages of the Business Continuity lifecycle, with particular emphasis on the IT aspects. A full understanding of the Business Continuity process can be obtained through the OGC ITIL publications, An Introduction to Business Continuity Management and A Guide to Business Continuity Management.
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ITSCMContinuity Management Process
Initiate BCM
Business Impact Analysis
Risk Assessment
Business Continuity Strategy
Implement Standby
Arrangements
Develop Recovery Rules
Implement Risk Reduction Measures
Develop Procedures
Initial Testing
Phase 1: Initiation
Phase 2: Requirements and Strategy
Phase 3: ImplementationOrganizational and
Implementation Planning
Education and AwarenessReview and Audit
TestingChange Management
TrainingAssurance
Phase 4: Operational Management
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Figure 13-8. ITSCM: Risk of events that can cause disaster SM251.0
Notes:
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ITSCMRisk of events that can cause disaster
Event Percent
Theft 36%
Virus 20%
Hacking 16%
Hardware / Communication 11%
Environment 7%
Software 4%
Fire / Flood / Force Majeure 3%
Other 3%
Event Percent
Theft 36%
Virus 20%
Hacking 16%
Hardware / Communication 11%
Environment 7%
Software 4%
Fire / Flood / Force Majeure 3%
Other 3%
Gartner Study 2001
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
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Student Notebook
Figure 13-9. ITSCM: Some events that have caused problems SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
ITSCMSome events that have caused problems
Below is a brief list of high-profile events that have caused significant problems to
organizations over the years:
Technical failure: London Stock Exchange (2000)
Poison gas: Tokyo Underground System, Japan (March 1995)
Power Loss: Auckland, New Zealand (December 1997)
• in 2003 alone: US/Canada, Italy, Sweden/Denmark
Earthquake: Kobe, Japan (January, 1995), Los Angeles, USA (January 1994)
Bombing :
– World Trade Center, New York, USA (February 1993)
– Oklahoma City, Oklahoma, USA (April 1995)
– Docklands, London, England (February 1996)
– Bishopsgate, London, England (April 1993)
– Manchester, England (June 1996)
– World Trade Center, New York, USA (September 2001)
Flood: Bangladesh (July 1996), Pakistan (August 1996), Germany/Poland (2002)
Web site denial of service attacks, such as Yahoo (2000), Microsoft (2003), SCO (2004)
Below is a brief list of high-profile events that have caused significant problems to
organizations over the years:
Technical failure: London Stock Exchange (2000)
Poison gas: Tokyo Underground System, Japan (March 1995)
Power Loss: Auckland, New Zealand (December 1997)
• in 2003 alone: US/Canada, Italy, Sweden/Denmark
Earthquake: Kobe, Japan (January, 1995), Los Angeles, USA (January 1994)
Bombing :
– World Trade Center, New York, USA (February 1993)
– Oklahoma City, Oklahoma, USA (April 1995)
– Docklands, London, England (February 1996)
– Bishopsgate, London, England (April 1993)
– Manchester, England (June 1996)
– World Trade Center, New York, USA (September 2001)
Flood: Bangladesh (July 1996), Pakistan (August 1996), Germany/Poland (2002)
Web site denial of service attacks, such as Yahoo (2000), Microsoft (2003), SCO (2004)
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Figure 13-10. ITSCM: Risk Analysis as part of BCM Requirements definition SM251.0
Notes:
The second driver in determining ITSCM requirements is the likelihood that a disaster or other serious service disruption will actually occur. This is an assessment of the level of threat and the extent to which an organization is vulnerable to that threat.
The top section of the figure refers to the risk analysis: if an organization’s assets are highly valued, and there is a high threat to those assets, and the vulnerability of those assets to those threats is high, there would be a high risk. The bottom section of the figure shows risk management, where countermeasures (proactive), damage reduction (operation), and disaster management are applied to manage the business risks by protecting the assets.
