ITIL V3 Planning, Protection and Optimization

ITIL® V3 : Planning, Protection & Agreements Best Practices

Foreword As an education and training organization within the IT Service Management (ITSM) industry, we have been impressed by the positive changes introduced by the Version 3 refresh of the ITIL® framework. The evolution of the core principles and practices provided by the framework provides the more holistic guidance needed for an industry that continues to mature and develop at a rapid pace. We recognize however, that many organizations and individuals who had previously struggled with their adoption of the framework will continue to find challenges in ‘implementing’ ITIL® as part of their approach for governance of IT Service Management practices. In light of this, one of our primary goals is to provide the quality education and support materials needed to enable the understanding and application of the ITIL® framework in a wide-range of contexts. This workbook’s primary purpose is to complement the accredited ITIL® Planning, Protection & Optimization program provided by The Art of Service or one of our accredited partners. We hope you find this book to be a useful tool in your educational library and wish you well in your IT Service Management career!

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© The Art of Service Pty Ltd ‘All of the information in this document is subject to copyright. No part of this document may in any form or by any means (whether electronic or mechanical or otherwise) be copied, reproduced, stored in a retrieval system, transmitted or provided to any other person without the prior written permission of The Art of Service Pty Ltd, who owns the copyright.’ ITIL® is a Registered Community Trade Mark of OGC (Office of Government Commerce, London, UK), and is Registered in the U.S. Patent and Trademark Office. ©The Art of Service

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Contents FOREWORD........................................................................................................................................................ 1 1

INTRODUCTION ........................................................................................................................................ 5

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IT SERVICE MANAGEMENT ...................................................................................................................... 7 2.1 2.2 2.3

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WHAT IS ITIL®? ........................................................................................................................................ 13 3.1 3.2 3.3

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THE FOUR PERSPECTIVES (ATTRIBUTES) OF ITSM.................................................................................................8 BENEFITS OF ITSM............................................................................................................................................9 BUSINESS AND IT ALIGNMENT .........................................................................................................................10 THE SERVICE LIFECYCLE .................................................................................................................................14 MAPPING THE CONCEPTS OF ITIL® TO THE SERVICE LIFECYCLE ........................................................................16 HOW DOES THE SERVICE LIFECYCLE WORK?....................................................................................................18

COMMON TERMINOLOGY .................................................................................................................... 21 4.1 4.2 4.3

WHAT ARE SERVICES? ...................................................................................................................................22 PROCESSES & FUNCTIONS .............................................................................................................................28 OTHER COMMON TERMINOLOGY ..................................................................................................................33

5 RELATIONSHIP BETWEEN THE PLANNING, PROTECTION AND OPTIMIZATION PROCESSES AND THE SERVICE LIFECYCLE......................................................................................................................................... 34 5.1 5.2 5.3 5.4 5.5 5.6 5.7 5.8 6

PLANNING, PROTECTION & OPTIMIZATION PROCESSES ..................................................................... 44 6.1 6.2 6.3 6.4 6.5

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THE CONTINUAL SERVICE IMPROVEMENT MODEL ..........................................................................................118 MANAGING CULTURAL CHANGE.................................................................................................................119

SUMMARY ............................................................................................................................................. 120 10.1

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KNOWLEDGE MANAGEMENT TOOLS ............................................................................................................115

IMPLEMENTING PLANNING, PROTECTION AND OPTIMIZATION PROCESSES................................... 118 9.1 9.2

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GENERIC ROLES ..........................................................................................................................................103 ROLES WITHIN PLANNING PROTECTION AND OPTIMIZATION............................................................................104

TECHNOLOGY CONSIDERATIONS ...................................................................................................... 113 8.1

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DEMAND MANAGEMENT...............................................................................................................................46 AVAILABILITY MANAGEMENT .........................................................................................................................52 CAPACITY MANAGEMENT .............................................................................................................................76 IT SERVICE CONTINUITY MANAGEMENT ..........................................................................................................85 INFORMATION SECURITY MANAGEMENT .........................................................................................................96

ROLES AND RESPONSIBILITIES FOR PPO.............................................................................................. 103 7.1 7.2

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SERVICE STRATEGY ........................................................................................................................................35 OBJECTIVES OF SERVICE STRATEGY.................................................................................................................35 BENEFITS OF SERVICE STRATEGY ......................................................................................................................36 SERVICE STRATEGY INTERFACES WITH OTHER SERVICE LIFECYCLE PHASES ...........................................................37 SERVICE DESIGN ...........................................................................................................................................39 OBJECTIVES OF SERVICE DESIGN....................................................................................................................39 BENEFITS OF SERVICE DESIGN .........................................................................................................................40 SERVICE DESIGN INTERFACES WITH OTHER SERVICE LIFECYCLE PHASES ..............................................................41

REVIEW QUESTIONS ................................................................................................................................122

CHECKLIST FOR PPO PRACTICES......................................................................................................... 131 11.1 11.2 11.3

THE PRACTICE OF SERVICE MANAGEMENT ...............................................................................................131 SERVICE STRATEGY PRINCIPLES ................................................................................................................131 STRATEGY AND ORGANIZATION ...............................................................................................................133

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11.4 11.5 11.6 11.7 11.8 11.9

TECHNOLOGY AND STRATEGY .................................................................................................................134 SERVICE DESIGN PRINCIPLES ...................................................................................................................135 AVAILABILITY MANAGEMENT ...................................................................................................................135 CAPACITY MANAGEMENT ......................................................................................................................136 IT SERVICE CONTINUITY MANAGEMENT ....................................................................................................136 INFORMATION SECURITY MANAGEMENT ...................................................................................................137

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GLOSSARY ............................................................................................................................................ 139

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CERTIFICATION..................................................................................................................................... 143 13.1 13.2

ITIL® CERTIFICATION PATHWAYS .............................................................................................................143 ISO/IEC 20000 PATHWAYS ...................................................................................................................144

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ANSWERS TO REVIEW QUESTIONS....................................................................................................... 145

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REFERENCES.......................................................................................................................................... 148

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1 Introduction More than a decade of building knowledge and experience around IT Service Management, and many worthwhile discussions with our clients made us realize that most companies still focus on the technology and technical capabilities of an IT organization, rather than looking from the outside into IT. Technology and applications were often designed with the IT specialist and not the user in mind. But not everybody worked like this: there were many companies who aimed for better quality, for more alignment between the business needs and the IT offerings. However, in most of these cases the processes that were implemented focused more on the operations, rather than the design. The design aspect was a separate activity, performed by architects and the strategic development teams. Now with ITIL® Version 3 we have the opportunity to look at this situation as if we were entirely new to the industry. What is it that the business needs from the IT group? How will IT Service Management help us in designing and delivering IT services that support those needs? How are we going to make sure we deliver services that are designed in a planned manner, and deliver these services in the most difficult circumstances? The business requires our support to achieve their business goals, or to put it more simply: to get money in through the doors. With this in mind, this workbook aims to develop the reader’s knowledge and appreciation of the practices for IT Service Management, with particular focus on those capabilities required for Planning, Protection & Optimization in the modern IT environment. This workbook is created to be used in addition to the combination of an accredited ITIL® training program as well as practical experience gained in the field. Assumptions are made by the authors that readers already have some familiarity with IT and ITIL® terminology or have already completed an ITIL® Foundation program.

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2 IT Service Management The term IT Service Management (ITSM) is used in many ways by different management frameworks and organizations seeking governance and increased maturity of their IT organization. Standard elements for most definitions of ITSM include: • Description of the processes required to deliver and support IT Services for customers; • The purpose primarily being to deliver and support the technology or products needed by the business to meet key organizational objectives or goals; • Definition of roles and responsibilities for the people involved including IT staff, customers and other stakeholders involved; and • The management of external suppliers (partners) involved in the delivery and support of the technology and products being delivered and supported by IT. The combination of these elements provide the capabilities required for an IT organization to deliver and support quality IT Services that meet specific business needs and requirements. The official ITIL® definition of IT Service Management is found within the Service Design volume (page 11), describing ITSM as “A set of specialized organizational capabilities for providing value to customers in the form of services”. These organizational capabilities are influenced by the needs and requirements of customers, the culture that exists within the service organization and the intangible nature of the output and intermediate products of IT services. However, IT Service Management comprises more than just these capabilities alone, being complemented by an industry of professional practice and wealth of knowledge, experience and skills. The ITIL® framework has developed as a major source of good practice in Service Management and is used by organizations worldwide to establish and improve their ITSM practices.

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2.1 The Four Perspectives (Attributes) of ITSM Partners/Suppliers

People

Process Products/Technology

Figure 2.1 – Four Perspectives (Attributes) of ITSM

There are four perspectives (“4P’s”) or attributes to explain the concept of ITSM. • Partners/Suppliers Perspective: Takes into account the importance of Partner and External Supplier relationships and how they contribute to Service Delivery. • People Perspective: Concerned with the “soft” side of ITSM. This includes IT staff, customers and other stakeholders. E.g. Do staff have the correct skills and knowledge to perform their roles? • Products/Technology Perspective: Takes into account IT services, hardware and software, budgets, tools. • Process Perspective: Relates the end-to-end delivery of service-based on-process flows. Quality IT Service Management ensures that each of these four perspectives are taken into account as part of the continual improvement of the IT organization. These same perspectives need to be considered and catered for when designing new or modified services to succeed in the design, transition and eventual adoption by customers.

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2.2 Benefits of ITSM While the benefits of applying IT Service Management practices vary depending on the organization’s needs, some typical benefits include: • Improved quality service provision; • Cost-justifiable service quality; • Services that meet business, Customer and User demands; • Integrated centralized processes; • Everyone knowing their role and their responsibilities in service provision; • Learning from previous experience; and • Demonstrable performance indicators. In particular reference to the scope of Service Offerings & Agreements, such benefits include: • Improved capability for supporting business growth and change; • Improved efficiency of business and IT staff though quality information and knowledge being made available; • Decreased variance between estimated and actual resource requirements; • Improved visibility of the state of critical components within the IT infrastructure; • Improvement in the actual availability of services and systems available to users; and • Improved uptake and effective use of IT Services by the user community. It is important to consider the range of stakeholders who can benefit from improved ITSM practices. These stakeholders can come from: • Senior management; • Business unit managers; • Customers; • End-users; • IT staff; and • Suppliers.

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2.3 Business and IT Alignment A central concept to keep in mind when discussing the benefits of IT Service Management is the goal of business and IT alignment. When staff members of an IT organization have an internal focus on the technology being delivered and supported, they lose sight of the actual purpose and benefit that their efforts deliver to the business. A way in which to communicate how IT supports the business is using the following Figure 2.2 demonstrating business and IT alignment. Figure 2.2 divides an organization into a number of supporting layers that work towards meeting a number of organizational goals. These layers are communicated by the following: • Organization (What are the key goals for the organization?); • CORE Business Processes (These enable the objectives above to be met); • IT Service Organization (What IT Services are required to enable the effective and efficient execution of the business processes above?); • IT Service Management (The focus here is on the ITIL® processes required for quality delivery and support of the IT Services above); and • IT Technical Activities (The actual technical activities required as part of the execution of the ITIL® processes above. These are technology specific and as such not the focus of ITIL® or this document).

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Example to illustrate business and IT alignment: Business: A fashion store. What are some of your organization’s objectives or strategic goals? We want to make a lot of money $$$! We want to have a good image and reputation. What Business Processes aide in achieving those objectives? Retail, marketing, buying, procurement, HR etc. What IT Services are these business processes dependent on? Web site, email, automatic procurement system for buying products, Point of Sale Services.

Figure 2.2 – Business and IT Alignment

We have ITSM in order to make sure the IT Services are: What we need (Service Level Management, Capacity Management etc); Available when we need it (Availability Management, Incident Management etc.); and Provisioned cost-effectively (Financial Management, Service Level Management). If we don’t manage the IT Services appropriately we cannot rely on these services to be available when we need them. If this occurs we cannot adequately support our business processes effectively and efficiently. And therefore we cannot meet or support our overall organization’s objectives!

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3 What is ITIL®? ITIL® stands for the Information Technology Infrastructure Library. ITIL® is the international de facto management framework describing “good practices” for IT Service Management. The ITIL® framework evolved from the UK government’s efforts during the 1980s to document how successful organizations approached service management. By the early 1990s they had produced a large collection of books documenting the “best practices” for IT Service Management. This collection was eventually entitled the IT Infrastructure Library. The Office of Government Commerce in the UK continues to operate as the trademark owner of ITIL®. ITIL® has gone through several evolutions and was most recently refreshed with the release of Version 3 in 2007. Through these evolutions the scope of practices documented has increased in order to stay current with the continued maturity of the IT industry and meet the needs and requirements of the ITSM professional community. ITIL® is only one of many sources for best practices, including those documented by: • Public frameworks (ITIL®, COBIT, CMMI etc.); • Standards (ISO 20000, BS 15000); and • Proprietary knowledge of organizations and individuals. Generally best practices are those formalized as a result of being successful in wideindustry use.

Figure 3.1 – ITIL® V3 Core Volumes

Five volumes make up the IT Infrastructure Library (Version 3). • Service Strategy; • Service Design; • Service Transition; • Service Operation; and • Continual Service Improvement.

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3.1 The Service Lifecycle

Figure 3.2 – ITIL® Service Lifecycle Model © Crown Copyright 2007 Reproduced under license from OGC

Lifecycle: The natural process of stages that an organism or inanimate object goes through as it matures. For example, human stages are birth, infant, toddler, child, pre-teen, teenager, young adult, adult, elderly adult and death. The concept of the Service Lifecycle is fundamental to the refresh of ITIL® for Version 3. Previously, much of the focus of ITIL® was on the processes required to design, deliver and support services for customers. As a result of this previous focus on processes, Version 2 of the ITIL® Framework provided best practices for ITSM based around the how questions. These included: • How should we design for availability, capacity and continuity of services? • How can we respond to and manage incidents, problems and known errors? As Version 3 now maintains a holistic view covering the entire lifecycle of a service. No longer does ITIL® just answer the how questions, but also why? • Why does a customer need this service? • Why should the customer purchase services from us? • Why should we provide (x) levels of availability, capacity and continuity? By first asking these questions it enables a service provider to provide overall strategic objectives for the IT organization, which will then be used to direct how services are

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designed, transitioned, supported and improved in order to deliver optimum value to customers and stakeholders. The ultimate success of service management is indicated by the strength of the relationship between customers and service providers. The 5 phases of the Service Lifecycle provide the necessary guidance to achieve this success. Together they provide a body of knowledge and set of good practices for successful service management. This end-to-end view of how IT should be integrated with business strategy is at the heart of ITIL’s® five core volumes (books).

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3.2 Mapping the Concepts of ITIL® to the Service Lifecycle There has been much debate as to exactly how many processes exist within Version 3 of ITIL®. Questions asked include: • What exactly constitutes a process? • Shouldn’t some processes be defined as functions? • Why has (x) process been left out? In developing this material we have based our definitions of processes and functions and where they fit within the lifecycle, on the guidance provided by the APMG/EXIN ITIL® Service, Offerings & Agreements syllabus. Figure 3.3 demonstrates the processes and functions of ITIL® in relation to the 5 Service Lifecycle Phases. It also demonstrates the increased scope now covered by ITIL® over the previous version.

Figure 3.3 – The Major Concepts of ITIL®

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NOTES: • The Service Lifecycle phases (and ITIL® books) are shown through the arrows at the bottom. • The concepts in dark shading are the V2 ITIL® concepts. • The concepts not shaded are the new ITIL® V3 concepts. • The concepts in light shading are Functions. • Although Service Level Management officially sits in the Service Design book, it plays a very important role in the Continual Service Improvement phase, and therefore could also fit in the CSI book as a process.

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3.3 How does the Service Lifecycle work? Although there are 5 phases throughout the Lifecycle, they are not separate, nor are the phases necessarily carried out in a particular order. The whole ethos of the Service Lifecycle approach is that each phase will affect the other, creating a continuous cycle. For this to work successfully, the Continuous Service Improvement (CSI) phase is incorporated throughout all of the other phases. Figure 3.4 demonstrates some the key outputs from each of the Service Lifecycle Phases. •IT Budgets

Service Strategy

•Patterns of Business Activity •Service Portfolio information •New and changed service assets

Service Design

•Service Catalogue, SLAs, OLAs, UCs •Testing and Validation Criteria •Known Errors from Development

Service Transition

•Testing and validation results •Change Authorization

Service Operation

•Incidents & Problems, Events, Service Requests •Request for Changes •Information collected from infrastructure monitoring

Continual Service Improvement

Service and Process Improvements

Figure 3.4 – How does the Service Lifecycle Work?

It is important to note that most of the processes defined do not get executed within only one lifecycle phase. As an example we will look at the process of Availability Management and where some activities will get executed throughout Service Lifecycle. •

• • • •

Service Strategy Phase: Determines the needs, priorities, demands and relative importance for desired services. Identifies the value being created through services and the predicted financial resources required to design, deliver and support them. Service Design Phase: Designs the infrastructure, processes and support mechanisms needed to meet the Availability requirements of the customer. Service Transition Phase: Validates that the Service meets the functional and technical fitness criteria to justify release to the customer. Service Operation Phase: Monitors the ongoing Availability being provided. During this phase we also manage and resolve incidents that affect Service Availability. Continual Service Improvement Phase: Coordinates the collection of data, information and knowledge regarding the quality and performance of services supplied and Service Management activities performed. Service Improvement Plans developed and coordinated to improve any aspect involved in the management of IT services.

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4 Common Terminology Critical to our ability to participate with and apply the concepts from the ITIL® framework is the need to be able to speak a common language with other IT staff, customers, end-users and other involved stakeholders. This next section documents the important common terminology that is used throughout the ITIL® framework.

Figure 4.1 – The importance of terminology © Crown Copyright 2007 Reproduced under license from OGC

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4.1 What are Services? The concept of IT Services as opposed to IT components is central to understanding the Service Lifecycle and IT Service Management principles in general. It requires not just a learned set of skills but also a way of thinking that often challenges the traditional instincts of IT workers to focus on the individual components (typically the applications or hardware under their care) that make up the IT infrastructure. The mindset requires instead an alternative outlook to be maintained, with the focus being the Service oriented or end-toend view of what their organization actually provides to its customers. The official definition of a Service is “a means of delivering value to Customers by facilitating outcomes customers want to achieve without the ownership of specific costs or risks”. Well what does this actually mean? To explain some of the key concepts I will use an analogy that most (food lovers) will understand. While I do enjoy cooking, there are often times where I wish to enjoy quality food without the time and effort required to prepare a meal. If I was to cook, I would need to go to a grocery store, buy the ingredients, take these ingredients home, prepare and cook the meal, set the table and of course, clean up the kitchen afterwards. Alternatively, I can go to a restaurant that delivers a service that provides me with the same outcome (a nice meal) without the time, effort and general fuss if I was to cook it myself. •

• • • •

Now consider how I would identify the quality and value of that service being provided. It isn’t just the quality of the food itself that will influence my perceptions, but also:The cleanliness of the restaurant; The friendliness and customer service skills of the waiters and other staff; The ambience of the restaurant (lighting, music, decorations etc.); The time taken to receive my meal (and was it what I asked for?); and Did they offer water as well as normal drinks and beverages.

If just one of these factors doesn’t meet my expectations, than ultimately the perceived quality and value being delivered to me as a customer are negatively impacted. Now relate this to our role in providing an IT Service. If we as IT staff focus on the application or hardware elements being provided and forget or ignore the importance of the surrounding elements that make up the end-to-end service, just like in the example of the restaurant, the customer experience and perceived quality and value will be negatively impacted. But if we take a Service oriented perspective, we also ensure that: • Communication with customers and end users is effectively maintained; • Appropriate resolution times are maintained for end user and customer enquiries;

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• •

Transparency and visibility of the IT organization and where money is being spent is maintained; and The IT organization works proactively to identify potential problems that should be rectified or improvements that could be made.

To help clarify the relationship between IT Services and the business we need to look at the concepts of Business Units and Service Units.

4.1.1

Business Units and Service Units Management

Organization

Prospects Competitors Regulators Suppliers

Create value Business unit Capabilities

Influence Demand

Processes

Knowledge

Goods/ Services Consume assets

Customers

Coordinate, control, and deploy

People

Asset types

Resources Supply Generate returns (or recover costs)

Information

Applications

Infrastructure

Financial capital

Figure 4.2 – Business Units © Crown Copyright 2007 Reproduced under license from OGC

A business unit is a bundle of assets with the purpose of creating value for customers in the form of goods and services. Their customers pay for the value they receive, which ensures that the business unit maintains an adequate return on investment. The relationship is good as long as the customer receives value and the business unit recovers cost and receives some form of compensation or profit (depending on the nature of the organization). A business unit’s capabilities coordinate, control and deploy its resources to create value in the form of business services. Some services simply increase the resources available to the customer, others may increase the performance of the customer’s management, organization, people and/or processes. The relationship with the customer becomes strong when there is a balance between value created and returns generated. ©The Art of Service

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Customer Performance potential

Service Provider

Service potential

Service Assets

Customer Assets

+

+

Service

Capabilities

–

Risks

+ Costs

+ Demand

Resources

Capabilities

– Idle capacity

(Business Unit)

Resources

(Service Unit)

Figure 4.3 – Balancing service potential against demand for services © Crown Copyright 2007 Reproduced under license from OGC

Service units are similar structures to business units, being a bundle of service assets that specializes in creating value in the form of IT services. Business units (customers) and Service units (providers) can be part of the same organization or come from multiple independent organizations. •

• •

This relationship enables Business Units to focus on the outcomes provided by services, while the Service Unit(s) focus on managing the costs and risks of providing the service, possibly by spreading these costs and risks across more than one customer or Business Unit. In the case of Service Offerings & Agreements, the nature of relationship between Business Units and Service Units will affect the approach taken, potentially requiring greater focus on one or more of the following areas:Legal requirements and contractual obligations (particularly when the business units are from a different organization to that of the service unit); Technical documentation and clarity (particularly when the business units/customers are IT organizations themselves); and Risk Management, depending on the number and size of business units/customers being served.

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4.1.2 Creating Service Value Perhaps historically, both providers and customers have used price as the focal point for communication and negotiation, but it is this path that ultimately leads to a negative experience for both parties. One of the key mantras that exist for any modern Service provider (IT or otherwise) is that it is essential to clearly establish value before you can attach a price to the services offered. This ensures a few key things: • It avoids an apple to oranges comparison, which usually occurs with a price focal point; • It enables the Service Provider to distinguish their capabilities and differentiation from their competitors; and • It clearly communicates to the customer what they can expect to receive as part of the delivery service. Providers of IT Services need to take special appreciation of the concept of value creation and communication, due to the many misunderstandings about technology on behalf of customers (and poor communication by their IT providers). To support this need, one of the major elements of the Service Strategy lifecycle is the creation of value through Services and Service Packages. Performance supported? Constraints removed?

UTILITY

Fit for purpose?

Value

Available enough? Capacity enough?

WARRANTY

Continuous enough?

Fit for use?

Secure enough? Figure 4.4 – Creating Service Value © Crown Copyright 2007 Reproduced under license from OGC

Formula: Service Warranty + Service Utility = Service Value Service Utility describes the positive effect on business processes, activities, objects and tasks. This could be the removal of constraints that improves performance or some other positive effect that improves the outcomes managed and focused on by the customer and business. This is generally summarized as being fit for purpose. Service Warranty, on the other hand, describes how well these benefits are delivered to the customer. It describes the Service’s attributes such as the availability, capacity,

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performance, security and continuity levels to be delivered by the provider. Importantly, the Service Utility potential is only realized when the Service is available with sufficient capacity and performance. By describing both Service Utility and Service Warranty, it enables the provider to clearly establish the value of the Service, differentiate themselves from the competition and, where necessary, attach a meaningful price tag that has relevance to the customer and associated market space.

4.1.3

Service Packages and Service Level Packages

To discuss Service Packages, Service Level Packages and how they are used to offer choice and value to customers, we’re going to use the example of the packages made available by typical Internet Service Providers (ISPs). As customers, we have a wide range of choice when looking for an ISP to provide broadband internet. So as a result ISPs do need to work hard to attract customers by communicating the value that they provide through their offerings. They also need to offer a wide range of choice for customers, who have varying requirements and needs for their broadband internet service.

A Service Package contains Core Service Package (The basic critical services)

Supporting Services Package (Provides differentiation or more effective use of Core Services)

Service Level Packages (Defines level of utility and warranty provided by Service Package)

Figure 4.5 – Service Package Example

Service Level Packages (Defines level of utility and warranty provided by Service Package)

Availability Levels

Capacity Levels

Continuity

Security Levels Features of service Support of service

gure 4.6 – Service Package Example

A Service Package provides a detailed description of package of bundled services available to be delivered to Customers. The contents of a Service Package includes: • The core services provided; • Any supporting services provided (often the excitement factors); and • The Service Level Package (see next page). Service Level Packages are effective in developing service packages with levels of utility and warranty appropriate to the customer’s needs and in a cost-effective way. Service Level Packages include: • Availability & Capacity Levels; • Continuity Measures; and Fi • Security Levels.

So for our ISP example, we can define a Service Package in the following way:

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Service Package: Broadband SuperUser ($69.95 per month) Core Service Package: • Internet Connection • Email Addresses

• • • • •

Supporting Services Package: • Static IP Address • Spam filtering • 100MB Web-Space • VOIP

Service Level Package: Download Speeds: 8000kbs – 24 000kbs (max) Download Quota: 30 GB (Shaped to 512kbs after) Backup dial-up account 98 % Availability Guarantee (otherwise rebate offered) 24 x 7 Service Desk for Support. Figure 4.7 – Service Package Example (ISP)

Most of the components of Service Packages and Service Level Packages are reusable components of the IT organization (many of which are services). Other components include software, hardware and other infrastructure elements. By providing Service Level Packages in this way it reduces the cost and complexity of providing services while maintaining high levels of customer satisfaction. In our example above, the ISP can easily create multiple Service Packages with varying levels of Utility and Warranty provided in order to offer a wide range of choice to customers, and to distinguish themselves from their competition. The use of Service Packages and Service Level Packages enables Service Providers to avoid a one-size fits all approach to IT Services.

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4.2 Processes & Functions 4.2.1 Defining Processes Processes can be defined as a structured set of coordinated activities designed to produce an outcome and provide value to customers or stakeholders. A process takes one or more inputs and through the activities performed turns them into defined outputs. Some principles to consider: • All processes should be measurable and performance driven (not just timeliness, but measuring overall efficiency including cost, effort and other resources used); • Processes are strategic assets when they create competitive advantage and market differentiation; and • Processes may define roles, responsibilities, tools, management controls, policies, standards, guidelines, activities and work instructions if needed. A process owner is the person responsible for ensuring that the process is fit for the desired purpose and is accountable for the outputs of that process. A process manager is the person responsible for the operational management of a process. There may be several managers for the one process or the same person may be both the process owner and process manager (typically in smaller organizations). The ITIL® processes covered in detail by this workbook are: • Event Management; • Incident Management; • Problem Management; • Request Management; and • Access Management.

