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Student Notebook
ERC 1.0
Student Notebook
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V3.1.0.1
Student Notebook
TOC
Contents
Course Description . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xi
Agenda . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xiii
Course Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xv
ITIL Foundation Course: IT Infrastructure Library Overview . . . . . . . . . . . . . . . . . . .xvi
ITIL Foundation Course: Objectives and Contents of the Course . . . . . . . . . . . . . . xvii
ITIL Foundation Course: ITIL Defines a Three-Tiered Structure of Certification Training
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xviii
ITIL Foundation Course: Process Chart Reference . . . . . . . . . . . . . . . . . . . . . . . . .xix
Unit 1. What ITIL Is . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-1
Unit 01: What ITIL is . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-2
What ITIL is: ITIL: de facto standard for service management built on industry best
practice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-3
What ITIL is: Main characteristics of ITIL are: IT services are business-oriented, and
provision of quality customer service . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-5
What ITIL is: Originally created by the UK's Central Computer and Telecommunications
Agency (CCTA) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-6
What ITIL is: The BSI roadmap to make ITIL a standard for service management 1-7
What ITIL is: ITIL is a library of books that aim to describe best practices for IT
infrastructure management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-9
What ITIL is: The ITIL books describe best practices in IT management, with a special
focus on service management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-10
Most people think of ITIL as service support, but the increasing popularity of ITIL should
be leveraged against a broader spectrum of services . . . . . . . . . . . . . . . . . . . . . . 1-12
What ITIL is: Service management focuses on the tactical and operational processes
of service support and service delivery and their relationships, including security
management (separate ITIL book) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-13
What ITIL is: ITIL processes in service support represent many of the reactive
processes within IT operations (operational) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-14
What ITIL is: Service Delivery focuses on what service the business requires in order
to provide adequate support to the business users (tactical) . . . . . . . . . . . . . . . . 1-15
What ITIL is: Service support process (operational processes) relationships and their
interaction with the CMDB . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-16
What ITIL is: Service delivery process (tactical processes) relationships . . . . . . . 1-17
What ITIL is: Other ITIL books . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-18
What ITIL is: Customers across the globe are asking more and more about ITIL 1-19
What ITIL is: ITIL implementation: Adopt and Adapt . . . . . . . . . . . . . . . . . . . . . . . 1-20
Unit 2. Process Implementation Strategy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-1
Unit 02: Process Implementation Strategy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-2
Process Implementation: What is a process? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-3
Contents
Course materials may not be reproduced in whole or in part
without the prior written permission of IBM.
iii
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ITIL Foundation
V3.1.0.1
Student Notebook
TOC
Service Desk: There are 3 Service Desk Types (1): the Local Service Desk . . . . 3-13
Service Desk: There are 3 Service Desk Types (2): Central Service Desk . . . . . 3-14
Service Desk: There are 3 Service Desk Types (3): Virtual Service Desk . . . . . . 3-15
Service Desk: User empowerment (self-help) enhances customer satisfaction while
lowering support cost . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-16
Service Desk: A crucial success factor is standardized working methods . . . . . . 3-17
Service Desk: Setting up a Service Desk . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-18
Service Desk: Benefits and Costs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-19
Service Desk: Risks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-20
Service Desk: Best Practices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-21
Service Desk: Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-22
Unit 4. Incident Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-1
Unit 04: Incident Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-2
Incident Management: Integration into the IPW Model . . . . . . . . . . . . . . . . . . . . . . 4-3
Incident Management: Mission statement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-4
Incident Management: Definition: Incident, Problem and Known Error . . . . . . . . 4-5
Incident Management: Tasks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-6
Incident Management: Activity incident handling . . . . . . . . . . . . . . . . . . . . . . . . . . 4-7
Incident Management: The status of an incident reflects its current position in its
lifecycle . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-8
Relationship with other IT services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-10
Incident Management: Use of standard registration, documentation, and methods is
basis of success . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-11
Incident Management: Classification: Find service affected, match against SLA, and
assign priority . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-12
Incident Management: Priority order for handling incidents is primarily defined by
impact and urgency . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-13
Incident Management: Each priority is related to a certain recovery time . . . . . 4-14
Incident Management: This results in an appropriate escalation . . . . . . . . . . . 4-15
Incident Management: Escalation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-17
Incident Management: Escalation Trigger and Measures . . . . . . . . . . . . . . . . . 4-18
Incident Management: Escalation Escalation Levels . . . . . . . . . . . . . . . . . . . . . 4-19
Incident Management: Escalation Example of an Escalation Matrix . . . . . . . . . 4-20
Incident Management: Input and Output . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-21
Incident Management: Benefits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-22
Incident Management: Risks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-23
Incident Management: Best Practices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-24
Incident Management: Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-25
Unit 5. Problem Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-1
Unit 05: Problem Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-2
Problem Management: Integration into the IPW Model . . . . . . . . . . . . . . . . . . . . . . 5-3
Problem Management: Mission statement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-4
Problem Management: Some definitions: Problem, Known Error, and RFC . . . . . . 5-5
Problem Management: Tasks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-6
Problem Management: Scope . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-8
Problem Management: Activity: Problem Control . . . . . . . . . . . . . . . . . . . . . . . . . . 5-9
Copyright IBM Corp. 2004
Contents
Course materials may not be reproduced in whole or in part
without the prior written permission of IBM.
Student Notebook
ITIL Foundation
V3.1.0.1
Student Notebook
TOC
7-16
7-17
7-18
7-19
7-20
7-21
7-23
7-24
Contents
Course materials may not be reproduced in whole or in part
without the prior written permission of IBM.
vii
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ITIL Foundation
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12-12
12-14
12-17
12-18
12-19
12-21
12-22
12-24
12-25
Contents
Course materials may not be reproduced in whole or in part
without the prior written permission of IBM.
ix
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ITIL Foundation
V3.1.0.1
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pref
Course Description
ITIL (IT Infrastructure Library) Foundation
Duration: 2 days
Purpose
Learn the basics of Information Technology (IT) Infrastructure Library
(ITIL) and discover the importance of a systematic approach to
management. The ITIL contains a comprehensive description of the
processes involved in managing IT infrastructures. Build your
awareness of the best practice approach to IT service support and
service delivery. Gain an understanding of the importance of an IT
infrastructure and IT service for an organization, a process-like
approach to business organization, the ITIL management framework,
basic terms, and concepts of the work processes used to manage an
IT infrastructure. Take the ITIL Foundations Certification Exam upon
course completion.
Audience
This course is intended for people working in the field of IT service
management.
Prerequisites
None
Objectives
Upon completion of the course, the student will be able to:
Understand the importance of an IT infrastructure
Describe the best practices for IT service
Develop a process-like approach to business organization
Describe the ITIL management framework
Understand the basic terms and concepts of the work processes
used to manage an IT infrastructure
Course Description
Course materials may not be reproduced in whole or in part
without the prior written permission of IBM.
xi
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Contents
Topics include:
ITIL best practice: history, purpose, and acceptance
Introduction to the ITIL booklets of best practices
ITIL scope, infrastructure, and process terms
Characteristics of the ITIL sets and process groups
Strategic, tactical, and operational perspectives
Service support set: configuration management, service desk
incident management, problem management, change
management, and release management
Service delivery set: service level management, availability
management, capacity management, IT service continuity
management, and financial management for IT services
Links with the security management process
Example examination
Curriculum relationship
The Foundation Certificate in IT Service Management is a prerequisite
for the Practitioner's and Manager's Certificate in IT Service
Management.
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Agenda
Day 1
ITIL Introduction
Service Desk
Incident Management
Problem Management
Change Management
Configuration Management
Release Management
Exercise
Day 2
Recap Discussion
SLM
Availability Management
Capacity Management
Financial Management
Continuity Management
Security Management
Examination
Agenda
Course materials may not be reproduced in whole or in part
without the prior written permission of IBM.
xiii
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ITIL Foundation
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pref
Course Introduction
Course Introduction
Course materials may not be reproduced in whole or in part
without the prior written permission of IBM.
xv
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The
Business
Perspective
Service Support
ICT
Infrastructure
Management
Service Delivery
Security
Management
Technology
Business
Service Management
Application Management
SM251.0
Notes:
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pref
Contents
Overview of the 2 ITIL core modules:
5 Processes of Service Support und 1 Function
5 Processes of Service Delivery
Security Management for IT Services
Figure 0-2. ITIL Foundation Course: Objectives and Contents of the Course
SM251.0
Notes:
Course Introduction
Course materials may not be reproduced in whole or in part
without the prior written permission of IBM.
xvii
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Practitioners (9 certificates)
Availability Mgmt (5 days)
Incident Mgmt (5 days)
Problem Mgmt (5 days)
Configuration Mgmt (5 days)
Service Level Mgmt (5 days)
Change Mgmt (5 days)
Foundations
Essential (2 days)
1 hour Multiple Choice
Prerequisites
assessed by
Examination
Board
Service Manager
Service Support (5 days)
3 hours Essay Examination
Figure 0-3. ITIL Foundation Course: ITIL Defines a Three-Tiered Structure of Certification Training
SM251.0
Notes:
ITIL defines three levels of certification. The Foundations Certificate is the first level and
covers Service Management essentials. Foundations classes typically last 2 days, and
culminate with a 1-hour multiple choice exam.
Next, 9 Practitioner Certificates are available. These each concentrate on a specific
process area within Service Management, such as Change Management. Each of the
Practitioner classes lasts 5 days and ends with a 1-hour multiple choice exam.
ITIL's highest level of certification is the Service Manager, or Masters certificate. Service
Manager classes involve two weeks of intense study, and Service Managers must pass two
3-hour essay-based exams: one for Service Support, and one for Service Delivery.
Furthermore, the exam board must assess and validate that each person sitting for the
Service Manager exam has met all of the defined prerequisites.
So, when someone holds ITIL certification, you know what you're getting because the
levels of certification and testing are independently defined and verified.
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Source: IPW Model is a trade mark of Quint Wellington Redwood and KPN Telecoms
7
SM251.0
Notes:
The chart which aims to show the flow of ITIL processes, and the most referenced by itSMF
(IT Service Management Forum), is the IPW Process Model, a trade mark of Quint
Wellington and KPN. The IPW Model is neither a complete nor a perfect plot of ITIL
processes. It will, however, be used during the training, just to show some interfaces
between processes, and the position of a process within the operational or tactical activities
of the business.
Course Introduction
Course materials may not be reproduced in whole or in part
without the prior written permission of IBM.
xix
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References
BS 15000-1:2002
BS 15000-2:2003
PD 0005:2003
PD 0015:2002
1-1
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Unit 01
What ITIL is
Contents of this module:
What ITIL is
ITIL history
Contents of ITIL books
Popularity and benefits of ITIL
SM251.0
Notes:
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ITIL Foundation
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What ITIL is
Enhanced customer satisfaction, as it is clear what service providers know and deliver
Formalize the use of procedures so that they are more reliable to follow
Improved quality of service more reliable business support
Better motivated staff through better management of expectations and responsibilities
Figure 1-2. What ITIL is: ITIL: de facto standard for service management built on industry best practice
SM251.0
Notes:
Service support is currently the most popular topic worldwide in terms of customer
popularity; the ITIL book on Service Support is most often referenced.
ITIL is a library of books on what you need to do to manage IT as business; but it does
not explain in detail how to do it.
The ITIL framework places a strong emphasis on process; and is of most interest to
customers who see process as important.
Application management is NOT application development. Instead, it looks at the entire
lifecycle of managing applications from a service point of view. For example, for SAP,
when you are gathering requirements, you need to think about all of the service
management elements to make the lifecycle effective. How will the application be
configured? Will it be available at the required service levels? How will new releases be
deployed? How will it be supported? And so on.
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Student Notebook
All books are released except for The Business Perspective which will cover the
business value chain (customer/IT/business), business alignment (how an organization
is set up, how it is governed, and managing the relationship between IT and business);
it is mostly an overview of ITIL's value to the business, and emphasizes that IT should
have a business perspective.
1-4
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What ITIL is
IT management is all about the efficient and effective use of the four Ps: people,
processes, products (tools and technology), and partners (suppliers, vendors, and
outsourcing organizations).
People
Processes
Products
Partners
4
Figure 1-3. What ITIL is: Main characteristics of ITIL are: IT services are business-oriented, and provision of quality customer service
SM251.0
Notes:
1-5
Student Notebook
What ITIL is
Consolidated in 1999 into ITIL Version 2. Two books to improve consistency and focus on service
management were published Service Support and Service Delivery
These two core books were supplemented by new books that cover implementation planning,
security management, infrastructure management, application management, and the business
perspective
2001: the CCTA is incorporated within the Office of Government Commerce (OGC). ITIL is a
registered mark of OGC.
ITIL has subsequently been used as the basis for the development of a British Standard for Service
Management.