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ITSCMRisk Analysis as part of BCM Requirements definition
Assets Weaknesses
RisksRisks
Threats
Risk analysis
Risk management
Countermeasures Damage ReductionDisaster
Management
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© Copyright IBM Corp. 2004 Unit 13. IT Service Continuity Management (ITSCM) 13-11
Student Notebook
Figure 13-11. ITSCM: The continuity strategy involves the selection of recovery options SM251.0
Notes:
Strategy: Recovery options
To be considered for:
• People and accommodation: alternative premises, location, and mobility of staff
• IT systems and networks: recovery of hardware, software, networks, and data used. Relies on effective backups and good availability management
• Critical services: such as power, telecommunications, water
• Critical assets: such as paper records and reference material
It should take short-term and long-term recovery into account.
Options are:
• Do nothing: not a very good idea
• Manual workarounds: can be an effective interim measure but mostly not to be used for more complex business processes
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ITSCMThe continuity strategy involves the selection of recovery options
Manual workaround
– Can be an effective interim measure but mostly not to be used for more complex
business processes
Takeover by another organization with similar equipment (reciprocal)
– Arrangement with a another organization using similar technology
Gradual recovery (cold standby)
– Recovery of service about 72 hours
– Provision of empty accommodation is foreseen – New Installation
Intermediate recovery (warm standby)
– Recovery of service about 24 hours
– Disaster Recovery center for data recovery only
Immediate recovery (hot standby)
– For immediate restoration of service (seconds)
Using internal, external, fixed, portable, mobile centers
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• Reciprocal arrangements with another organization using similar technology is a good solution in a batch processing environment, but doesn't work in a distributed environment• Gradual recovery or cold-standby is good for an organization that can wait up to 72 hours for recovery of full IT services. Provision of empty accommodation is foreseen but everything else has to be installed (computer equipment and restoration of data).
• Intermediate recovery or warm-standby for recovering IT services within 24 hours. Typically this is through an equipped disaster recovery center where only data needs to be recovered. Disadvantages are the distance and sharing with other customers.
• Immediate recovery or hot-standby is for immediate restoration of services, and is mostly an extension of intermediate recovery, where exclusive access to systems is provided. Also a mirroring service can be established with regular data transfers. Times of recovery vary from a second to between 2 and 4 hours.
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
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Student Notebook
Figure 13-12. ITSCM: Continuity Plan Invocation SM251.0
Notes:
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ITSCMContinuity Plan Invocation
The invocation is the ultimate test of BCM and ITSCM plans.
The following should be known in case of emergency:
- Where the plans are located
- The most important actions and points of decision
- Contact information of the crisis management team
The plan should contain the following details:
- Where are the backup media?
- Where are the essential documentations, procedures, PC images, and so on?
- How should the technical staff be mobilized, and which staff?
- Contacting and alerting external suppliers (hardware; software if required).
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Figure 13-13. ITSCM: Test and Review SM251.0
Notes:
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ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
ITSCMTest and Review
Testing of the continuity plan:
Should be conducted every 6 to 12 months and after every case of disaster
Should be conducted under realistic conditions
Review of and changes to the continuity plan:
Changes of the ITSCM plan due to change in the IT infrastructure
– Custom / Services / SLRs / Risks
– Dependencies / Assets / CIs / Personal
– Contracts / SLAs / Countermeasures / …
ALL critical and major changes should be approved by the Change Advisory
Board (CAB)
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Student Notebook
Figure 13-14. ITSCM: Benefits and Costs SM251.0
Notes:
The advantages of ITSCM include:
• Potential lower insurance premiums: The IT organization can help the organization demonstrate to underwriters or insurers that they are proactively managing down their business risks. Therefore, the risk to the insurance organization is lower and the premiums due should reflect this. Alternatively, the organization may feel comfortable in reducing cover or self-insuring in certain areas as a result of limiting potential losses.
• Regulatory requirements: In some industries a recovery capability is becoming a mandatory requirement (for example, regulators stipulate that financial organizations have sufficient continuity and security controls to meet the business requirements). Failure to demonstrate tested business and ITSCM facilities could result in heavy fines or the loss of trading licenses. Within the service community, there is an obligation to provide continuous services, such as hospitals, emergency services, and prisons.