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Figure 4.8 – Generic Process Elements © Crown Copyright 2007 Reproduced under license from OGC

The figure above describes the physical components of processes, which are tangible and therefore typically get the most attention. In addition to the physical components, there are behavioral components which are for the most part intangible, and are part of an underlying pattern so deeply embedded and recurrent that it is displayed by most members of the organization and includes decision making, communication and learning processes. Behavioral components have no independent existence apart from the work processes in which they appear, but at the same time they greatly affect and impact the form, substance and character of activities and subsequent outputs by shaping how they are carried out. So when defining and designing processes, it is important to consider both the physical and behavioral aspects that exist. This may be addressed by ensuring the all required stakeholders (e.g. staff members, customers and users etc.) are appropriately involved in the design of processes so that:

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They can communicate their own ideas, concerns and opinions that might influence the way in which processes are designed, implemented and improved. Of particular importance may be current behaviors that have not been previously identified which may affect the process design and implementation. Stakeholder groups are provided adequate training and education regarding how to perform their role within the process and what value the process provides for. Stakeholders generally feel to be empowered in the change being developed, and therefore are more likely to respond positively rather than actively or passively resisting the organizational changes occurring.

4.2.2 Defining Functions Functions refer to the logical grouping of roles and automated measures that execute a defined process, an activity or combination of both. The functions within Service Operation are needed to manage the ‘steady state’ operation IT environment. Just like in sports where each player will have a specific role to play in the overall team strategy, IT Functions define the different roles and responsibilities required for the overall Service Delivery and Support of IT Services.

Service Desk

Technical Management Mainframe Server Network Storage Databases Directory Services Desktop

Figure 4.9 – The

Middleware Internet/Web

IT Operations Control

Application Management

Console Mgmt Job Scheduling Backup & Restore Print & Output

Financial Management HR Apps

Facilities Management Data Centers Recovery Sites Consolidation Contracts

Business Apps

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NOTE: These are logical functions and do not necessarily have to be performed by equivalent organizational structure. This means that Technical and Application Management can be organized in any combination and into any number of departments. The lower groupings (e.g. Mainframe, Server) are examples of the roles performed by Technical Management and are not necessarily a suggested organizational structure.

4.2.3

Connecting Processes and Functions

It is often said that processes are perfect…until people get involved. This saying comes from misunderstandings of the people involved and a lack of clarity regarding the roles and responsibilities that exist when executing processes. A useful tool to assist the definition of the roles and responsibilities when designing processes is the RACI Model. RACI stands for: R – Responsibility (actually does the work for that activity but reports to the function or position that has an “A” against it). A – Accountability (is made accountable for ensuring that the action takes place, even if they might not do it themselves). This role implies ownership. C – Consult (advice/guidance/information can be gained from this function or position prior to the action taking place). I – Inform (the function or position that is told about the event after it has happened). RACI Model Service Desk

Desktop

Applications

Operations Manager

Logging

RACI

-

-

CI

Classification

RACI

RCI

-

CI

Investigation

ACI

RCI

RCI

CI

Figure 4.10 – The RACI Model:

A RACI Model is used to define the roles and responsibilities of various Functions in relation to the activities of Incident Management. General Rules that exist:

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Only 1 “A” per Row can be defined (ensures accountability, more than one “A” would confuse this). At least 1 “R” per Row must be allocated (shows that actions are taking place), with more than one being appropriate where there is shared responsibility.

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4.3 Other Common Terminology Terminology

Explanations

IT Service Management:

A set of specialized organizational capabilities for providing value to customers in the form of services.

Capabilities:

The ability of an organization, person, process, application, CI or IT service to carry out an activity, including: • The functions and processes utilized to manage services; • Capabilities are intangible assets of an organization and cannot be purchased, but must be developed and matured over time; and • The ITSM set of organizational capabilities which aims to enable the effective and efficient delivery of IT services to customers.

Resources:

A generic term that includes IT Infrastructure, people, money or anything else that might help to deliver an IT service. Resources are also considered to be tangible assets of an organization.

Service Owner:

The person who is accountable for the delivery of a specific IT Service. They are responsible for continual improvement and management of change affecting Services under their care.

Internal Service Providers:

An internal service provider that is embedded within a business unit, e.g. one IT organization within each of the business units. The key factor is that the IT Services provide a source of competitive advantage in the market space the business exists in.

Shared Service Providers:

An internal service provider that provides shared IT service to more than 1 business unit e.g. one IT organization to service all businesses in an umbrella organization. IT Services typically don’t provide a source of competitive advantage, but instead support effective and efficient business processes.

External Service Providers:

Service provider that provides IT services to external customers. i.e. outsourcing.

Business Case:

A decision support and planning tool that projects the likely consequences of a business action. It provides justification for a significant item of expenditure, including costs, benefits, options, issues, risks and possible problems. ©The Art of Service

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5 Relationship between the Planning, Protection and Optimization Processes and the Service Lifecycle The focus of this workbook is on the ITIL® Planning, Protection and Optimization processes, activities and methods used when providing IT services. These processes are mainly contained within two Service Lifecycle phases, Service Strategy and Service Design. While both of these phases have their own objectives and responsibilities, together they provide a coordinated approach to the high level planning, protection and optimization of the architectures, systems and components required to deliver IT services according to business need. To describe the role of these two phases in brief: The Service Strategy lifecycle phase focuses on developing and refining the high level objectives, policies, and plans that document how the IT organization can/will provide value and support to the business and associated customers. The Service Design lifecycle phase focuses on transforming these objectives and plans into actual Services by designing the architectures, technology, processes and operational support capabilities that are required.

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5.1 Service Strategy The Service Strategy phase is concerned predominantly with the development of capabilities for Service Management, enabling these practices (along with the IT organization in general) to become a strategic asset of the organization. The guidance provided by the volume can be summarized as: • Understanding the principles of Service Strategy; • Developing Service Strategy within Service Management; • Strategy and Service Economics; • How strategy affects the Service Lifecycle and • Strategy and organizational culture and design.

Figure 5.1: Service Strategies

5.2 Objectives of Service Strategy The primary objectives of Service Strategy are to: • Design, develop and implement service management as a strategic asset and assisting growth of the organization; • Develop the IT organization’s capability to manage the costs and risks associated with their service portfolios; and • Define the strategic objectives of the IT organization. Achieving these objectives will ensure that the IT organization has a clear understanding of how it can better support business growth, efficiency improvements or other strategies that wish to be realized. KEY ROLE: To stop and think about why something has to be done, before thinking how.

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5.3 Benefits of Service Strategy Service Strategy has the potential for many significant benefits to be delivered to the IT organization and the business/customers it serves. However in many cases, these benefits fail to be realized due to insufficient connection and interfaces with other elements of the Service Lifecycle. For example: The IT Strategy Group from an international banking and managed investment firm have decided to address the current economic downturn by reducing investments into the IT organization and Service Portfolio. As a result the quality of some key services fall, with the support organization struggling to respond effectively to all calls for assistance. After a few months of lowered quality of service, the organization loses a number of major customers to their primary competitors. In response to the loss of these customers, further budget reductions are planned to counter the decrease in revenue earned. By failing to realize their customers’ value perception of services through service quality, the organization became caught in a negative cycle with potentially serious long term consequences. The missing link between the decisions being made by the strategy group and the potential impact they may have on elements of service quality (in particular the support and operation of services in this example) or service value is often a challenge when developing Service Strategy. The example also demonstrates the potential for shortterm decisions to have long-lasting effects, highlighting the importance for Service Strategy to maintain both a short-term and long-term vision. When developed successfully as part of a holistic IT Service Management implementation, effective Service Strategy can provide: • Improved understanding of the IT organization’s customers and market space they exist in; • Detection and analysis of patterns in the demand for and use of IT services; • Improved understanding of the costs involved in providing and supporting IT services; • Identification and communication of the business value provided by IT services; • Enhanced capabilities for managing the overall portfolio of services, and in particular, optimizing investments into IT; and • Consistent policies, standards and guidelines by which IT Service Management processes can align to.

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5.4 Service Strategy interfaces with other Service Lifecycle phases As the focal point for strategy, policy and guidelines that direct the efforts and practices of the IT organization, Service Strategy has many important interfaces with the rest of the Service Lifecycle. Interfaces with the Service Design phase: • Service Archetypes and Models, which describe how service assets interact with customer assets. These are important high-level inputs that guide the design of services; • Definition of business outcomes to be supported by services; • Understanding of varying priority in required service attributes; • Relative design constraints for the service (e.g. budget, contractual terms and conditions, copyrights, utility, warranty, resources, standards and regulations etc); • Definition of the cost models associated with providing services; and • Identification of patterns of business activity (PBA) and how they affect the demand for IT services. Interfaces with the Service Transition phase: • Service Transition provides evaluations of the costs and risks involved with introducing and modifying services. It also provides assistance in determining the relative options or paths for changing strategic positions or entering market spaces; • Request for Changes may be utilized to affect changes to strategic positions; • Planning of the required resources and evaluation whether the change can be implemented fast enough to support the strategy; and • Control and recording of service assets is maintained by Service Asset and Configuration Management. Interfaces with the Service Operation phase: • Service Operation will deploy service assets in patterns that most effectively deliver the required utility and warranty in each segment across the Service Catalogue; • Deployment of shared assets that provide multiple levels of redundancy, support a defined level of warranty and build economies of scale; and • Service Strategy must clearly define the warranty factors that must be supported by Service Operation, with attributes of reliability, maintainability, redundancy and overall experience of availability. Interfaces with the Continual Service Improvement phase: • Continual Service Improvement (CSI) will provide the coordination and direction required to implement improvements that best suit the organization’s objectives and requirements. ©The Art of Service

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IT Budgets: Strategic Objectives, Service Portfolios: Patterns of Business Activity (PBA)

Service Validation Criteria, Cost Units, Priorities & Risks of IT Services, Requirements Portfolio

Service Design

Service Transition

Service Strategy Service Models for support, Service Portfolios, Demand Management Strategies, IT Budgets

Service Operation

Nominated budgets for delivering and supporting services Process metrics and KPIs, Service Portfolios

Continual Service Improvement

Figure 5.2: – Some Service Strategy outputs to other lifecycle phases.

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5.5 Service Design The Service Design phase is concerned predominantly with the design of IT Services, as well as the associated or required: • Processes; • Service Management systems and tools; • Service Solutions; • Technology architectures; and • Measurement systems.

Figure 5.3: Service Design

The driving factor in the design of new or changed services is to support changing business needs. Every time a new service solution is produced, it needs to be checked against the rest of the Service Portfolio to ensure that it will integrate and interface with all of the other services in existence.

5.6 Objectives of Service Design While there are many elements within the Service Design phase, the three main objectives that provide direction to the processes involved are: • To convert the strategic objectives defined during Service Strategy into Services and Service Portfolios; • To use a holistic approach for design to ensure integrated end-to-end business related functionality and quality; and • To ensure consistent design standards and conventions are followed in all services and processes being designed.

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5.7 Benefits of Service Design While many of the processes within Service Design will not be discussed in this workbook, they all require effective communication channels to exist with the business and customers of the IT organization. Without this communication channel it is likely that Services being released to the production environment do not fulfill some basic requirement, whether it is functional, resource or scheduling in nature. However, if Service Design is implemented successfully and interfaced using a holistic approach coordinated by Service Level Management, the business and IT organization will benefit by: • Quality services being designed that satisfy agreed business objectives; • The design of services occurring within the defined constraints, including timescales, costs, human resources, standards, compliance and regulations; • The design of effective and efficient processes to be used for managing services throughout their lifecycle; • The ability to identify and manage potential risks and conflicts so they can be removed or mitigated before services are deployed to the production environment; • The use of consistent measurement practices and metrics for assessing the quality and performance of the IT Service Management processes being used; • Secure, consistent, scalable and modular architectures; and • Improved abilities in supporting enhanced business outcomes by transitioning many strategy and design activities into operational tasks.

Figure 5.4: – Service Design involves a balancing act affected by multiple constraints © Crown Copyright 2007 Reproduced under license from OGC

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5.8 Service Design interfaces with other Service Lifecycle phases Service Design should be implemented with understanding of the many important interfaces that exist with the rest of the Service Lifecycle. These interfaces will enable an effective feedback loop that will allow the continual development of capabilities for designing services and the associated items listed in 5.5. Some of the interfaces include the following: Interfaces with the Service Transition phase: • Service Transition should be involved early in the design of services, so that the evaluation of the possible risks, resource requirements and other factors involved can occur; • Service Asset and Configuration Management will provide identification, control and recording of any service assets required for the design of new and modified services; • Service Validation and Testing will ensure that sufficient levels of configuration and testing are utilized so that there is an appropriate level of reassurance that the service is fit for purpose and fit for use; and • Release and Deployment will liaise with Service Design to develop the service and deploy it into the production environment. Interfaces with the Service Operation phase: • Service Operation should be provided with the appropriate service targets to be delivered upon; • Service Operation should provide the Service Design teams with identification of the potential issues and resource requirements for delivering and supporting the service; • The processes, procedures and documentation required for delivering and supporting the service should be transferred to Service Operation staff; • Service Operation should communicate with Service Design to ensure that the Service Catalogue is maintained with up-to-date information about currently available services; and • Service Operation should provide the Service Level Manager with reporting information to be delivered back to the business and customers being served. Interfaces with the Continual Service Improvement phase: • Continual Service Improvement (CSI) will provide the coordination and analysis of metrics that will identify potential improvements to be carried out (in part by Service Design); • CSI will be coordinated by Service Level Management, so that potential improvement actions are optimized according to overall business and IT needs; and ©The Art of Service

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CSI should provide momentum to the Service Lifecycle, including Service Design, so that the performance, quality and overall customer satisfaction of the IT organization continually improves.

Service Assets, Service Components for budgeting and IT Accounting, Service Level Requirements Service Acceptance Criteria, Test Plans, Service Transition Plans, Service Design Packages, Configuration Item information, SLAs, OLAs, UCs

Service Strategy

Service Transition

Service Design Support Procedures, User Documentation, Service Catalogues, SLAs, OLAs, UCs, Security & Access Policies

Service Operation

Nominated budgets for delivering and supporting services Process metrics and KPIs, Service Portfolios

Continual Service Improvement

Figure 5.5: – Some Service Design outputs to other lifecycle phases

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6 Planning, Protection & Optimization Processes •

•

•

•

•

The processes of Planning, Protection & Optimization (PPO) are highly interdependent, all playing specific roles that contribute to the successful design of quality IT Services and IT Service Management processes. Capacity Management works closely together with Demand Management to identify current and future business requirements to be able to design enough capacity to support these needs. Demand Management is responsible for predicting, identifying and analyzing patterns of business activity and demand for IT services, which requires communication to be engaged through Service Level Management with the relevant customers and business units. Availability Management proactively works on infrastructure and system designs that are resilient enough to be available at a SUSTAINED level, in order to do this it needs to work closely together with Problem management for known ‘hot spots’ in the infrastructure and Capacity Management as lack of capacity might result in availability issues. IT Service Continuity Management and Availability Management work as a team, mainly due to the fact that availability management designs the infrastructure for normal day-to-day operations that needs to be restored and fully functioning after an IT disaster. In this environment the boundary between availability and IT Service Continuity Management may be blurred due to triple redundancy and automated fail-over systems, but the focus of each process is different and therefore requires separate management and controls. Information Security Management is a policy setting process that receives its input from Demand Management and Service Level Management on business requirements for security and integrity of data. It works with Availability Management to implement many security measures and baselines for availability and un-availability requirements due to security constraints. It also needs to work closely together with Access Management in the Service Operations Lifecycle phase as this is the operational execution of identification and access management activities.

However the level to which the PPO processes are required to be implemented will depend on many factors, including: • The complexity and culture of the organization; • The relative size, complexity and maturity of the IT infrastructure; • The type of business and associated customers being served by IT; • The number of services, customers and end users involved;

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Regulations and compliance factors affecting the business or IT; and The use of outsourcing and external suppliers for small or large portions of the overall IT Service Delivery.

Based on these influencing factors, the actual PPO team may be a single person in a small IT department or involve a worldwide network of business and customer oriented groups in an international organization. Regardless of the size of the actual teams responsible for the PPO processes, it is important to always ensure: • Clear definition of roles and responsibilities (using a RACI model) of the people, groups and stakeholders involved; • Clear definition of the scope, objectives, Critical Success Factors (CSFs) and associated Key Performance Indicators (KPIs) for all processes involved; and • Training and awareness is developed for all stakeholders including IT staff, customers and end-users so that the processes operate successfully and deliver upon their required objectives. This chapter describes the PPO processes, defining the key elements that exist and how they should be used as part of the successful development and management of Planning, Protection and Optimization.

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6.1 Demand Management Demand Management was previously an activity found within Capacity Management, and now within Version 3 of ITIL® it has been made a separate process found within the Service Strategy phase. This is because before we decide how to design for availability and capacity, decisions must be made regarding why demand should be managed in a particular way. Such questions asked here include: • When and why does the business need this capacity? • Does the benefit of providing the required capacity outweigh the costs? • What level of capacity and performance should we support? • How can we influence demand to reduce our excess capacity needs? • How do our IT strategic objectives affect our approach? Are we focused on costeffectiveness? Poorly managed demand is a particular source of risk for service providers, with potential negative impacts being felt by both the IT organizations and customers. If demand is not accurately predicted and managed, idle (excess) capacity will generate cost without creating associated value that can be appropriately recovered. From the customer perspective most would be highly reluctant to pay for idle capacity unless it provides some value for them. On the other hand, insufficient capacity can impact the quality of services delivered, potentially limiting the growth desired for services and for the organization as a whole. Accordingly, Demand Management must seek to achieve a balance between the prediction and management of demand for services against the supply and production of capacity to meet those demands. By doing so both the customers and IT can reduce excess capacity needs while still supporting required levels of quality and warranty in agreed services. Keep in mind that Demand Management plays an integral part in supporting the objectives of an organization and maximizing the value of the IT Service Provider. This means that the way in which Demand Management is utilized will vary greatly between each organization. Two examples showing these differences are: • Health Organizations: When providing IT Services that support critical services being offered to the public, it would be unlikely that there would be many (if any) demand management restrictions that would be utilized, as the impact of these restrictions could lead to tragic implications for patients being treated. • Commercial Confectionery Organizations: Typically a confectionery company will have extremely busy periods around traditional holidays (e.g. Christmas). Demand Management techniques would be utilized to promote more cost-effective use of IT during the non-peak periods; however leading up to these holidays the service provider would seek to provide all capacity to meet demand and support higher revenue streams for the business units involved.

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6.1.1 Goal and objectives The primary goal of Demand Management is to assist the IT Service Provider in understanding and influencing Customer demand for services and the provision of Capacity to meet these demands. Other objectives include: • Identification and analysis of Patterns of Business Activity (PBA) and user profiles that generate demand; and • Utilizing techniques to influence and manage demand in such a way that excess capacity is reduced but the business and customer requirements are still satisfied.

6.1.2 Activity-based Demand Management The primary source of demand for IT services comes from the execution of business process within the organization(s) being served. With any business process, there will be a number of variations in workload that will occur, which are identified as Patterns of Business Activity (PBA) so that their affect on demand patterns can be understood. By understanding exactly how the customer’s business activity operates, the IT organization can improve the way in which capacity is planned and produced for any supporting services. Demand occurs at multiple levels. Increased workload in the business can translate to a higher utilization of services by existing employees. At the same time, additional staff members that are employed by the organization can be translated into additional demands to the IT service provider (especially the Service Desk) in terms of service requests and incidents. To manage this, regular communication is required so that the business plans of the customers and business units are synchronized with the service management plans of the service provider. Financial Management works closely with the process of Demand Management to anticipate usage of services by the business and the associated financial implications of future service demand. This assists in identifying the funding requirements for services, as well as input into proposed pricing models, including any incentives and penalties used. Strategically, financial input can be gained from key times such as product launches, entry into new markets, mergers and acquisitions, which all generate specific patterns of demand. From a customer perspective, the Service Catalogue should provide the capability to regulate their demands for IT services and prepare budgets, avoiding the problem of over-consumption.

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Figure 6.1: – Activity-based Demand Management © Crown Copyright 2007 Reproduced under license from OGC

Over time, Demand Management should be able to build a profile of business processes and the patterns of business activity in such a way that seasonal variations as well as specific events (e.g. adding new employees) can be anticipated in terms of associated demand. Using this information will help various elements of the Service Lifecycle, including the following: • Service Design: Particularly Capacity and Availability Management, who can optimize designs to suit demand patterns; • Service Transition: Change Management and Service Validation and Testing can ensure that appropriate levels of warranty can be provided; • Service Operation: Can optimize the availability of staff based on patterns of demand; and • Continual Service Improvement: Can identify opportunities to consolidate demand or introduce improved incentives or techniques to be utilized in influencing demand. Critical to the effective application of Demand Management is a forward-looking Capacity Plan, which should identify how capacity will be produced to meet the predicted demand patterns, including the level of excess capacity deemed appropriate in accordance with the business requirements for service value.

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6.1.3 User Profiles Like Patterns of Business Activity (PBA), User profiles should be identified and analyzed for their relationship to the patterns of demand generated in the business. User profiles are defined in the context of the roles and responsibilities within the organization for people, functions, processes and applications. In some cases a user profile will be defined for an automated process, which will have its own demand for supporting services. When defining user profiles, they will be associated with one or more PBA, which requires both customers and the service provider to have a clear understanding of the business activities and how various roles are related. The following table is an example of User profiles defined by Demand Management:

User profile

Applicable pattern of business activity

PBA code

Senior Executive (UP 1)

Moderate domestic and international travel, highly sensitive information to be protected, high urgency for service requests, communication services need to be highly available.

33B 17D 21A

Office-based managers

Low domestic and international travel, medium sensitive information, medium urgency for service requests, communication services need to be highly available No domestic and international travel, low sensitivity information, low urgency for service requests, communication services require medium availability

33D 17B 21A 33A 17E 21C

Office-based staff

In the above table, the PBA code would be referencing previously defined patterns of business activity, which helps clarify when will each type of user will typically generate demand for IT services and what level of demand will there be. This is valuable information which can be used for then predicting the potential impact that adding or removing staff members (users) may have on the demand for IT services and the ability of the IT service provider to meet those demands.

6.1.4 Developing differentiated offerings Demand Management needs to work closely with the other Service Strategy processes (Financial Management & Service Portfolio Management), as well as Service Level Management in ensuring the appropriate development of Service Packages (see section 4.1.3) that suit identified patterns and types of demand.

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A Service Package contains Core Service Package (The basic critical services)

Supporting Services Package (Provides differentiation or more effective use of Core Services)

Service Level Packages (Defines level of utility and warranty provided by Service Package)

Figure 6.2: – Activity-based Demand Management

In a basic approach, this may be as simple as Gold, Silver and Bronze offerings to influence the adoption and use of IT services. To clarify how the different processes work together, the following is a summary of the various responsibilities: •

Service Portfolio Management responsibilities – to assess, manage and prioritize investments into IT, identifying underserved, well served and over served demand. Manage Service Portfolio, including the definition of services in terms of business value.

•

Demand Management responsibilities – identify, develop and analyze PBA and user profiles. Build capabilities for predicting seasonal variations and specific events in terms of the associated demand generated. Strategically package services to reduce excess capacity needs while still meeting business requirements. Design and apply techniques where necessary to influence demand.

•

Financial Management responsibilities – to work with Demand Management to determine value of services (and understand the effect on value by varying levels of capacity and performance), and to develop appropriate chargeback models to be used in influencing demand.

•

Service Level Management responsibilities – to maintain regular communication with customers and business units, identify any potential issues, promote service catalogue, negotiate and agree relevant SLAs (including the charging mechanisms used to influence demand), ensure correct alignment of Service Packages and Service Level Packages. Generally measure the success of IT and quality of service delivered from the customer perspective, providing feedback to the other processes on issues and potential improvements.

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6.1.5 Challenges affecting Demand Management While integrating Demand Management appropriately with all other aspects involved in Service Offerings & Agreements is challenging in itself, some other specific challenges typically faced include: • When little or no trend information regarding PBAs and demand is available. It is not possible to produce and stock service output before demand actually materializes; • Aligning capacity production cycles to PBA, especially when funding of IT has not been adequately planned and synchronized with business plans; • Customer resistance to Demand Management restrictions, especially in the case of additional costs incurred; and • Loss of user productivity and business growth by too much restriction applied when managing demand.

6.1.6 Key Performance Indicators (KPIs) of Demand Management Like the rest of Service Offerings & Agreements, the measurement of success should be assessed using balanced perspective that takes into account the relationships and sometimes conflicting demands between the different processes involved. Some of the specific KPIs for Demand Management include: • Increased utilization of IT infrastructure; • Decrease in idle capacity; • Reduction in capacity and performance related incidents; • Decrease in number of capacity related incidents; • Percentage accuracy in predicted demand cycles; and • Reduction in cost of IT service provision with stable quality levels.

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6.2 Availability Management In the context of Planning, Protection & Optimization, the identification of the patterns and size of demands for IT services (by Demand Management) will lead to a further analysis of what availability levels will need to be provided in any new or modified service offerings under development. However, simply knowing that there will be some demand does not mean that it will be automatically served by the IT organization, for reasons of costeffectiveness, security or because of some dependence on other services or infrastructure components. Additionally, the provision of availability isn’t just a matter of ensuring that the various IT hardware and software components are available, it also requires that adequate support arrangements and processes are in place to assist in the identification and resolution of any service-affecting disruptions. Availability Management plays a very important (but often misunderstood) role within the Service Design phase, ensuring that the requirements for availability of services and associated resources are clearly understood and achieved in the most optimal fashion. Why is all of this so important? From a user and customer perspective, the availability (or unavailability) of services being provided has a large impact on their perception and satisfaction experienced. Additionally, through effective planning, communication and support processes, even in the event of disruption the satisfaction of customers and users can be maintained.

6.2.1 Goals and objectives The primary goal of Availability Management is to ensure that the level of service availability delivered in all services is matched to or exceeds the current and future agreed needs of the business, in a cost-effective manner. Other objectives include providing the capabilities to: • Produce and maintain an up-to-date Availability Plan; • Provide advice and guidance; • Ensure availability achievements meet or exceed agreed targets; • Assist with diagnosis and resolution of availability related incidents and problems; • Assess impact of all changes on the Availability Plan; and • Ensure frequent proactive measures are taken to optimize and improve the availability of services are implemented where it is cost-justifiable.