Figure 1-4. What ITIL is: Originally created by the UK's Central Computer and Telecommunications Agency (CCTA)
SM251.0
Notes:
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What ITIL is
1998
2000
2001
2002
2003
2006
What to
achieve
Standard
BS15000
Specification
- ISO Standard
Management
overview
PD0005
ITIL
Process
definitions
Deployed
solution
OGC
questionnaire
Guidance
Code of Practice
PD0015
Figure 1-5. What ITIL is: The BSI roadmap to make ITIL a standard for service management
SM251.0
Notes:
ITIL consists of modules containing advice and guidance on best practice relating to the
provision of IT services. ITIL has subsequently been used as the basis for the development
of a British Standard for Service Management. The standard and ITIL are aligned, and the
standard has itself been recently revised and is now defined in the following set of
documents:
BS 15000-1:2002, IT Service Management (Part 1: Specification for Service
Management)
BS 15000-2:2003, IT Service Management (Part 2: Code of Practice for IT Service
Management)
PD 0005:2003, IT Service Management A Manager's Guide
PD 0015:2002, IT Service Management Self Assessment Workbook
These documents provide a standard against which organizations can be assessed and
certified with regard to the quality of their IT Service Management processes.
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Student Notebook
A BS 15000 Certification scheme was introduced in July 2003. The scheme was designed
by the itSMF and is operated under their control. A number of auditing organizations are
accredited within the scheme to assess and certify organizations as compliant to the BS
15000 standard and its content. The BS 15000 standard is now progressing towards an
international (ISO) standard on Service Management.
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What ITIL is
ITIL as a Guidance
"ITIL does not cast in stone every action
you should do on a day to day basis
because that is something that will differ
from organization to organization.
Instead it focuses on best practice that
can be utilized in different ways
according to need."
Figure 1-6. What ITIL is: ITIL is a library of books that aim to describe best practices for IT infrastructure management
SM251.0
Notes:
ITIL is a framework, not a methodology. It describes what needs to be done, but the advice
it offers may be implemented in a variety of ways. ITIL provides guidance, not a
step-by-step how-to for managing IT services, but it does include a rich body of
documentation.
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What ITIL is
Technology
Business
Service Management
The
Business
Perspective
Service Support
ICT
Infrastructure
Management
Service Delivery
Security
Management
Application Management
Figure 1-7. What ITIL is: The ITIL books describe best practices in IT management, with a special focus on service management
SM251.0
Notes:
The most widely used processes within the ITIL framework are those in Service
Management.
IT Service Management is concerned with delivering and supporting IT services that are
appropriate to the business requirements of the organization. ITIL provides a
comprehensive, consistent, and coherent set of best practices for IT Service Management
processes, promoting a quality approach to achieving business effectiveness and
efficiency in the use of information systems. ITIL processes are intended to be
implemented so that they underpin, but do not dictate, the business processes of an
organization.
Being a framework, ITIL describes the contours of organizing Service Management. The
models show the goals, general activities, inputs, and outputs of the various processes,
which can be incorporated within IT organizations. ITIL does not cast in stone every action
you should do on a day-to-day basis, because that is something which will differ from
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Most people think of ITIL as service support, but the increasing popularity of
ITIL should be leveraged against a broader spectrum of services
Service Desk
Configuration Management
Incident Management
Problem Management
Change Management
Release Management
The
business
perspective
ICT
Infrastructure
management
Service support
Service delivery
Software Asset Management
The technology
Service management
The business
Not Published
(4/2004)
Draft being
reviewed
(IBMers on
review team)
Security
management
IT Infrastructure Security
Management
Security setup from the IT
manager's point of view
Application management
Figure 1-8. Most people think of ITIL as service support, but the increasing popularity of ITIL should be leveraged against a broader
spectrum of services
SM251.0
Notes:
V3.1.0.1
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What ITIL is
IT Service
Continuity
Service Level
Management
Financial
Management
Release
Management
Configuration
Management
Change
Management
Incident
Management
Problem
Management
10
Security
Management
Figure 1-9. What ITIL is: Service management focuses on the tactical and operational processes of service support and service delivery
and their relationships, including security management (separate ITIL book)
SM251.0
Notes:
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What ITIL is
Figure 1-10. What ITIL is: ITIL processes in service support represent many of the reactive processes within IT operations (operational)
SM251.0
Notes:
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What ITIL is
Figure 1-11. What ITIL is: Service Delivery focuses on what service the business requires in order to provide adequate support to the
business users (tactical)
SM251.0
Notes:
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Student Notebook
What ITIL is
Service support process (operational processes) relationships and their
interaction with the CMDB
The business, customers, and users
Incidents
Queries
Enquiries
Management
tools
Incidents
Incident
management
Incidents
Service
desk
Problem
management
Service reports
Incident statistics
Audit reports
Communications
Updates
Workarounds
Customer
Survey
reports
Changes
Release
Problem statistics
Trend analysis
Problem reports
Problem review
Diagnostic aids
Audit reports
Incidents
Change
management
Change schedule
CAB minutes
Change statistics
Change reviews
Audit reports
Problems
Known errors
Release
management
Release schedule
Release statistics
Release reviews
Secure library
Testing standards
Audit reports
Changes
Configuration
management
Releases
CMDB reports
CMDB statistics
Policy standards
Audit reports
CIs
Relationships
Figure 1-12. What ITIL is: Service support process (operational processes) relationships and their interaction with the CMDB SM251.0
Notes:
Explain the links between processes. Configuration Management is shown as the basic
process.
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What ITIL is
Service delivery process (tactical processes) relationships
The business, customers, and users
Availability
management
Capacity plan
CDB
Targets/thresholds
Capacity reports
Schedules
Audit reports
System
Management
tools
Communications
Updates
Reports
Service level
management
Capacity
management
Availability plan
AMDB
Design criteria
Targets/thresholds
Reports
Audit reports
14
Queries
Enquiries
Financial
management for
IT services
Financial plan
Types and models
Costs and charges
Reports
Budgets and forecasts
Audit reports
Requirements
Targets
Achievements
IT service
continuity
management
Alerts and
Exceptions
Changes
IT continuity plans
BIA and risk analysis
Requirement definition
Control centers
DB contracts
Reports
Audit reports
Figure 1-13. What ITIL is: Service delivery process (tactical processes) relationships
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What ITIL is
15
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These books are not in focus for the foundation.
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What ITIL is
Customers across the globe are asking more and more about ITIL
Benefits of ITIL
16
Figure 1-15. What ITIL is: Customers across the globe are asking more and more about ITIL
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ITIL is focused on improving service quality to the customer. Customers who adopt the ITIL
framework can expect to see improved alignment of IT with the business, a long-term
reduction in the cost of IT services, and better service quality and responsiveness.
Customers should see a reduction in system outages as proactive planning and quality
measures are implemented, and they should be able to implement IT infrastructure more
quickly to support new business requirements. Customer satisfaction should increase
because service providers will know and deliver what is expected of them, based on what
the business requires. And support services should become more competitive.
Service providers will also benefit from the adoption of ITIL. Service providers should see
improvements in service delivery because they will have a single definable, repeatable,
scalable, and consistent set of IT processes. Roles and responsibilities will be properly
aligned and understood. Communications between IT departments should improve
because the linkages between processes will be documented and understood. Service
providers should see better resource utilization and resources will be allocated based on
business demands and staff will be more professional and motivated because skill
requirements and capabilities, along with job expectations, are better understood.
Copyright IBM Corp. 2004
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What ITIL is
ITIL implementation: Adopt and Adapt
ITIL describes what needs to be done but not how it should be done.
ITIL does not claim to be a comprehensive description of everything within IT, but IT
management best practices observed and accepted in the industry.
Adopt ITIL as a common language and reference point for IT Service Management
best practices and key concepts.
Adapt ITIL best practices to achieve business objectives specific to each company.
17
Figure 1-16. What ITIL is: ITIL implementation: Adopt and Adapt
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Process Implementation
What is a process?
ITIL focus on Processes
A process is a sequence of interrelated activities that collectively take an input, add
value to it, and produce an output which achieves a specific objective
CONTROL
Policy
Budgets
...
Input
Process
Output
Changed
environment
a report
a resolved incident
..
Requests
Incidents
Alerts
Requirements
...
ENABLE
People
Tools
Knowledge
Resources
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Process control can similarly be defined as:
the process of planning and regulating, with the objective of performing the process in
an effective and efficient way.
Processes, once defined, should be under control; once under control, they can be
repeated and become manageable. Degrees of control over processes can be defined, and
then metrics can be built in to manage the control process.
The output produced by a process has to conform to operational norms that are derived
from business objectives. If products conform to the set norm, the process can be
considered effective (because it can be repeated, measured, and managed). If the
activities are carried out with minimum effort, the process can also be considered efficient.
Process result metrics should be incorporated in regular management reports.
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Process Implementation
Figure 2-3. Process Implementation: A process flows across the organizational hierarchies within a company and sometimes flows
across company boundaries
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Process Implementation
Service-focused
Service-focused processes
processes enable
enable IT
IT technology
technology and
and organization
organization to
to be
be
managed
in
ways
which
facilitate
alignment
with
clients'
business
objectives.
managed in ways which facilitate alignment with clients' business objectives.
5
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Process Implementation
Processes
Processes are
are critical
critical to
to maintain
maintain effective
effective business
business operations.
operations.
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Process Implementation
Customer
Commitments
Profitability
EFFICIENCIES
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Process Implementation
Customer Satisfaction
Measurable
Auditable
Service Level
Compliant
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Process Implementation
Server consolidation
Additional clients to manage
Is any OS migration planned?
Figure 2-8. Process Implementation: Mission-critical changes or reorganizations within an IT corporation require new processes or
needs to improve existing processes
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Process Implementation
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Process Implementation
One
One of
of the
the main
main objectives
objectives of
of ITIL
ITIL is
is to
to assist
assist IT
IT service
service provider
provider
organizations
organizations to
to improve
improve IT
IT efficiency
efficiency and
and effectiveness
effectiveness while
while
improving
improving the
the overall
overall quality
quality of
of service
service to
to the
the business
business within
within
imposed
cost
constraints.
imposed cost constraints.
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Process Implementation
Preparing
tables
Greeting and
seating
Process 1
Process 2
Process 3
Process 4
Process 5
Manage
Facilities
Handle
Customer
Interaction
Understand
Customer
Requirements
Realize
Solution
Deploy
Solution
Implement
required
processes,
tools, and
organization
Providing
applications
and reporting
Building the
infrastructure
12
Preparing
order
Delivering
order,
monitoring
customer
Offer
selection,
taking order
Contacting
potential
customer
Determine
the required
quality of
service
A delightful
dining
experience
Service
Availability of
applications
2004 IBM Corporation
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Figure 2-12. Process Implementation: Service, Process, Procedure, and work instructions
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Process Implementation
Project Management
When implementing new processes in an organisation, there are benefits to
running the activity as a project.
One of the benefits of adopting a project approach to this activity is that it is
possible to undertake the necessary investigations and have designated
decision points where a decision can be made to continue with the project,
change direction, or stop.
A
A project
project can
can be
be defined
defined as:
as:
A
A temporary
temporary organization
organization that
that is
is needed
needed to
to achieve
achieve aa predefined
predefined
result
result at
at aa predefined
predefined time
time using
using predefined
predefined resources.
resources.
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Process Implementation
1.
1. Process
Process
2.
2. Infrastructure
Infrastructure
3.
3. Staff
Staff
5.
5. Strategy
Strategy
6.
6. Culture
Culture &
&
Organization
Organization
4.
4. Customers
Customers
15
Figure 2-14. Process Implementation: Factors who will influence the success of an ITSM project
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Process Implementation
People
implement the staff training plan and make this an ongoing activity, focusing
on both social and technical skills
assign roles within the ITIL model to people, and make this part of their
function description
accountability
control the results of a process
R responsibility
is responsible for the process and process activities
C consulted
provide expertise, know-how to enable process
I informed
is informed about the process and the process quality
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Process owner
Process manager
Process team member (internal and external)
17
Figure 2-16. Process Implementation: Each task within a process is executed by a role
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19
Where do we
want to be?
Visions and
business
objectives
Where are we
now?
Assessments
How do we get
where we want
to be?
Process change
How do we
know we have
arrived?
Metrics
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Process Implementation
-Process model
-Procedures
-Authority matrix
-Roles and
responsibilities
Specification
-Management information
-Quality assurance methods
-Support tools
-Management reports
-Procedures
-Tool
Organization
Definition of processes
Communication Strategy
Implementation/Improvement
Project Review
20
Figure 2-19. Process Implementation: From the above model, 5 phases of a ITSM project are definable
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Maturity Level
Quality
improvement
OPTIMIZED 5
Continuous
step by step
Do
Plan
Check
Act
MANAGED 4
DEFINED
REPEATABLE
INITIAL
Quality Assurance
P
D
C
A
= Plan
= Do
= Check
= Act
Time Scale
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For quality improvement, Deming proposed the Deming Cycle (or Circle). The four key
stages are plan, do, check, and act, after which a phase of consolidation prevents the
circle from rolling down the hill as illustrated in the figure. The consolidation phase
enables the organization to take stock of what has been taking place and to ensure that
improvements are embedded. Often, a series of improvements have been made to
processes that require documentation (both to allow processes to be repeatable and to
facilitate recognition of the achievement of some form of quality standard).
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Process Implementation
Communication Plan
Managing change can only succeed with the correct use of communication.
In order to ensure that all parties are aware of what is going on and can play a relevant part
in the project, it is advisable to clarify how the project will communicate with all interested
parties.
Managing communications effectively involves the following nine steps:
22
Describe the communications process in the change process from the start
Analyze the communication structure and culture
Identify the important target groups
Assess the communication goals for each target group
Formulate a communication strategy for each target group
Choose the right communication media for each target group
Write a communication plan
Communicate
Measure and redirect if necessary.