• Business relationship: The requirement to work closely with the business to develop and maintain a continuity capability fosters a much closer working relationship between
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ITSCMBenefits and Costs
Benefits
Potential lower insurance premiums
Business relationship with the rest of
the enterprise is fostered because IT
organization is forced to get a better
understanding of the business
Positive marketing of contingency
capabilities. Effective ITSCM allows
organization to provide high service
levels and thus win business
Organizational credibility is increased
towards customers, business partners,
and stakeholders
Competitive advantage over
organizations without it
Costs
Cost of organization
Cost of implementation
Cost of HW to recover critical IT
services
Contracts for offsite storage, recovery
centers, recovery systems
Cost of implementation of
backup/recovery strategy taking
ITSCM into account
Cost of testing recovery plans
Cost of maintaining recovery plans
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IT and the business areas. This can assist in creating a better understanding of the business requirements and the capability of IT to support those requirements.• Positive marketing of contingency capabilities: Being able to demonstrate effective ITSCM capabilities enables an organization to provide high service levels to clients and customers and thus win business.
• Organizational credibility: There is a responsibility on the directors of organizations to protect the shareholders' interest and those of their clients. Contingency facilities increase an organization’s credibility and reputation with customers, business partners, stakeholders, and industry peers. For example, the growth of call centers in many organizations has meant that the need to maintain customer communications at all times is vital to the ability to retain customer confidence and loyalty.
• Competitive advantage: Service organizations are increasingly being asked by business partners, customers, and stakeholders to demonstrate their contingency facilities, and may not be invited to tender for business unless they can demonstrate appropriate recovery capabilities. In many cases this is a good incentive for customers to continue a business relationship, and becomes a part of the competitive advantage used to win or retain customers.
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 13. IT Service Continuity Management (ITSCM) 13-17
Student Notebook
Figure 13-15. ITSCM: Risks SM251.0
Notes:
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ITSCMRisks
Potential problem areas:
No senior management commitment during implementation or ongoing phase
No personal resource for creating ITSCM plans
Testing of continuity plans only realistic in the live environment
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Figure 13-16. ITSCM: Summary SM251.0
Notes:
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ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
ITSCMSummary
The mission of ITSCM is to support the Business Continuity Management process
by ensuring that the required IT technical and services facilities can be recovered
within required and agreed timescales
The dependencies between business processes and technology are now so
intertwined that Contingency Planning (or Business Continuity Management, as it
is now sometimes termed) incorporates both a business element (Business
Continuity Management) and a technology element (IT Service Continuity
Management).
Activities: risk analysis, continuity plan, review and test
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Student Notebook
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Unit 14. Security ManagementWhat This Unit Is About
This unit is an introduction to Security Management, and how it relates with all other IT Services.
What You Should Be Able to Do
After completing this unit, you should be able to think about the mission of this service, and understand its benefits within the ITIL framework.
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 14. Security Management 14-1
Student Notebook
Figure 14-1. Unit 14: Security Management SM251.0
Notes:
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ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Unit 14Security Management
Content:
Security Management – objectives and overview
Definition: CIA, security incident
Responsibilities and obligations
Important aspects
– Security measures
Benefits and costs
Summary
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Figure 14-2. ITSCM Management: Integration into the IPW Model SM251.0
Notes:
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ITSCM Management Integration into the IPW Model
Source: IPW Model is a trade mark of Quint Wellington and KPN Telecoms
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 14. Security Management 14-3
Student Notebook
Figure 14-3. Security Management: Mission Statement SM251.0
Notes:
IT Security Management is the process of managing a defined level of security for information, IT services, and infrastructure. IT Security Management enables and ensures that:
• Security controls are implemented and maintained to address changing circumstances, such as changed business and IT service requirements, IT architecture elements, threats, and so on
• Security incidents are managed
• Audit results show the adequacy of security controls and measures taken
• Reports are produced to show the status of information security.
IT Security Management needs to be part of every IT manager's job description. Management is responsible for taking appropriate steps to reduce to acceptable levels the chances of a security incident occurring. This is the process of risk assessment and management.
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Security ManagementMission Statement
Security Management is the process of managing a defined level of security on information and IT services, including managing the responses to security incidents.
The goal of Security Management is to counter risks of threats to one of the most important assets for business: the information.