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6.2.2 Scope While primarily a Service Design process, there are many elements involved in Availability Management that interact throughout the Service Lifecycle. Using a combination of both proactive and reactive activities, the scope of the process covers design, implementation, measurement, management and improvements of IT service and component availability. In order to achieve a balance between cost-effectiveness and appropriate quality, Availability Management is involved in the determination and fulfillment of the requirements for availability, including an in-depth understanding of: • The current business processes, their operation and requirements; • Future business plans, objectives and requirements; • Service targets and the current IT service operation and delivery ; • IT infrastructure, data, applications and environments and their performance (in terms of stability, redundancy, useful life span); and • Business impacts and priorities in relation to the services and their usage. Understanding all of this will enable Availability Management to ensure that all services and associated supporting components and processes are designed and delivered to meet their targets in terms of agreed business needs. While implementations will vary depending on the organizational requirements for Availability Management as well as a number of both internal and external influencing factors, as a general guide the process should include some adoption of the following activities:

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Figure 6.3: – The proactive and reactive elements of Availability Management © Crown Copyright 2007 Reproduced under license from OGC

Proactive Activities (primarily executed in Service Design and Service Transition): • The development and maintenance of an Availability Plan, which documents the current and future requirements for service availability, and the methods used to meet these requirements; • Development of a defined set of methods, techniques and calculations for the assessment and reporting of availability; • Liaison with IT Service Continuity Management and other aligned processes to assist with risk assessment and management activities; and • Ensuring consistency in the design of services and components to align with the business requirements for availability. Reactive Activities (primarily executed in Service Operation and Continual Service Improvement): • Regular monitoring of all aspects of availability, reliability and maintainability, including supporting processes such as Event Management for timely disruption detection and escalation; • Regular and event-based reporting of service and component availability; • Ensuring regular maintenance is performed according to the levels of risk across the IT infrastructure; and • Assessing the performance of and data gathered by various Service Operation processes such as Incident and Problem Management to determine what

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improvement actions might be made to improve availability levels or the way in which they are met.

6.2.3 Guiding principles in the adoption of Availability Management In many instances the principles of Availability Management are lost when the process is implemented in an organization that may not have developed a “service focus” centred on the experience of customers and users. In situations like these it is common to see the level of availability calculated by such criteria as “the ability to ping the XYZ server”. While this server may well be a vital component for a given service, there are many other factors that can also affect and disrupt service, all of which do impact the user experience of availability. To avoid this approach, Availability Management should be implemented with a strong emphasis on understanding and meeting the needs of the business and customers. Principles that should underpin such an approach include the following: • Service availability is at the core of customer and user satisfaction, and in many cases business success; • Unavailability can be properly managed through effective processes and communication to still achieve user, customer and business satisfaction; • Service availability is only as good as the ‘weakest link in the chain’. If an external supplier is that weak point, then consideration needs to be given as to how to manage that weakness. Addressing other Single Points of Failure (SPOF) within the IT infrastructure can also greatly improve availability; • Availability Management is both proactive AND reactive, the more disruptions that can be predicted and circumvented, the higher the level of service availability; and • The costs of addressing availability later in the lifecycle of a service are much higher than those incurred in designing the service effectively from the start. Additionally, once a service develops a poor reputation (perhaps from frequent unavailability) it becomes difficult to change the image.

6.2.4 Basic Concepts for Availability Management The following concepts are fundamental to the understanding and application of Availability Management and will be referenced throughout the rest of the chapter.

Terminology

Explanations

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The ability of a service, component or CI to perform its agreed function when required. It is typically measured an reported as a percentage using the following formula: Availability (%) =

Agreed Service Time – Downtime

x 100 %

Agreed Service Time This means that if a service is only partly functional, or the performance is degraded to a point outside of normal service operation, then the service should be classed as unavailable. 2. Service Availability

Involves all aspects of service availability and unavailability and the impact of component availability, or the potential impact or component unavailability on service availability.

3. Component Availability

Involves all aspects of component availability and unavailability

4. Reliability

A measure of how long a service, component or CI can perform its agreed function without interruption. This metric provides an understanding of the frequency of disruption and is often reported as Mean Time Between Service Incidents (MTBSI) or Mean Time Between Failures (MTBF). It is typically calculated with the formulas: Reliability (MTBSI) =

Available time in hours Number of service disruptions

Reliability (MTBF) =

Available time in hours – Total Downtime in hours Number of service disruptions

5. Maintainability

A measure of how quickly and effectively a service, component or CI can be restored to normal operation after a failure. This metric is typically measured and reported as the Mean Time to Restore Service (MTRS), which includes the entire time from the start of the disruption until the full recovery. The following formula is normally used: Maintainability (MTRS) =

Total downtime in hours Number of service disruptions

EXAMPLE: For a service that is provided 24 x 7 and running for a reporting period of 5020 hours with only two disruptions (one of 6 hours and one of 14 hours), the following metrics would result: Availability (%) =

5020 – 20 5020

x 100 %

= 99.60%

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Reliability (MTBSI) = 5020

= 2510 hours

2 Reliability (MTBF) = 5000 = 2500 hours 2 Maintainability (MTRS) =

20

= 10 hours

2

6. Serviceability

The ability of an external (third-party) supplier to meet the terms of their contract. Often this contract will include agreed levels of availability, reliability and/or maintainability for a supporting service or component.

7. Vital Business Function

Defined business critical elements of a business process that are supported by an

(VBF)

IT service. While many functions are supported by IT, we typically prioritize our efforts and resources around supporting the critical elements, including the use of redundant and highly resilient components. Certain VBFs may need special designs which are now used commonly in key infrastructure components (such as servers), which include the following four concepts.

8. High Availability

•

A characteristic of the IT service that minimizes or masks the effects of component failure to the users of a service.

9. Fault tolerance

•

The ability of a service, component or CI to continue to operate correctly after failure of a component part.

10. Continuous operation

•

An approach or design to eliminate planned downtime of an IT service. This may mean that individual components are disrupted during maintenance, but the IT service as a whole remains available.

11. Continuous availability

•

An approach or design to achieve theoretical 100% level of service availability. Multiple design factors will support this to occur, but more stringent requirements will also be assessed first, including environmental and other factors.

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6.2.5 Availability Management Activities & Techniques The following activities for Availability Management have been grouped into either proactive (primarily in Service Design or Service Transition) or reactive activities (those part of Service Operation or Continual Service Improvement).

6.2.5.1 The proactive activities of Availability Management The following activities are those that should be consistently utilized in the planning and design of services (as part of a coordinated approach including Service Strategy, Service Design and Service Transition). 1. Identifying the business requirements for availability Availability Management should work in conjunction with other Service Design processes such as Service Level Management, Information Security Management and Capacity Management so that the requirements for availability can be understood, both in terms of the business and customer requirements, but also for the impact and dependency or relationship with other aspects of Service Design. For example, understanding what level of capacity is required in order to sustain a certain level of availability. While Service Level Management will act as the primary process by which discussions are held with customers to define their requirements, as a minimum Availability Management should produce the following: • Definition of the Vital Business Functions (VBFs). So that efforts and resources are optimized around those critical elements of business processes being supported by IT services. As one of the first inputs into Availability Management, Service Level Management should seek to ensure that when defining and refining the customers’ and businesses’ requirements, special consideration is given to identifying which elements must be protected, as opposed to those functional elements that may not be as business-critical. Various techniques will then be utilized to protect those VBFs such as implementing redundant and fault tolerant systems as well as protecting any potential Single Point of Failure (SPOF); • Definition of what actually constitutes IT service downtime, including the minimum functional and performance levels that are required; • Definition of the business impact caused by a loss of the IT service, together with the associated risk of this occurring; • The required service hours (e.g. Monday to Saturday, 6am to 6pm); • An assessment of the relative importance of different working periods (e.g. between 4pm and 6pm is most critical); • Quantitative availability requirements, including the maximum length of disruption that can be sustained, and the frequency of disruption that can be tolerated;

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• •

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Specific security requirements; and Capabilities for service backups and recovery of service following disruptions.

As this will be an iterative process which includes elements of Service Strategy, there will be a multiple assessments as to whether an effective balance has been proposed between availability and cost. The steps to assist in defining this balance include: • • •

•

Determining the business impact caused by a loss or degradation of service (user productivity losses & other financial impacts felt); Determining the requirements (both internal and external) for supporting the proposed service availability levels; Through assessment with the associated business or customers, determine whether the costs identified in meeting the proposed availability levels are justified; and Where these are seen as cost-justified, begin to define the availability, reliability, maintainability and serviceability requirements for documentation into Service Level Agreements, Operational Level Agreements and Underpinning Contracts.

2. Designing for availability Once an agreed level of availability is defined by balancing the business requirements for availability against the resources required to sustain it, Availability Management will utilize a number of components, techniques, processes and supporting systems to ensure the service is designed appropriately and can be supported in Service Operation. Some of the elements required in order to meet increasing service availability levels include: • Quality controlled components and products; • Systems Management (including monitoring and, diagnostic and recovery capabilities; • Service Management processes (including Event, Incident and Problem Management); • High availability-designs (including the elimination of SPOFs and the implementation of redundant components and systems to minimize or avoid disruption); and • Special Solutions with full redundancy, through the use of multiple redundant components, systems and sites with strict testing and quality assurance measures being used for each of these elements.

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Figure 6.4: – The various elements required to provide Service Availability © Crown Copyright 2007 Reproduced under license from OGC

3. Designing for recovery These activities are concerned with ensuring that in the event of an IT service failure or disruption, the service and its various supporting components can be restored as quickly as possible so that business operations can resume. In many cases there won’t be any business justification to build a highly-available service, however suitable availability levels may still be provided by swift and effective resolutions to manage any disruptions that do occur. Some of the elements involved in designing for recovery include: • Implementing Systems management for monitoring and escalating any Events that may lead to a service disruption; • Developing internal and external processes and procedures to be used to maintain availability and resolve disruptions; and • Improving the capability of the people involved in Service Operation with ongoing training and awareness sessions. To assist in this goal, there should be appropriate communication and shared involvement for these activities between both the staff involved in design as well as those involved in the operation and support of services. The actual capabilities and mechanisms used for the recovery of service disruptions will be covered by in section 6.3.5.2 The reactive activities of Availability Management. 4. Component Failure Impact Analysis (CFIA)

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Component Failure Impact Analysis (CFIA) can be used to predict and evaluate the impact on IT service arising from component failures within the technology. The output from CFIA can be used to identify where additional resilience and redundancy should be considered to prevent or minimize the impact of component failure to the business operation and users. This is particularly important during the Service Design stage, where it is necessary to predict and evaluate the impact on IT service availability arising from component failures with the proposed IT Service Design. CFIA is a relatively simple technique that can be used to provide this valuable information. In addition, it can also be applied to identify impact and dependencies on IT support organization skills and competencies amongst staff supporting the new service. This activity is often completed in conjunction with IT Service Continuity Management and Capacity Management. The outputs of CFIA are used in a number of ways in both planning for availability as well as planning for recovery. These include: • The impact that component failure can have on users and business operations; • Component and people dependencies; • Relative component recovery sequences timeframes; • Identified areas where specific recovery plans and procedures may be required; and • Identified components that may need some risk reduction measures implemented. One of the main methods for performing a CFIA is by developing a matrix that illustrates what IT services depend on what component Configuration Items (CIs). This may come from the Configuration Management System or from other sources of infrastructure information. This matrix will be populated using the following rules: • Leave a blank when a failure of the CI does not impact a service in any way; • Insert an ‘X’ when the failure of the CI causes the service to be inoperative; • Insert an ‘A’ when there is an alternative (e.g. redundant) CI to provide the service; and • Insert an ‘M’ when there is an alternative CI, but it requires manual intervention for the service to be recovered.

Configuration Item

Service 1

Service 2

M M X X A A X

M M X X A A X

PC 1 Laptop 1 Switch 1 WAN Switch 2 Switch 3 Data Centre

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X A A X

X A A X

Once completed there will be consideration into the following aspects: • If a CI has a large number of Xs this indicates it is critical to a number of services and its failure can result in a high impact to the business. It may also indicate that this particular CI is a potential Single Point of Failure; and • If an IT service has a large number of Xs it indicates it is a potentially complex configuration that has a higher vulnerability level to failure. The same exercise as above can be completed from a different perspective, instead mapping how the components of a single IT service relate to Vital Business Functions and various user groups. While the above example is a valuable for understanding particular risks in the infrastructure and IT services, an advanced CFIA can provided a more detailed analysis including such fields as: • Component availability weighting: a weighting factor based on the impact of failure or service as a whole. As an example, this might be based on the percentage of users from the entire user community being affected (e.g. 500 out of 2000 users would be 0.25 or 25%); • Probability of failure: based on the reliability of the component or service, typically measured in MTBF; • Recovery time: the predicted recovery time for the service or CI; • Recovery procedures: to verify that an effective recovery procedure exists; • Device independence: used to verify CIs where necessary have been implemented independently; and • Dependency: to show dependency between CIs. 5. Single Point of Failure Analysis A Single Point of Failure (SPOF) Analysis can be performed to identify the components that have no backup or fail-over capabilities, and have the potential to cause disruption to the business if it fails. For any SPOFs detected, the information gained from a CFIA can be used to evaluate whether the cost for its remediation can be justified.

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6. Fault Tree Analysis By performing a Fault Tree Analysis (FTA) either in the design of services or as part of a review of a Major Incident or Problem it provides an understanding of the chain of events that causes a disruption to IT services. The analysis makes use of Boolean notation for the events that occur in the fault tree, and are combined using a number of logic operators to understand the potential result.

Figure 6.5: – Example Fault Tree Analysis © Crown Copyright 2007 Reproduced under license from OGC

The typical logic operators used for understanding the combination of events include: • AND-gates: where the result occurs only when all input events occur simultaneously; • OR-gates: where the result occurs when one or more of the input events occur; • Exclusive OR-gate: where the result only occur when one and only one of the input event occurs; and • Inhibit gate: where the result only occurs when the input condition is not met. 7. Risk Analysis and Management As part of the coordinated approach by the various Service Lifecycle processes in regards to Risk Analysis and Management, Availability Management should contribute by identifying potential risks to and inherent in the infrastructure, provide analysis of vulnerability to these risks and the impacts associated with them, and what countermeasures might be used to mitigate this risks in a cost-effective manner.

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All organizations should define their own formal approach to Risk Analysis and Management to ensure complete coverage and sufficient confidence in their strategy. A generic framework that can be applied across all areas of an organization to assist in this is Management of Risk (M_o_R) which is another best practice framework published by the Office of Government Commerce (OGC). This framework adopts a systematic approach for the identification and assessment of risk and implementation associated countermeasures. Some of the key elements focused on by the M_o_R framework include providing direction for organizations to: • Develop a transparent, repeatable and adaptable framework; • Communicate the risk policy and its benefits clearly to all staff and stakeholders; • Assign accountability and responsibility to key individuals in senior management; • Ensure the culture of the organization is motivated to embed risk management initiatives; • Ensuring that risk management supports the organization’s objectives; and • Adopting a no-blame approach to monitoring and reviewing risk assessment activities.

Figure 6.6: – Risk Analysis and Management © Crown Copyright 2007 Reproduced under license from OGC

More information regarding risk management will also be covered in 6.5: IT Service Continuity Management. 8. Planned and preventative maintenance All IT components should be subject to a planned maintenance strategy. The frequency and levels of maintenance required, varies from component to component, taking into

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account the technologies involved, criticality and the potential business benefits that may be introduced. Planned maintenance activities enable the IT support organization to provide: • Preventative maintenance to avoid failures; • Planned software or hardware upgrades to provide new functionality or additional capacity; • Business requested changes to the business applications; and • Implementation of new technology and functionality for exploration by the business. Where the business hours required for services is not 24/7 then the scheduled maintenance can be performed outside of business hours without impacting IT service availability. Even in the case of services that are designed for continuous availability, there are typically some time periods that are less critical that might need to be used for maintenance, with degraded performance of the service potentially being an accepted result. Once the agreed schedule for planned and preventative maintenance has been defined and agreed, these will normally be documented in: • SLAs, OLAs and Underpinning Contracts; • Change Management Schedules; • Release and Deployment Management Schedules; and • Intranet/Internet pages that communicated schedules and unscheduled outages to the end user community. 9. Production of the Projected Service Outage Availability Management is also responsible for the documentation and communication of the Projected Service Outage (PSO) document, which consists of any variations to agreed levels of service availability in SLAs based on input from: • The change and release schedules; • Planned and preventative maintenance schedules; • Testing schedules; and • IT Service Continuity Management and Business Continuity Management testing schedules. The PSO is used to ensure that all variations to agreed availability levels are understood and agreed by all relevant stakeholders. During its use any additional maintenance windows that might be required should be communicated appropriately by the Service Desk to all relevant parties.

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10. Continual review and improvement As part of the Continual Service Improvement phase, Availability Management should seek to ensure that any previous issues and missed targets are considered for their appropriate correction. However, even if a service provider may have met all their agreed targets for service availability in the previous reporting period, there will still improvement actions that can be developed in some way. Why? Because the business requirements for availability always change! As a result it is important that Availability Management does seek to continually identify ways in which to optimize the availability of the IT infrastructure, by either increasing availability or reducing the costs and resources required to do so. Other potential improvement actions may result in more qualitative benefits, such as enhanced user and customer satisfaction during disruptions that occur. To ensure that critical business developments and changes are also considered, other input should be evaluated on a regular basis from ITSCM, particularly from the updated Business Impact Analysis and Risk Analysis exercises.

6.2.5.2 The reactive activities of Availability Management The following activities are those that should be consistently utilized in the ongoing delivery and support of IT services in regards to availability. Although under the overall responsibility of Availability Management, that do include operational activities performed by a range of staff, including those involved in Service Operation. Monitor, measure, analyze and report service and component availability While many organizations have monitored availability traditionally from a component perspective, they have not necessarily been able to utilize this information to be understand the business and user experience of availability. Typical measures focus on different aspects of availability and reported as availability percentages, time lost and frequency of failure. These traditional measures include: • Per cent available; • Per cent unavailable – which might be better used to emphasize shortcomings of availability; • Duration of downtime (in hours and minutes); • Frequency of failure – demonstrating the number of failures during the reporting period; and • Impact of failure - the real measure of unavailability, which requires close integration with effective Incident and Problem Management processes.

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However many organizations and businesses have realized that these traditional methods for reporting availability are no longer adequate in communicating the user and business experience of availability and unavailability. Alternatively, when the objectives for monitoring and reporting are defined in the context of the business and user perspective a more representative view of the overall quality of IT services is achieved. Some methods that might be employed with this approach include defining: • Impact by user minutes lost – calculated by multiplying the length of disruption by the number of users affected; and • Impact by business transaction – calculated by assessing the number of business transactions that could not be processed during the period of disruption. In any case, the methods utilized by Availability Management should be appropriate to the organization’s business processes and operational models. If there are a wide range of automated and electronic processing actions performed without actual user involvement, then simply measuring based on user impact will not be sufficient. To enable efficiency of the process, Availability Management should seek to implement and integrate all useful (but cost-effective) monitoring systems, information sources and reporting mechanisms to reduce the complexity and resources required for information gathering, analysis and reporting. When done effectively, it will also streamline the production of the agreed regular reports, including normal monthly availability reporting, the Availability Plan, Service Failure Analysis (SFA) and CFIA reports. Unavailability analysis As part of justifying the costs of implementing and executing the Availability Management process, analysis should be made as to the actual costs incurred during periods of disruption or unavailability. The tangible costs are typically well defined and understood, such as: • Lost user productivity; • Lost IT staff productivity; • Overtime payments; • Lost revenue; • Wasted goods and materials; • Imposed fines or penalty payments; and • Injuries or potential safety incidents caused. While these are of course important, there are also a number of intangible costs that can also have potentially long-lasting negative effects on the organization and the service provider. Such intangible costs of unavailability include: • Loss of customers; • Loss of customer satisfaction; • Loss of business opportunity;

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Damage to business reputation; Loss of confidence in the IT Service Provider; and Damage to staff morale.

While they may be difficult to measure they shouldn’t be simply dismissed, and should form part of the focus of customer and user surveys performed by Service Level Management. The Expanded Incident Lifecycle As already discussed earlier in the principles of Availability Management, even when disruptions occur there are still methods that can be utilized by which user and customer satisfaction is still maintained. One way to help achieve this goal is by ensuring that the duration of any disruption is minimized so that normal business operations are resumed as quickly as possible and the impact on the associated business processes and users is reduced. By analyzing the various time elements making up those disruptions it will help Availability Management target any improvement actions, be it through technology enhancements, additional documentation and procedures or staff training and education. This is can be performed by analyzing the ‘expanded incident lifecycle’, which breaks down all the major stages through which all incidents progress.

Figure 6.7: – The expanded incident lifecycle © Crown Copyright 2007 Reproduced under license from OGC

The major stages of incidents can be classed as:

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1. 2. 3. 4. 5.

69

Incident detection Incident diagnosis Incident repair Incident recovery Incident restoration

Each stage, and the associated time taken, influences the total downtime perceived by the user and business. By evaluating each of the stages it enables Availability Management to identify potential areas of inefficiency that result in a longer disruption to the user. These improvements may be focused on the detection mechanisms, the documentation supporting diagnosis, repair and recovery, the escalation procedures utilized or any other activity or task involved during the incident lifecycle. As a consequence, Availability Management needs to work closely with Incident and Problem Management to ensure any improvement actions optimize the use of resources and prevent the reccurrence of the incidents where possible. Event Management may also be coordinated to ensure that there is appropriate coverage of CIs with the ability to detect events that may lead to service disruptions. 1. Incident detection This stage encompasses the time between the actual failure or disruption to a CI or IT service occurring and the moment at which the service provider is made aware of that incident. A variety of tools and systems should be employed that have capabilities to detect events and incidents and, consequently reduce the detection timeframe that occurs. For critical CIs, the same systems and tools should also be utilized to trigger automated recovery with scripted responses. When implemented effectively many incidents will be detected and resolved before the users have even been impacted in any noticeable way. 2. Incident diagnosis This stage encompasses the timeframe between which the IT service provider has been made aware of the incident to the time where the underlying cause of the incident has been determined. Particularly at this stage there is an appropriate balance that needs to be developed between the need to capture diagnostic data and the need to have the incident restored. While capturing a range of diagnostic data will often extend the restoration time, it will also enhance the capabilities for preventing the reoccurrence of those incidents. Other than information potentially gathered from users, input for the successful diagnosis of the incident may come from: • Data captured by the failing CI(s);

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•

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Incident, Problem and Known Error databases, along with general knowledge management systems that may have captured the criteria by which the incident has occurred before; and Manual observation performed by the various technical staff responsible for the failing CI(s).

3. Incident repair This stage encompasses the repair time required for the incident, including both the automated and manual techniques that might be needed. The repair time is shown independently from the recovery time, with this stage focusing on the actual techniques that initiate the resolution of the incident, including: • Actions to repair or restart a failed CI; • Activities performed by external suppliers for the repair of CIs under their control; and • Documentation of the procedures used to assist in the future diagnosis and repair of similar incidents. The agreed timeframes for the response and repair of incidents should be documented in SLAs, OLAs and Underpinning Contracts, and continuously monitored for compliance. 4. Incident recovery This stage encompasses the activities to recover service availability (but distinct from the repair activities previously mentioned). This can include activities such as: • The initiation for backups to be effectively restored; • The activities required to recover lost or corrupt data; • Utilizing spare equipment (including those within the Definitive Spares) to be implemented in the production environment to facilitate recovery; and • The actions and time required to restore an image to a desktop machine following a failure. When designing new IT services the recovery requirements for each supporting component CI should be identified as early as possible to facilitate the development of the associated recovery plans and procedures to be used when failures occur. 5. Incident restoration This stage encompasses the time from when the recovery steps are completed, through to the time that the service provider has confirmed that normal business and IT service operation has resumed. In some situations, this will be performed by Service Desk staff, who simply call the affected users for confirmation that service been restored to them. In other cases, particularly those which support automated business processes, a synthetic

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transaction or user-simulation test script may need to be executed to ensure that the restored IT service is working as expected. Service Failure Analysis Service Failure Analysis (SFA) is a technique designed to provide a structured approach to identifying the underlying causes of service interruptions to the user and business operations. SFA utilizes a variety of sources to assess where and why shortfalls in availability are occurring. This technique enables a holistic view to be taken to drive improvements to the IT support organization, processes, procedures and tools. The staff utilized in an SFA would typically be those also involved in Incident and Problem Management, so the activities here will be jointly performed by these processes. Some of the key high-level objectives of SFA are to: • Improve the overall availability of IT services by producing a set of improvements for implementation or input into the plan; • Identify underlying causes of service interruption to users; • Enable enhanced levels of service availability without incurring major costs; • Assess the effectiveness of the IT support organization and key processes; • Develop cross-functional teams to reduce silos that may exist; • Produce detailed reports of major findings and recommendations; and • Ensure that Availability improvements derived from SFA-driven activities are measured.

Figure 6.8: – The high-level structure for a Service Failure Analysis (SFA) © Crown Copyright 2007 Reproduced under license from OGC

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1. Select opportunity There should be an agreed number of assignments scheduled per year within the Availability Plan as part of the proactive approach to improving availability. Typically SFAs will focus on high priority IT services, however as part of a long-term approach there should be a wide coverage of services analyzed for improvement. When scheduling the SFA there needs to be clarification as to which IT service or CI is going to be reviewed (based on the types of failures that have previously occurred), with consultation of any key stakeholders (from IT and business) so that there is management commitment to the recommendations made. 2. Scope assignment This should explicitly describe what areas are and are not covered within the assignment. 3. Plan assignment The SFA should be conducted using an appropriate project framework, including an agreed project plan and a defined set of resources. Where necessary the staff involved may form a ‘virtual’, the size of which should reflect the scope and complexity of the SFA. 4. Build hypothesis For analysis of key data to occur there should be some hypotheses first built regarding the disruption and the provider’s response to the disruption. This provides focus to the analysis that will be performed, as well as early detection and resolution of issues that may affect the SFA (such as a lack of data). 5. Analyze key data During this period, the SFA team will analyze the data collected and develop some early conclusions. The way in which this analysis is actually performed will depend on the size of the SFA team and the actual roles being played by those members. 6. Interview key personnel While the data gathered from the various systems management tools has already been analyzed, this time is now used to interview business and user representatives for understanding of the business perspective regarding the service failure and response

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actions taken. This will help capture issues that aren’t recorded through other means and provide some meaning and focus to the data already gathered. 7. Findings and conclusions Once the previously mentioned activities have concluded the SFA team should begin to start formulating initial findings and conclusions. This may require some further analysis to valuate findings if previously gathered data is not deemed sufficient. 8. Recommendations When all findings and conclusions have been validated, the SFA team along with the Availability Manager should formulate recommendations to be reported. These recommendations should also take into consideration the practicality of implementing and sustaining the improvement actions in the future.

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9. Report A final report should be presented to the SFA sponsor with an executive summary. If recommendations are made, a business case to justify the allocation of the estimated resources may be required. 10. Validation This essentially provides a point of comparison to the ‘before’ state that existed before the SFA. Where the desired benefits haven’t been achieved, a review should be conducted.