ITIL Foundation Course | Student material v1.0
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Managing change can only succeed with the correct use of communication. A Service
Management project will involve a lot of people but, typically, the outcome will affect the
working lives of many more. Implementing or improving Service Management within an
organization requires a change of mindset by IT management and IT employees as well as
IT customers and users. Communication around this transformation is essential to its
success.
In order to ensure that all parties are aware of what is going on and can play a relevant part
in the project, it is advisable to clarify how the project will communicate with all interested
parties. A well-planned and executed communication plan will have a direct positive
contribution to the success of the project.
A good communication plan should be built on a proper concept of what communication
is. Communication is more than a one-way information stream. It requires continuous
attention to the signals (positive and negative) of the various parties involved. Managing
communications effectively involves the following nine steps:
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Describing the communications process in the change process from the start
Analyzing the communication structure and culture
Identifying the important target groups
Assessing the communication goals for each target group
Formulating a communication strategy for each target group
Choosing the right communication media for each target group
Writing a communication plan
Communicating
Measuring and redirecting if necessary.
A communication plan describes how target groups, contents, and media are connected
in a timeframe. Much like a project plan, a communication plan shows how actions,
people, means, and budgets are to be allocated for the communication process.
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Process Implementation
Global Consideration
Process
implementation
ev
ie
w
O
gn
Si
Detailed
process description
ff
ff
O
gn
High-level
process model
Si
As
s
Pr
es
oj
e
ct
pl
a
Process
Product
Define tool
requirements
Tool selection
People
Awareness
23
ITIL training
Installation &
configuration
Process
workshops
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Process Implementation
Process Description
To document processes, the following should be described:
24
Process integrity
Consistent view
Comparable procedures
Easy check and review
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Process Implementation
Evaluation
(Control points, parameters, attributes)
Outputs
Inputs
Activities
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Develop a timetable
Setup of workshops and training
events
Presentations
Handouts and documents
Marketing material
Plan of workshops and deployment
26
Figure 2-25. Process Implementation: A Process Implementation considers both an initial process design and an improvement of the
existing environment
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Process Implementation
Lessons learned
Auditing for compliance using defined quality parameters and metrics
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Define
Improve
Control
Evaluate
28
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As the project draws to a close, it is important to analyze how the project was managed
and to identify lessons that were learned along the way. This information can then be used
to benefit the project team as well as the organization as a whole. An End Project Report
typically covers:
Achievement of the project's objectives
Performance against plan (estimated time and costs versus actuals)
Effect on the original plan and business case over the time of the project
Statistics on issues raised and changes made
Total impact of changes approved
Statistics on the quality of the work carried out (in relation to stated expectations)
Lessons learned
A post-project review plan
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Post-project review
The business case will have been built from the premise that the outcome of the project
will deliver benefits to the business over a period of time. Thus, delivery of benefits needs
to be assessed at a point after the project products have been put into use. The
post-project review is used to assess whether the expected benefits have been realized,
as well as to investigate whether problems have arisen from use of the products.
Each of the benefits mentioned in the business case should be assessed to see how well, if
at all, it has been achieved. Other issues to consider are whether there were additional
benefits, or unexpected problems. Both of these can be used to improve future business
cases.
If necessary, follow-up actions may be identified to improve the situation that then exists.
Auditing for compliance using quality parameters
Process quality parameters can be seen as the operational thermometer of the IT
organization. Using them, you can determine whether the IT organization is effective and
efficient. Quality parameters need to be quantified for your own circumstances. However,
this task will be easier once you have determined the required service levels and internal
service requirements. There are two types of quality parameters: process-specific and
generic.
Generic quality parameters for IT Service Management:
Generic quality parameters that need to be considered include:
Customer satisfaction
Staff satisfaction
Efficiency
Effectiveness
Appropriate information should be collected to rate the organizations performance relative
to these parameters. The nature of the information required will vary depending on how you
decide to judge each aspect, but what information is required should be clearly thought
through from the start of the project so that measurement is possible during the
post-project review.
Process-specific parameters
Process-specific metrics for each process are discussed in each of the process-specific
chapters of this book.
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Process Implementation
Possible problems
Problems with Service Management processes that may be encountered include:
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Project costs
The costs associated with the implementation and running of the processes are
roughly categorized as follows:
Project management costs
Documentation costs
Ongoing staff and accommodation costs (for running the processes,
including subsequent training needs).
31
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When building the business case for a project, it is essential to be clear about what the
project costs are, and what the ongoing running costs of the Service Management
processes will be. Project costs are one-off costs, while the running costs form a
commitment for the organization that may involve long-term contracts with suppliers.
The costs of implementing IT Infrastructure Library processes clearly vary according to the
scale of operations. The costs associated with the implementation and running of the
processes are roughly categorized as follows:
Project management costs
Project delivery costs (consultancy fees, project team for implementation, process
owner)
Equipment and software
Training costs (including awareness, training in specific tools, and training in business
awareness)
Documentation costs
Copyright IBM Corp. 2004
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Ongoing staff and accommodation costs (for running the processes, including
subsequent training needs)
The costs of failing to provide effective processes can be considerable.
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Unit 03
User interaction
Service Desk technologies
Operational standards
Implementation considerations
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Service Desk
Source: IPW Model is a trade mark of Quint Wellington and KPN Telecoms
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Service Desk
The Service Desk is the Single Point of Contact [SPOC] between the
users and the IT Services Organization
ITIL defines customers and users
Customers
People (generally senior managers) who commission, pay for, and own
the IT services, sometimes referred to as "the business"
Users
People who use the services on a day-to-day basis
Incident
Problem
Change
....
Service Desk
Users
IT Service Organization
Customers
ITIL Foundation Course | Student material v1.0
Figure 3-3. Service Desk: The Service Desk is the Single Point of Contact [SPOC] between the users and the IT Services Organization
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Service Desk
Mission Statement
The Service Desk is the focal point for all service
requests from the business users to the IT organization
To record and manage the life cycle of incidents, with an
emphasis in rapid restoration of service with minimal
business impact, a Service Desk or Service Desk
organization is recommended. Help Desk, Service Line, and
First-Level Support are used as synonyms for Service Desk.
For the users, the Service Desk is there to:
provide a central communication interface
Requests
Requests
Incidents
Incidents
Service Desk as
Single Point of Contact
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Service Desk
The Service Desk is traditionally seen as a group of specialists who have the
required knowledge to process any kind of request or incident
The Function Service Desk can reach a high efficiency using the following
measures:
Definition of the service mentality in the Service Desk documentation. The
task of the Service Desk does not only consist of resolving an incident, but
mainly in the immediate recovery of the users service.
Figure 3-5. Service Desk: The Service Desk is traditionally seen as a group of specialists who have the required knowledge to process
any kind of request or incident
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Service Desk
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Service Desk
Communication
Communication is one of the success factors for IT services management.
Communication is key for quality of service.
The Service Desk informs about:
current status of services
usability
planned changes
Service quality supports customer relations.
Because of the importance of
communication with users, IT services
demands a position which fulfils this task
with.....
.... dedication
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Service Desk
SPOC
Incident Mgmt
1st Level Support
Reporting
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Service Desk
Call handling
Recording and tracking service requests, including incidents, until closure
and verification with the user
10
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Service Desk
user
user
creation of ticket
admin
admin
request
request
entry
incident
incident
registration,
analysis
advise, information
entitlement
check
initiation of measures
informed
informed
user
user
user
user with
with
change
change
change
direct solution
transfer
2nd level
callback
documentation
customer
information
complaint
complaint
11
complaint
entry
handling
recover satisfaction
satisfied
satisfied
user
user
satisfied
satisfied
user
user
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Service Desk
Telephone
requests
Request via
e-mail/voice/
video
Fax
requests
Requests via
Internet/
browser
Hardware/
application
events
Management
information and monitoring
Escalations
Service Desk
External
service
support
12
Product
support
Sales &
Marketing
Contract
support
Internal
service
support
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Service Desk
Establishment of identical
processes and procedures in
all locations
User 1
User 2
User 3
Assurance of compatibility of
Local
Service Desk
First-Level-Support
13
Desktop
Support
Network
Support
Application
Support
System &
Operation
Support
Vendor
Support
Figure 3-12. Service Desk: There are 3 Service Desk Types (1): the Local Service Desk
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These three slides describe the key factors of each service desk type.
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Service Desk
Customer
location 2
Central
Service Desk
Customer
location 3
First-level support
Reduced
operational
costs
Consolidated
management
overview
Improved usage
of available
resources
Second-level support
Desktop
support
14
Network
support
Application
support
System &
operation
support
Figure 3-13. Service Desk: There are 3 Service Desk Types (2): Central Service Desk
Other
manufacturer
support
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Service Desk
Virtual
Service Desk
Sydney
Service Desk
Service
Management
database
Amsterdam
Service-Desk
Seattle Service Desk
location 1
location n
local user
other manufacturer/
supplier
service desks
remote user
15
Figure 3-14. Service Desk: There are 3 Service Desk Types (3): Virtual Service Desk
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Service Desk
16
Figure 3-15. Service Desk: User empowerment (self-help) enhances customer satisfaction while lowering support cost
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Service Desk
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Figure 3-16. Service Desk: A crucial success factor is standardized working methods
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Service Desk
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Service Desk
Costs:
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Service Desk
Risks
Without Service Desk:
information
20
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Service Desk
Best Practices
Standardized documentation of caller data
Automatic ID allocation of the request; sending of return receipt and feedback form
Selective administration of user data in the Configuration Management Data Base
Usage of CTI and ACD technologies (voice calls, routing, and so on)
Utilization of system monitoring for early detection of service impairment
Staff from second-level support are temporarily deployed in Service Desk
Large Service Desks are structured in teams with special know-how and are
supported by skill routing
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Service Desk
Summary
Service Desk is a function, not a process within Service Management
Service Desk is the focal point for all service requests from business users directed
to the IT organization (including third-party providers), and manages them within
Service Level Agreements
Service Desk is the window on the level of service offered by the IT organization to
the business
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Unit 04
Incident Management
Content:
Incident lifecycle
Incident recording
Incident priority
Escalation
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Source: IPW Model is a trade mark of Quint Wellington and KPN Telecoms
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Incident Management
Mission statement
The primary goal of incident management is to restore normal service
operation, within Service Level Agreement limits, as quickly as possible,
after an incident has occurred to that service, and minimize the adverse
impact on business operations.
Practice shows that handling both of failures in the infrastructure and of service requests
is similar, and both are therefore included in the definition and scope of the process for
Incident Management.
The Service Desk is responsible for monitoring the resolution process of all registered
incidents; indeed the Service Desk is the owner of all incidents. The process is mostly
reactive. To react efficiently and effectively therefore demands a formal method of
working that can be supported by software tools.
Goals of Incident Management:
Restore the service as quickly as possible.
Minimum disruption to users work
Management of an incident during its entire lifecycle
Support of operational activities
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Figure 4-4. Incident Management: Definition: Incident, Problem and Known Error
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Incident Management
Tasks
Support of
operational
processes
User Interface
Incident
Incident
Management
Management
Management
Information
Incident Control
Problem Management
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Help desk and incident control: Even if the incident is transferred to second- or third-level
support, the service desk is responsible for the management of the incident, giving
feedback to the user, and so on.
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Incident Management
Progress control
Responsibility
Reporting
Quality assurance
First classification
and support
Yes
Service
Request?
Service Request
Procedure
No
Analysis and diagnosis
Troubleshooting
and recovery
Incident closure
2004 IBM Corporation
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Incident management activities:
Incident handling
To restore normal working conditions as quickly as possible
Incident monitoring
Registration of incidents
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Incident Management
new
accepted
Classification
and initial support
planned
Yes
Service
Request?
Service Request
Procedure
No
assigned
in process
Investigation and
diagnosis
on hold
Resolution
and recovery
Incident closure
solved
closed
Figure 4-7. Incident Management: The status of an incident reflects its current position in its lifecycle
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Notes:
The status of an Incident reflects the current position in its lifecycle, sometimes known as
its workflow position. Everyone should be aware of each status and its meaning. Some
examples of status categories might include:
New
Accepted
Scheduled
Assigned/dispatched to specialist
Work in progress (WIP)
On hold
Resolved
Closed
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Throughout an Incident lifecycle, it is important that the incident record be maintained. This
allows any member of the service team to provide a customer with an up-to-date progress
report. Examples of update activities include:
Update history details
Modify status (such as new to work-in-progress or on hold)
Modify business impact or priority
Enter time spent and costs
Monitor escalation status
An originally reported customer description may change as the incident progresses. It is,
however, important to retain the description of the original symptoms, both for analysis and
so that you can refer to the complaint in the same terms used in the initial report. For
example, the customer may have reported a printer not working, which is found to be have
been caused by a network failure. When responding to the customer, it is better initially to
explain that the printer incident has been resolved rather than to talk about resolution of
network problems.
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Service Desk
Data center
Data center
operation
operation
Net operation
Net operation
Organization
Organization
Other sources
Other sources
Report of an incident
Ownership, tracking,
Ownership,
evaluation, tracking,
information
evaluation, information
CMDB
CMDB
Problem
Problem
errors
errors
DB
DB
Incident closure
Incident closure
Change
Management
9
Problem
Management
2004 IBM Corporation
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Incident Management
First classification
and support
Service
Request?