Information is threatened in many ways:
Confidentiality
Integrity / Accuracy
Availability / Accessibility
C – Confidentiality
I – Integrity
A – Availability
C – Confidentiality
I – Integrity
A – Availability
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Figure 14-4. Security Management: Definitions: CIA SM251.0
Notes:
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ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Security Management
Definitions: CIA
Security Management should protect the value of the information.
Confidentiality
Protecting sensitive information from unauthorized disclosure or intelligible
interception
Integrity
Safeguarding the accuracy and completeness of information and software
Availability
Ensuring that information and vital IT services are available and accessible when
required
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 14. Security Management 14-5
Student Notebook
Figure 14-5. Security Management: Why Security Management? SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Security Management
Why Security Management?
Information is the most important production factor of the world
Threat to information = threat to the organization‘s productivity
Security Management gets increasingly important, because...
– Public networks (Internet) are increasingly used
– Internal networks are opened to customers and business partners
– Internet usability is increasingly extended (e-commerce, online banking)
– Processes are controlled via networks
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Figure 14-6. Security Management: Information Security Incident SM251.0
Notes:
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ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Security ManagementInformation Security Incident
Information Security Incidents are incidents at which
the confidentiality
the integrity
or the availability
of the information is threatened.
Information security incidents
can accidentally occur,
or can be intentionally caused.
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© Copyright IBM Corp. 2004 Unit 14. Security Management 14-7
Student Notebook
Figure 14-7. Security Management: Security Measures SM251.0
Notes:
Corporate executive management is accountable to stakeholders and shareholders for security, and is responsible for defining the corporate security policy. IT Security Management is governed by that policy. The existence of the policy registers and reinforces the corporate decision to invest in the security of information and information processing. It provides management with guidelines and direction regarding the relative importance of various aspects of the organization, and of what is allowable and what is not, in the use of ICT systems and data.
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Security ManagementSecurity Measures
Security measures make it possible to reduce or eliminate
the risks associated with information. Security measures
only add value when used harmoniously.
Security organization
With clear responsibilities and tasks
Policies, codes of conduct, or both
Physical security measures
Physical separation of the computer room
Technical security measures
Security in a computer system or network
Procedural security measures
How the staff are required to act in particular cases
Work instructions
The security organization has to
establish and maintain a proper
balance between the level of security
and the ability to use the service.
The security organization has to
establish and maintain a proper
balance between the level of security
and the ability to use the service.
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Figure 14-8. Security Management: Process SM251.0
Notes:
This slide illustrates the information security process as seen by the business. It covers all stages, from policy setting and initial risk assessment, through planning, implementation and operation, to evaluation and audit. The level of security required are defined after the customer or the business security requirements.
The slide provides an overview of the ITIL IT Security Management Process. The process shows the complete route, from the collection of a customer's requirements, through planning, implementation, evaluation and maintenance – under a framework of control – with regular status reporting to the customer closing the loop.
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Security ManagementProcess
Customer
PlanMaintain
EvaluateImplement
Control
Report SLA
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 14. Security Management 14-9
Student Notebook
Figure 14-9. Security Management: Process- Input from Customer SM251.0
Notes:
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Defines its
security
requirements
based on its
business
requirements
Security ManagementProcess- Input from Customer
Customer
PlanMaintain
EvaluateImplement
Control
Report SLA
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Figure 14-10. Security Management: Process – Control SM251.0
Notes:
Processes, functions, roles, and allocation of responsibilities have to be defined within the sub-processes.
• The organization structure between these
• The reporting structure or line of command
• The way the security plans are established
• The process through which these are implemented
• The way in which the implementation is evaluated
• The process through which the results of these evaluations are used for the maintenance of security plans and the implementation thereof
• The reporting structure to the customer
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Security ManagementProcess – Control
• Define processes,
functions, roles,
responsibilities
• Organization
structure between
sub-processes
• Reporting
structure/line of
command
Customer
PlanMaintain
EvaluateImplement
Control
Report SLA
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 14. Security Management 14-11
Student Notebook
Figure 14-11. Security Management: Process – SLA SM251.0
Notes:
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IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Report
The section
security in SLA
is negotiated
between
customer and
service provider
Security ManagementProcess – SLA
Customer
PlanMaintain
EvaluateImplement
Control
Report SLA
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Figure 14-12. Security Management: Process – Plan SM251.0
Notes:
The Plan activity includes the way the security section of the SLA is established as well as the underpinning contracts.