6.2.6 Challenges faced by Availability Management Some of the major challenges faced when implementing or operating Availability Management include: • A lack of business commitment to the process; • A lack of timely communication and consultation regarding future business plans and strategies; • Lack of appropriate systems management tools to make reporting an efficient activity; and • The focus is incorrectly placed on the technical perspective of availability rather than the business and user perspective.

6.2.7 Key Performance Indicators (KPIs) of Availability Management The metrics for evaluating effective provision of service availability and reliability are: • Percentage reduction in unavailability of services and components; • Percentage increase in the reliability of services and components; • Effective review and follow up of all SLA, OLA and UC breaches; • Percentage improvement in overall end-to-end availability of service; • Percentage reduction in the number and impact of service breaks; • Improvement of MTBF; • Improvement of MRBSI; and • Reduction in MTRS. The metrics for evaluating business alignment of Availability Management are: • Percentage improvement in user and business satisfaction of services (including availability levels); • Percentage reduction in business critical time failures; and • Percentage reduction in the number of transactions not able to be processed. The metrics for evaluating efficiency of Availability Management are:

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• • • • •

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Percentage reduction in the cost of unavailability; Percentage reduction in the costs involved in Service Delivery; Percentage reduction in the overtime hours worked as a result of unavailability; Reduced time to document Availability Plan; and Reduced time required to complete SFA.

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6.3 Capacity Management 6.3.1 Goals and objectives The primary goal of Capacity Management is to ensure that cost-justifiable IT capacity in all areas of IT exists and is matched to the current and future agreed needs of the business in a timely manner. Other objectives of Capacity Management are to: • Produce and maintain an up to date Capacity Plan; • Provide advice and guidance; • Ensure service performance meets or exceeds agreed targets; • Assist with diagnosis and resolution of performance and capacity related incidents and problems; • Assess impact of all changes on the Capacity Plan, services and resources; and • Ensure proactive measures to improve performance of service are implemented, where cost-justifiable.

6.3.2 Scope While the focal point of Capacity Management is to ensure adequate performance and capacity of IT services are being developed and already delivered, there are many supporting elements including IT components, product and software licenses, physical sites, human resources and third party products that will all need to be managed appropriately for this goal to be achieved. As a result, while many activities will be the responsibility of other IT Service Management or general organizational management processes (such as managing human resources), Capacity Management will be involved in the high level planning of each of these elements. As a general guide, Capacity Management seeks to understand and support: • The current business operation and its requirements, through the patterns of business activity (provided by Demand Management); • The future business plans and requirements (provided by Service Portfolio Management); • The agreed service targets for performance and capacity (provided by Service Level Management); and • All areas of IT technology in regards to the requirements for capacity and performance. When implemented effectively, Capacity Management can help to ensure that there are no surprises with regard to service and component design and performance.

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6.3.3 Principles of Capacity Management In coordination with the processes of Financial Management and Demand Management, Capacity Management seeks to provide a continual optimal balance between supply against demand, and costs against resources needed.

Figure 6.9: – The balancing act of Capacity Management

This optimum balance is only achieved both now and in the future by ensuring that Capacity Management is involved in all aspects of the Service Lifecycle. When this doesn’t occur Capacity Management only operates as a reactive process, with only limited benefits being delivered as a result.

Figure 6.20: – Capacity Management when used reactively

In the above figure, capacity is only implemented when disruptions begin to occur as demand has exceeded supply. While the implemented capacity does work to resolve the disruptions, there are some consequences to this type of reactive behavior including:

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IT infrastructure components being purchased that don’t optimally fit the requirements or architecture; Budget overruns for the unforeseen and unanticipated purchases; Periods of time where there are potentially large amounts of excess capacity; Reduced customer and user satisfaction with the affected IT services; and A general negatively affected perception of the IT organization as a whole.

6.3.4 Capacity Management Activities Some of the activities of Capacity Management are defined in the context of three subprocesses consisting of Business, Service and Component Capacity Management. Besides these, there will also be discussion of the operational activities required as well as the techniques that are utilized in various forms by the three different sub-processes.

6.3.4.1 Business Capacity Management Business Capacity Management is the sub-process that covers the activities responsible for ensuring that the future business requirements for IT services are considered and evaluated in terms of their potential impact on capacity and performance. As business plans, operations and processes continually change, this will consequently affect the service provider’s ability to satisfy the business and customers requirements, including those already documented in SLAs. Some of the primary inputs into Business Capacity Management that trigger the activities here come from: • Project and Program Management; • Change Management; • Service Portfolio Management (as investments are evaluated and authorized); • Patterns of Business Activity(from Demand Management); and • New Service Level Packages and Service Level Requirements (from Service Level Management). The activities that are recommended to be performed within the context of Business Capacity Management are: • Assisting with the development of Service Level Requirements; • To design, procure or amend service configuration; • To advise on appropriate or revised SLA targets; • To support SLA negotiations; and • To assist in the evaluation and control of proposed Change Requests. When Capacity Management is provided with early opportunities to be involved with these processes then the planning and design of IT capacity and performance can be closely

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aligned with business requirements and provisioned in an optimal and cost-effective manner.

6.3.4.2 Service Capacity Management The primary focus of the Service Capacity Management sub-process is to monitor and analyze the use and performance of IT services and ensure that they meet their agreed SLA targets. The regular monitoring of service capacity and performance, and comparison against normal service levels will identify trends, breaches or any near misses that might occur. As a result, this process will need to work closely with Service Level Management to understand the agreed levels of service and to report back any targets achieved and breached, and concerns or advice in regards to capacity and performance issues. There will also need to be process integration with Incident and Problem Management so that there is early detection of disruptions where the root cause may be due to insufficient capacity being provided, as well as appropriate action taken to resolve the disruption so that agreed business targets are still met.

6.3.4.3 Component Capacity Management The objective of Component Capacity Management is to ensure that the implementation and management of each of the individual components that support IT services is performed effectively to deliver optimum capacity and performance to meet business needs. This includes the constant monitoring and analysis of each component to understand the performance, capacity and utilization characteristics that exist. This subprocess is a vital component to the overall quality of Capacity Management, as each component does have a finite capacity that, when reached, will begin to impact on the service levels being delivered and business operations being supported. While much of the actual monitoring will be performed within Service Operation, the direct feedback should be provided to Component Capacity Management to interpret this data and take corrective action where necessary. There is a proactive side to the sub-process as well, and where possible there should be forecasting of any issues or events that might occur so that proper planning and preventative maintenance can be performed. Other than the previously mentioned elements, there are three typical activities that occur within the Component Capacity Management sub-process: 1. Exploitation of new technology

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As new technologies emerge, the IT service provider should seek to evaluate whether they might be able to deliver enhanced capacity and performance levels in a more costeffective manner than those already used. Recent examples of technologies that have been used successfully in this manner include virtualization, cloud computing and blade server implementations. 2. Designing resilience In conjunction with Availability Management, there should be analysis as to where it is cost-effective to build resilience into the infrastructure, by assisting in techniques such as a Component Failure Impact Analysis (CFIA) and other risk assessment management activities. Depending on the availability levels that have been agreed, Capacity Management will evaluate what level of spare capacity of infrastructure components are required to meet these targets, and strive to ensure these requirements are considered early in the design stage of new or modified services. 3. Threshold management and control Within Service Operation, there should be an ongoing set of monitoring and control activities that assist in providing assurance that agreed service levels are being delivered and protected. In the context of Capacity Management, there should be thresholds set for various components and services that raise warnings and alarms when approached orbreached. Event Management will be primarily involved to support this capability and ensure that an appropriate level of capacity events are monitored and escalated to avoid staff being flooded with alerts.

6.3.4.4 Common Capacity Management Activities So that each of the three sub-processes of Capacity Management operate effectively, there are some common activities that should be employed at each level (when necessary). The two most important activities in this regard are: 1. Modelling and trending One of the major benefits provided to the Service Design phase by Capacity Management, is the capability to predict the behavior of IT services under certain conditions. This may be a given volume of utilization by users, a particular type of use or a combined variety of work being performed. There are many different types of modeling techniques that rely heavily on simulation and mathematical calculations, so depending on the size and complexity of the new or modified service offering, there may be very little or quite comprehensive modeling performed.

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The main techniques utilized for modeling include: • Baselining – where a baseline of current performance and capacity levels is identified and documented; • Trend analysis – where services and components are monitored over time for their utilization to assist in the identification of trends and the potential forecasting of future utilization and performance levels; • Analytical modeling – where mathematical techniques are used to predict the performance levels that might be achieved under certain conditions or after making modifications to the infrastructure. Analytical modeling is typically quicker and cheaper to perform than Simulation Modeling, but also typically provides less accurate results; and • Simulation modeling – where a set of discrete events a modeled and compared against a defined hardware configuration. This will often involve simulation transactions across the service and infrastructure, and as a result will typically yield more accurate results. 2. Application Sizing Application sizing is an activity that begins during the early design of a new or modified service and ends when the service has been accepted into the production environment. The sizing activities relate to all elements and components required for service, including estimation of the required capacity levels of hardware, data, environments and applications that are involved. The main objective is to accurately estimate the resource requirements to support a proposed change and ensure that it meets its required service levels. This includes consideration as to the resilience measures that might be required to deliver a set level of capacity, performance and availability. This will be an iterative process, including constant negotiation with Service Level Management to define a cost-effective approach that satisfies the business objectives. While some aspects of quality may be improved after implementation (including adding additional hardware and other components), in most cases quality must be built in from the start, otherwise much higher costs are incurred trying to fix issues once the service is in production.

6.3.4.5 Operational Activities of Capacity Management Whereas the previously mentioned activities of application sizing and modeling are those primarily executed in the design stages of a service, the following activities are the common operational activities that are performed across the three sub-processes. The major difference between the sub-processes and their use of these activities comes down

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to the data being collected and the perspective from which it is analyzed. For example, Component Capacity Management is concerned with the performance of individual components, where Service Capacity Management is concerned with the performance of the entire service, monitoring transaction throughput rates and response times.

Figure 6.10: – The operational activities of Capacity Management © Crown Copyright 2007 Reproduced under license from OGC

1. Utilization monitoring The monitoring applied should be specific to a particular CI, whether it is an IT service, an operating system, a hardware configuration or application. It is important that the monitors can collect all the data required by Capacity Management for each of the three subprocesses. Some of the typical monitored data collected include: • Processor utilization; • Memory utilization; • % processor per transaction type; • Input/output rates; • Queue lengths; • Disk utilization; • Transaction rates; • Response times; • Database usage; • Index usage; • Hit rates; • Concurrent user numbers; and • Network traffic rates.

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When collecting data intended for use by the Service Capacity Management subprocesses, the transaction response time for services may be monitored and measured by: • Incorporating specific code within client and server applications software; • Using ‘robotic scripted systems’ with terminal emulation software; • Using distributed agent monitoring software; and • Using specific passive monitoring systems. 2. Analysis The data collected by the various monitoring activities and mechanisms will then be used to identify trends, baselines, issues and conformance or breaches to agreed service levels. There may be other issues identified such as: • Bottlenecks within the infrastructure; • Inappropriate distribution of workload across the implemented resources; • Inefficiencies in application design; • Unexpected increased in workloads and input transactions; and • Scheduled services that need to be reallocated. 3. Tuning After analysis of collected data has occurred, there may be some corrective action that is required in order to better utilize the infrastructure and resources to improve the performance of a particular service. Examples of the types of tuning techniques that might be used include: • Balancing workloads – transactions may arrive at the host or server at a particular gateway, depending where the transaction was initiated; balancing the ratio of initiation points to gateways can provide tuning benefits; • Balancing disk traffic – storing data on disk efficiently and strategically, e.g. striping data across many spindles may reduce data collection; • Definition of an acceptable locking strategy that specifies when locks are necessary and the appropriate level, e.g. database, page, file, record and row delaying the lock until an update is necessary may provide benefits; and • Efficient use of memory – may include looking to utilize more or less memory depending upon the circumstances. Before implementing any of the recommendations arising from the tuning techniques, it may be appropriate to consider using one of the on-going activities to test the validity of the recommendation. 4. Implementation

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The objective of implementation is to control the introduction of any changes identified into the production environment. Depending on the changes required, this may be implemented via a normal change model (using all the normal steps of Change Management) or a standard change where there is already change approval and an established procedure for the work required.

6.3.1 Challenges affecting Capacity Management The main challenges that effect the successful implementation and execution of Capacity Management include: • Persuading the business to provide information on its strategic business plans; • Combining Component Capacity Management data into a set of integrated information that can be analyzed in consistent manner to provide details of the usage of all components of the services; and • Handling the amounts of information produced by Capacity Management, especially in the sub-processes of Component Capacity Management and Service Capacity Management.

6.3.2 Key Performance Indicators (KPIs) of Capacity Management Measures for evaluating the performance and contributions of the Capacity Management process include: • Production of workload forecasts on time; • Percentage accuracy of forecasts of business trends; • Timely incorporation of business plans into the Capacity plan; • Reduction in the number if variances from the business plans and Capacity plans; • Increased ability to monitor performance; • Timely justification and implementation of new technology in line with business requirements; • Reduction in the use of old technology, causing breached SLA’s due to problems with support or performance; • Reduction in last minute buying to address urgent performance issues; • Reduction in over-capacity of IT; and • Accurate forecasts of planned expenditure.

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6.4 IT Service Continuity Management 6.4.1 Goals and objectives The primary goal of IT Service Continuity Management (ITSCM) is to support the overall Business Continuity Management practices of the organization by ensuring that the required IT Infrastructure, and the IT service provision, can be recovered within the required and agreed business time scales. Other objectives include to: • Maintain a set of IT Service Continuity Plans and IT recovery plans; • Complete regular Business Impact Analysis (BIA) exercises; • Conduct regular Risk Analysis and Management; • Provide advice and guidance; • Ensure appropriate continuity and recovery mechanisms are in place; • Assess the impact of all changes on ITSCM plans and procedures; • Ensure that proactive measures to improve the recovery mechanisms for services are implemented; and • Negotiate and agree on necessary contracts with suppliers (with Supplier Management).

6.4.2 Scope The scope of ITSCM can be said to be focused on planning for, managing and recovering from “IT disasters”. These disasters are severe enough to have a critical impact on business operations and as a result will typically require a separate set of infrastructure and facilities to recover. Less significant events are dealt with as part of the Incident Management process in association with Availability Management. The disaster does not necessarily need to be a fire, flood, pestilence or plague, but any disruption that causes a severe impact to one or more business processes. Accordingly, the scope of ITSCM should be carefully defined according to the organization’s needs, which may result in continuity planning and recovery mechanisms for some or all of the IT services being provided to the business. There are longer-term business risks that are out of the scope of ITSCM, including those arising from changes in business direction, organizational restructures or emergence of new competitors in the market place. These are more the focus of processes such as Service Portfolio Management and Change Management.

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So for general guidance, the recommended activities for any ITSCM implementation include: • The agreement of the scope of the process and the policies adopted; • Business Impact Analysis (BIA) to quantify the impact a loss of IT service would have on the business; • Risk Analysis; • Production of an overall ITSCM strategy that must be integrated into the BCM strategy; • Production of ITSCM plans; • Testing of plans; and • Ongoing education and awareness, operation and maintenance of plans.

6.4.3 Principles of IT Service Continuity Management A lifecycle approach should be adopted when setting up and operating of an ITSCM process. This diagram shows the lifecycle of ITSCM, from initiation through to continual assurance that the protection provided by the plan is current and reflects all changes to indentified risks, services and service levels.

Figure 6.11: – Lifecycle of IT Service Continuity Management © Crown Copyright 2007 Reproduced under license from OGC

If there has already been extensive work performed in the context of Business Continuity Management (BCM- focusing on the capabilities and resources required to continue business operations during and following a disaster), then this will provide excellent input into the initiation of IT Service Continuity Management. However, in many cases the work of BCM has not yet been performed or is still ongoing, in which case these two aligned processes should work together so that an appropriate strategy can be developed and cost-effective decisions can be made. In other scenarios where BCM is entirely absent,

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ITSCM is required to fulfill many of the requirements and activities of BCM. This chapter, however, will assume that BCM process has been established and appropriate plans and documents are in place.

6.4.4 IT Service Continuity Management Activities & Techniques The activities of ITSCM are divided into the lifecycle stages as shown in the previous diagram.

6.4.4.1 Stage 1 – Initiation The initiation stage covers the activities required to align IT Service Continuity Management to Business Continuity Management and to define the overall approach taken. These activities are: 1. Policy setting A policy should be established and communicated as soon as possible to set out the management intention and objectives for the BCM and ITSCM initiatives. 2. Specify terms of reference and scope Part of the policy documented will cover the scope and responsibilities of the staff involved. This includes tasks such as risk assessments, BIAs and the ‘command and control’ structure required to manage the business interruption. Other issues considered are any outstanding audit issues, regulatory, insurance or client requirements and compliance with other standards such as BS7999 (Security Management) or ISO 20000. 3. Allocate resources The development of a suitable environment for BCM and ITSCM to operate requires considerable resources in terms of money and staffing. Depending on the maturity of the organization, external consultants may be required to assist with the various activities, and there may be a requirement for some training and education so that the stage 2 activities can be performed. 4. Define the project organization Successful implementations have shown that it is beneficial to use a standard project planning methodology such as PRINCE 2 PMBOK, complemented by project-planning tools. The appointment of an experienced project manager who reports to a steering committee and guides the work groups is a vital factor for success. ©The Art of Service

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5. Agreed project and quality plans One of the controlling elements in the project will be quality plans that ensure deliverables are achieved to an acceptable level of quality. The extent to which these activities need to be considered during the initiation process depends on the contingency facilities that have been applied within the organization. This activity also provides a vehicle by which to communicate the resource requirements for the project, thus working towards gaining ‘buy-in’ from management and all necessary stakeholders.

6.4.4.2 Stage 2 – Requirements and Strategy Stage 2 covers the activities that evaluate the requirements for continuity as well as the development of an overall strategy in regards to the plans, measures and practices that will be used. 1.

Requirements – Business Impact Analysis (BIA)

The Business Impact Analysis (BIA) seeks to quantify the range of impact that a loss of service will have. Some forms quantified for the damage a loss of service may cause include: • Lost income and incurred costs through overtime payments or fines paid; • Damaged reputation; • Decreased competitive advantage; • Decreased customer satisfaction and perception of the IT service provider; • Potential threat of injury or loss of life; • Immediate and long-term; and • Breach of law, regulations and compliance requirements. Each form of impacts is measured against particular scenarios for each business process, such as an inability to invoice for a period of 3 days leading up to Christmas.

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Figure 6.12: – Graphical representation of business impact in relation to time © Crown Copyright 2007 Reproduced under license from OGC

The level of impact felt by business operation will also change depending on the length of disruption. Figure 6.12 shows how some disruptions will immediately cause a significant impact on business operations, whereas other disruptions won’t impact immediately, but grow over the length of time that the disruption endures. This analysis will influence the approach and measures taken, primarily either being focused on risk reduction (being able to withstand failures) or recovery (to bring back the affected IT services over a period of time). Some other aspects identified by the BIA include: • Staffing and skills necessary to continue operating at acceptable levels; • Time within which minimum staffing, facilities and services should be recovered; • The time within which all required business processes and operations should be partially and fully recovered; and • The relative priority of each business process being supported by IT services. The views represented by the BIA should encompass all levels of the organization as well as any other stakeholders that might be affected.

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Requirements – Risk Analysis

Another activity performed in order to determine the requirements of IT Service Continuity Management is that of Risk Analysis. This involves the assessment of the existing threats that might cause disruption as how vulnerable the organization is to that threat. This activity as a result is a joint responsibility of ITSCM, Availability Management and Information Security Management. A standard and defined methodology should govern the use of Risk Analysis and Risk Management activities within the organization. One particular methodology that might be used is the Management of Risk (M_o_R) framework, which is shown in the figure to the right.

Figure 6.13: – The M_o_R framework © Crown Copyright 2007 Reproduced under license from OGC

The M_o_R approach adopts the following principles when applied: • M_O_R principles which are derived from corporate governance principles and are essential for developed good practices for risk management. • M_o_R approach which documents the agreed approach for the organization, including dynamic documents such as: o Risk Management policy; o Process guides; o Plans; o Risk registers; and o Issue logs. • M_o_R processes which consists of four main steps: o Identifying threats and opportunities; o Assessing the effect of threats and opportunities; o Planning to reduce the threats and maximizing opportunities; and o Implementing the corrective action and reviewing where the results do not meet expectations. • Embedding and reviewing M_o_R to continually review and improve the practices for Risk Management. • Communication which ensures that appropriate communication occurs, with plans documented to ensure staff members and stakeholders know their responsibilities and who the audience for communication should be.

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Figure 6.14: – Developing a risk profile © Crown Copyright 2007 Reproduced under license from OGC

Using their chosen methodology, the organization should develop and maintain a risk profile, which classifies risks on scales of severity and likelihood to occur. This profile will also show which risks have been determined to be acceptable, and for those deemed unacceptable there are some risk reduction or recovery measures required. 3.

IT Service Continuity Strategy

The results of the BIA and Risk Analysis will be used by BCM and ITSCM to begin developing appropriate strategies in response. Overall, the strategy should represent a balance between risk reduction and recovery options, as well as a balance between the cost of developing and maintaining these options against the impact felt if the risks do eventuate. Typical measures for used for risk reduction include: • UPS and backup power systems to computers, servers and other infrastructure; • Systems designed with fault tolerance when any downtime is unacceptable (involves multiple redundancy with load sharing and/or automated failovers); • RAID arrays for disk storage; • Spare equipment such as routers, switches, desktops and laptops to be used in the case of component failure; • Off-site storage for backups and for failover systems; and • Multiple suppliers for critical sub-services (e.g. WAN and internet connections). Typical measures for recovery include: • Manual workarounds – such as using paper based systems for a limited timeframe;

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Reciprocal arrangements – where two or more organizations share the costs associated in developing and operating some shared facilities that can be used in the case of a disaster occurring; Gradual recovery – aka. ‘cold standby’ where the recovery facilities provide empty accommodation equipped with power, network cabling and telecommunications connections. Over the course of the disruption the provider moves in and configures any infrastructure required to recover service; Intermediate recovery – aka. ‘warm standby’ where the recovery facilities (often provided by third parties) provide the accommodation for necessary staff and house’s preinstalled infrastructure to be used for recovery. The actual recovery however will take some time as the infrastructure will need to be re-configured as well as ensuring that applications and data can be restored from backups; Fast recovery – aka. ‘hot standby’ where the recovery facilities house dedicated infrastructure for the organization to utilize in the case of disruption. In the event of a failure the organization can then initiate failover to the recovery site, initiate any backups to restore and recover service within a 24 hour period; and Immediate recovery – aka ‘hot standby’ provides recovery facilities that support the immediate restoration of services, with potentially no visible impact on the business operations itself. This is often implemented in such a way that the organization houses dedicated equipment at an alternative site (often far enough away to not be affected by the same risk such as blackouts or weather events). In some cases the IT services actually being protected by this recovery option will only be those that support a vital business function.

It is important that the strategy includes a combination of measures, so that the balance between cost and risk as well as prevention and recovery is obtained. The plan should document where staff will be located, as well as how other critical services are managed such as power, water, telecommunications, couriers and information management.

6.4.4.3 Stage 3 – Implementation Once the defined strategy has been approved, the IT Service Continuity Plans need to be produced and integrated with the Business Continuity Plans (BCP). Whereas the BCP documents what IT services are required and the timescales for their expected recovery, the IT Service Continuity Plans address all the activities required to ensure the service, facilities and resources needed are delivered in an acceptable operational state within the agreed timescales. These plans also document the resilience measures built into the infrastructure that enable recovery, as well as information to facilitate decisions regarding whether to invoke the plans or not. This element is especially important, as the people normally responsible to make these decisions may be injured or unavailable.

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The plan should be under the control of Change Management to ensure integrity, but also be made widely available to key staff at all times. This requires both electronic and physical (multiple) copies to be maintained, as well as some off-site storage of these documents. To facilitate its use in the case of disaster there should be a checklist that covers specific actions that are required during all stages of the recovery, including those actions to evaluate whether normal service operation has resumed. Other documents that will also be integrated with the BCP and IT Service Continuity Plans are the: • Emergency Response Plan; • Damage Assessment Plan; • Salvage Plan; • Vital Records Plan; • Crisis Management and Public Relations Plan; • Accommodation Plan; • Security Plan; • Personnel Plan; • Communication Plan; and • Finance and administration Plan. Testing As any recovery plans are being implemented, there is a requirement for sufficient testing to be undertaken to ensure the plan’s effectiveness, including walk-through tests, full and partial tests and, a scenario test. These tests will also need to be conducted as part of Stage 4 – Ongoing operation as required.

6.4.4.4 Stage 4 – Ongoing Operation As part of the continual assurance that the recovery plans will be successfully utilized if/when necessary, there are a set of operational activities that should be performed in accordance to the documented policy. These activities consist of the following: • Education, awareness and training – this should cover the organization and the IT organization, for service continuity specific items. This ensures that all staff are aware of the implications of Business and IT Service Continuity and consider them part of their normal role and activities. The various testing activities can also provide parts of the training required to ensure staff understand their role and how to respond in the case of a disaster. • Reviews – a regular review of all of the deliverable from the ITSCM process needs to be undertaken to ensure that they remain current. With respect to IT, this is required whenever there is a major Change to the IT Infrastructure, assets or

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dependencies such as new systems or networks or a change in service providers, as well as when there is a change in business direction and strategy or IT strategy. Testing – following the initial testing it is necessary to establish a program of regular testing to ensure that the critical components of the strategy are tested at least annually or as directed by senior management or audit. It is important that any changes to the IT Infrastructure are in included in the strategy, implemented appropriately and tested to ensure they function correctly. Change Management – following tests and reviews, and day-to-day changes, there is a need for the ITSCM plan to be updated. ITSCM must be included as part of the existing Change Management process to ensure all changes are reflected in the contingency arrangements provided by IT or external suppliers. Invocation – Invocation is the key component of the BCP and IT Service Continuity Plan, so guidance should be provided to support the decision-making process regarding whether to invoke the recovery plans. This decision should take into account the extent and scope of damage, the likely length of disruption and unavailability, and the time at which the disruption occurred (e.g. occurred during a non-business critical time of the year).

Typical responsibilities for ITSCM in planning and dealing with disaster are similar to how First Aid Officers and Fire Wardens act in planning and operational roles (they may not be full-time roles, but are instead a ‘hat’ they wear when required). See the following table for an example of how responsibilities for ITSCM are typically assigned.

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Co-ordination Direction and arbitration Resource authorization

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Task execution Team membership Team and Site liaison

6.4.5 Key Performance Indicators (KPIs) of ITSCM The metrics typically used to evaluate the performance of the IT Service Continuity Management process include: • Regular Audits of the ITSCM plans to ensure that at all times the agreed recovery requirements of the business can be achieved; • All service recovery targets agreed and documented in SLA’s are achievable within the ITSCM plans; • Regular and comprehensive testing of ITSCM plans; • Regular reviews are undertaken, at least annually, of the business and IT continuity plans with the business areas; • All necessary ITSCM contracts with third parties are documented and reviewed; and • Overall reduction in the risk and impact of possible failure of IT services.