Yes
Service Request
Procedure
No
Analysis and diagnosis
Incident ID
Date, time
Status
Effect, severity,
priority
Service Level
Affected system
Inventory number, CI ID
Class/ type/ model
Symptom description
Category
Free text description
Problem editor
Transfer to
Performed actions
Solution
Date, time
Category
History
Incident Closure
10
Figure 4-9. Incident Management: Use of standard registration, documentation, and methods is basis of success
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Incident Management
Classification:
First classification
and support
Service
Request?
Yes
Impact
Service Request
Procedure
No
Analysis and diagnosis
Incident Closure
Figure 4-10. Incident Management: Classification: Find service affected, match against SLA, and assign priority
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One of the important aspects of managing an incident is to define its priority: how
important it is, and its impact on the business. The responsibility for its definition lies with
Service Level Management within the parameters set in the Service Level Agreement
(SLA). The priority with which incidents need to be resolved, and therefore the amount of
effort to be put into the resolution of, and recovery from, incidents, will depend upon:
Impact on the business
Urgency to the business
Size, scope, and complexity of the incident
Resource availability, for coping in the meantime, and for correcting the fault.
Impact is a measure of the business criticality of an incident or problem, often equal to the
extent to which an incident leads to degradation of agreed service levels. Impact is often
measured by the number of people or systems affected. Criteria for assigning impact
should be set up in consultation with the business managers and formalized in SLAs.
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Urgency
Priority 2
Priority 1
Limited
damage, should
be recovered
immediately
Significant
damage, must be
recovered
immediately
Priority 4
Priority 3
Limited damage,
does not need
to be recovered
immediately
Significant damage,
does not need
to be recovered
immediately
Impact
12
Figure 4-11. Incident Management: Priority order for handling incidents is primarily defined by impact and urgency
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Incident Management
1 hour
2 hours
4 hours
8 hours
13
Figure 4-12. Incident Management: Each priority is related to a certain recovery time
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Incident Management
This results in an appropriate escalation
Functional versus hierarchical escalation
Managing
Board
Information / Support
(Escalation)
Hierarchical
Escalation
Incident Mgt.
Functional
Escalation
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Escalation is the mechanism that assists timely resolution of an incident. It can take place
during every activity in the resolution process.
There are two levels of escalation possible:
Hierarchical (vertical escalation): for example, asking management for more human
resources, equipment, or both (exception)
Functional (horizontal escalation): for example, ask a specialist (second-line support)
Transferring an incident from first-line to second-line support groups or further is called
functional escalation, and primarily takes place because of a lack of knowledge or
expertise. Preferably, functional escalation also takes place when agreed time intervals
elapse. The automatic functional escalation based on time intervals should be planned
carefully and should not exceed the (SLA) agreed resolution times.
Hierarchical escalation can take place at any moment during the resolution process when it
is likely that the resolution of an incident will not be in time or satisfactory. In case of a lack
of knowledge or expertise, hierarchical escalation is generally performed manually (by the
Copyright IBM Corp. 2004
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Service Desk or other support staff). Automatic hierarchical escalation can be considered
after a certain critical time interval, when it is likely that a timely resolution will fail.
Preferably, this takes place long enough before the (SLA) agreed resolution time is
exceeded so that corrective actions by authorized line management can be carried out, for
example hiring third-party specialists.
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Escalation
Objective of an escalation or escalation procedure is the avoidance or minimizing
of material or immaterial damage. The definition of an escalation comprises:
escalation trigger
escalation measures
escalation levels
The combination of the three keys results in an
escalation matrix with escalation paths
The escalation procedures should be clearly agreed between all involved parties.
Escalation can usefully improve service provision only if it is accepted by all
parties.
Escalation should not be misused as a proof of guilt.
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Incident Management
Escalation measures
Once an escalation has been released, incident processing is intensified, increased, or
changed in order to recover the service. This results in raising of three general possible
measures:
Organisational measurements, such as calling in third level or the vendor;
Information, such as to the higher hierarchical level;
Increased assignment of resources: budget, staff, material
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Incident Management
Measures
1
2
3
4
5
18
very urgent
and very
important
to inform
urgent and
important
to inform
urgent and
not important
to inform
not urgent
and important
to inform
not urgent
and not
important
to inform
measures
measures
measures
measures
measures
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Input
Management
and Monitoring
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Incident Management
Benefits
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Risks
Potential problem areas:
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Incident Management
Best Practices
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The integration with Service Level management means that the service desk is aware of
the availability and constraints within the provision of services.
Some service desks may have just a "dispatching" role concerning incoming calls, and
other individuals may then have to handle the incoming incidents from a technical point of
view. It would be preferable, however, to have broad-skilled service desk operators who do
handle the incidents themselves, rather than just registering calls and routing them.
Interpersonal skills are essential for service desk personnel, as every contact with the
customer is an opportunity to improve the customers perception of the IT function.
Consider how many of your technical staff are currently skilled and trained to manage the
customer interface for your department or organization.
Support departments often mistake quick fixes for good service. In some cases, this is, of
course, true. The customer wants a fix or response, but knows that this is not always
practical. It is important to engender in customers and users the confidence that, once an
incident has been reported, it will be professionally managed. If that confidence is not
present, they may revert to calling their favorite support specialist and bypass the service
desk. In some cases, they might stop calling on IT altogether.
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Incident Management
Summary
The goal of incident management is to restore normal service operation, within Service
Level Agreement limits, as quickly as possible, after an incident has occurred to that
service, and to minimize the adverse impact on business operations.
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Unit 05
Problem Management
Content:
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Source: IPW Model is a trade mark of Quint Wellington and KPN Telecoms
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Problem Management
Mission statement
The goal of Problem Management is to minimize the adverse impact of
Incidents and problems on the business that are caused by errors within
the IT Infrastructure, and to prevent recurrence of incidents related to these
errors.
In order to achieve this goal, Problem Management seeks:
To find the root cause of problems and to initiate corrective action
2 aspects:
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Problem Management
Problem
The unknown cause of one (significant) incident or multiple incidents exhibiting
common symptoms (which are not resolved in any case when finalizing the
incident)
Normally a problem record is raised only if investigation is warranted.
Known Error
A problem that is successfully diagnosed and for which a workaround has been
identified
Request for Change (RFC)
Request for Change to any component of an IT infrastructure or to any aspect of
an IT service
Figure 5-4. Problem Management: Some definitions: Problem, Known Error, and RFC
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Notes:
A problem is a condition often identified as a result of multiple incidents that exhibit
common symptoms. Problems can also be identified from a single significant incident,
indicative of a single error, for which the cause is unknown, but for which the impact is
significant.
A known error is a condition identified by successful diagnosis of the root cause of a
problem, and the subsequent development of a workaround.
Structural analysis of the IT infrastructure, reports generated from support software, and
user-group meetings can also result in the identification of problems and known errors.
This is proactive Problem Management.
Problem control focuses on transforming problems into known errors. Error control focuses
on resolving known errors structurally through the Change Management process.
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Problem Management
Tasks
Incident
Management
Problem
Control
Incident Control
Problem
Problem
Management
Management
Management
Information
Error Control
RFCs
Change
Management
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The Problem Management process is intended to reduce both the number and severity of
incidents and problems on the business. Therefore, part of Problem Management's
responsibility is to ensure that previous information is documented in such a way that it is
readily available to first-line and other second-line staff. This is not simply a matter of
producing documentation. What is required includes:
The information to be indexed so that it is easily referenced by simple and detectable
triggers from new incidents
Regular inspection to ensure the continued relevance of documentation in the light of
changing:
- Technology
- Available external solutions
- Business practices and requirements
- In-house skills
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Problem Management
Scope
Problem control, error control, and proactive Problem Management are all
within the scope of the Problem Management process
Problem Control:
Handle problems in an effective way. Identify root cause (CI at fault), and provide
the Service Desk with information and workaround. Similar to incident control, but
more carefully managed to avoid reoccurrence.
Error Control:
Progresses from known errors until elimination by implementation of a change.
Proactive Problem Management:
Analysis of trends from incident records provides view on potential problems
before they occur
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Problem Management
Progress Control
Identification and
Registration
Classification
Responsibility
Assign Resources
Reporting
Investigation and
Diagnosis
Quality Control
Definition
Known Error
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Problem Management
Progress Control
Responsibility
Reporting
Error Assessment
RFC
Change successful
Quality Control
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Error identification and recording: faulty CI is detected, and known error status is
assigned.
Error assessment: initial assessment of means required to solve the problem and raising
of an RFC. The actual work done is under control of Change Management. Also the
decision can be that some errors are not solved because, for example, it is too expensive.
Recording error resolution: solution for each known error should be in the PM system,
made available for incident matching.
Error Closure: After successful implementation of the change, the error is closed, together
with all associated incident records. Potentially, interim status given.
Monitoring problem and error resolution progress: Change Management is
responsible for implementing RFCs, but error control is responsible for monitoring progress
in resolving known errors and the continuing impact of the problem. Hence close
interaction between both (PM might raise CAB). Monitoring against SLA should happen.
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Problem Management
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Problem Management
Reporting
Reporting on problem management serves an internal purpose as well as an
external purpose
Items that can be reported to IT management:
Time spent on research and diagnosis
Brief description of actions taken
Planning unresolved problems with regard to use of people, use of tools, and costs
Problems categorized into: status, service, impact, category, user group
Turnaround time of closed problems
Elapsed time and expected resolution period for unresolved problems
Temporary corrective actions
Items that are important for Service Level Management
Number of problems categorized into: user group, category, impact, service
Turnaround time of closed problems
Expected solution period for unresolved problems
Items that are important for Service Desk
Status of problems
Information on bypasses
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Problem Management
Reactive - Proactive
Reactive
Proactive
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Problem Management should focus on proactive function.
When Problem Management is introduced in an organization, its main focus is reactive. But
this process should ideally mature from reactive to proactive, otherwise improvement is
necessary.
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Problem Control
Error Control
Registration
Registration
Identification
Identification
identification
identification
Recording
Recording
Recording
Recording
Recording
Recording
Classification
Classification
Assessment
Assessment
Change Mgmt
Change
Change
Management
Management
Problem?
Support
Support
Diagnosis
Diagnosis
Diagnosis
Diagnosis
Error?
Assign
RFC?
Tracking
Tracking
Service
Request?
Tracking
Tracking
Tracking
Tracking
Classification
Classification
Problem Resolution
Problem Resolution
Solution
Solution
Error / problem
Error / closure
problem
Incident
Incident closure
Diagnosis
Diagnosis
Change
Change
Evaluation
(PIR)
Evaluation (PIR)
Resolution
Resolution
Process for Service Requests
Incident closure
Incident closure
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Problem Management
Benefits
The benefits of taking a formal approach to problem management include
the following:
14
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Improved IT service quality. Problem Management helps generate a cycle of rapidly
increasing IT service quality. High-quality reliable service is good for the business users
of IT, and good for the productivity and morale of the IT service providers.
Incident volume reduction. Problem Management is instrumental in reducing the
number of incidents that interrupt the conduct of business.
Permanent solutions. There will be a gradual reduction in the number and impact of
problems and known errors as those that are resolved stay resolved.
Improved organizational learning. The Problem Management process is based on the
concept of learning from past experience. The process provides the historical data to
identify trends, and the means of preventing failures and of reducing the impact of
failures, resulting in improved user productivity.
Better first-time fix rate at the Service Desk. Problem Management enables a better
first-time fix rate of incidents at the Service Desk, achieved via the capture, retention,
and availability of incident resolution and workaround data within a knowledge
database available to the Service Desk at call logging.
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Problem Management
Risks
Potential problem areas:
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Best Practices
Incident Management
(fighting fires)
Problem Management
(find root cause)
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Problem Management
Summary
The goal of problem management is to minimize the impact of incidents and problems
on the business that are caused by errors within the IT infrastructure and to prevent
recurrence of incidents related to these errors.
Proactive - Reactive
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Unit 06
Change Management
Content:
RFC content
Categorization and prioritization of changes
Change Advisory Board (CAB)
Interface to other processes
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Source: IPW Model is a trade mark of Quint Wellington and KPN Telecoms
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Change Management
Mission Statement
Change Management ensures that standardized methods and procedures are
used for efficient and prompt handling of all changes, to minimize the impact of
change-related incidents on service quality, and to improve the day-to-day
operations of the organization.
Goal of Change Management:
Efficient
Efficientand
andcost-saving
cost-saving
implementation
implementationof
of
authorized
authorizedchanges
changes
with
with minimum
minimumrisk
risk
for
forexisting
existingand
andnew
newIT
ITinfrastructure
infrastructure
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Changes arise as a result of problems, but many changes can come from proactively
seeking business benefits such as reducing costs or improving services. The goal of the
Change Management process is to ensure that standardized methods and procedures are
used for efficient and prompt handling of all changes, in order to minimize the impact of
change-related incidents upon service quality, and consequently to improve the
day-to-day operations of the organization.
To make an appropriate response to a change request entails a considered approach to
assessment of risk and business continuity, change impact, resource requirements, and
change approval. This considered approach is essential to maintain a proper balance
between the need for change against the impact of the change.
It is particularly important that Change Management processes have high visibility and
open channels of communication in order to promote smooth transitions when changes
take place.
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Change Management
Some definitions
Change:
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A problem is a condition often identified as a result of multiple incidents that exhibit
common symptoms. Problems can also be identified from a single significant incident,
indicative of a single error, for which the cause is unknown, but for which the impact is
significant.