The generic security requirements in the SLA are refined in Operational Level Agreements (OLAs). These define support requirements internally.
The Plan activities may also use policy statements for the IT service providers to which they have to comply.
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• SLA
• Underpinning
contracts
• OLA
• Policy statement
Security ManagementProcess – Plan
Customer
PlanMaintain
EvaluateImplement
Control
Report SLA
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 14. Security Management 14-13
Student Notebook
Figure 14-13. Security Management: Process – Implement SM251.0
Notes:
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IBM Global Services
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• Maintaining
awareness
- Security works only if
discipline and
motivation
• Security incident
handling
responsiveness
• Security incident
registration
- measurement
- classification
- and reporting
Security ManagementProcess – Implement
Customer
PlanMaintain
EvaluateImplement
Control
Report SLA
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Figure 14-14. Security Management: Process – Evaluate SM251.0
Notes:
Three types of evaluation:
• Internal audits
• External audits
• Self-assessments
Evaluation results are used to determine or refine measures taken.
Evaluation also assesses standards and policies.
• Can result in RFCs
• Blindly trusting security measures installed long ago will create an atmosphere of phantom security.
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Security ManagementProcess – Evaluate
Avoid the
atmosphere of
phantom security
• Internal audits
• External audits
• Self-assessments
• Security incident
evaluation
Customer
PlanMaintain
EvaluateImplement
Control
Report SLA
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© Copyright IBM Corp. 2004 Unit 14. Security Management 14-15
Student Notebook
Figure 14-15. Security Management: Process – Maintain SM251.0
Notes:
It is important to keep security measures up to date, as the threats on the infrastructure, organization, and processes are changing constantly.
Maintenance is based on:
• The results of the periodic reviews
• Insight into the changing risk picture
• Changes in the input material (including SLAs)
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Security ManagementProcess – Maintain
• Collect experiences,
lessons learned
• Improvements will
be considered for
the next round of
- planning
- implementation
Customer
PlanMaintain
EvaluateImplement
Control
Report SLA
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Figure 14-16. Security Management: Process – Report SM251.0
Notes:
One of the major reasons why information security has been neglected for so long is the absence of historical records.
Generally no one has any idea of what kind of security incidents have troubled the organization in the past.
• Ignorance
• Not exposing the dirty linen
Management needs to be aware of the efficiency of the resources spent on security measures and the effectiveness of the measures.
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• Show conformity
with SLA
• Management
without
information is
impossible
Security ManagementProcess – Report
Customer
PlanMaintain
EvaluateImplement
Control
Report SLA
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 14. Security Management 14-17
Student Notebook
Figure 14-17. Security Management: Level of measures SM251.0
Notes:
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ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Security ManagementLevel of measures
Recovery
Damage
How could the security incident happen?
How can it be avoided in the future?
Security
Incident
Prevent
Reduction
Detection
Repression
Correction
Evaluation
Threat
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Student NotebookV3.1.0.1
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Figure 14-18. Security Management: Benefits and Costs SM251.0
Notes:
19
IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Security ManagementBenefits and Costs
Benefits
Can only be qualified with difficulty
The costs are nevertheless clear if
security is not sufficient
Costs
Provision of information and training
(depends on staff mentality)
Staff, hardware, software
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
© Copyright IBM Corp. 2004 Unit 14. Security Management 14-19
Student Notebook
Figure 14-19. Security Management: Summary SM251.0
Notes:
20
IBM Global Services
ITIL Foundation Course | Student material v1.0 © 2004 IBM Corporation
Security ManagementSummary
Security Management is responsible for managing and improving a
defined level of security on information and IT services.
Information Security Incidents are incidents at which
– the confidentiality
– the integrity
– or the availability
of the information is threatened.
Activities: plan, implement, evaluate, maintain
Course materials may not be reproduced in whole or in part without the prior written permission of IBM.
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