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6.5 Information Security Management 6.5.1 Goals and objectives The goal of the Information Security (ISM) process is to align IT security with business security and ensure that information security is effectively managed in all service and Service Management activities. This goal has two equally important focuses: • Meeting external security requirements; and • Meeting internal security requirements. The objectives of Information Security Management is to protect the interests of those relying on information and the systems and communications that deliver that information, from any harm resulting from failures of availability, confidentiality or integrity. These objectives are met when: • Information is available and usable when required, and the systems that provide it can appropriately resist attacks and recover from or prevent failures (availability); • Information is observed by or disclosed only to those who have a right to know (confidentiality); • Information is complete, accurate and protected against unauthorized modification (integrity); and • Business transactions, as well as information exchanges between enterprises, or with partners, can be trusted (authenticity and non-repudiation).

6.5.2 Scope The process should be the focal point for all IT security issues, and must ensure that an Information Security Policy is produced, maintained and enforced, that covers the use and misuse of all IT systems and services. This will include understanding: • Business Security Plans; • Current business operation and it’s security requirements; • Future business plans and requirements; • Legislative requirements; • Obligations and responsibilities; and • Business and IT risks and their management. As a guide, the Information Security Management process should include activities to: • Produce, maintain, distribute and enforce the ISM policy and supporting security policies; • Understand the agreed current and future security requirements of the business and the existing Business Security Plans;

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Implement a set of security controls that support the ISM policy and manage associate risks; Document all security controls, together with the operation and maintenance of the controls and their associated risk; Manage all suppliers and contracts regarding access to systems and services, in conjunction with Supplier Management; Manage all security breaches and incidents associated with all systems and services; Proactively improve security controls and security risk management and the reduction of security risks; and Integrate security aspects with all other IT Service Management processes.

6.5.3 Principles of Information Security Management

6.5.3.1 Information Security Management Policy A consistent set of policies and supporting documents should be developedto define the organization’s approach to security, which are supported by all levels of management in the organization. These policies should be made available to customers and users, and their compliance should be referred to in all SLRs, SLAs, contracts and agreements. The policies should be authorized by top executive management within the business and IT, and compliance to them should be endorsed on a regular basis. All security policies should be reviewed and, where necessary, revised on at least an annual basis. The overall Information Security Policy should consist of a number of sub-components or sub-policies, covering: • The use and misuse of IT assets; • Access control; • Password control; • E-mail ; • Internet; • Anti-virus ; • Information classification ; • Document classification; • Remote access ; • Supplier access ; and • Asset disposal.

6.5.3.2 The Information Security Management System (ISMS) The ISMS contains the standards, management procedures and guidelines that support the Information Security Management policies. Using this in conjunction to an overall

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framework for managing security will help to ensure that the Four Ps of People, Process, Products, and Partners are considered as to the requirements for security and control.

Figure 6.15: – Framework for managing IT security © Crown Copyright 2007 Reproduced under license from OGC

As a guide, standards such as ISO 27001 provide a formal standard by which to compare or certify their own ISMS, covering the five main elements of: 1.

Plan

Planning is used to identify and recommend the appropriate security measures that will support the requirements and objectives of the organization. SLAs and OLAs, business and organizational plans and strategies, regulation and compliance requirements (such as Privacy Acts) as well as the legal, moral and ethical responsibilities for information security will be considered in the development of these measures. 2.

Implement

The objective of this element is to ensure that the appropriate measures, procedures, tools and controls are in place to support the Information Security Policy. 3.

Control

The objectives of the control element of the ISMS are to: • Ensure the framework is developed to support Information Security Management; • Develop an organizational structure appropriate to support the Information Security Policy;

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Allocate responsibilities; and Establish and control documentation. Evaluate

The evaluate element of the ISMS is focused on ensuring: • Regular audits and reviews are performed; • Policy and process compliance is evaluated; and • Information and audit reports are provided to management and external regulators if required. 5.

Maintain

As part of Continual Service Improvement, the maintain element seeks to: • Improve security agreements as documented in SLAs and OLAs; and • Improve the implementation and use of security measures and controls.

6.5.4 Information Security Management Activities The activities of Information Security Management are involved in multiple phases of the Service Lifecycle, including the: • Development and maintenance of the Information Security Policy; • Communication, implementation and enforcement of the security policies; • Assessment and classification of all information assets and documentation; • Implementation and continual review of appropriate security controls; • Monitoring and management of all security incidents; • Analysis, reporting and reduction of the volumes and impact of security breaches and incidents; and • Scheduling and execution of security reviews, audits and penetration tests. Training and awareness is particularly vital, and is often the weakness in an organization’s control of security (particularly at the end-user stage). As part of the maintain element of the ISMS, consideration should be given as to methods and techniques that can be improved so that the policies and standards can be more easily followed and implemented. Security Controls The set of security controls should be designed to support and enforce the Information Security Policy and to minimize all recognized and potential threats. The controls will be considerably more cost effective if included within the design of all services. This ensures continued protection of all existing services and that new services are accessed in line with the policy.

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•

•

•

Figure 6.16: – Security Control © Crown Copyright 2007 Reproduced under license from OGC

•

There are various security threats to our infrastructure and we want to prevent or reduce the damage of these as much as possible. Prevention/Risk reduction measures assist us to do this. E.G. Antivirus systems, firewalls etc. In the case that they do pass our prevention mechanisms, we need to have detection techniques to identify when and where they occurred. Once a security incident has occurred, we want to repress or minimize the damage associated with this incident. We then want to correct any damage caused and recover our infrastructure to normal levels. E.G. Antivirus systems quarantining an affected file. After this process we need to review how and why the breach occurred and how successful were we in responding to the breach.

To assist in identifying what controls are missing or ineffective, a matrix can be developed that analyzes each of the control measures used for the different perspectives of security that need to be protected and controlled.

Figure 6.17: – Example matrix for identifying security controls

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6.5.5 Challenges affecting Information Security Management The typical challenges faced when implementing and executing this process are: • Management commitment; • Staff commitment; • Low priority compared to current work issues; • Weak or non-existing Business Security Management (& Plan); and • Conducting thorough testing of countermeasures.

6.5.6 Key Performance Indicators (KPIs) of Information Security Management The metrics commonly used to evaluate process effectiveness and performance for Information Security Management include: • Business protected against security violations; • Determination of clear and agreed policy; • Security procedures are justified; • A mechanism for improvement; • Integral part of all IT and ITSM processes; and • Effective marketing and education.

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7 Roles and Responsibilities for PPO 7.1 Generic Roles Process Owner: The person/role that is responsible for ensuring that all activities defined within the process are undertaken, and is responsible for: • Defining the process strategy and approach; • Ensuring the process is designed appropriately for the organization’s needs; • Ensuring documentation is produced for the process; • Defining appropriate policies and standards; • Auditing the process to ensure compliance; • Review the process, making changes and improvements where necessary; • Communication process information to key stakeholders; • Ensuring that staff involved have adequate training, skills and knowledge; • Addressing issues with the process; and • Providing input into Continual Service Improvement. Service Owner: The person/role that is responsible to the customer for the initiation, transition and ongoing improvement of a particular service, with key responsibilities being: • To act as the primary customer contact for all service-related enquiries and issues; • To maintain service quality that meets agreed customer requirements; • To identify opportunities for improvement; • To represent the service for CAB meetings; • To monitor and report data and statistics in order to provide visibility and insight into service quality and performance; and • To be accountable to the IT director for the delivery of the service.

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7.2 Roles within Planning, Protection and Optimization To ensure the quality execution of the PPO processes, there should be clear definition of the roles and responsibilities involved. This includes interfaces to other aspects of the Service Lifecycle, as well as project management and any other frameworks or practices being utilized. In this chapter there are a number of jobs that play a role in the PPO processes. For each of the roles you’ll find a number of tasks and responsibilities. Please be aware that this is not a complete list of responsibilities and accountabilities but is a good indication of the type of role required in the Planning, Protection and Optimization processes.

7.2.1 Service Design Manager The Service Design Manager is responsible for the overall coordination and deployment of quality solution designs for services and processes. Basically, the Service Design Manager is the ‘go-to’ person for design questions. There will be many disciplines involved in the design of a new Service but the Service Design Manager will have the overall coordination.

1. 2. 3. 4.

Description Making sure that the overall Service Strategy is reflected in the Service Designs. Designing functional specifications of the service (with associated environment and infrastructure) to ensure the service meets all business requirements. Creates and maintains the Service Design Packages. Measures the effectiveness and efficiency of the Service Design process.

7.2.2 IT Planner The IT Planner makes (or at least coordinates the creation of) the IT Plans. These include strategic plans, IT standards, policy and strategy implementation plans.

1. 2. 3. 4. 5.

Description Recommend policy for the effective use of IT throughout the organization. Obtain and evaluate proposals from suppliers to ensure that all business and IT requirements are satisfied. Take ultimate responsibility for prioritizing and scheduling the implementation of new or changes services within IT. Develops the initial plans for the implementation of authorized new IT services, clearly listing costs and expected benefits. Conduct Post Implementation Reviews (PIRs) in conjunction with Change Management.

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Make sure that all IT Planning processes, roles, responsibilities and documentation are regularly reviewed and audited for efficiency, effectiveness and compliance.

7.2.3 IT Designer/Architect Where the IT Planner coordinates the overall production and coordination of IT plans, and the Service Design Manager coordinates the deployment of quality solution designs we need another role to focus completely on the technology behind the service.

1. 2. 3. 4.

5.

1. 2. 3. 4.

Description Produce a detailed process map that documents all processes and their highlevel interfaces. Design secure and resilient technology architectures that meet all current and anticipated business needs. Design an appropriate and suitable Service Portfolio. Create and maintain IT design policies and criteria, including (but not limited to) connectivity, capacity, security and recovery. Ensure that all new services meet their service levels and targets. Provide advice to management and planning phases of IT systems, to ensure that requirements are reflected in the overall specifications.

Key Skills Good knowledge of Design Philosophies. Good knowledge and practical experience with Programme and Project Management. Understand how architectures, strategies, designs and plans fit together. Good knowledge and understanding of Service Management Frameworks.

7.2.4 The Demand Management Process Owner

1. 2. 3. 4. 5.

Description With the Service Level Manager, identify capacity requirements through discussions with the business users. Perform sizing on all proposed new services and systems, possibly using modelling techniques, to ascertain capacity requirements. Forecast future demand potential based on business plans, usage trends, sizing of new services, etc. Identify and codify Patterns of Business Activity (PBAs) and User Profiles. Analyse the usage and performance data, and report on performance against targets contained in SLAs. ©The Art of Service

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Raise incidents and problems when breaches of capacity or performance thresholds are detected, and assist with the investigation and diagnosis of capacity-related incidents and problems. Identify and implement initiatives to improve resource usage – for example, demand management techniques. Assess new technology and its relevance to the organization in terms of performance and cost against relative Service Value and underserved demand. Is familiar with potential future demand for IT services and assessing this on performance service levels. Ensure that all changes are assessed for their potential effects on demand for IT services. Assessnew techniques and hardware and software products for use by Capacity Management that might improve efficiency in managing and serving demand. Report on service quality and performance against targets contained in SLAs. Maintain a knowledge of future demand for IT services and predict the effects of demand on performance service levels. Determine performance service levels that are maintainable and cost-justified Key Skills Demonstrate awareness of the business priorities, objectives and business drivers. Demonstrate awareness of the role IT plays in enabling the business objectives to be met. Advanced customer service skills. Awareness of what IT can deliver to the business, including the latest capabilities. Demonstrate competence, knowledge and information that is necessary to complete the role effectively. Use, understand and interpret the best practice, policies and procedures to ensure adherence. Demonstrate management skills, both from a personnel management perspective and from the overall control of process. Exceptional organizational and communication skills. Ability to articulate all information regarding Demand and Capacity management in both written and verbal forms.

7.2.5 Availability Manager 1.

Description Ensure that all existing services deliver the levels of availability agreed with the business in SLAs.

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Assist with the investigation and diagnosis of all incidents and problems that cause availability issues or unavailability of services or components. Specify the requirements for new or enhanced event management systems for automatic monitoring of availability of IT components. Specify the reliability, maintainability and serviceability requirements for components supplied by internal and external suppliers. Monitor actual IT availability achieved against SLA targets, and provide a range of IT availability reporting to ensure that agreed levels of availability, reliability and maintainability are measured and monitored on an ongoing basis. Create, maintain and regularly review an AMIS and a forward-looking Availability Plan, aimed at improving the overall availability of IT services and infrastructure components, to ensure that existing and future business availability requirements can be met. Ensure that the Availability Management process, it’s associated techniques and methods are regularly reviewed and audited, and that all of these are subject to continual improvement and remain fit for purpose. Work with Financial Management, ensuring the levels of IT availability required are cost-justified. Maintain and complete an availability testing schedule for all availability mechanisms. Assist Security and IT Service Continuity Management with the assessment and management of risk. Assessi changes for their impact on all aspects of availability, including overall service availability and the Availability Plan.

7.2.6 Capacity Manager (May share a role with Demand Management Process Manager) Description 1. Ensure that there is adequate IT capacity to meet required levels of service, and that senior IT management is correctly advised on how to match capacity and demand and to ensure that use of existing capacity is optimized. 2. Identify, with the Service Level Manager, capacity requirements through discussions with the business users. 3. Understand the current usage of the infrastructure and IT services, and the maximum capacity of each component. 4. Perform sizing on all proposed new services and systems, possibly using modelling techniques, to ascertain capacity requirements. 5. Forecast future capacity requirements based on business plans, usage trends, sizing of new services, etc. 6. Production, regular review and revision of the Capacity Plan, in line with the

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organization’s business planning cycle, identifying current usage and forecast requirements during the period covered by the plan. Ensure that appropriate levels of monitoring of resources and system performance are set. Analyse of usage and performance data, and reporting on performance against targets contained in SLAs. Raise incidents and problems when breaches of capacity or performance thresholds are detected, and assisting with the investigation and diagnosis of capacity-related incidents and problems. Identify, initiate and tune to optimize and improve capacity or performance. Identify and implement initiatives to improve resource usage – for example, demand management techniques. Assess new technology and its relevance to the organization in terms of performance and cost. Be familiar with potential future demand for IT services and assessing this on performance service levels. Ensure that all changes are assessed for their impact on capacity and performance and attending CAB meetings when appropriate. Produce regular management reports that include current usage of resources, trends and forecasts. Size all proposed new services and systems to determine the computer and network resources required, to determine hardware utilization, performance service levels and cost implications. Assess new techniques and hardware and software products for use by Capacity Management that might improve the efficiency and effectiveness of the process. Performance testing of new services and systems. Report on service and component performance against targets contained in SLAs. Maintain a knowledge of future demand for IT services and predicting the effects of demand on performance service levels. Determine performance service levels that are maintainable and cost-justified. Recommend tuning services and systems, and making recommendations to IT management on the design and use of systems to help ensure optimum use of all hardware and operating system software resources. Act as a focal point for all capacity and performance issues.

7. 8. 9.

10. 11. 12. 13. 14. 15. 16.

17.

18. 19. 20. 21. 22.

23.

7.2.7 IT Service Continuity Manager 1. 2.

Description Perform Business Impact Analyses for all existing and new services. Implement and maintain the ITSCM process, in accordance with the overall

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requirements of the organization’s Business Continuity Management process, and represent the IT services function within the Business Continuity Management process. Ensure that all ITSCM plans, risks and activities underpin and align with all BCM plans, risks and activities, and are capable of meeting the agreed and documented targets under any circumstances. Perform risk assessment and risk management to prevent disasters where cost-justifiable and where practical. Develop and maintain the organization’s continuity strategy. Assess potential service continuity issues and invoke the Service Continuity Plan if necessary. Manage the Service Continuity Plan while it is in operation, including fail-over to a secondary location and restoration to the primary location Perform post mortem reviews of service continuity tests and invocations, and instigating corrective actions where required. Develop and manage the ITSCM plans to ensure that, at all times, the recovery objectives of the business can be achieved. Ensure that all IT service areas are prepared and able to respond to an invocation of the continuity plans. Maintain a comprehensive IT testing schedule, including testing all continuity plans in line with business requirements and after every major business change. Undertake quality reviews of all procedures and ensuring that these are incorporated into the testing schedule. Communicate and maintain awareness of ITSCM objectives within the business areas supported and IT service areas. Undertake regular reviews, at least annually, of the Continuity Plans with the business areas to ensure that they accurately reflect the business needs. Negotiate and manage contracts with providers of third-party recovery services. Assess changes for their impact on Service Continuity and Continuity Plans. Attend CAB meetings when appropriate.

7.2.8 Information Security Manager 1.

2.

Description Develop and maintain the Information Security Policy and a supporting set of specific policies, ensuring appropriate authorization, commitment and endorsement from senior IT and business management. Communicate and publicize the Information Security Policy to all appropriate

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parties. Ensure that the Information Security Policy is enforced and adhered to. Identify and classify IT and information assets (Configuration Items) and the level of control and protection required. Assist with Business Impact Analysis. Perform Security Risk Analysis and risk management in conjunction with Availability and IT Service Continuity Management. Design security controls and developing security plans. Develop and document procedures for operating and maintaining security controls. Monitor and manage all security breaches and handle security incidents, taking remedial action to prevent recurrence wherever possible. Report, analyse and reduce the impact and volumes of all security incidents in conjunction with Problem Management. Promote education and awareness of security. Maintain a set of security controls and documentation, and regularly review and audit all security controls and procedures. Ensurieall changes are assessed for impact on all security aspects, including the Information Security Policy and security controls, and attend CAB meetings when appropriate. Perform security tests. Participate in any security reviews arising from security breaches and instigating remedial actions. Ensure that the confidentiality, integrity and availability of the services are maintained at the levels agreed in the SLAs and that they conform to all relevant statutory requirements. Ensure that all access to services by external partners and suppliers is subject to contractual agreements and responsibilities. Acti as a focal point for all security issues.

7.2.9 Service Level Manager (not covered by PPO but an aligned role required)

1.

Description Design, maintain and review a structure for the process that covers the interactions of the people involved and the expected content of Service Level Management related documents (involving IT and Customers) AND

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Coordinate any required Service Improvement Plans/Programmes to eradicate falling Service Delivery performance. Coordinate process reviews utilizing independent parties to provide an objective view on the simplicity of the process and areas for improvement. Responsible for implementing any design improvements identified. Establish, maintain and review: • Service Level Agreements with the business Customer (including a decision on SLA Structure); • Operational Level Agreements with the IT provider; and • Underpinning Contracts with third party providers. Creation, maintenance, marketing and distribution of the Service Catalog (which documents the IT Services offered by the organization). Control and review: • Any outstanding process related actions; • Current targets for service performance; and • Performance against SLAs, OLAs and UCs. Make available relevant, concise reports that are both timely and readable for Customers and IT providers. Key Skills Display a communication style based around listening and demonstrable genuine interest. Ability to use and apply valuable information gained from customers. High degree of people/relationship management focus and an ability to deal with an administrative workload. Will also tend to be balanced in negotiations – almost to the point of neutrality during discussions between the customer and the IT Service Provider. Take an active interest in learning about services offered by external and internal providers. The manager will be interested in understanding how services are provided, rather than just accepting a marketing statement. Good oral and presentation skills. The manager is a “champion” for this process and must display an air of confidence, without arrogance. Communicate with people at all levels of the organization; this is one contributing factor that also will require a high degree of understanding of human emotion and resistance. Demonstrate ways to “do things differently” that will improve the process. Be very risk conscious, but not risk adverse. Although not a highly numeric role, the selected person must be able to understand the basics of supply and demand, with a commonsense attitude to service charging and a grip on basic statistical analysis. Engage in technical discussions with technical people (to ensure credibility) and to engage in business discussions with business people, about those

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technical issues (of course in non-technical terms).

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8 Technology Considerations Technology is a significant factor in the quality and success of Service Offerings & Agreements for the modern service provider. There are two main ways in which delivery and support of services is supported by technology: • Enterprise-wide tools that support the broader systems and processes within which offerings and agreements are developed and managed; and • Tools targeted more specifically at supporting Service Offerings & Agreements processes. The following systems support the wider scope for enterprise requirements, providing automated support for some elements of Service Management: •

IT Service Management systems: o Enterprise frameworks. o System, network and applications management tools. o Service dashboards and reporting tools.

•

Specific ITSM technology and tools that cover: o SKMS (Service Knowledge Management Systems). o Collaborative, content management, workflow tools. o Data mining tools. o Extract, load and transform data tools. o Measurement and reporting systems. o Test Management and testing tools. o Database and test data management tools. o Copying and publishing tools. o Release and deployment technology. o Deployment and logistics systems and tools.

With particular focus on the Service Offerings & Agreement processes, tools and systems that can be utilized include: • Financial Management tools and systems, utilized for charging, accounting and budgeting; • Web publishing systems utilized for easy communication of the Service Catalogues; • Monitoring tools for measuring utilization of services, used by Demand Management for predicting and analyzing PBAs and their affect on demand; and • Document Management Systems, used to manage SLAs, OLAs, Underpinning Contracts and other controlled documents.

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While the needs for supporting technology will be influenced by a large number of factors, an integrated suite of ITSM tools and systems should generally include the following functionality: • Self-Help; • Workflow or process engine; • Integrated CMS; • Discovery/Deployment/Licensing technology; • Remote control; • Diagnostic utilities; • Reporting; • Dashboards; and • Integration with Business Service Management.

What requirements?

Scoring Evaluate products

Identify products

Rank the products Short listing

Selection criteria

Select product

Figure 7.1: Typical Activities for selecting ITSM tools and systems © Crown Copyright 2007 Reproduced under license from OGC

Typical items to consider when evaluating various products for the most appropriate selection include: • Data structure; • Integration; • Conformity; • Flexibility; • Usability; • Support for monitoring service levels; • Conversion requirements; • Support options; • Scalability; • Tool and Vendor credibility; • Training needs; • Customization; and • What level of adaptation is needed to implement the product successfully.

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8.1 Knowledge Management Tools Knowledge Management tools should be utilized to address an organization’s needs for processing information, and enabling and distributing knowledge to enhance the quality of SOA processes. These needs are typically categorized into the following areas: •

Document Management o Defines the set of capabilities to support the storage, protection, archiving, classification and retirement of documents and information. o Is used to manage documentation CIs such as Service Level Agreements, Underpinning Contracts, User and support documents etc.

•

Records Management o Defines the set of capabilities to support the storage protection, archiving, classification and retirement of records. o Includes the management of Incident, Problem and CI records during Service Transition and Service Operation.

•

Content Management o Defines the capability that manages the storage, maintenance and retrieval of documents and information of a system or website. The result is often a knowledge asset represented in written words, figures, graphics and other forms of knowledge presentation. o Includes user- and customer-generated information, captured and disseminated using one or more IT Services such as a website or email system.

8.1.1 Communities Communities are rapidly becoming the method of choice for groups of people spread across time zones and country boundaries to communicate, collaborate and share knowledge. Examples of services and functions provided within the typical online community are: • Community portals; • E-mail alias management; • Wikis and forum groups; • Focus groups; • Intellectual property, best practice, work examples and template repository; and • Online events and net shows. Successful communities often implement reward schemes for their members to acknowledge and reward the contribution of valuable knowledge assets. It is also ©The Art of Service

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recommended that senior management actively participates in these communities to foster a culture and environment that rewards knowledge-sharing and collaboration.

8.1.2

Collaboration

Collaboration is the process of sharing tacit knowledge and working together to accomplish stated goals and objectives. Knowledge services, when properly implemented, can significantly improve the productivity of people by streamlining and improving the way they collaborate. Examples of knowledge services, widely available today: • Shared calendars and tasks; • Threaded discussions; • Instant messaging; • White-boarding; • Video or teleconferencing; and • E-mail.

8.1.3 Workflow Management Workflow Management is another broad area of knowledge services that provides systematic support for managing knowledge assets through a predefined workflow or process. Many knowledge assets today go through a workflow process that creates, modifies, augments, informs, or approves aspects of the asset. Workflow applications provide the infrastructure and support necessary to implement a highly efficient process to accomplish these types of tasks. Typical workflow services provided within this services category include: • Workflow design; • Routing objects; • Event services; • Gate keeping at authorization checkpoints; and • State transition services.

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9 Implementing Planning, Protection and Optimization processes Typically the implementation of PPO processes comes from an identified need for formalized practices for delivering and supporting services in a controlled and efficient manner. There can be many types of approaches used for implementing these processes, including those using project management methodologies, or those described in the volume of Continual Service Improvement. Even the practices from the Service Strategy in Service Design lifecycle phases themselves are useful guidance to consider when implementing these processes in an effective way.

9.1 The Continual Service Improvement Model The CSI Model provides the basis by which improvements to Planning, Protection and Optimization processes are made. They are questions to ask in order to ensure all the required elements are identified to achieve the improvements desired.

How do we keep the momentum going?

What is the vision?

Business vision, goals and objectives

Where are we now?

Baseline assessments

Where do we want to be?

Measurable targets

How do we get there?

Service & process improvement

Did we get there?

Measurement & metrics

Figure 9.1: Continual Service Improvement Model. © Crown Copyright 2007 Reproduced under license from OGC

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The Continual Service Improvement Model summarizes the constant cycle for improvement. While there may be a focus on Service Operation, the questions require close interactions with all the other ITIL® processes in order to achieve Continual Service Improvement. Steps taken to improve Planning Protection and Optimization: • What is the Vision? Defining what wants to be achieved by improving Service Operation. Is the focus on Service Quality, compliance, security, costs or customer satisfaction? What is the broad approach that we should take? • Where are we now? Baselines taken by performing maturity assessments and by identifying what practices are currently being used (including informal and ad-hoc processes). What information can be provided by the Service Portfolio regarding strengths, weaknesses, risks and priorities of the Service Provider? • Where do we want to be? Defining key goals and objectives that wish to be achieved by the formalization of Service Operation processes, including both shortterm and long-term targets. • How do we get there? Perform a gap analysis between the current practices and defined targets to begin developing plans to overcome these gaps. Typically the process owners and Service Operation manager will oversee the design/improvement of the processes, making sure they are fit for purpose and interface as needed with other Service Management processes. • Did we get there? At agreed time schedules, checks should be made as to how the improvement initiatives have progressed. Which objectives have been achieved? Which haven’t? What went well and what went wrong? • How do we keep the momentum going? Now that the targets and objectives have been met, what is the next course of improvements that can be made? This should feed back into re-examining the vision and following the CSI model steps again.