A known error is a condition identified by successful diagnosis of the root cause of a
problem, and the subsequent development of a workaround.
Structural analysis of the IT infrastructure, reports generated from support software, and
user-group meetings can also result in the identification of problems and known errors.
This is proactive Problem Management.
Problem control focuses on transforming problems into known errors. Error control focuses
on resolving known errors structurally through the Change Management process.
When major problems arise, there may not be time to convene the full Change Advisory
Board (CAB), and it is therefore necessary to identify a smaller organization with authority
to make emergency decisions. Such a body is known as the CAB Emergency Committee
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(CAB/EC). Change procedures should specify how the composition of the CAB and
CAB/EC will be determined in each instance, based on the criteria listed above and any
other criteria that may be appropriate to the business. This is intended to ensure that the
composition of the CAB will be flexible, in order to represent business interests properly
when major changes are proposed. It will also ensure that the composition of the CAB/EC
will provide the ability, both from a business perspective and from a technical standpoint, to
make appropriate decisions in any conceivable eventuality.
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Change Management
This module describes the best practices for change management; they
impact the implementation of many other ITSM best practices. Finally, each
development - either relating to capacity management or a service desk corresponds with changes which again stand for a risk. That is why a very
strict procedure for effective change management makes sense.
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Change Management
Tasks
Management of RFCs
(change requests)
Authorize and
plan changes
Change
Change
Management
Management
Review of all
implemented
changes
Monitoring of change
realization, testing,
and implementation
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Most activities of change management involve control and decide (approval or rejection).
Changes must be carefully managed throughout their entire lifecycle from initiation and
recording, through filtering, assessment, categorization, authorization, scheduling, building,
testing, implementation, and eventually their review and closure. One of the key
deliverables of the process is the Forward Schedule of Change (FSC), a central
programme of change agreed by all areas, based on business impact and urgency.
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Change Management
The Process
RFC
Implementation
Management
RFC Preparation
Classification
Prioritization
Approval
Planning
Realization
Rejection
CAB
Test
Authorization
Rejection
Implementation
Evaluation/PIR
Backout
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Implementation and management activities within change management.
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Acceptance and
Documentation
PIR
Proof of Success
Release
ReleaseManager
Manager
Implementation
Control and
Authorization
Decline
/ Reject
Test
Test
Service
ServicePlanning
Planning
Building
Review
End
Rejected
Scheduling
and Planning
Processing/
Classification
-Registration-
RFC
RFC
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Change Management
Software
Hardware
CIs
CIs
SLA
and so on
Documentation
and so on
Environment
Purpose
RFC
RFC
What? Why?
When?
10
Category
Priority
Resource
Cost
Estimation
Impact on
Business
Services
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Notes:
Requests for Change (RFCs) are triggered for a wide variety of reasons, from a wide
variety of sources. The reasons include:
Required resolution of an incident or problem report
User or customer dissatisfaction expressed via customer liaison or Service Level
Management
The proposed introduction or removal of a new CI
Qproposed upgrade to some component of the infrastructure
Changed business requirements or direction
New or changed legislation
Location change
Product or service changes from vendors or contractors.
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RFCs can be concerned with any part of the infrastructure or with any service or activity.
Here are some examples:
Hardware
Software
Documentation
Telecommunications facilities
Engineering cover
Training courses
IT infrastructure management procedures
Tactical plans
Environmental infrastructure
RFCs can, of course, be in paper form, or as is increasingly the case be held
electronically, perhaps on the company intranet.
The following items should be included in an RFC form, whether paper or electronic:
RFC number (plus cross-reference to problem report number, where necessary)
Description and identity of item(s) to be changed (including CI identification(s) if
Configuration Management system is in use)
Reason for change
Effect of not implementing the change
Version of item to be changed
Name, location, and telephone number of person proposing the change
Date that the change was proposed
Change priority
Impact and resource assessment (which may be on separate forms where convenient)
CAB recommendations where appropriate (which may be held separately, with impact
and resource assessments, where convenient)
Authorization signature (could be electronic)
Authorization date and time
Scheduled implementation (release identification, date and time, or both)
Location of release or implementation plan
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The issue of risk to the business of any change should also be considered prior to the
approval of any change. Change Management should examine each RFC and decide how
to proceed based on the (predefined) category into which the RFC falls. The categorization
process examines the impact of the approved change on the organization in terms of the
resources needed to effect the change. Note that the structure and complexity of these
categories will very much depend on the needs of the business, including the range of
priority ratings identified
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Change Management
Prioritization
Every RFC should be allocated a priority that is based on the impact of the
problem and the urgency of the remedy.
Immediate:
Causing loss of service or severe usability problems to a larger number of users, a
mission-critical system, or some equally serious problem. Immediate action required.
High:
Severely affecting some users, or impacting a large number of users.
To be given highest priority for change building, testing, and implementation resources.
Medium:
No severe impact, but rectification cannot be deferred until the next scheduled release or
upgrade. To be allocated medium priority for resources.
Low:
A change is justified and necessary, but can wait until the next scheduled release or
upgrade. Resources to be allocated accordingly.
12
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Every RFC should be allocated a priority that is based on the impact of the problem and
the urgency for the remedy. This priority rating is used to decide which changes should be
discussed and assessed first, either by Change Management or by the CAB if necessary.
Change Management should be responsible for assigning this priority. The priority of RFCs
ideally should be decided in collaboration with the initiator and, if necessary, with the CAB;
but it should not be left to the initiator alone, as a higher priority than is really justified may
result. Risk assessment is of crucial importance at this stage. The CAB will need
information on business consequences in order to assess effectively the risk of
implementing or denying the change.
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Change Management
Composition of the Change Advisory Board (CAB) should reflect user,
customer, and service provider view
Manager
Finance Dept
Change
Manager
(Executive)
Service Level
Manager
CAB/EC
CAB/EC
Application
Manager
CAB
CAB
Release Manager
Problem
Manager
Experts,
Technical
Consultants
Services Staff
Figure 6-12. Change Management: Composition of the Change Advisory Board (CAB) should reflect user, customer, and service
provider view
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Notes:
The Change Advisory Board (CAB) is a decision authority, which is made up for the most
part of people from other functions within the organization. Note also that it is Configuration
Management who are responsible for ensuring that information regarding the possible
implications of a proposed change is made available, and that these possible impacts are
detected and presented appropriately. There will also be a need to have managers from
different areas of the organization within the CAB. The Change Manager is the executive
authority within the CAB. CAB is an ITIL term.
There will be occasions when a proposed infrastructure change will potentially have a
wider impact upon other parts of the organization (such as application development
projects or business operations), or vice versa. To mitigate possible negative impacts from
either direction, it is imperative that the infrastructure and other Change Management
systems be appropriately interfaced.
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Change Management
Optimization can be reached through correlation of RFCs on related CIs
Original request for
Original request for
change
change
Configuration Management
Software CI to be
changed
Correlating
operating CI
Correlating
education CI
Correlating
hardware CI
14
Figure 6-13. Change Management: Optimization can be reached through correlation of RFCs on related CIs
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Notes:
Configuration Management enables visualization of related CIs. Thus it is possible to
globally estimate the impact of an RFC in the whole IT environment. It would be useful to
consider the impact of an RFC on related CIs; this will give the support team a better view
of the realistic impact on the business, and will reduce bureaucratic expenditure.
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Capacity
CapacityManagement
Management
Configuration
ConfigurationManagement
Management
Determine effects of
planned changes
Service
ServiceDesk
Desk
Reports
Problem
ProblemManagement
Management
Security
SecurityManagement
Management
RFC
Account
AccountManagement
Management
(for
(forcustomers)
customers)
Capacity
CapacityManagement
Management
Change
Management
Process
Service
ServiceBuild
Buildand
andTest
Test
Availability
Availabilityand
andITITServices
Services
Continuity
ContinuityManagement
Management
Transfer
Service
ServiceLevel
LevelManagement
Management
......
Financial
FinancialMgmt
MgmtITITServices
Services
Change Report
Status
Distribution
ConfigurationManagement
ManagementData
DataBase
Base
Configuration
Security
SecurityManagement
Management
Update CMDB
Release
ReleaseManagement
Management
Configuration
ConfigurationManagement
Management
Inform customers
Service
ServiceDesk
Desk
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Change Management
Configuration
ConfigurationManagement
Management
Change
Change
Management
Management
Determine
impact
Approve
change
Capacity
Capacity
Management
Management
Configuration
Configuration
Management
Management
Determine
impact on
business and
IT performance
Determine
affected areas
16
Release
Release
Management
Management
Check distribution
of new software
or, if required, the
hardware change
Configuration
Configuration
Management
Management
Documentation
update CMDB
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Change Management
Benefits
Better alignment of IT services to business requirements
Increased visibility and better communication of changes
Improved risk assessment
Reduced adverse impact of changes on service quality and SLA
Fewer backed out failed changes
Better problem and availability management due to management information on
accumulated changes
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Change Management
Risks
Potential problem areas:
Tracking of the change lifecycle easily leads to overload for a paper-based system
Employees try to bypass change management
Untested backup procedures failing blackout procedures
Integration of external suppliers
Cultural conflicts lacking acceptance of the change management process
Frequent refusal due to lack of strategic expedience
Possible stagnancy due to continuous analyses
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Change Management
Best Practices
Conceive separate procedure for urgent changes and standard changes instead of
using the normal change management process
19
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Change Management
Summary
The goal of the change management process is to ensure that standardized
methods and procedures are used for efficient and prompt handling of all changes,
in order to minimize the impact of change-related incidents upon service quality,
and consequently to improve the day-to-day operations of the organization.
20
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7-1
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Unit 07
Configuration Management
Content:
Best practices
Summary
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Notes:
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Configuration Management
Source: IPW Model is a trade mark of Quint Wellington and KPN Telecoms
3
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7-3
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Configuration Management
Mission Statement
Configuration Management provides a logical model for the infrastructure
or a service by identifying, controlling, maintaining, and verifying the
versions of Configuration Items (CIs) in existence.
Configuration Management covers the identification, recording, and reporting of IT
components, including their versions, constituent components, and relationships. Items
that should be under the control of Configuration Management include hardware,
software, and associated documentation.
The goal of Configuration Management is to provide IT infrastructure control through the
identification, registration, monitoring, and management of:
All the Configuration Items of the IT infrastructure in scope
SM251.0
Notes:
Configuration Management is concerned with selecting and identifying the configuration
structures for all the infrastructure's CIs, including their owner, their interrelationships, and
configuration documentation. It includes allocating identifiers and version numbers for CIs,
labelling each item, and entering it on the Configuration Management Database
(CMDB). CI and CMDB are both ITIL terms.
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Configuration Management
Tasks
Configuration Management is responsible for:
IT
IT
Infrastructure
Infrastructure
Planning
Identification
& naming
Status proof
Control
CMDB
Verification
and audit
SM251.0
Notes:
CM is responsible for records and data associated with a CI, including incidents, known
errors, and problems, and corporate data about employees, suppliers, locations, business
units, and procedures.
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Configuration Management
A category
Relationships
An attribute
A status
CI
CI
CI
CI
CI
SM251.0
Notes:
CIs may be hardware, software, or documentation. Examples include services, servers,
environments, equipment, network components, desktops, mobile units, applications,
licences, telecommunication services, and facilities. Configuration identification includes
allocating identifiers for CIs, including individual versions of the CI and their configuration
documents. Other records and data associated with a CI include incidents, known errors,
and problems, and corporate data about employees, suppliers, locations, business units,
and procedures.
Examples of CIs:
Personal computers
Network components
Service Level Agreements
Manuals
Applications
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Configuration Management
Hardware
Hardware
Software
Software
DocumenDocumen- Environment
Environment
tation
tation
Network
printer
PC
Software
bundle
Local
printer
USV
DBMS
HD
Keyboard
CPU
W.P.
SLA
scope
scope
7
Figure 7-6. Configuration Management: Definition: Configuration Item Scope and Level of Detail
SM251.0
Notes:
All configuration items that are under control of the IT organization are registered in the
Configuration Management Database (CMDB). CIs have relationships to each other. Every
extra detail will bring more work to keep it up to date.
The scope of the Configuration Management database is defined by the area of
responsibility of the IT organization.
The level of detail is defined by the need for information of the IT management processes,
the control of the information, and the costs and benefits of a CMDB.
The attributes of CIs also depend on the need for information, the control of the
information, and the costs and benefits.
The distinction between Configuration Management and Asset Management is the
recognition of relationships between CIs.
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Configuration Management
Tasks
Configuration
identification
Configuration
Control
Configuration
Configuration
Management
Management
Verification and
Audit
Status
Accounting
SM251.0
Notes:
Configuration identification is the selection, identification, and labelling of the configuration
structures and CIs, including their respective owner and the relationships between them.
CIs may be hardware, software, or documentation. Examples include services, servers,
environments, equipment, network components, desktops, mobile units, applications,
licences, telecommunication services, and facilities. Configuration identification includes
allocating identifiers for CIs, including individual versions of the CI and their configuration
documents.
Configuration control is concerned with ensuring that only authorized and identifiable CIs
are recorded from receipt to disposal. It ensures that no CI is added, modified, replaced, or
removed without appropriate controlling documentation, such as an approved change
request.
Configuration status accounting is the reporting of all current and historical data concerned
with each CI throughout its lifecycle. It enables tracking of changes to CIs and their
records, for example tracking the status as a CI changes from one state to another, such as
development, test, live, or withdrawn.
Copyright IBM Corp. 2004
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The first audit must be conducted after the implementation of configuration management.
Furthermore, at regular intervals, verification must take place, in other words the registered
data within the CMDB will be verified with the actual data.
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Configuration Management
Software
Software
Network
Network
Documentation
Documentation
CI Categories
Suite 1
Suite 1
Suite 2
Suite 2
Superordinated CI
(Parent)
Program 1- 1
Program 1- 1
Program 1- 2
Program 1- 2
Program 1- 3
Program 1- 3
Subordinated CI
(Children)
Module 1- 2- 1
Module 1- 2- 1
9
Module 1- 2- 2
Module 1- 2- 2
2004 IBM Corporation
Figure 7-8. Configuration Management: Configuration Management Database (CMDB) Structure Overview
SM251.0
Notes:
Many organizations are already using some elements of Configuration Management,
often using spreadsheets, local databases, or paper-based systems. In today's large and
complex IT infrastructures, Configuration Management requires the use of support tools,
which includes a Configuration Management Database (CMDB). Physical and electronic
libraries are needed along with the CMDB to hold definitive copies of software and
documentation. The CMDB is likely to be based upon database technology that provides
flexible and powerful interrogation facilities.
The CMDB should hold the relationships between all system components, including
incidents, problems, known errors, changes, and releases. The CMDB also contains
information about incidents, known errors, and problems, and corporate data about
employees, suppliers, locations, and business units.
7-11
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Configuration Management
ce
wi
th
dr
aw
an
in
m
ai
nt
en
od
pr
(in
Li
ve
in
In
te
s
st
oc
lo
ve
de
in
re
d
or
de
pl
an
ne
pm
en
uc
tio
n
CMDB Status of CI
Lifecycle of a CI
CMDB scope
10
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Notes:
Status is a mandatory attribute of a CI. Also, status accounting is an activity within
Configuration Management. It covers the reporting of all current and historical data
concerned with each CI throughout its lifecycle. This enables changes to CIs and their
records to be traceable, for example tracking the status of a CI as it changes from one state
to another, for instance under development, being tested, live, or withdrawn.
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Configuration Management
Start
11
Strategic processes
Incident
Finance
Problem
Architectures
Known error
RFC
Approved change
Configuration
Management
Data Base
(CMDB)
Changed, tested,
implemented
Other modules
Service Level
Management
IT Continuity
Management
Closure
2004 IBM Corporation
SM251.0
Notes:
Configuration Management provides information to other processes of Services
Management.
The Configuration Management process interfaces with all other processes:
Providing accurate information on CIs and their documentation. This information supports
all other Service Management processes, such as Release Management, Change
Copyright IBM Corp. 2004
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Student Notebook
Controlling valuable CIs. For example, if a computer were stolen then it would have to be
replaced. Configuration Management helps IT management to know what its assets are
supposed to be, who is responsible for their safekeeping, and whether the actual inventory
matches the official one.
Facilitating adherence to legal obligations. Configuration Management maintains an
inventory of all items of software within an IT infrastructure. CIs that come to light, via
configuration audits or calls to the Service Desk, that are not on this list are not authorized,
and may well have not been paid for. Illegal copies can easily be identified, for erasure or
destruction.
Helping with financial and expenditure planning. Configuration Management provides a
complete list of CIs. It is easy to produce from this list expected maintenance costs and
licence fees; maintenance contracts; licence renewal dates; CI life expiry dates; and CI
replacement costs (provided that this information is stored). By providing this information,
Configuration Management contributes to IT directorates' financial planning.
Making software changes visible. Such changes can be used to trigger investigations by IT
management into possible changes that may be needed for data protection, licence
management, and regulatory compliance.
Contributing to contingency planning. The CMDB and secure libraries facilitate the
restoration of IT service in the event of a disaster, by identifying the required CIs and their
location (provided, of course, that they are themselves properly backed up).
Supporting and improving Release Management. Configuration Management information
supports the rollout across distributed locations by providing information on the versions of
CIs and changes incorporated into a release.
Improving security by controlling the versions of CIs in use. This makes it more difficult for
these CIs to be changed accidentally, maliciously, or for erroneous versions to be added.
Enabling the organization to reduce the use of unauthorized software. Unauthorized
software, and non-standard and variant builds, all increase complexity and support costs,
and so any reduction in their occurrence should bring benefits to the organization.
Allowing the organization to perform impact analysis and schedule changes safely,
efficiently, and effectively. This reduces the risk of changes affecting the live environment.
Providing Problem Management with data on trends. Such data will relate to trends in
problems affecting particular CI types, such as from particular suppliers or development
groups, for use in improving the IT services. This information on problem trends supports
the proactive prevention of problems.
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Configuration Management
Release
Release
Management
Management
Configuration
Configuration
Management
Management
Documentation and
configuration audit
Reporting of
affected CIs, areas,
and people
Approve change
Update
documentation
Implementation
(includes pre-release
testing for software)
Distribution of
software and
hardware
documentation
Update
documentation
Post-implementation
review
Store changed CIs
according to quality
required
Close RFC
Impact analysis
Change
Change
Management
Management
Closure
Figure 7-11. Configuration Management: Relationship with Release and Change Management
SM251.0
Notes:
Configuration Management has a strong relationship with Change and Release
Management. Therefore, these processes are often planned alongside Configuration
Management.
7-15
Student Notebook
Configuration Management
Incident Record
Incident Record
Change Record
Change Record
CI
CI
Problem Record
Problem Record
Service / SLA
Service / SLA
13
Figure 7-12. Configuration Management: CIs and their relations to other processes
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Configuration Management
Variant
Configuration items with same base functionality, but with minor differences (for
example, a printer with additional RAM is a variant of a printer).
Baseline (basis of comparison)
A configuration baseline is the configuration of a product or system established at a
specific point in time, which captures both the structure and details of a configuration. It
serves as a reference for further activities. An application or software baseline provides
the ability to change or to rebuild a specific version at a later date.
A configuration baseline is also a snapshot, or a position, that is recorded. Although the
position may be updated later, the configuration baseline remains fixed as the original
state and is thus available to be compared with the current position. A configuration
baseline is used to assemble all relevant components in readiness for a change or
release, and to provide the basis for a configuration audit and regression, for example
after a change.
The Configuration Management system should be able to save, protect, and report on a
configuration baseline, its contents, and documentation.
14
SM251.0
Notes:
General guidance is: if a CI can be regarded as slightly different from another related CI,
and problems affecting one are likely to affect the other, or changes made to the one will
probably have to be made to the other, then use of a variant should be considered;
otherwise, a different CI should be used.
7-17
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Configuration Management
Licence Management
Responsibility for controlling and auditing software licences should be
unambiguous and involves purchasing and Asset or Configuration Management.
15
SM251.0
Notes:
Licence Management is part of Configuration Management.
Company directors, senior managers, and others are liable to face imprisonment and fines
if illegal software is found to be in use within their enterprise. Configuration Management
enables an enterprise to monitor and control software licences, from purchase to disposal.
Software licence structures, and corporate and multi-licensing schemes, need to be
understood and communicated to service-provider staff and Customers.
Responsibility for controlling and auditing software licences should be unambiguous and
should involve purchasing and Asset or Configuration Management. This may be difficult
when Users find it so easy to purchase and download software from the Internet, but this
can be resolved by links to disciplinary procedures detailed within the organizations
Security Policy.
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Configuration Management
Benefits
16
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Notes:
7-19
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Configuration Management
Costs
Costs are outweighed by benefits, because Configuration Management allows
handling of a large volume of changes, thus keeping quality. Configuration
Management control reduces risks of viruses, wrong software, fraud, theft, and so
on.
Staff costs for developing and running procedures
17
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Configuration Management
Risks
Potential problem areas:
18
SM251.0
Notes:
CIs are defined at the wrong level with too much detail (so that staff become involved in
unnecessary work) or too little detail (so that there is inadequate control).
Implementation is attempted without adequate analysis and design. The end result is,
consequently, not what is required.
Tactical schedules are over-ambitious. Configuration Management may be perceived as a
bottleneck if adequate time is not built into schedules to allow staff to carry out their duties.
When changes and releases are being scheduled, past experience of the time taken to
complete Configuration Management activities should be taken into account. IT
management needs to be proactive in providing automated facilities for activities on the
critical path and to make it clear that time should be allowed for Configuration
Management.
Commitment is lacking. Without a firm commitment to the processes from managers, it is
difficult to introduce the controls that some staff would prefer to avoid. Examples of poor
Change Management and Configuration Management can often convince managers of
the need for better control.
Copyright IBM Corp. 2004
7-21
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Configuration Management
Best Practices
19
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Notes:
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Configuration Management
Summary
20
SM251.0
Notes:
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8-1
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Unit 08
Release Management
Content:
SM251.0
Notes:
8-2
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Release Management
Source: IPW Model is a trade mark of Quint Wellington and KPN Telecoms
3
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Notes:
8-3
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Release Management
Mission Statement
Release Management takes a holistic view of a change to an IT service, and
should ensure that all aspects of a release, both technical and non-technical, are
considered together.
Release Management should be used for:
Major software rollouts, especially initial instances of new applications along with
accompanying software distribution and support procedures for subsequent use if
required
SM251.0
Notes:
Software Control & Distribution (SC&D) is more than just application software. Software
items are operating systems software, middleware configurations, and application
software. In addition to startup scripts and configuration scripts, firmware is also included
under software items.
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Release Management
Goal
Plan and oversee successful rollout of software and hardware releases
Design and implement efficient procedures for distribution and installation of
changes to IT systems
Ensure changes in hardware and software are traceable, authorized, tested, and
correct
Agree content and rollout plan for the release, through Change Management
Implement software and hardware releases in operational environment using
controls from Configuration Management and Change Management
Ensure that all master copies of all software are secured in the DSL and that the
CMDB is updated
SM251.0
Notes:
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Release Management
Licences (for example, software should not be used by more than the
agreed number of users simultaneously)
Release management is responsible for the storage of authorized software (selfdeveloped, purchased or licensed applications, or utility software), the release of
software in a production environment, the distribution of software to remote
locations, as well as the implementation of software to make it operational.
SM251.0
Notes:
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Release Management
Tasks
Definition of release
guidelines
Control of the
Definitive Software
Library (DSL) and
DHS
Release
Release
Management
Management
Distribution of
software, hardware,
and linked CIs
Performing software
and hardware audits
(using CMDB)
Monitoring of the
release creation
Management of
the releases
SM251.0
Notes:
The Release Management process takes a holistic view of changes to IT services,
considering all aspects of a release, both technical and non-technical. Release
Management is responsible for all legal and contractual obligations for all hardware and
software in use within the organization. In order to achieve this and to protect the IT assets,
Release Management establishes secure environments, both for hardware in the Definitive
Hardware Store (DHS), and for software in the Definitive Software Library (DSL).
8-7
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Release Management
Definitions
Release: a collection of authorized changes to an IT service. Often divided into:
SM251.0
Notes:
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Release Management
Communication,
Communication,
Preparation,
Preparation,
Training
Training
Roll-Out Planning
Planning
Roll-Out
Release Acceptance
Acceptance
Release
Fit-for-Purpose
Fit-for-Purpose
Testing
Testing
Distribution &
&
Distribution
Installation
Installation
Live
Live
Environment
Environment
Controlled
Controlled Test
Test Environment
Environment
Build &
& Configure
Configure
Build
Design,
Design,
Development,
Development,
Procurement
Procurement
Release Planning
Planning
Release
Release Policy
Policy
Release
Development
Development Environment
Environment
CMDB
CMDB with
with Definitive
Definitive Software
Software Library
Library (DSL)
(DSL)
SM251.0
Notes:
The main components to be controlled are:
Application programs developed in-house
Externally developed software (including standard off-the-shelf software as well as
customer-written software)
Utility software
Supplier-provided systems software
Hardware, and hardware specifications
Assembly instructions and documentation, including user manuals.
All deliverables need to be managed effectively, from development or purchasing, through
customization and configuration, through testing and implementation, to operation in the
live environment.
This figure outlines the major activities in Release Management and their position in the
lifecycle of a change. Configuration Management records should be updated during build
Copyright IBM Corp. 2004
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and release to ensure that there are trusted releases that can be reverted to in case of
problems. A release should be under Change Management, and the content and timing of
a release should be authorized in advance via the Change Management process.
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User
User
Service
Service
Provider
Provider
Individual
Individual
programs
programs
Individual
Individual
programs
programs
Installation
Installation of
of updates
updates
Software roll-out
Software
Software
transmission
transmission
Software
Software
installation
installation
Installation
Installation
monitoring
monitoring
Configuration
Configuration
Function
Functiontesting
testing
Software
Software
management
management
System reload
Reinstallation
Reinstallation of
ofthe
the base
base system
system
Base
Basesystem
system
System
System
support
support
User-specific
User-specific configuration
configuration
Hardware
Hardware inventory
inventory
Documentation
Documentation of
ofthe
the
software
software configuration
configuration
Transmission
Transmission of
oferror
error
protocols
protocols
CMDB
CMDB
Application support
Remote
Remoteoperation
operationof
of the
the
application
application
Applications
Applications
Guidance
Guidance to
to users
users
Application
Application
support
support
Configuration
Configuration check
check
System support
Update
Update // configuration
configuration of
of PC
PC and
and ISDN
ISDN
technology
technology
System
System
technology
technology
Updates
Updates and
and
patches
patches
Installation
Installation
of
ofupdates
updates
Directed
Directed
information
information flow
flow
10
System
System
support
support
Time
SM251.0
Notes:
Some subprocesses of release management.