9.2 Managing Cultural Change Formalizing processes and procedures will require the delivery and management of cultural changes. History has shown that initiatives surrounding Service Operation, especially Incident and Problem Management, tend to create some resistance in the IT staff, customers and end-users involved or affected. This is largely due to the perception of bottlenecks and bureaucracy being created, or taking away power and authority that the staff members may previously have had. Those responsible or accountable for implementing Service Operation should consider the various stakeholders that will be involved or affected, and how best their support can be gained. This typically will involve holding awareness sessions, team meetings and face to face discussions, so that all those involved understand the reasons for the changes, the benefits that are being created and how their role contributes or has changed as a result. ©The Art of Service

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10 Summary For any organization, the ability of the IT organization to identify changes in business requirements, market places and technology, and to respond in an efficient yet controlled manner is critical, especially in markets where there is high competition for service provision. But even when this is achieved success still requires more; the development and design of services that meet business requirement in a cost-effective and generally optimal manner, with potential to scale for future business improvements and growth. As a summary, the key benefits delivered as a result of improved Planning, Protection and Optimization: • Improved effectiveness and efficiency in the Service Catalogue meeting business demand for IT services; • Increased return on investment into IT, appropriate levels of availability, capacity, continuity and security being delivered; • Improved customer satisfaction through constant communication of service quality, performance and improvement initiatives; • Improved synchronization between demand cycles and the production of capacity. • Reduction of risk inherent in the IT infrastructure and services supporting business operations; and • Improved architectures that suit the diverse requirements of both business and IT stakeholders. IT Budgets: Strategic Objectives, Service Portfolios: Patterns of Business Activity (PBA)

Service Validation Criteria, Cost Units, Priorities & Risks of IT Services, Requirements Portfolio

Service Design

Service Transition

Service Strategy Service Models for support, Service Portfolios, Demand Management Strategies, IT Budgets

Service Operation

Nominated budgets for delivering and supporting services Process metrics and KPIs, Service Portfolios

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Figure 10.1: Some of the outputs from Service Strategy to the rest of the Service Lifecycle

Service Assets, Service Components for budgeting and IT Accounting, Service Level Requirements Service Acceptance Criteria, Test Plans, Service Transition Plans, Service Design Packages, Configuration Item information, SLAs, OLAs, UCs

Service Strategy

Service Transition

Service Design Support Procedures, User Documentation, Service Catalogues, SLAs, OLAs, UCs, Security & Access Policies

Service Operation

Nominated budgets for delivering and supporting services Process metrics and KPIs, Service Portfolios

Continual Service Improvement

Figure 10.2 – Some of the outputs from Service Design to the rest of the Service Lifecycle

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10.1 Review Questions The ITIL V3 Intermediate exams are comprised of 8 scenario-based multiple-choice questions (though not all exam questions contain a scenario followed by a question). The following practice exam contains 8 questions for you to complete. In the official exam, all scenarios are provided first, then the questions. To make it easier to follow due to the number of questions, we have set it out with scenario followed by question.

Scenario One The Martin Luther School District has a reputation for being innovative and experimental in enabling teachers, parents, and students to support each other in the academic and personal growth of their students. Though they are considered one of the top school systems in the United States, they are experiencing the pressures experienced by most other school district; namely lack of funding, increased focus on standardized testing, and cultural, social, and legal protection of students and teachers. Recently developed neighbourhoods and changing boundaries have made massive changes to the student and family demographic. Many of the students that have an option to stay with Martin Luther or go to another school district are choosing to stay, while other students who didn't have Martin Luther as an option before are choosing to leave their previous district for the better education provided within Martin Luther. In addition, some schools that used be administered by a different school district are now under the control of the Martin Luther SD. One of the growing programs provided by Martin Luther is their computer labs and kiosks. The program allows students learn more about computers by completing class work online. This can be done form school or at home. Currently, every student is a registered user of the Martin Luther computer system and it has become a crowning achievement for the school district. The recent changes have introduced a couple of challenges to the program: a massive import of new students and school facilities to the system, some of whom have little computer experience or little computer equipment available; and limited funding to resolve the problem. The risk of losing the program has become a real issue for administrators, teachers, parents, and students alike. To assist in the changes, the school board has agreed to cut budgets of other programs within the schools to fund the technical needs of these new facilities and students. Though not a popular decision, it is being supported by all parties impacted. In an effort to alleviate the funding problem, a local computer company has agreed to subsidize the effort with a small grant. In addition to the money, the company has agreed to provide computer equipment that it was planning to destroy. Since this gift does relieve a large portion of the financial concerns, the other programs are requesting to have their original budgets restored.

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Question 1

You have been asked to define the capacity requirements for the expanded district. What is the best approach for identifying and defining requirements if you are acting in the role of Capacity Manager? a) You recognize that in order to be successful, the additional users and facilities have to have the same access and response times that were available to the school district before the zoning change. Work with the IT developers to understand how the previous systems behaved and what is required to maintain the same level in an expanded environment. You recommend a number of requirements based on the “worst case” scenario that the new facilities have no existing capacity to ensure that there is sufficient capacity to maintain the current level of IT services. b) Based on the inputs from the school board and faculty, you consult with the Service Level Manager to determine a number of possible approaches for meeting customer requirements. Once the Service Level Requirements have been determined, you work with the IT personnel to meet the requirements in the current production environment. You monitor the progress and and create list of minimum specifications required by the solution. As each facility is added to the district, perform a walk through inspection of the facility to identify that the minimum specifications for the solution can be met. Where minimum specifications cannot be met, consult with the Service Level Manager to determine the best approach for handling an exception. The required specifications and the exceptions become the defined capacity requirements for the school district. c) You obtain the Service Level Requirements for the school district from the Service Level Manager. You work with the IT personnel to meet the requirements in the current production environment. You monitor the progress and make adjustments to the IT architecture to produce a standard model for meeting the service requirements. The architecture will define the minimum capacity requirements for the district. d) Work with IT personnel to identify the capacity concerns of an expanded district. Provide these concerns to the Service Level Manager to assist in negotiating reachable service level requirements. Once the service level requirements have been agreed to, review the current architecture to verify that the service levels are being met. When they are, identify the minimum capacity requirements to be used in each facility that is added to the district.

Question 2

As part of the process to fully understand the requirements on capacity, you decide to understand the how the IT systems are being used in the schools. To do this, you've decided to adopt the analytic tool for understanding Patterns of Business Activities. What is the MOST appropriate justification for using the PBA approach to understand how IT systems are being used in the schools?

a) Patterns of Business Activities are a structured description of an activities which includes information on the assets required to perform the activity including people, processes, and applications. In addition, the description provides an understanding of frequency of the activity, the volume of activity at given times, specific locations that the activity is found and how long the activity takes place. For a school setting, a set of PBAs can distinguish

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between class work being performed by 35 students at a time or an individual project being performed by a single student. PBAs can be used to identify how much capacity is required and when based on the descriptions, as well as define security controls for user IDs and crucial availability targets for specific systems. PBAs can become configurable assets for use during the planning and design of the IT architecture. b) Patterns of Business Activities are the structured description of activities which includes information on the assets required to perform the activity including people, processes, and applications. In addition, the description provides an understanding of frequency of the activity, the volume of activity at given times, specific locations that the activity is found and how long the activity takes place. They are used to understand the IT service requirements of the customer. c) Patterns of Business Activities are a method for describing the components of an activity, specifically for the use of determining the requirements to support that activity. By using the method, a person can understand the frequency of the activity, the volume of activity at a given time, the location, and duration of the activity. The method can set expectations associated with the types of transactions and communications performed during the day. d) Patterns of Business Activities provide a comprehensive view of a single activity: the frequency of that action, the volume at any given time, where the activity is most like to happen, and the expected time to perform the activity. A PBA identifies the required assets needed to perform the activity, whether the activity is manual or automatic. The assets can include types of people, processes, applications, and systems. By having this view, a person can predict what is required to have the activity be successful based on when the activity will start and how many users will be performing the activity. In a school setting, PBA can be used to plan technical resources for classroom projects on the computer or to handle a large number of students logging into the system before dinner to post homework.

Scenario Two A major hotel and restaurant management company called Highrise has gained the reputation of providing the best and most attractive holiday spots in the country. They currently have the highest ratings for their hotels and restaurants than many of the competitors. Another hotel chain called Easy8 has recently announced they are willing to be purchased. Easy8 has catered to business travel and have become a preferred hotel because of their commitment to meet the IT needs of their guests. In recent years, they have been having difficulty keeping up with new technologies and been focusing with some success on providing other accommodations for attracting guests. Despite the difference in strategy, Highrise's management feel that the two companies share many of the basic requirements and the two different strategies could complement each other. After several weeks of discussion, the decision was made to purchase Easy8. As mentioned, Easy8 has had great success with their commitment to their business guests by providing network connections, business centers and conference rooms on each floor, conference centers, and even workstations in private rooms. The idea allows a business person to simply connect their laptop to the hotel's IT infrastructure and have access to many of the IT capabilities available in their regular office. Unfortunately, the company has not been able to keep up with several emerging technologies including wireless networking in a manner that has been costeffective.

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Highrise managers have realized that though both markets require the same level of hospitality management, there are some critical differences between vacationing guests and business guests. These are: z Providing business accommodations requires a greater degree of detail and flexibility in serving individual guests needs, especially in scheduling and availability of services. z Hotel service disruptions can be tolerated better than IT service disruptions. z Vacationing guests have a general pattern that is predictable with schedules done far in advance, that require guidance to hotel or local services. Business guests however are very unpredictable with last minute requirements and rapidly changing needs.

Question 3

You are the Capacity Manager for Highrise and you have been asked to find opportunities to reduce costs. What is the best approach for accomplishing your task? a) Each hotel has their own dedicated IT person to support their own guests and staff, and each hotel offers different levels of IT support. E.g. Some hotels offer video conferencing or business centers, others don't. To understand the specific requirements for each hotel, you meet with hotel management to understand the types of IT services used in the hotel and the volumes of use. Use this information with resource utilization reports to understand the impact of guest activity on IT. Using modeling techniques, you create a viable server consolidation strategy by determining the capacity requirements for anticipated activities at each hotel. Hotels with extremely low activities will share resources with a neighboring hotel. b) You decide that understanding the benefits of IT support in a hotel for a guest would assist in understanding the demand on IT. You meet with hotel management to learn the patterns of guest activities that have been seen at each hotel and any future trends that the hotel may experience. You identify that the IT services offered int eh hotel are not consistent from one hotel to the next. Using modeling techniques, you make two recommendations: the first is to provide a consistent level of IT services across every hotel which would lower the cost by establishing a standard configuration while providing a single service package which will improve guest satisfaction. The second recommendation is a server consolidation strategy based on normal peak volumes. You recommend that on-demand computing can be used to handle any unexpected peaks as well provide additional support options to the guests without having to maintain excess capacity during low volume seasons. c) Consolidating services seems the most likely options for reducing costs and gaining efficiencies. To justify your position you analyze the volume of activities against resource utilization. With the assistance of hotel IT support, you establish the optimal utilization levels for each hotel based on how the IT resources are used at different levels of demand. From this information, you recommend a server consolidation. d) You suspect that costs can be greatly reduced by consolidating servers that are being underutilized. You start to look at the server utilization reports for each hotel. From the reports, you identify that nearly half of the servers have utilization of less than 25 per cent with no one server ever reaching 65 per cent. You make a decision to set an utilization objective for 62 per cent for every server in the company and start removing servers from the system, moving their work to other servers. This continues until every existing server meets the objective. ©The Art of Service

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Question 4

You are the Director of IT for Highrise and you have been asked to speak at the next stockholder's meeting about the current state of IT services in the hotel chain. What is the best approach for communicating the current state of IT services? a) Provide the stockholders a report on various aspects of IT services ranging from resource utilization to availability levels. Reference how the IT staff interact with the hotel staff to meet the guest needs. Provide a summary of what improvements are being made now and in the future. b) Provide the stockholders with a presentation that starts with the IT vision and its alignment with the current vision of the overall business. Discuss a few of the most visible goals and objectives of IT. Explain to the stockholders where IT services is at in fulfilling their goals and the specific targets that are the focus for the next 3-6 months. Explain some of the steps for meeting those targets and how the stockholders will know that those targets have been met. End the communication with an opportunity for questions. c) Focus on Capacity Management as the subject of your presentation. Explain what capacity management is and why it is important to the experience of the guest. Describe what the current goals are for this service and where the company is at in meeting those goals. Inform the stockholders of the current service levels on capacity and performance and why they are important from a guest perspective. Describe some of the activities that are currently planned to ensure that the company will meet its goals and what monitoring methods are in place to stay on track. End the communication with an opportunity for questions. d) Provide the stockholders with a presentation that starts with the business value of IT within Highrise, focusing on how IT provides guests with the capability that they would find in their office. Review the current status of IT management and the organization. Review some of the services that IT support provides to the business and to guests. Discuss some of the knowledge and experience that can be found in the IT department. End the presentation with a recent story describing a guest's satisfaction with IT.

Scenario Three A graphics design company called BitFil provides numerous services in Seattle. One market that they have experienced recent success in is the film industry, where they have been providing any number of products from movie posters to background settings. The work required is increasing and the company has agreed to open a new facility in Los Angeles. The Design Team consists of fifteen talented designers. Their responsibilities include identifying customer's requirements and providing at least three designs that meet those requirements. One of the designs is approved and the designers are then responsible to work with their own project team to deliver the final product on time. Four of the Design Team have agreed to move to the new Los Angeles office. While the new

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facility has state-of-the-art equipment, the primary network and centralized design database is still located at the Seattle site. The Designers are expected to utilize the central database to store all design documents and update progress on any projects running outside of the facility. From the central database, projects are reviewed and designs approved by management and consultants located in Seattle. A severe ice storm in Washington State recently disrupted network connectivity for a 3 days. Though the Los Angeles facility were able to work locally, they were unable to utilize the centralized database.This contributed to delays in the design process and ultimately a number of projects were at risk of missing deadlines. After an exercise to analyze the cost benefits, a localized network was created with a central database that replicates the Seattle office. Manual procedures have been created to handle delivery of project information and designs through other transportation methods. The solution has resolved delays in maintaining the database, though it is recognized that significant difficulties exist if prolonged disruptions occur in the future. Question 5

An IT Service Continuity Plan is now in place and requires testing. The CIO has concerns about the impact of a full test on the business but has asked for assurances that the plan will be effective. That is the MOST appropriate recommendation for testing the IT Service Continuity Plan. a) To minimize the impact on the business, an initial walk through simulation of the plan should be conducted with representatives from across the business and the IT organization. This will also identify any potential issues with the plan. The results of this simulation should be reviewed. A full test should be scheduled to verify a full recovery of the business processes and IT services. This full test should be carefully planned with the CIO and announced to minimize the risk to the business. Regular testing of the plan should be agreed and established. b) To minimize the impact on the business, a separate walk through should be conducted at each site to contain the overall risk to the business. Upon successful completion of a walk through, a full test of the plan should be conducted to verity a full recovery of the business. The test should be announced to minimize the potential risk to the business. Future tests should involve all sites. c) A series of separate walk through tests should be conducted against a number of scenarios. This will minimize the impact to the business and will sufficiently identify any improvements required to the plan. To further minimize the impact of testing on the business, the test should involve only IT personnel who are responsible for the recovery of IT services within the plan. Regular testing of scenarios should be conducted to ensure the readiness of the IT staff. d) A full test of the plan should be announced to the staff and performed. Clear objectives and critical success factors should be established with the CIO for the test beforehand. Issues identified by the test should be reviewed to identify any improvement opportunities. A regular schedule for testing should be established. Question 6

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In order to have the Continuity Plan be successful, people need to understand their responsibilities, specifically key people inside the process. What is the MOST appropriate approach to communicating responsibilities? a) Create an organizational perspective of the Continuity Plan. Start at the executive level to explain the authority, control, and responsibility of executive members during crisis management. Have the executive team assign capable individuals who can be responsible for the coordination of activities at each site including one person who has responsibility to coordinate activities between the sites. Sit down with these individuals and explain their roles. Have them take the lead during tests of the continuity solution so that confidence and trust is built. Bring these coordinators along when working with business and service teams to describe the recovery activities in detail. Perform walkthroughs of the recovery activities before testing to ensure that individuals and groups understand what's expected. b) Create a document of roles and responsibilities for recovery activities at each site. Provide this document to the site manager for distribution at each location. Follow-up with the assigned coordinators to ensure that everyone has received and signed they have read and understand their roles in a crisis. Keep copies of the signed statements for audit purposes to show that every person in the company is aware of their responsibilities to business and IT Continuity. Create an organizational tree of recovery teams for the coordinators, to be used as a tool for knowing and understanding the recovery teams. c) Create an organizational chart for the continuity plan. Work with the recovery teams to identify who will be on what team and identify their specific responsibility. Work with the teams during testing to ensure they understand and and can perform their duties during a crisis. Perform walkthroughs of the recovery activities after testing to illicit lessons learned and identify improvements for the plan and process. Update the chart whenever changes to personnel are made. Introduce the chart to the executive team along with testing results, so that the members of the recovery team are recognizable to the executive team during a crisis. d) Work with the executive team to have them understand the continuity plan, when to expect during its execution, and the results of testing. Ensure they are part of the testing to build confidence and trust in the plan and their own authority in crisis management. Work with the recovery teams to have them clearly understand the activities required to recover, the priority of activities from situation to situation, and how to quickly respond to breakdowns in the plan. Perform walkthroughs before testing to ensure that individuals and groups understand what's expected and review the test results to identify improvements to the plan and its execution. Scenario Four INB is a subsidiary of a major financial company and specializes in creating and managing tax portfolios for upper-middle class individuals and small businesses. The majority of business is from lawyers and accountants looking to provide tax shelters and manage tax payments for their customers, many of whom use INB's services because of their reputation for securing their client's personal and financial data. A month ago, INB launched a new program providing tax preparation services and support. Because of this new program, they have experienced a 9 per cent increase in their client base with nearly 60 per cent of their existing clients using the new program.

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INB uses the IT services provided by their parent company and the appropriate SLAs are in place for these services. In addition to securing client data, the IT department also provide support in capacity, availability, as well as managed desktop services to INB. The primary business application used by INB is the Customer/Client Management System (CCMS). The system is basically a relational database that matches the INB clients (lawyers, accountants, etc.) with their customer's portfolios. A single client could have a dozen customers using INB services. Each client has a profile created in the CCMS that can also be a portal to their customer's individual portfolios. CCMS maintains client profiles and customer portfolios within the same application. The design provides great flexibility and stability for all parties involved and the primary reason for INBs success. The CCMS has high service levels for performance and security in place. A couple of weeks ago, the capacity of the network reached the performance threshold. Performance of the system has degraded slowly since that time and some incidents in data loss have been reported. Though no indication has been found of a security breach, the situation has placed pressure in INB to resolve the situation quickly. Unfortunately, the launching of the new program has used most of the budget allotted to them by their parent company and the IT department is saying no funding is available to resolve the problem. A service review meeting is scheduled for this week.

Question 7

As the Capacity Manager, you are concerned about the problems that have occurred. What is the best approach to resolve the issue? a) First of all, perform an analysis of the problem focused on identifying any trends in business activities that may have changed between now and a month ago. Work with INB to describe any new business activities or changes to existing business activities that may have been the result of the new tax preparation service. Document the business activities and determine the capacity requirements for each. Review the current Capacity Plan to determine if the solution will meet the new requirements found in the analysis. Make the appropriate adjustments to the plan and solution using change control and monitor the results with the aim of tuning the solution. Make a further recommendation to resize the CCMS and impacted applications before INB offers a new service to ensure that any new capacity requirements are discovered early on. b) Review the baseline model of the current capacity solution against current trends in performance to determine if the baseline is accurate. Create a new baseline based on current information. Create an analytic model using the new baseline and paying particular attention on the response times for the impacted systems. Fine tune the model until an optimum performance rate is achieved above the performance targets. Using change management to communicate and control, make the appropriate changes to the infrastructure based on the results of the model. c) Perform a sizing of the CCMS application to estimate the resources required to support the application in its current state. Work with the CCMS support team to identify gaps between the current support and what is required paying particular attention on volume and frequency of application use. Create an analytic model to substantiate the findings and make the appropriate changes to the Capacity Plan and infrastructure using change

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control. Monitor the results with the intention of tuning the solution for better performance. d) Perform a root cause analysis of the problem with a focus on any changes to business activities related to the new service provided by INB. Work with INB to understand these changes in business activities and identify any changes in requirements to IT capacity they may have. Document the business activities and any new capacity requirements. Review the current Capacity Plan to determine if the solution will meet the new requirements found in the analysis. Make the appropriate adjustments to the plan and solution using change control and monitor the results with the intent of tuning the solution. Question 8 As a financial institution, INB has to be audit-ready at all times. As IT Security Lead, you have been asked to ensure that this is indeed true for preparation of an external audit in two weeks. This specific audit has been conducted twice before by the same auditor. What is the best approach to prepare for this audit? a) Review the results of the last two audits against the current Security Policy and Plans to identify any compliance issues that may be present. Perform an internal audit against the Security Policy. Review the results of the internal audit with IT personnel to identify any issues and determine the proper actions to resolve those issues. b) With appropriate personnel, review the regulatory standards that serve as the foundation for the audit and the results of the last two audits. This activity will provide the framework for understanding overall expectations as well as any issues that were found beforehand. Ensure that any issues found in the last audits have been resolved. Review the Security Policy and Plans against the regulatory standards and raise any questions of noncompliance. Distribute the Security Policy to business and IT personnel with a request to ensure they are compliant to the policy. If possible, perform an internal audit to verify compliance to the Security Policy and Plan. Resolve any non-compliances immediately. Note any activities that currently have a high risk factor that may cause non-compliance and the controls currently in place to mitigate that risk. c) Review the results of the last two audits to identify what issues were raised. Ensure those issues were resolved and how they were resolved. If the issues has not been resolved, identify the problem and the controls in place to mitigate the risks involved. Perform a selfassessment using the past audits as the basis to determine compliance. Resolve any noncompliances found immediately. Distribute the Security Policy to business personnel to ensure they are in compliance. d) Review the Security Policy and Plans against the results of the last two audits to determine where possible threats to compliance may be present. Work with the IT teams to isolate any security threats as definable by the audit. Distribute the Security Policy to IT and business personnel with a directive to ensure that they comply with the policy. Perform a self assessment on audit readiness. Review the results of the self-assessment with IT teams and resolve any issues that appeared.

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11 Checklist for PPO Practices The following section provides common items that should be satisfied as when implementing the practices involved for Service Offerings & Agreements.

11.1 The Practice of Service Management • • • • • • • • • • • •

Service Management is clearly defined. We know what our services are. We have decided upon a strategy to serve our customers. We know which services we should offer to whom. We know how we differentiate ourselves from competing alternatives. We know how we truly create value for our customers. We know how we capture value for our stakeholders. We know how we can make a case for strategic investments. We have defined service quality. We know how to choose between different paths for improving service quality. We know how to efficiently allocate resources across a portfolio of services. We know how to resolve conflicting demands for shared resources.

11.2 Service Strategy Principles • • • • • • • • • • • • • • •

The outcomes that matter are identified and ranked in terms of customer perceptions and preferences. We know what our business is. We know who our customer is. We know what our customer values. We know who depends on our services. We know how our customers use our services. We know why our services are valuable to our customers. We know who all the participants in the service are. We know the overall patterns of exchange or transactions. We know the impacts or deliverables of each transaction on each participant. We know what the best way is to generate value. Our strategy captures a more timeless essence of our organization’s distinctiveness instead of just the next few years. Our strategy is clear and memorable. Our strategy has the ability to promote and guide action. Our strategy sets boundaries within which people are free to experiment.

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Our positioning guides the organization in making decisions between competing resources and capability investments. Our positioning help managers test the appropriateness of a particular course of action. Our service providers have the capabilities to support business activities. We know the recurring patterns of activity in the customer’s business. We know if our customer’s activity varies based on the time of the year, location, or around specific events. There are enough resources to fulfil the demand from the customer's business activity as it occurs. We are aware of potential scheduling conflicts that may lead to situations with inadequate capacity. We know if the customer’s business is subject to regulations. Our Service Providers have knowledge and experience with regulatory compliance. If services come in direct contact with the customers of customers, we have additional policies and guidelines required to handle user interactions and user information. We know who our customers are. We know who our customer's customers are. We know how we create value for our customers and how they create value. We know what assets we deploy to provide value, and which of our client’s assets receive value. We know which assets we should invest in and which of our assets our clients value most. How should we deploy our assets? How do they deploy their assets? We know what services we provide, and what outcomes we support. We know what constraints our customers face. We know which customer assets we support and what assets we deploy to provide value. We know who the users of our services are. We know what type of activity we support and how we create value for them. We know how we track performance and what assurances we provide. We know our market space. We know what our market space wants. We are offering unique products/services in our market space. Our market space is not already saturated with good solutions. We have the right portfolio of services developed for a given market space. We have the right catalogue of services offered to a given customer. Every service is designed to support the required outcomes. Every service is operated to support the required outcomes. We have the right models and structures to be a service provider. We know which of our services or service varieties are the most distinctive. There are services that the business or customer cannot easily substitute.

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We know which of our services or service varieties are the most profitable. We know which customers, channels or purchase occasions are the most profitable. We know what makes us special to our business or customers. We have measurements that tell us when we are successful and know when that must be achieved. We are not vulnerable to substitution. There are means to outperform competing alternatives. We know what task or activity the service needs to carry out and what job the customer is seeking to execute. We know what outcomes the customer is attempting to obtain and what the desired outcome is. We know what constraints may prevent the customer from achieving the desired outcome, and how we can remove these constraints. We know our strengths and weaknesses, priorities and risks. We know how our resources and capabilities are to be allocated. We know what the long-term goals of the service organization are. We know services are required to meet our long-term goals. We know what capabilities and resources are required for the organization to achieve those services. We know how we will get to offer the services that are required to meet our longterm goals.

11.3 Strategy and Organization • • • • • •

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We have clearly defined where centralized and decentralized management takes place of our services. We know if our strategy is based on reducing costs or improving quality. We know if our organization has adopted a product or geographic structure. We know what obstacles are anticipated for organizational change. We have identified the Terminal and instrumental values of the organization. We have determined whether the goals and rules of our organization are properly transmitting the value of the organizational culture to staff members and if there are areas for improvement. We have assessed the methods we use to introduce new staff and know if these practices help newcomers learn the organization’s culture. We know if extra value generated from performing an activity inside the organization outweighs the cost of managing it. When deciding to outsource we know if the candidate services improve the business’s resources and capabilities. When deciding to outsource we know how closely the candidate services are connected to the business's competitive and strategic resources and capabilities.

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When deciding to outsource we know if the candidate services require extensive interactions between the service providers and the business's competitive and strategic resources and capabilities. When deciding to outsource we know if the customer or market space expect us to do this activity. The customer or market space will give us credit for performing an outsourcing activity exceptionally well.