8-11
Student Notebook
Release Management
Logical
Storage
Quality Control
(Viruses / Licence /
Test /
Completeness)
Release issue
11
DSL
Software and
linked
Configuration
Items
Physical
Distribution
Physical
Storage
SM251.0
Notes:
The Definitive Software Library (DSL) is the term used to describe a secure compound in
which the definitive authorized versions of all software CIs are stored and protected. This
one storage area may, in reality, consist of one or more software libraries or file-storage
areas that should be separate from development, test, or live file-store areas. It contains
the master copies of all controlled software in an organization. The DSL should include
definitive copies of purchased software (along with licence documents or information), as
well as software developed on-site. Master copies of controlled documentation for a system
will also be stored in the DSL in electronic form.
DHS - An area should be set aside for the secure storage of definitive hardware spares.
These are spare components and assemblies that are maintained at the same level as the
comparative systems within the live environment. Details of these components and their
respective builds and contents should be comprehensively recorded in the CMDB. These
can then be used in a controlled manner when needed for additional systems or in the
recovery from major incidents. Once their (temporary) use has ended, they should be
returned to the DHS or replacements obtained.
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Release Management
Software Release
Release Unit
Determines the content of the
software package
Network
Computer
Release Types
Mainframes
Internet
Software
Software
Distribution
Distribution
Planning
CDs
12
Emergency Fix
2004 IBM Corporation
SM251.0
Notes:
Please note the following for the slide:
Full Release
The major advantage of full releases is that all components of the release unit are built,
tested, distributed, and implemented together. There is no danger that obsolete versions of
CIs that are incorrectly assumed to be unchanged will be used within the release. There is
less temptation to short-circuit testing of supposedly unchanged CIs and of the interfaces
from changed CIs to unchanged ones.
Any problems are therefore more likely to be detected and rectified before entry into the
live environment. The disadvantage is that the amount of time, effort, and computing
resources needed to build, test, distribute, and implement the release will increase.
Although in some circumstances the testing of a delta release (see below) may need to be
as extensive as that for an equivalent full release, the amount of building effort required to
test a delta release is normally less than for a full release.
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Regression testing as part of the process of implementing a full release allows a large
number of components to be retested to ensure that there is no degradation in system
function or behavior.
An example of a full release could consist of the complete release of a new version of
client desktop software, or client desktop hardware, or both.
Delta Release
A delta, or partial, release is one that includes only those CIs within the release unit that
have actually changed or are new since the last full or delta release. For example, if the
release unit is the program, a delta release contains only those modules that have
changed, or are new, since the last full release of the program or the last delta release of
the modules.
There may be occasions when release of a full unit cannot be justified. In such cases, a
delta release may be more appropriate. A decision should be made on whether delta
releases are allowed, and under what circumstances. There is no single correct choice. It
is recommended that delta releases be allowed, with the decision being taken on a case by
case basis.
In each case, the Change Advisory Board (CAB) should make a recommendation, based
upon all the relevant facts, on whether the release unit stipulated in the release policy is
appropriate, or whether a delta release is preferable. In making its recommendation, the
CAB should take into account:
The size of a delta release in comparison with a full release, and hence the resources
and effort required
The urgency of the need for the facilities to be provided by the release to the users
The number of CIs (below the release unit level) that have changed since the last full
release; a very large number may enforce a full release
The possible risk to the business if compatibility errors are found in the release (for
example, would it be preferable to wait for a full release than to risk interface problems
arising with a delta release?)
The resources available for building, testing, distributing, and implementing the delta
release (for example, if implementation is to be via non-technical staff, is it easier to
implement a complete new release than a delta release?)
The completeness of impact analysis information to make an informed and objective
decision.
Package Release
To provide longer periods of stability for the live environment by reducing the frequency of
releases, it is recommended that, where appropriate and where the resulting larger amount
of change can be confidently handled without problems, individual releases (full units,
delta releases, or both) are grouped together to form package releases. For example,
changes to one system or suite will often require changes to be made to others. If all these
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changes have to be made at the same time, they should be included in the same package
release.
A package can, for example, contain an initial version of a new TP service, several new
versions of batch programs, a number of new and initial versions of individual modules,
together with the release of a complete new desktop system (both hardware and software).
Both full and delta releases may be included.
The use of package releases can reduce the likelihood of old or incompatible software
being wrongly kept in use. It can encourage organizations to ensure that all changes that
should be made concurrently, in different suites and systems, are actually made
concurrently. It can also encourage organizations to test the interworking of these suites
and systems fully.
Care should be taken, however, not to exceed, in any particular package release, the
amount of change that can be handled comfortably. When making a decision on what to
include in the package, care should be taken to ensure that the full impact of all individual
parts on each other part is understood and has been properly assessed.
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Release Management
Benefits
Greater success rate in hardware and software release, hence improved QOS delivered to
the business
Assurance that hardware and software in use is of known quality, because releases are built
properly (quality control, testing, under Change Management)
More stable environment, as changes are bundled into releases, hence fewer
implementations required
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Release Management
Costs
Resources
Software: supported software tools, database
Security for DSL
Hardware and equipment, especially data storage
Spare components (DHS)
Network resources (remote control)
Staff:
Salary, training
Tests
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Notes:
This slide discusses the costs of building the DSL and the DHS. For secure release
distribution, a secure network is needed. The staff who support the process and the
tailoring of the process will generate expense.
8-17
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Release Management
Risks
Potential problem areas:
15
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Release Management
Best Practices
Distribution of each software item from the DSL. Use of the DSL as source
for distribution.
16
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Release Management
Summary
Release Management undertakes the planning, design, building, configuration,
and testing of hardware and software to create a set of release components for a
live environment. The focus is to protect the live environment and services
through the implementation of formal procedures and release checks.
17
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Unit 09
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ITIL Foundation
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Source: IPW Model is a trade mark of Quint Wellington and KPN Telecoms
3
Figure 9-2. Service Level Management: Integration into the IPW Model
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Mission Statement
The goal for Service Level Management is to maintain and improve IT service quality, through a
constant cycle of agreeing, monitoring, and reporting upon IT service achievements and instigation
of actions to eradicate poor service, in line with business or cost justification. Through these
methods, a better relationship between IT Services and its customers can be developed.
Service Level Management (SLM) is essential in any organization so that the level of IT service needed to
support the business can be determined, and monitoring can be initiated to identify whether the required
service levels are being achieved - and if not, why not.
Service Level Agreements (SLA), which are managed through the SLM Process, provide specific targets
against which the performance of the IT organization can be judged.
The following belong to the scope of Service Level Management::
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Notes:
Service Level Management is the name given to the processes of planning, coordinating,
drafting, agreeing, monitoring, and reporting on SLAs, and the ongoing review of service
achievements to ensure that the required and cost-justifiable service quality is maintained
and gradually improved. SLAs provide the basis for managing the relationship between the
provider and the customer.
What is an SLA?
A written agreement between an IT service provider and the IT customer(s), defining the
key service targets and responsibilities of both parties. The emphasis must be on
agreement, and SLAs should not be used as a way of holding one side or the other to
ransom. A true partnership should be developed between the IT provider and the customer,
so that a mutually beneficial agreement is reached, otherwise the SLA could quickly fall
into disrepute and a culture of blame prevent any true service quality improvements from
taking place.
9-4
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Demand for IT
services
Offer
IT services
Requirement
Capabilities
Knowledge
Knowledge of
of business
business requirement
requirement
Knowledge
Knowledge of
of the
the service
service catalog
catalog
ITIL Foundation Course | Student material v1.0
Figure 9-5. Service Level Management: SLM Balance service capabilities and service requirements
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Definitions
Service Level Agreement (SLA): agreement between IT service provider and the IT
customer(s), detailing key service targets and responsibilities of both parties.
Operational Level Agreement (OLA): agreement between IT service provider and
other internal service providers on which the service depends.
Underpinning Contract (UC): contract with external IT service providers (for hardware
or software).
Service Catalog (SC): list of all IT services provided which can come into scope for
SLAs. Also lists users of the service and their maintainers.
Service Level Requirement (SLR): list of all customer requirements for the service.
Service Improvement Program (SIP): Management can instigate a SIP to identify and
implement whatever actions are necessary to overcome any difficulties and restore
service quality.
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Tasks
Demand of
service level
Service
catalog
Customer
relationship
care
Service Level
Service Level
Management
Management
Service level
agreement
Operational
level agreements
and contracts (UC)
Service specification
sheet (service
specification)
Monitoring,
review, and
evaluation
Service
improvement
program
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The tasks which belong to SLM activities include those shown on the slide.
9-8
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Define offerings
with OLAs and
Underpinning
Contracts
Report to the
customer and
IT organization
Agree on SLAs
and maintain
Service Catalog
Monitor and
evaluate
service levels
versus SLAs
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The main activities within the SLM process are shown on the slide.
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IT customer
SLA
Service Level
Management
IT Provider
Internal IT Provider
IT Organizations
OLA
Network
HW
Operating
...
UC
Service
Portfolio
External Provider
Figure 9-9. Service Level Management: Manage relationship with customers and suppliers (internal and external)
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To define the service which a IT organization should provide, an SLA is a mandatory
contract. To ensure delivery of service, the IT organization needs an underpinning contract
with its suppliers.
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Legal:
Contract law, handling,
disputes, penalties
SLA
Customers point of view:
Reaction time, service time,
...
Commercial:
Accounting, charging
Technical:
Tools, methods,
metrics collection procedures
11
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Management
reporting, review
methods
Version numbers,
dates, contents,
signatures
Service Level
Service Level
Agreement
Agreement
SLA release
management and
service change
procedures
General information:
contact persons,
escalation, penalties,
definitions
Quality
objectives, care
and support
Service
specification
sheet
12
Concerned parties,
roles and
responsibilities
Figure 9-11. Service Level Management: Content of a Service Level Agreement (SLA)
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Not a fixed rule: some of the content items are mandatory, and others are not.
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Figure 9-12. Service Level Management: Service Level Agreement (SLA) Basic Structure
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Change Management
Scope
Reporting
General conditions
Failure of provision
Penalties
Consulting
Education
Duration of contract
Performance description
Extraordinary termination
Conversion
Priorities
Venue
Escalations
Writing
Other obligations
Final provision
Secrecy
14
Figure 9-13. Service Level Management: Service Level Agreement (SLA) Legal Contents
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Procedures for
changes, delivery,
recovery action
Service
Service
specification
specification
sheet
sheet
Security, backup
and recovery,
contingency,
security
15
Service time
and location, terms
of delivery and
financial terms
Service description,
date, duration,
signatures
Supplied
products and
accessories
Service levels,
availability,
performance
2004 IBM Corporation
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Notes:
The specification sheet specifies in detail what the customer wants (external), and what
consequences this has for the service provider (internal), such as required resources and
skills.
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Benefits
Improvement in IT service quality and reduction of service outages can lead to
significant financial savings
16
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Risks
Potential problem areas:
Monitoring actual achievements and having the same perception as the customer.
This impacts the following:
Committing only to achievable targets
Verifying targets prior to agreement
SLAs based on desires rather than achievable targets
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Costs
The costs for SLM should be viewed as investment and added value.
18
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Best Practices
19
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Summary
The goal of SLM: to maintain and gradually improve business-aligned IT
service quality, though a constant cycle of agreeing, monitoring, reporting, and
reviewing IT service achievements, and through instigating actions to eradicate
unacceptable levels of service
Important reasons for implementing Service Level Management: alignment of
expectations, which is a major prerequisite for running the service organization as
a business; improvement of service quality (customer-oriented) through
measurable service levels
20
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Module 10
Availability Management
Content:
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Availability Management
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Availability Management
Mission Statement
Availability management ensures that IT delivers the right levels of
availability required by the business to satisfy its business objectives and to
deliver the quality of service demanded by its customers.
Availability Management should ensure that the required level of availability is provided.
The measurement and monitoring of IT availability is a key activity to ensure that
availability levels are being met consistently.
Availability Management should look continuously to optimize the availability of the IT
Infrastructure, services, and supporting organisation, in order to provide cost-effective
availability improvements that can deliver proven business enhancements to customers.
Goal of Availability Management:
Forecast, planning, and management of services availability, to ensure that:
All services are based on appropriate and latest CIs
For CIs not supported internally, appropriate agreements exist with third-party
suppliers
Changes are suggested in order to avoid future service downtime
Ensures that SLA-agreed availability is met
4
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Availability Management
Definitions (1)
Availability: measured by Mean Time Between Failures (MTBF).
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Availability Management
Availability is the ability of an IT service or component to perform at a stated instant, or
over a stated period of time.
Reliability is the level of freedom from operational failure of the IT service or
component.
Maintainability is the ability to retain in, or restore a service or component to, an
operational state.
Security focuses on the Confidentiality, Integrity, and Availability (CIA) of data.
Serviceability on its own cannot be measured as a specific metric. It is a measure of
the three Availability, Reliability, and Maintainability capabilities of the IT service and
components that must be done.