11.4 Technology and Strategy • • • • • • • • • • • • • •

We have service analytics in place to understand how incidents affect services, how the business is impacted and how we respond. Our customer encounters are designed considering if customer employees are technical or non-technical. We know what the implications are in customer interactions of the technology encounter to the customer. With customer encounters we know what the customer expectations and perceptions are. We know how we agree on the definition of service levels with respect to a given level of user satisfaction. We know how much a customer should agree to pay for a given service level. We know what a reasonable timeframe is for a service request to be approved. We know what service levels we can impose on an internal function or service group. We know how multiple service providers cooperate as an alliance in serving a common customer. We know what the delay and the business impact is on the supply chain due to an IT problem. We know how long it takes to process procurement orders, and where the worst delays are. We know when more than a substantial amount of orders are waiting to go through the distribution systems. We know how to ensure good returns from investments made in service assets. We know how to find new opportunities for our assets to be deployed in service of new customers.

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11.5 Service Design Principles • • • • • • • • • • • • • • • • • • • • • • • • • • • • • •

New service solutions are added to the service portfolio from the concept phase. SLRs for a new service are understood before it goes live. Capacity Management is involved in modeling the SLRs. Financial Management is involved to set the budget. An initial Business Impact Analysis and Risk assessment is conducted before implementation. The Service Desk is made aware of new services, prepared and trained. Service transition plans the implementation and builds it into the forward schedule. Supplier Management is involved if procurement is required for the new service. We design services to satisfy business objectives. We design services that can be easily and efficiently developed. We design efficient and effective processes. We identify and manage risks prior to services becoming live. We design secure and resilient IT Services. We design measurement methods and metrics for processes and their deliverables. We produce and maintain IT design plans. We assist in the development of design policies and standards. We balance design between functionality, resources and schedules. We identify Service Requirements. We identify and document Business Requirements and Drivers. We collect, analyze and engineer requirements. We design appropriate services, technologies, processes that meet business requirements. We review and revise all processes and documents involved in service design. We liaison with all other design and planning activities and roles. Our service portfolio clarifies why a customer should buy these services. Our service portfolio clarifies why customers should buy these services from us. Our service Portfolio clarifies what the pricing and chargeback models are. We evaluate alternative solutions. We have a procurement process for procuring the preferred solution. We use a SOA approach for designing and developing business processes and solutions. We use BSM to enable IT components to be linked to business goals.

11.6 Availability Management • • • •

We have defined Availability Management's purpose, goal and objective. We have defined Availability Management's scope. We have defined Availability Management's value to the business. We have defined Availability Management's policies, principles and basic concepts.

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We have defined Availability Management's process activities, methods and techniques. The Reactive activities of Availability Management are defined. The Proactive activities of Availability Management are defined. We have defined Availability Management's triggers, inputs, outputs and interfaces. We have defined Availability Management's KPIs. We have defined Availability Management's information management reporting. We have defined Availability Management's challenges, Critical Success Factors CSFs)and risks.

11.7 Capacity Management • • • • • • • • • • • • • • • • •

We have defined Capacity Management's purpose, goal and objective. We have defined Capacity Management's scope. We have defined Capacity Management's value to the business. We have defined Capacity Management's policies, principles and basic concepts. The Business Capacity Management sub-process is defined. The Service Capacity Management sub-process is defined. The Component Capacity Management sub-process is defined. We have defined Capacity Management's process activities, methods and techniques. The underpinning activities (tuning, utilization and response time monitoring etc.) of Capacity Management are defined. Threshold Management and control is defined. Demand Management is defined. Modelling and trending are defined. Application sizing is defined. We have defined Capacity Management's triggers, inputs, outputs and interfaces. We have defined Capacity Management's KPIs. We have defined Capacity Management's Information Management reporting. We have defined Capacity Management's challenges, CSFs and risks.

11.8 IT Service Continuity Management • • • • •

We have defined Service Continuity Management's purpose, goal and objective. We have defined Service Continuity Management's scope. We have defined Service Continuity Management's value to the business. We have defined Service Continuity Management's policies, principles and basic concepts. We have defined Service Continuity Management's Process activities, methods and techniques..

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Service Continuity Management's Stage 1: Initiation is defined. Service Continuity Management's Stage 2: Requirements and strategy are defined. Service Continuity Management's Stage 3: Implementation is defined. Service Continuity Management's Stage 4: On-going operation is defined. We have defined Service Continuity Management's triggers, inputs, outputs and interfaces. We have defined Service Continuity Management's KPIs. We have defined Service Continuity Management's Information Management reporting. We have defined Service Continuity Management's challenges, CSFsand risks.

11.9 Information Security Management • • • • • • • • • • • • • •

We have defined Information Security Management's purpose, goal and objective. We have defined Information Security Management's scope. We have defined Information Security Management's value to the business. We have defined Information Security Management's policies, principles and basic concepts. We have a defined Security Framework. We have an Information Security Policy. We have an Information Security Policy Management System. We have defined Information Security Management's process activities, methods and techniques. Information Security Management's security controls are defined. Information Security Management's management of security breaches and incidents is defined. We have defined Information Security Management's triggers, inputs, outputs and interfaces. We have defined Information Security Management's KPIs. We have defined Information Security Management's Information Management reporting. We have defined Information Security Management's challenges, CSFs and risks.

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12 Glossary Alert: A warning that a threshold has been reached, something has changed, or a failure has occurred. Asset: Any resource or capability. Application Sizing: Determines the hardware or network capacity to support new or modified applications and the predicted workload. Baselines: A benchmark used as a reference point for later comparison. CMDB: Configuration Management Database. CMS: Configuration Management System. Configuration Item (CI): Any component that needs to be managed in order to deliver an IT Service. DML: Definitive Media Library. Function: A team or group of people and the tools they use to carry out one or more processes or activities. Incident: An unplanned interruption to, or reduction in the quality of an IT service. Known Error: A problem that has a documented Root Cause and a Workaround. KEDB: Known Error Database. Maintainability: A measure of how quickly and effectively a CI or IT service can be restored to normal after a failure. Modeling: A technique used to predict the future behavior of a system, process, CI etc. MTBF: Mean Time Between Failures (Uptime). MTBSI: Mean Time Between Service Incidents.

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MTRS: Mean Time to Restore Service (Downtime). OLA: Operational Level Agreement. Process: A structured set of activities designed to accomplish a specific objective. Process Owner: Role responsible for ensuring that a process is fit for purpose. Remediation: Recovery to a known state after a failed Change or Release. RFC: Request for Change. Service: A means of delivering value to Customers by facilitating Outcomes Customers want to achieve without the ownership of specific Costs and risks. Service Owner: Role that is accountable for the delivery of a specific IT service. SCD: Supplier and Contracts Database. Service Assets: Any capability or resource of a service provider. Serviceability: Measures Availability, Reliability, Maintainability of IT services/CIs under control of external suppliers. SIP: Service Improvement Plan. SKMS: Service Knowledge Management System. SLA: Service Level Agreement. SLM: Service Level Manager. SLR: Service Level Requirements. SSIP: Supplier Service Improvement Plan. Status Accounting: Reporting of all current and historical data about each CI throughout its lifecycle. Trigger: An indication that some action or response to an event may be needed. Tuning: Used to identify areas of the IT infrastructure that could be better utilized.

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UC: Underpinning Contract. Utility: Functionality offered by a product or service to meet a particular need. Often summarized as ‘what it does’. VBF: Vital Business Function. Warranty: A promise or guarantee that a product or service will meet its agreed requirements.

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13 Certification 13.1 ITIL® Certification Pathways There are many pathway options that are available to you once you have acquired your ITIL® Foundation Certification. Below illustrates the possible pathways that available to you. Currently it is intended that the highest certification is the ITIL® V3 Expert, considered to be equal to that of Diploma Status.

Figure 13.1 – ITIL® Certification Pathway

For more information on certification and available programs please visit our website http://www.artofservice.com.au

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13.2 ISO/IEC 20000 Pathways ISO/IEC 20000 Standard is becoming a basic requirement for IT Service providers and is fast becoming the most recognized symbol of quality in IT Service Management processes. Once you have acquired your ITIL® Foundation Certification, you are eligible to pursue the ISO/IEC 20000 certification pathways. ISO/IEC 20000 programs aim to assist IT professionals understand and master the standard itself and issues relating to earning actual standards compliance.

Figure 13.2 – ISO/IEC 20000 Certification Pathway

For more information on certification and available programs please visit our website http://www.artofservice.com.au

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14 Answers to Review Questions The way the exams are scored are on a 5/3/1/0 point scale. The following answer guide will help you to identify the most correct answer, and why it is more correct than the next answer. Question 1 Question Rationale

The question focuses on capacity management and the creation of capacity requirements.

Most Correct B

Second Best Third Best Distracter

D C A

This approach obtains input from the Service Level Manager and the business to determine the requirements. Though the core requirements for capacity are identified, it is based on the current environment. Each new facility may offer challenges to meeting the capacity requirements at that facility which may cause exceptions to the defined requirements. Creates the requirements for a standard model but does not handle possible exceptions . You have not input into the Service Level Requirements. This answer obtains no input from the customer, from IT Personnel, or the Service Level Manager.

Question 2 Question Rationale

Focuses on the reasons for using Patterns of Business Activities.

Most Correct A Second Best D Third Best Distracter

B C

This answer covers most of the fundamental components of a PBA, and relates these to the school setting. It goes beyond it’s use in capacity management to also touches on security and availability uses. It also speaks of PBAs becoming a distinct asset. Some of the same benefits as A, but restricts its uses within Capacity Management and does not mention that PBAs can become assets to IT services. Provides a good explanation of what a PBA is, but is short on explaining the possible uses of a PBA. The answer doesn't have any noticeable reference to IT, so it is not clear how the method can be used specifically.

Question 3 Question Rationale

The question concentrates on Capacity Management, specifically on processes for identifying cost reduction opportunity.

Most Correct B Second Best A Third Best C Distracter

D

This is the best answer because it focuses on and stays inside the guest experience of IT, providing a recommendation that should increase guest satisfaction . It uses modelling techniques to justify the recommendations. This answer focuses on the business's ability to support IT services more than the guest experience. It uses a modelling technique to understand and justify the strategy for server consolidation. Like answer A, this lacks any focus on guest experience. In performs a small level of analysis to substantiate its direction, but not enough to be the best solution. This approach becomes an arbitrary consolidation based on reducing cost only, without regard to business or guest impact.

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Question 4 Question Rationale

The question focuses on Describing a Service within the context of a stockholder's meeting.

Most Correct B Second Best C Third Best D Distracter

A

It answers the task at hand directly by speaking about the entire IT Service Management solution. It answers all the relevant questions used to implement a service – what, where, where, how? This answer uses the same framework as answer b, but focuses on a single service. Though it may not provide all the information about IT services in general, it does provide a creative and structured approach for communicating the value of IT to the guests in a very specific way. The framework used here is used to define a service. It has all the components, but the content is dry and not relevant because it lacks guest perspective. This approach is highly technical and statistical. Though it may have a lot of good information, it will not communicate.

Question 5 Question Rationale

The question focuses on the testing of the IT Service Continuity Plan and the proper approach when dealing with business concerns.

Most Correct A Second Best D Third Best B Distracter C

The best answer because of its steady approach of simulation testing before a full test to build confidence in the plan. The effort involves the business and IT organization from the very beginning and creates a structure for regular testing in the future. This recommendation involves the CIO if not the entire business and establishes future testing of the plan. It not as good as answer A because it doesn’t take time to build confidence in the plan before performing a test. This recommendation does not involve the business or business representation in the planning of the test. Conducting separate walkthroughs at the sites is a good step, but does not build confidence or identify issues in the effectiveness a full recovery of the business. The least effective answer because a full test is never performed, nor does it involve the business. This answer will never effectively build confidence or trust in the full recovery of the business.

Question 6 Question Rationale

Focuses on IT Continuity Planning and ensuring that people understand their roles and responsibilities during a crisis.

Most Correct A

Second Best D Third Best C

The best answer works each level of the organization downward to ensure that the entire plan is understood. This is the preferred method because IT continuity requires executive support. In addition, the senior level is used to establish and provide input to the lower levels of the organization, with the intent to build relationships and confidence in the plan. Like A, this can be an effective approach. Unfortunately, though the activities may be present, nothing hands-on is available for the participants like a presentation or an organizational chart which runs the risk of forgetting the plan. Takes the opposite approach than answer A but still effective. At the centre of this effort is the creation of a organizational chart that can be used by members of the team at all levels to identify and relate to other persons responsible for business and IT continuity.

ITIL® V3 : Planning, Protection & Optimization Best Practices Distracter B

147

Wrong Answer. Creating and distributing a document for roles and responsibilities does not ensure that people understand the roles and responsibilities given to them even if they sign a statement that they do. All this answer does is ensure that an audit trail is available to show that work has been done to meet the objective.

Question 7 Question Rationale Most Correct

Second Best Third Best

Distracter

Demonstrate an understanding of Capacity Management and how it works with Demand Management, particularly in determining changes to requirements in service. The best answer because it starts with understanding the patterns of business activities which will more accurately determine the requirements A on capacity and other services. The approach also ends with a recommendation for application sizing whenever the business changes their services, not just for IT. The approach is similar to A in that it resolves the current problem at hand, D but it doesn't not address any future changes in business requirements Not the best answer, but workable. A new service from the business probably will change the baseline and it needs to be re-evaluated. B However, the baseline does not take into consideration the customer perspective of their requirements. This is the least effective solution because it is performing the sizing after the application or new service it supports has been introduced. Application C sizing should always be done before a new service or major change in existing services.

Question 8 Question Rationale

The question focuses on Information Security Management, specifically in the preparation of an audit.

Most Correct B

Second Best

A

Third Best D Distracter

C

This approach ensures that the Security Policy and regulatory standards are aligned, and that the issues from the last two audits are reviewed and resolved. It performs an internal audit against the Security Policy, not the regulatory standard. It also specifies what action to take if a noncompliance is evident and not resolvable. Not as comprehensive as answer B, but the internal audit against the Security Policy gives a more likely success rate. This is a very reasonable approach and the simplest to implement. However, a self-assessment is usually not as strong as an internal audit, though it can build a great deal of confidence. Wrong answer. Firstly, the Security Policy and Plans are never reviewed. Secondly, the self-assessment is against the last two audits.

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15 References ITIL®. Continual Service Improvement (2007) OGC. London. TSO. ITIL®. Passing your ITIL® Foundation Exam (2007) OGC. London. TSO. ITIL®. Service Design (2007) OGC. London. TSO. ITIL®. Service Operation (2007) OGC. London. TSO. ITIL®. Service Strategy (2007) OGC. London. TSO. ITIL®. Service Transition (2007) OGC. London. TSO. ITSMF International (2007). Foundations of IT Service Management Based on ITIL® V3. Zaltbommel, Van Haren Publishing. ITSMF International (2008). ISO/IEC 20000: An Introduction. Zaltbommel, Van Haren Publishing. ITSMF International (2006). Metrics for IT Service Management, Zaltbommel, Van Hare Publishing. The Art of Service (2008) CMDB and Configuration Management Creation and Maintenance Guide, Brisbane, The Art of Service. The Art of Service (2008) How to Develop, Implement and Enforce ITIL® v3 Best Practices, Brisbane, The Art of Service. The Art of Service (2008) IT Governance, Metrics and Measurements and Benchmarking Workbook, Brisbane, The Art of Service The Art of Service (2007) ITIL® Factsheets, Brisbane, The Art of Service (2008) Risk Management Guide, Brisbane, The Art of Service. Websites www.artofservice.com.au www.theartofservice.org www.theartofservice.com

(Company website) (Online Learning) (Products and Books)

ITIL® V3 : Planning, Protection & Optimization Best Practices INDEX* A accountability 31-2, 64, 104 accountants 128-9 actions electronic processing 67 remedial 110 activities defined Availability Management's process 136 defined Capacity Management's process 136 defined Information Security Management's process 137 defined Service Continuity Management's Process 136 customer s 132 following 53, 58, 66, 81 guest 125 reactive 53-4, 58 technical 10 volume of 123-4 Activity-based Demand Management 47-8, 50 ad-hoc processes 119 Advanced customer service skills 106 alignment 3, 5, 10-11, 126 evaluating business 74 Analytical modeling 81 answer 4, 14, 145-7 best 145-7 APMG/EXIN ITIL 16 Application Management 30-1 application sizing 81, 139, 147 applications 5, 22-3, 31, 33, 49, 53, 55, 62, 81-2, 92, 123-4, 129, 147 architectures 34, 78, 105, 123-4 archiving 115 assessment 54, 58-9, 90, 107 assets 23, 33, 93, 97, 116, 123-4, 132, 134, 139, 145 strategic 28, 35 attributes 3, 8, 37 required service 37 audits 94, 99, 110, 130, 147 internal 130, 147 authority 119, 128 automated process 49 availability 9, 14, 18, 25, 37, 44, 46, 48, 52-61, 66-7, 71, 74, 81, 96, 106-7, 110 [2] component 53-4, 56, 66 continuous 57, 65 level of 55, 58 user experience of 55, 66 availability levels agreed 57, 107 increasing service 59 Availability Management 3-4, 11, 18, 44, 52-5, 58-9, 63, 65-7, 69, 74, 80, 85, 135-6 defined 136 minimum 58 operating 74 principles of 55, 68 reactive activities of 60, 66 Availability Management Activities & Techniques 58 Availability Management and Information Security Management 90 availability management designs 44 Availability Management process 67, 107 Availability Management target 68 Availability Manager 73, 106 Availability Plan 52, 54, 67, 72, 107

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B backups 62, 70, 91-2 balance 23, 46, 53, 59, 69, 91-2 Balancing service 24 baselines 44, 81, 83, 119, 129, 139, 147 Basic Concepts for Availability Management 55 BCM 86-7, 91 BCM process 87 BCP (Business Continuity Plans) 92-4 benefits 9-10, 25, 33, 36, 40, 46, 64, 80, 83, 119, 125, 145 potential business 65 Benefits of Service Design 40 BENEFITS of SERVICE DESIGN 3 Benefits of Service Strategy 36 BENEFITS of SERVICE STRATEGY 3 BIA (Business Impact Analysis) 85-9, 108, 110 Brisbane 148 budgets 8, 18, 37-8, 47, 120, 122, 129, 135 bundle 23-4 business 5, 7, 9-11, 33-4, 40-1, 44-7, 52-3, 62, 65-7, 74, 78-9, 84-6, 95-8, 126-8, 130-7, 145-7 [15] anticipated 105 associated 59 changing 39 customer s 132 interview 72 normal 70 business accommodations 125 business action 33 business activities 38, 47, 49, 78, 105, 123-4, 129-30, 145, 147 customer's 132 customer s 47 patterns of 37, 44, 48, 76 business application, primary 129 business applications 65 Business Apps 30 business areas 95, 109 business availability requirements 107 Business Capacity Management 78 Business Capacity Management sub-process 136 business case 33, 74 business centers 124-5 business changes 109, 147 business commitment 74 Business Continuity Management 86 Business Continuity Management practices 85 Business Continuity Management process 109 Business Continuity Plans (BCP) 92-4 business Customer 111 business/customers 36 business developments 66 business direction 85, 94 business drivers 106 business experience 67 business goals 5, 135 business growth 9, 51 business guests 124-5 business hours 65 business impact 58-9, 89, 134 Business Impact Analysis see BIA initial 135 updated 66

ITIL® V3 : Planning, Protection & Optimization Best Practices business improvements 120 business interruption 87 business justification 60 business management 109 business objectives 40, 81, 106, 135 business operations 60-1, 71, 76, 85-6, 89, 92, 96, 120 normal 68 business outcomes 37 enhanced 40 business people 111 business person 124 business personnel 130 business perspective 72 business planning cycle 108 business plans 47, 51, 53, 74, 76, 78, 84, 96, 105, 107 strategic 84 business priorities 106 business processes 10-11, 25, 47-8, 53, 57, 85, 88, 127 associated 68 automated 70 developing 135 efficient 33 organization s 67 required 89 CORE 10 business representation 146 business reputation 68 business requirements 44, 48, 54, 58-9, 66, 78-9, 84, 104, 109, 120, 135, 147 business security 96 Business Security Management 101 Business Security Plans 96 Business Service Management 114 business strategy 15 business success 55 business targets 79 business time scales 85 business transactions 67 business travel 124 business trends 84 business units 23-4, 33, 44, 46-7, 50 Business Units and Service Units 23-4 business units/customers 24 business unit s capabilities coordinate 23 business users 105, 107 business value 36, 50, 126 business vision 118 business's ability 145 C CAB meetings 103, 108-10 capabilities 5, 7, 23-5, 33, 35, 41, 47, 50, 52, 60, 62, 69, 80, 115, 132-4, 139-40 [4] organization s 35 capacity 14, 25-6, 44, 46-8, 50-1, 65, 76-9, 81, 105-8, 120, 123-4, 126, 129-30, 145, 147 excess 46-8, 50, 78, 125 idle 24, 46, 51 level of 46, 58 production of 46, 120 capacity levels 26, 50, 81 required 81 Availability & 26 Capacity Management 3-4, 11, 44, 46, 76-82, 84, 106, 108, 126, 136, 145, 147 defined 136 Capacity Management Activities 78

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capacity management process 84 capacity management works 44 Capacity Manager 107, 123, 129 Capacity Plan 76, 107, 129-30 Capacity plans 84 capacity-related incidents 106, 108 capacity requirements 105, 107, 123, 125, 129-30, 145 defined 123 minimum 123 CCMS 129 certification 4, 143-4 Certification Pathway 4, 143-4 CFIA (Component Failure Impact Analysis) 60-2, 67, 80 challenges 22, 51, 74, 84, 101, 122, 145 defined Availability Management's 136 defined Capacity Management's 136 defined Service Continuity Management's 137 change control 129-30 Change Management and Service Validation 48 change management process 94 changes services 104 chart 128 organizational 128, 146 choice, wide range of 26-7 CI (Configuration Item) 31, 33, 42, 56-7, 61-2, 69-70, 72, 82, 110, 115, 121, 139-40 CIO 127, 146 CIs (Configuration Items) 61-2, 69-70, 110 classification 31, 99, 115 clients 5, 83, 128-9 collaboration 116 combination 5, 7, 30-1, 53, 63, 92 Commercial Confectionery Organizations 46 commitment 109, 124 Common Capacity Management Activities 80 Common Terminology 3, 21, 33 communities 115-16 company 5, 122, 124-6, 128 parent 129 Complete regular Business Impact Analysis 85 complexity 27, 44, 67, 72, 80 compliance 40, 70, 87, 97, 103, 105, 119, 130 Component Capacity Management 78-9, 82, 84 Component Capacity Management sub-process 79, 136 Component Failure Impact Analysis, see CFIA component failures 57, 61, 91 component unavailability 56 components 9, 22, 27, 34, 53-7, 59-62, 64, 74, 76, 79-82, 84, 94, 107, 124, 135, 139 [1] behavioral 29 computer equipment 122 concepts 3, 8, 10, 14, 16-17, 21-3, 25, 55, 57 basic 135-7 confidence 64, 68, 111, 128, 146-7 confidentiality 96, 110 Configuration Item, see CI Configuration Items, see CIs Configuration Management 37, 41 Configuration Management System 61, 139 conjunction 58, 61, 80, 97, 104, 110 Consolidating services 125 constraints 25, 132-3 context 49, 52, 67, 78, 80, 86, 146 Continual Service Improvement 13, 17-18, 37-8, 41-2, 58, 66, 99, 103, 118-21, 148 Continual Service Improvement Model 3, 118-19

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continuity 14, 26, 85, 88, 95, 120, 128, 146 continuity planning 85, 146 continuity plans 95, 109, 128 Continuous Service Improvement, see CSI contracts 30, 57, 85, 97, 109, 113 cook 22 coordinates 18, 23, 104, 111 coordination 37, 41, 77, 104-5, 128 coordinators 128 Core Service Package 26-7, 50 cost-effectiveness 46, 52-3 Cost-justifiable service quality 9 costs 22-4, 27-8, 33, 35-7, 40, 46, 51, 55, 59, 62, 66-7, 71, 75, 77, 91-2, 125 [7] reducing 125, 133, 145 Creating Service Value 25 creation 104, 111, 145-6 crisis 128, 146 Critical Success Factors, see CSFs Crown Copyright 14, 21, 23-5, 29, 40, 48, 54, 60, 63-4, 68, 71, 82, 86, 89-91, 98, 100 [2] CSFs (Critical Success Factors) 45, 136-7 CSI (Continuous Service Improvement) 17-18, 37, 41-2 culture, organizational 35, 133 Customer and User demands 9 customer assets 24, 37, 132 Customer/Client Management System 129 customer contact, primary 103 customer employees 134 customer enquiries 22 customer expectations 134 customer experience 22, 55 customer perceptions 131 customer perspective 46-7, 50, 52, 147 customer portfolios 129 customer values 131 customers 7-8, 14-15, 18, 21-9, 33, 36, 40, 44-7, 49-50, 52, 55, 58-9, 67-8, 110-11, 128-9, 131-5 [6] associated 34 common 134 customer's 132 external 33 organization s 36 outcomes 22, 140 customer's requirements, identifying 126 customers 58 customer s 26 D damage 68, 88, 94, 100 data diagnostic 69 key 72 Combining Component Capacity Management 84 database 83, 113, 127 decisions 29, 46, 92, 94, 111, 124-5, 132 defined Availability Management's purpose 135 Defined business 57 defined Capacity Management's purpose 136 defined process 30 defined Service Continuity Management's purpose 136 Defining Processes 28 delivery service 25 demand 18, 23-4, 36-7, 44, 46-52, 77, 105-8, 111, 113, 125, 131-2 Demand and Capacity management 106 Demand Management 3, 44, 46-52, 76, 78, 147

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Demand Management and Service Level Management 44 Demand Management Process Manager 107 Demand Management Process Owner 105 Demand Management Strategies 38, 120 demand management techniques 46, 106, 108 department 31, 45, 126, 129 dependencies 58, 61-2, 94 deploy 23, 41, 132 deploy service assets 37 description 26, 104-10, 123-4 structured 123-4 design 5, 8, 14, 18, 29, 35, 39-41, 44, 46, 48, 50, 57, 78, 104-5, 126-7, 135 [7] component 76 design of services 3, 37, 40-1, 54, 58, 63, 120, 135 design plans 135 design policies 105, 135 design process 127 design services 135 design stages 80-1 Design Team 126 designers 126-7 Desktop 30-1 diagnosis 52, 69-70, 76, 107 diagnosis of capacity-related incidents 106, 108 diagram 86-7 differentiation 25-6, 50 direction 37, 39, 64, 145 Directory Services 30 disaster 44, 85-6, 92-4, 109 disk 62, 83 display 111 disruption detection, timely 54 disruptions 52, 55-6, 58-60, 62-3, 66-9, 72, 77, 79, 85, 89-90, 92, 94 frequency of 56, 58 service-affecting 52 Distracter 145-7 Distribute 130 district 122-3 expanded 123 school 122-3 document Business Requirements 135 documentation 41, 59, 65, 68-9, 99, 103, 105, 110 documents 10, 13, 21, 34, 54, 65, 87, 90, 92-3, 97, 105, 110-11, 115, 128-30, 135, 147 downtime, total 56, 69 E effectiveness 71, 104-5, 108, 146 efforts 10, 22, 28, 37, 57-8, 122, 146 employees 47-8 end-to-end business, integrated 39 Enforce ITIL 148 Error 14, 18, 70, 139 evaluation 37, 41, 78 event management systems, enhanced 107 events 18, 31, 48, 50, 52, 59-60, 63, 69, 79, 85, 92, 132, 140 evolutions 13 execution 10, 47, 84, 99, 128 experience 5, 7, 9, 37, 105, 125-6, 132 guest 145 External Service Providers 33 F facilities

85, 89, 92, 122-3, 126-7, 145

ITIL® V3 : Planning, Protection & Optimization Best Practices failures 56-7, 61-2, 65-6, 69-70, 72, 92, 95-6, 139 Fault Tree Analysis (FTA) 63 Financial Management & Service Portfolio Management 49 Financial Management and Demand Management 77 fit 16-17, 25, 28, 41, 78, 107, 119, 140 focal point 25, 37, 76, 96, 108, 110 Focus on Capacity Management 126 forecasts 84, 108 Formalizing processes 119 formulas 56 Foundation Certification 143-4 framework 7, 13-14, 21, 64, 90, 98, 104, 130, 146 frequency 64, 66, 124, 129 understanding of 123-4 FTA (Fault Tree Analysis) 63 functionality 39, 65, 114, 135, 141 functions 16-17, 30-1, 33, 49, 56-7, 94, 115, 134, 139 G gateways 83 Generic Process Elements 29 Generic Roles 3, 103 goals 7, 10, 47, 52, 60, 68, 76, 85, 96, 116, 118, 126, 133, 135-7 long-term 133 Good knowledge of Design Philosophies 105 goods 23 Graphical representation of business impact 89 groups 5, 45, 115, 128, 139 guests 124-6, 146 guidance 15-16, 35, 52, 76, 85-6, 94, 118, 125 guide 37, 53, 76, 87, 96, 98 H hardware 8, 22, 27, 52, 81, 106, 108, 139 Highrise 124, 126 holistic approach 39-40 hotel 124-5 hotel management 125 hours 56-7, 66 required service 58 I identification 41, 44, 52, 64, 81 implementation 30, 53, 59, 64, 71, 79, 81, 83-4, 87, 92, 99, 104, 118, 135, 137 Implementing Planning 3, 118 Improved customer 120 Improved quality service provision 9 Improved understanding 36 improvement actions 55, 66, 68-9, 73 improvement initiatives 119-20 INB 128-30 INB services 129 INB's services 128 Incident and Problem Management 54, 69, 71, 79, 119 incident detection 69 incident diagnosis 69 incident lifecycle, expanded 68 Incident Management 11, 31, 115 Incident Management process 85 incident recovery 69-70 incident repair 69-70 incident restoration 69-70 incidents 14, 18, 47, 51-2, 59, 68-70, 76, 97, 99-100, 106-8, 115, 129, 134, 137, 139

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individuals 13, 128 industry 5, 7, 13 information 18, 23, 41, 48-9, 61-2, 64, 66, 69, 84, 92, 96, 106, 115, 123-5, 143-4, 146 [3] customer-generated 115 processing 115 sensitive 49 information management defined Availability Management's 136 defined Capacity Management's 136 defined Service Continuity Management's 137 information security 96, 98 Information Security (ISM) 3-4, 44, 58, 90, 96-9, 101, 109-10, 137, 147 Information Security Management 3-4, 96-7, 99, 101, 137, 147 Information Security Management Activities 99 Information Security Management and Capacity Management 58 Information Security Management process 96 Information Security Management System, see ISMS Information Security Policy 96-9, 109-10, 137 Information Security Policy Management System 137 Information Technology Infrastructure Library 13 infrastructure 9, 18, 22-3, 33, 44, 51, 53-5, 62-3, 66, 80-1, 83, 85, 91-4, 100, 104, 129 [5] infrastructure components 52, 80, 107 infrastructure information 61 Infrastructure Library 13 initiation 70, 86-7, 103, 137 initiation process 88 input events 63 instigating 109-10 intangible costs 67 Integrated centralized processes 9 interfaces 36-7, 39, 41, 104, 119, 136-7 Internal Service Providers 33 international travel 49 Internet Service Providers (ISP) 26-7 invocations 94, 109 ISM, see Information Security ISM policy 96-7 ISMS (Information Security Management System) 97-9 ISO/IEC 4, 144, 148 ISP (Internet Service Providers) 26-7 IT Service Continuity Management, see ITSCM IT Service Management (ITSM) 3, 5, 7-11, 13-14, 22, 33, 36, 40, 44, 76, 97, 113, 144, 146, 148 iterative process 59, 81 ITIL accredited 5 official 7 ITIL V3 Intermediate exams 122 ITIL s 15 ITSCM (IT Service Continuity Management) 3-4, 44, 54, 61, 64-6, 85-7, 90-1, 94-5, 107, 110, 136 ITSCM, scope of 85 ITSCM plans 85-6, 94-5, 109 ITSCM process 86, 93, 108 ITSM, see IT Service Management ITSM processes 101 ITSM set of organizational capabilities 33 ITSMF 148 K key infrastructure components 57 Key Performance Indicators, see KPIs Key Skills 105-6, 111 know 96, 126, 131-4 knowledge 7-8, 15, 18, 23, 103, 105-6, 108, 115, 126, 132

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knowledge assets 115-16 Knowledge Management 115 knowledge management systems 70 Knowledge Management Tools 3, 115 knowledge services 116 KPIs defined Availability Management's 136 defined Capacity Management's 136 defined Service Continuity Management's 137 KPIs (Key Performance Indicators) 38, 42, 45, 51, 74, 84, 95, 101, 120-1 KPIs for Demand Management 51 L lawyers 128-9 layers 10 Level Management 76 levels 26-7, 41, 44, 48-9, 54, 59, 64-5, 79-80, 83, 88-9, 97, 107-8, 110-11, 123, 125, 145-6 [3] license 14, 21, 23-5, 29, 40, 48, 54, 60, 63-4, 68, 71, 82, 86, 89-91, 98, 100 [2] lifecycle 14, 16, 18, 40, 55, 86, 140 locations 123-4, 128, 132 locks 83 logic operators 63 London 148 loss 36, 58-9, 86, 88 loss of service 88 Luther, Martin 122 M Mainframe 30-1 maintainability 37, 54, 56-7, 59, 107, 139-40 maintenance 54, 57, 64-5, 86, 97, 99, 111, 115 preventative 64-5, 79 Major Concepts of ITIL 16 management 7, 18, 23, 33, 44-6, 53, 59, 63-4, 76, 78-9, 85, 95-7, 99, 107-8, 115, 126-7 [4] crisis 128 customer s 23 Implementing Systems 60 Service Portfolio 78 Systems 59 managers 28, 111 Business unit 9 market space 33, 36-7, 132, 134 matrix 61, 100 meal 22 Mean Time 56 Mean Time Between Failures, see MTBF Mean Time Between Service Incidents, see MTBSI Mean Time to Restore Service, see MTRS meeting, service review 129 meeting business requirements 50 memory 83 methodology 90-1 standard project planning 87 metrics 40-1, 56, 74, 95, 101, 118, 135, 148 misuse 96-7 mitigate 63, 130 model 129 analytic 129 modified service offerings 52 momentum 42, 118-19 monitor 18, 66, 79, 82, 103, 107, 110, 123, 129-30 monitoring 59-60, 64, 67, 79-80, 82, 108 monitoring service levels 114

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MOST 123, 127-8 Most Correct 145-7 MTBF (Mean Time Between Failures) 56-7, 62, 74, 139 MTBSI (Mean Time Between Service Incidents) 56-7, 139 MTRS (Mean Time to Restore Service) 56-7, 74, 140 N natural process 14 network capacity 139 network resources 108 new services 61, 99, 105, 107-8, 129-30, 135, 147 sizing of 105, 107 new technologies 65, 79-80, 84, 106, 108, 124 Nominated budgets 38, 42, 120-1 non-business 94 non-compliance 130, 147 O objectives 10-11, 34-5, 39, 45-7, 52-3, 67, 76, 85, 87, 96, 98, 106, 116, 118-19, 126 strategic 14, 35, 38-9, 46, 120 Objectives of Service Design 39 OBJECTIVES of SERVICE DESIGN 3 Objectives of Service Strategy 35 OBJECTIVES of SERVICE STRATEGY 3 Office of Government Commerce, see OGC OGC (Office of Government Commerce) 13, 21, 23-4, 29, 40, 48, 54, 60, 63-4, 68, 71, 82, 86, 89-91, 98, 148 [3] OLAs 18, 42, 74, 98-9, 111, 113, 121, 140 operating system software resources 108 Operational Activities of Capacity Management 81 optimization processes 3, 34, 104, 118 organization 7-8, 10, 13-14, 22-4, 27-9, 33, 35-7, 40, 46-7, 64, 66-7, 87-93, 97-8, 111, 132-3, 146 [14] international 45 multiple independent 24 project 87 umbrella 33 organization can/will 34 organization houses 92 organization works 23 organizational capabilities 7, 33 specialized 7, 33 organizational changes 30, 133 organizational goals 10 organizational management processes 76 organizational objectives 7 organizational requirements 53 organizational structure 31, 98 suggested 31 organizational tree 128 organization's objectives 11 organization s 9, 85, 103, 115 organization s approach 97 organization s Business Continuity Management process 109 organization s continuity strategy 109 organization s control 99 organization s culture 133 organization s distinctiveness 131 organization s objectives 11, 37, 64 outcomes 22, 24-5, 28, 131-3 required 132 outputs 7, 28-9, 61, 121, 136-7 service design 42

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stock service 51 outsource 133-4 P packages 26 developing service 26 single service 125 parents 122 participants 131, 146 Particularly Capacity and Availability Management 48 partners 7, 96, 98 pathways 4, 143-4 patterns 29, 36-7, 47-9, 52, 125, 131, 147 Patterns of Business Activities 123-4, 145 Patterns of Business Activity, see PBAs PBA code 49 PBAs (Patterns of Business Activity) 18, 37-8, 47, 49-51, 105, 113, 120, 123-4, 145 perceptions, customers value 36 performance 23-6, 28, 40, 42, 46, 50-1, 53-4, 56, 76, 78-9, 81-4, 95, 101, 105-6, 108, 129-30 [3] component 108 system 108 performance levels 58, 80-1 performance service levels 106, 108 performance thresholds 106, 108, 129 person 28, 33, 124-5, 128, 146 person/role 103 personnel 123, 127-8, 130, 145 perspectives 3, 8, 62, 82, 100 organizational 128 phases 15, 18, 34, 118 physical components 29 PIRs (Post Implementation Reviews) 104 Planner 104 planning 3, 58, 61, 78-9, 85, 94, 122, 124, 146 effective 52 high level 34, 76 planning phases 105 Planning Protection 3 Planning Protection and Optimization 119 planning tool 33 plans 34, 71, 86-8, 90, 92-4, 98, 101, 104-5, 108, 124, 127-30, 146-7 organizational 98 service management 47 Service transition 135 Point of Sale Services 11 policies 28, 34, 37, 86-7, 97-9, 101, 103-4, 106, 109, 130, 132 defined Availability Management's 135 defined Capacity Management's 136 defined Service Continuity Management's 136 portfolios, customer's 129 Post Implementation Reviews (PIRs) 104 potential risks 40, 127 power 92, 119 PPO processes 44-5, 104, 118 Practice of Service Management 131 PRACTICE of SERVICE MANAGEMENT 3 practices best 13-14, 106, 115, 148 good 7, 13, 15, 90 presentation 126, 146 price 25 principles 28, 55, 86, 90, 135-7 Principles of Capacity Management 77

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Priorities & Risks 38, 120 Proactive activities of Availability Management 136 Problem Management 44, 54, 69, 71, 79, 110, 119 problem management processes 66 process compliance 99 process design 30 process effectiveness 101 process engine 114 process guides 90 Process Improvements 18, 118 process integration 79 process manager 28 process map 105 Process metrics and KPIs 38, 42, 120-1 process owner 28, 103, 119, 140 Process Perspective 8 process procurement orders 134 process strategy 103 processes 7-8, 10, 14, 16-18, 28-31, 33-4, 39-41, 44-7, 49-53, 77-9, 103-6, 110-11, 118-19, 123-4, 135, 139-40 [17] Processes & Functions 28 PROCESSES & FUNCTIONS 3 procurement process 135 production environment 40-1, 70, 81, 84, 123 products 7, 11, 59, 76, 98, 114, 126, 133, 141, 148 products/services, unique 132 programs 94, 122, 143-4 new 128-9 project management 104-5 Projected Service Outage (PSO) 65 projects 33, 88, 127 Proprietary knowledge of organizations 13 protection 3, 34, 45, 86, 99, 104, 110, 115, 120 Protection & Optimization 5, 44, 52 Protection & Optimization Best Practices actions 73 Protection & Optimization Best Practices Figure 89, 91, 100 Protection & Optimization Best Practices Question 123, 146 Protection & Optimization Best Practices Server 62 Protection & Optimization Best Practices transaction 71 Protection & Optimization Best Practices 78 Protection & Optimization Processes 3 Protection and Optimization processes 34, 104, 118 Protection and Optimization Processes 34 providers 24-6, 92, 109, 111 modern service 113 modern Service 25 multiple service 134 PSO (Projected Service Outage) 65 Q quality 5, 8, 18, 22, 36, 39-40, 42, 44, 46, 53, 67, 79, 81, 88, 113, 115 [2] perceived 22 quality solution designs, deployment of 104-5 Quantitative availability requirements 58 R RACI 31 RACI Model 31 Rationale 145-7 RCI 31 Reactive activities of Availability Management 136 reactive process 77 recommendations 71-4, 83, 108, 125, 127, 129, 145-7

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recovery 59-61, 69-70, 89, 91-3, 105, 127, 140 full 56, 127, 146 recovery activities 128 recovery facilities 92 recovery mechanisms 85 recovery plans 61, 85, 93-4 recovery requirements 70, 95 recovery teams 128 Reduced customer 78 Reduced time 75 reduction 74-5, 95, 97, 99, 139 redundancy 37, 53, 59, 61 regulations 37, 40, 45, 88, 98, 132 relationship 3, 15, 23-4, 34, 49, 51, 58, 146 Relative component recovery sequences timeframes 61 reliability 37, 54, 56-7, 59, 62, 74, 107, 140 repair 69-70 requirements 7, 13, 26, 37, 52-4, 58-9, 76, 78, 87-8, 90, 98, 104-5, 123-6, 129-30, 145, 147 [9] basic 40, 124, 144 businesses 58 compliance 88, 98 serviceability 59, 107 Requirements Portfolio 38, 120 resistance, Customer 51 resolution 52, 70, 72, 76 resource requirements 9, 41, 81, 88 resource usage 106, 108 resource utilization 125-6 resources 23-4, 28, 33, 37, 40, 57-9, 66-7, 69, 72, 76-7, 83, 86-7, 108, 125, 131-3, 139-40 [3] business s 133 strategic 133-4 responsibilities 3, 7, 9, 28, 30-1, 34, 45, 49-50, 64, 66, 76, 87, 94-6, 103-5, 128, 146-7 [4] restaurant 22, 124 restrictions, demand management 46, 51 results 13-14, 36, 44, 56, 62-3, 65-6, 69, 75-7, 79, 81, 85, 90-1, 115, 119-20, 127-30 retirement 115 review 63, 74, 90, 94, 99-100, 107, 110-11, 123, 126, 128-30, 135 regular 93, 95, 107, 109 rewards 115-16 Risk Analysis 90 Risk Analysis and Management 63-4 risk management 64, 90, 107, 109-10 risk profile 91 risk reduction 89, 91 risks 22, 24, 33, 35, 37, 41, 46, 62-4, 90-2, 95-7, 109, 111, 119-20, 127, 130, 135-7 [6] associated 58, 97 longer-term business 85 roles 3, 7-9, 17, 22, 28, 30-1, 34, 44-5, 49, 52, 93, 95, 103-7, 128, 140, 146-7 [3] full-time 94 Roles and Responsibilities for PPO 103 row 32, 83 S Sale Services 11 scenarios 86, 88, 122, 124, 126-8 Scheduled services 83 schedules 65, 125, 135 testing 65, 107, 109 school board 122-3 school setting 123-4, 145 schools 122-3 scope 9, 13, 45, 53, 72, 76, 85-7, 94, 96, 113 defined Availability Management's 135

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defined Capacity Management's 136 defined Service Continuity Management's 136 Seattle 126-7 Second Best 145-7 security 26, 44, 52, 96-100, 105, 107, 110, 119, 129, 137, 145 security controls 97, 99-100, 110, 124 security incidents 99-100, 110 security measures 44, 98-9 security policies 96-7, 99 Security Policy 130, 147 Security Policy and Plans 130, 147 security requirements 59, 96 self-assessment 130, 147 server consolidation strategy 125 servers 30-1, 55, 57, 83, 91, 125 Service Acceptance Criteria 42, 121 service analytics 134 Service and Component Capacity Management 78 Service and Process Improvements 18 service areas 109 Service Asset and Configuration Management 37 service assets 24, 37, 41-2, 121, 134, 140 changed 18 service assets interact 37 service availability 18, 52, 54, 56, 60-1, 65-6, 71, 74, 107, 125 level of 52, 55, 57 recover 70 service availability levels 59 service backups 59 service-based on-process flows 8 service breaks 74 service capacity 79 Service Capacity Management 79, 82-4 Service Capacity Management sub-process 79, 136 Service Catalog 111 service catalogue meeting business demand 120 Service Catalogues 18, 37, 41-2, 47, 50, 113, 121 Service Components 42, 121 service configuration 78 Service Continuity 14, 93-4 Service Continuity and Continuity Plans 109 service continuity issues, potential 109 Service Continuity Management 4, 54, 85-6, 107, 136 defined 137 Service Continuity Management's Stage 137 Service Continuity Manager 108 Service Continuity Plans 85, 92-3, 109, 127, 146 Service Continuity Strategy 91 service dashboards 113 Service Delivery 8, 45, 75 Service Delivery and Support 30 Service Delivery performance 111 service demand 47 Service Design 13, 17-18, 34, 37-42, 52, 58, 61, 80, 104, 120-1, 148 Service Design and Service Transition 54, 58 SERVICE DESIGN INTERFACES 3 Service Design Manager 104-5 Service Design Packages 42, 104, 121 Service Design Principles 4, 135 service design processes 53, 58, 104 service design stage 61 Service Desk 30-1, 47, 65, 70, 135 Service Desk for Support 27

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service disruptions 56, 60, 69, 125 Hotel 125 service disruptions Reliability 56 service downtime 58 Service Economics 35 service failure 60, 72 Service Failure Analysis, see SFA service focus 55 service group 134 Service Improvement Plans 18, 140 Service Improvement Plans/Programmes, required 111 Service Incidents 139 service interruptions 71 Service Knowledge Management Systems 113, 140 Service Level Agreements 59, 115, 140 Service Level Management 11, 17, 40-1, 44, 49, 58, 68, 79, 81, 110 Service Level Manager 41, 105, 107, 110, 123, 140, 145 Service Level Packages 26-7, 50, 78 Service Level Requirements 42, 78, 121, 123, 140, 145 service levels 78, 80, 83, 86, 105, 123, 126, 134 high 129 normal 79 required 81 Service Lifecycle 3, 14-18, 22, 34-7, 41-2, 48, 53, 77, 99, 104, 121 Service Lifecycle approach 18 Service Lifecycle Model 14 Service Lifecycle Phases 3, 16, 18 Service Lifecycle processes 63 Service Lifecycle Service Strategy 121 Service Lifecycle work 18 Service Lifecycle Work 3, 18 Service Management 5, 7, 10, 13, 15, 35, 113 service management activities 18, 96 Service Management Frameworks 105 service management practices 9 service management processes 40, 97, 119 Service Models 38, 120 Service Offerings & Agreement processes 113 Service Offerings & Agreements 9, 24, 51, 113, 131 Service Offerings & Agreements processes 113 Service Operation 13, 18, 30, 36-8, 41-2, 53, 58-60, 66, 70, 79-80, 119-21, 148 implementing 119 normal 56, 93 surrounding 119 Service Operation and Continual Service Improvement 54 service operation processes 54, 119 Service Operations Lifecycle 44 service organization 7, 10, 133 Service Owner 33, 103, 140 Service Package Example 26-7 Service Package Example Fi 26 Service Packages 25-7, 49-50 multiple 27 Service Packages and Service Level Packages 26-7 service performance 18, 76, 111 service portfolio 36, 39, 50, 76, 105, 119, 131, 135 service Portfolio 135 service portfolio information 18 Service Portfolio Management and Change Management 85 Service Portfolios 35, 38-9, 42, 120-1 service providers 14-15, 24-5, 27, 33, 46-7, 49, 66-70, 80, 88, 94, 111, 119, 132, 134, 140, 144 service provider s ability 78 service provision 9, 51, 85, 120

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service quality 36, 46, 50, 103, 106, 119-20 defined 131 improving 131 service-related enquiries 103 service requests 18, 47, 49, 134 service requirements 123-4, 135 service solutions 39, 135 Service Strategy 3, 13, 18, 25, 34-9, 42, 46, 58-9, 104, 120-1, 148 developing 36 effective 36 Developing 35 Service Strategy and Service Design 34 Service Strategy in Service Design 118 SERVICE STRATEGY INTERFACES 3 Service Strategy outputs 38 Service Strategy Principles 3, 35, 131 Service Strategy processes 49 service targets 41, 76 service teams 128 Service Time 56 Service Transition 13, 18, 37-8, 41-2, 58, 120-1, 148 Service Transition and Service Operation 115 Service Transition Plans 42, 121 Service units 24 Service Units 23-4 Service Utility 25-6 Service Utility and Service Warranty 26 Service Validation Criteria 38, 120 service value 25, 36, 48, 50 relative 106 service varieties 132-3 Service Warranty 25 Serviceability 57, 140 services broadband internet 26 bundled 26 business 23 candidate 133-4 changed 39 communication 49 core 26, 50 designing 41 disrupt 55 end-to-end 22 highly-available 60 improving 119 key 36 know 133 local 125 managed desktop 129 managing 40 modified 8, 41, 80-1 modifying 37 package 50 recover 92 report 66 single 146 supporting 26, 38, 42, 47, 49, 57, 118, 120-1 tax preparation 128-9 third-party recovery 109 tuning 108 workflow 116 Event 116

ITIL® V3 : Planning, Protection & Optimization Best Practices State transition 116 Services and Service Packages 25 Services and Service Portfolios 39 services category 116 services/CIs 140 services function 109 services ranging 126 Service s attributes 25 SFA (Service Failure Analysis) 67, 71-2, 74 SFA team 72-3 Shared Service Providers 33 simulation 80, 127, 146 Single Points of Failure, see SPOFs skills, customer service 22 SLAs 18, 42, 50, 65, 70, 74, 78, 97-9, 105-6, 108, 110-11, 113, 121, 129, 140 SOA processes 115 solution 123, 127, 129-30, 132, 135 specifications, minimum 123 SPOFs (Single Points of Failure) 55, 58-9, 62 staff 7-9, 21-2, 45, 48, 60-1, 64, 66, 71-2, 87, 92-3, 95, 103, 119, 125, 127, 133 stage, Service Continuity Management's 137 stakeholders 7-9, 15, 28, 45, 64-5, 88-9, 119-20, 131 standards 13, 28, 36-7, 40, 87, 97-9, 103-4, 135 regulatory 130, 147 standby , hot 92 start 55-6, 73, 81, 124-5, 128 stockholders 126 storage 30, 115 strategy group 36 students 122, 124 sub-processes 78-81, 84 sub-services 91 subprocesses 78-9, 82 success 15, 50-1, 87, 113, 124, 126 Supplier Service Improvement Plan 140 suppliers 57, 85, 97, 104, 110 support business activities 132 support business growth 35 support organization 36, 65, 71 support organization skills 61 support services 14 Supporting Services Package 26-7, 50 sustain 58-9 systems 9, 34, 44, 59, 69, 94, 96-7, 105, 107-8, 113-15, 122-5, 129, 139 T targets, service recovery 95 teachers 122 teams 44-5, 128, 130, 139, 146 executive 128 Technical Management 30-1 techniques 47-8, 50, 54, 58-9, 61, 70-1, 78, 80-1, 99, 108, 136-7, 139 technology 4-5, 7, 10, 25, 34, 61, 65, 76, 80, 84, 105, 113-14, 120, 124, 134-5 terms 7, 47-8, 50, 53, 57-8, 78, 87, 106, 108, 131 tests 83, 93-4, 127-8, 146 full 127, 146 service continuity 109 Third Best 145-7 threats 90, 130 time 22, 29, 33, 39, 47-8, 56, 66, 69-70, 72, 78, 81, 84, 89, 92-5, 109, 129-30 [5] repair 70 timeframes 69-70, 134 Timely incorporation of business plans 84

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timescales 40, 92 tools 8, 28, 31, 39, 69, 71, 98, 113, 128, 139 project-planning 87 systems management 72, 74 transactions 74, 83, 124, 131 trends 79, 81, 83, 108, 125, 129 trust 128, 146 TSO 148 tuning 83, 129-30, 136, 140 tuning techniques 83 U UCs 18, 42, 111, 121 un-availability requirements 44 unavailability 52, 56, 66-7, 75, 94 unavailability of services 74, 107 understanding 22, 41, 47, 53, 55-6, 58, 62-3, 72, 96, 105, 111, 125, 128, 130, 147 usage 47, 53, 84, 105, 107-8 user profiles 47, 49-50, 105 users 5, 9, 22, 29, 44, 49, 52, 55, 57, 61-2, 67-71, 74, 80, 97, 115, 123-4 [1] utility 25-7, 37, 141 level of 26, 50 utilization 47, 80-1, 125, 136 Processor 82 V Validation, Service 41 value 7, 22-6, 28, 30, 33-4, 46, 50, 131-3, 140, 146 defined Availability Management's 135 defined Capacity Management's 136 defined Information Security Management's 137 defined Service Continuity Management's 136 value creation 25 Van Haren Publishing 148 variations 47, 65 VBFs (Vital Business Function) 57-8, 62, 92, 141 vision 118-19, 126 Vital Business Function, see VBFs Vital Business Functions 57-8, 62, 92, 141 volumes, service design 7 W walkthroughs 128, 146 warranty 25-7, 37, 46, 48, 50, 141 website 115, 143-4, 148 work 10, 18, 26, 31, 44, 49-50, 58, 69, 77, 79, 84, 86, 107, 123, 125-30, 147 Workflow Management 116 workflow process 116 workloads 47, 83 www.artofservice.com.au 143-4, 148 www.theartofservice.com 148 www.theartofservice.org 148