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Availability Management
Definitions (2)
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Availability Management
Tasks
Availability
planning
Monitoring,
Review, and
Assessment
Availability
plan
Availability
Availability
Management
Management
Availability
Improvement
Identification
Availability
Requirements
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Availability Management
Outputs:
Availability and recovery design
criteria for new or enhanced IT
services
Inputs:
Availability, reliability, and maintainability
requirements of the business for new or
enhanced IT services.
Availability
Management
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Availability Management
Recognition
Incident
Repair
Diagnosis
Recovery
Recovery
Incident
MTBF
MTBSI
Time
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Notes:
A guiding principle of Availability Management is to recognize that it is still possible to gain
customer satisfaction even when things go wrong. One approach to help achieve this
requires Availability Management to ensure that the duration of any incident is minimized to
enable normal business operations to resume as quickly as possible.
Availability Management should work closely with Incident Management and Problem
Management in the analysis of unavailability incidents.
A good technique to help with the technical analysis of incidents affecting the availability of
components and IT services is to take an incident lifecycle view.
Every incident passes through several major stages. The time elapsed in these stages may
vary considerably. For Availability Management purposes, the standard incident lifecycle,
as described within Incident Management, has been expanded to provide additional help
and guidance, particularly in the area of designing for recovery.
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MTBF (Mean Time Between Failures) is the average elapsed time from the time an IT
service or supporting component is fully restored until the next occurrence of a failure to the
same service or component
MTBSI (Mean Time Between System Incidents) is the average elapsed time between the
occurrence of one failure and the next failure
MTTR (Mean Time To Repair) is the average elapsed time from the occurrence of an
incident to resolution of the incident.
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Availability Management
100
X
10
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Notes:
This slide shows some of the simple mathematics required to enable component and total
Infrastructure Availability to be calculated. This information is needed to help formulate
availability targets for IT components and IT services. Additionally, these output
calculations can be input to any availability modeling tools that are available.
The examples provided in this section are fairly straightforward, with the calculations
presented being sufficient to provide adequate estimates of availability. Where more
detailed estimates of availability are required, it may be necessary to research more
complex mathematical calculations. The statistical analysis of incident data and the
forecasting of availability are a rich study field in many industries outside IT, such as
electronics and aviation.
10-11
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Availability Management
Parallel
Availability = 90%
Disk A
Disk A
Availability = 90%
Disk B
Availability = 90%
AxB=
Disk B
Availability = 90%
11
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Notes:
The availability percentage for each IT component within the total IT infrastructure may be
different, and as such it is necessary to provide a calculation that reflects the total
infrastructure availability.
The levels of resilience provided positively influence the availability percentage for the total
infrastructure.
This slide shows the serial and parallel configuration calculation of availability.
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Availability Management
12
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Availability Management
Assets
Threats
Risk analysis
Risks
Risks
Weaknesses
Risk management
Countermeasures
13
Planning for
possible downtimes
Management
of downtimes
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Notes:
The identification of risks and the provision of justified countermeasures to reduce or
eliminate the threats posed by such risks can play an important role in achieving the
required levels of availability for a new or enhanced IT service.
Risk Analysis should be undertaken during the design phase for the IT infrastructure and
service to identify:
Risks that may incur non-availability for the IT components within the IT infrastructure
and service design
Risks that may incur confidentiality, integrity exposures, or both within the IT
infrastructure and service design
Risk Analysis involves the identification and assessment of the level (measure) of the
risks calculated from the assessed values of assets and the assessed levels of threats to,
and vulnerabilities of, those assets.
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Availability Management
Availability Reporting
Classical reporting measures
% available
% unavailable
Duration of unavailability in hours
Frequency of failure
Impact of failure
Problems with classical measures:
Fails to reflect IT availability as experienced by the business and users
Conceal hot spots. Generally good availability for the IT organization
Does not support continuous improvement
Future measured variables (CCTA acceptance):
Impact by user minutes lost (user productivity)
SM251.0
Notes:
The IT support organization has for many years measured and reported on its perspective
of availability. Traditionally, these measures have concentrated on component availability,
and have been somewhat divorced from the business and user views.
Typically, these traditional measures are based on a combination of an availability
percentage (%), time lost, and the frequency of failure. Some examples of these traditional
measures are as follows:
% Available - The truly traditional measure which represents qvailability as a percentage
and, as such, is much more useful as a component availability measure than as a service
availability measure. It is typically used to track and report achievement against a service
level target. It tends to emphasize the big number, such that if the service level target was
98.5% and the achievement was 98.3%, then it does not seem that bad. This can
encourage a complacent behavior within the IT support organization.
% Unavailable - The inverse of the above. This representation, however, has the benefit of
focusing on non-availability. Based on the above example, if the target for non-availability
was 1.5% and the achievement was 1.7%, then this is a much larger relative difference.
10-16 ITIL Foundation
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This method of reporting is more likely to create awareness of the shortfall in delivering the
level of availability required.
Duration - Achieved by converting the percentage unavailable into hours and minutes.
This provides a more human measure that people can relate to. If the weekly downtime
target is 2 hours but one week the actual was 4 hours, this would represent a trend leading
to an additional 4 days of non-availability to the business over a full year. This type of
measure and reporting is more likely to encourage focus on service improvement.
Frequency of failure - Used to record the number of interruptions to the IT service. It helps
provide a good indication of reliability from a user perspective. It is best used in
combination with Duration to take a balanced view of the level of service interruptions and
the duration of time lost to the business.
Impact of failure - This is the true measure of service unavailability. It depends upon
mature incident recording, where the inability of users to perform their business tasks is
the most important piece of information captured. All other measures suffer from a potential
to mask the real effects of service failure.
The business may have, for many years, accepted as a fait accompli that the IT availability
that they experience is represented in this way. However, this is no longer being viewed as
acceptable, and the business is keen to better represent availability in measure(s) that
demonstrate the positive and negative consequences of IT availability on their business
and users.
The traditional IT approach to measurement and reporting provides an indicator of IT
availability and component reliability which is important for the internal IT support
organization. However, to the business and users, these measures fail to reflect availability
from their perspective and are rarely understood. This often fuels mistrust between the
business and IT where, despite periods of instability, the % target has been met even
though significant business disruption has occurred and customer complaints have been
received.
Furthermore, this method of measurement and reporting can often hide the benefits
delivered to the business from IT improvements. The traditional IT availability measures
can simply mask real IT added value to the business operation.
While the traditional IT availability measurement and reporting methods can be considered
appropriate for internal IT reporting, the disadvantages of this approach are that they:
Fail to reflect IT availability as experienced by the business and the users
Can conceal service hot spots, whereby regular reporting shows the SLA as being
met, but the business, the users, or both, are becoming increasingly dissatisfied with
the IT service
Do not easily support continuous improvement opportunities to drive improvements that
can benefit the business and the users
Can mask IT added value, where tangible benefits to the business and users have
been delivered, but the method of measurement and reporting does not make this
visible.
Copyright IBM Corp. 2004
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Availability Management
Benefits
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Availability Management
Risks
Potential problem areas:
Costs of availability management are seen as overhead and are too high
It is difficult to quantify the availability demands of the user and to determine
their costs
Vendor dependency
Broad knowledge of IT infrastructure
16
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Availability Management
Best Practices
17
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Availability Management
Summary
The goal of the Availability Management process is to optimize the capability of
the IT infrastructure, services, and supporting organization to deliver a costeffective and sustained level of availability that enables the business to satisfy
its business objectives.
18
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Unit 11
Capacity Management
Content:
Best practices
Summary
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Capacity Management
Source: IPW Model is a trade mark of Quint Wellington and KPN Telecoms
3
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Capacity Management
Mission Statement
Capacity Management is responsible for ensuring that the capacity of the IT infrastructure matches
the evolving demands of the business in the most cost-effective and timely manner.
Capacity Management needs to understand the business requirements (the required provision of IT
services), the organization's operation (the current provision of IT services), and the IT infrastructure (the
means of provision of IT services), and to ensure that all the current and future capacity and performance
aspects of the business requirements are provided cost-effectively.
However, Capacity Management is also about understanding the potential for service provision. New
technology needs to be understood and, if appropriate, used to deliver the services required by the
business. Capacity Management needs to recognize that the rate of technological change will probably
increase and that new technology should be harnessed to ensure that the IT services continue to satisfy
changing business expectations. One of the result of the activities of Capacity Management is a
documented capacity plan.
The goal of Capacity Management:
Ensure
Ensure
required,
required,acceptable,
acceptable,
costeffective
cost
cost-effectivecapacity
capacity
of
IT
resources,
in
of IT resources, inorder
orderthat
thatthe
theservice
servicelevels
levelswhich
whichare
are
agreed
with
the
company
are
fulfilled
in
a
timely
manner.
agreed with the company are fulfilled in a timely manner.
4
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Capacity Management
Demand Management
Business
Capacity
Management
Service
Capacity
Management
Resource
Capacity
Management
Capacity Plan
Iterative activities
(Performance Mgmt)
Capacity
Database
SM251.0
Notes:
Capacity Management consists of a number of sub-processes, within which there are
various activities. The sub-processes of Capacity Management are:
Business Capacity Management: This sub-process is responsible for ensuring that the
future business requirements for IT services are considered, planned, and implemented in
a timely fashion. This can be achieved by using the existing data on the current resource
utilization by the various services to trend, forecast, or model the future requirements.
These future requirements come from business plans outlining new services,
improvements and growth in existing services, development plans, and so on.
Service Capacity Management: The focus of this sub-process is the management of the
performance of the live, operational IT services used by the customers. It is responsible for
ensuring that the performance of all services, as detailed in the targets in the SLAs and
SLRs, is monitored and measured, and that the collected data is recorded, analyzed, and
reported. As necessary, action is taken to ensure that the performance of the services
meets the business requirements. This is performed by staff with knowledge of all the
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areas of technology used in the delivery of end-to-end service, and often involves seeking
advice from the specialists involved in Resource Capacity Management.
Resource Capacity Management: The focus in this sub-process is the management of
the individual components of the IT infrastructure. It is responsible for ensuring that all
components within the IT infrastructure that have finite resource are monitored and
measured, and that the collected data is recorded, analyzed, and reported. As necessary,
action must be taken to manage the available resource to ensure that the IT services that it
supports meet the business requirements. In carrying out this work, the Capacity
Management process is assisted by individuals with specialist knowledge in the particular
areas of technology.
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Capacity Management
Tasks
Iterative
Activities
Business
Capacity
Management
Analyze
Tuning
Service
Capacity
Management
Resource
Capacity
Management
Implementation
Capacity
Capacity
Management
Management
Monitoring
Demand
Management
Capacity
Database
(CDB)
Application
Sizing
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Notes:
Ongoing: iterative activities, Demand Management, storage of data in the Capacity
Database (CDB)
Ad hoc: Modeling and application sizing
Regularly: Production of capacity plan
Iterative activities:
Monitoring in order to ensure optimum use of hardware and software such that agreed
service levels can be achieved. Metrics are:
CPU, memory, file store utilization
Transactions: per second, response time
Batch duration profiles
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Distinguish between availability data and performance data. Thresholds should be set
based on analysis of previously recorded data. They should be set below targets in SLAs to
allow for corrective action before an SLA is breached.
Analysis of the collected data to identify trends from which normal utilization and service
levels can be established. Report on exception conditions compared with baseline. Predict
future resource usage. Analysis should happen on short-term, medium-term, and
long-term.
Tuning of configurations to improve performance through:
Balancing workloads or disk traffic
Change locking strategy (database, page, table, record, row)
Efficient use of memory
Implementation of tuning activities in the live environment should happen through
Change Management to limit impact on the customers of the service.
Capacity Database
It is a cornerstone of a successful Capacity Management system. It is the basis of
performance and capacity reports to be delivered to management and technical personnel.
All sub-processes use it.
For more details, see notes on page 11-14.
Demand Management
Influence demand for, and use of, resources
Carried out as short-term solution to a capacity problem (like the breakdown of a
redundant component that was also in use, hence halving capacity)
Carried out as longer-term solution if difficult to justify expensive upgrade
Exercised through:
- Physical constraints or limiting usage
- Financial constraints or charging
Can be carried out by any of the three sub-processes.
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Capacity Management
INPUT
Technologies
SLAs, SLRs, and
service portfolio
Business plans and
strategies
Maintenance windows
Employment and
development plans and
programmes
Planning of future
changes
Incidents and
problems
Service reviews
SLA violation
Financial plans
Budgets
OUTPUT
Capacity plans
CDB
Minimum requirements
and profiles
Threshold values and
signals
Capacity reports
(regular, ad hoc, and in
special cases)
SLA and SLR
recommendations
Costs and
recommendations for
further calculations
Proactive changes and
service improvements
Revised maintenance
windows
Effectiveness review
Audit reports
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Capacity Management
Iterative Activities
A number of the activities of Capacity
Management need to be carried out
iteratively, and form a natural cycle:
Tuning
Implementation
Analysis
Monitoring
Resource
Utilization
Thresholds
SLM Exception
Resource Utilization
Reports
Exception Reports
SLM Thresholds
Capacity
Management
Database
(CDB)
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Notes:
Monitors should be established on all the components and for each of the services. The
data should be analyzed, using, wherever possible, expert systems to compare usage
levels against thresholds. The results of the analysis should be included in reports, and
recommendations made as appropriate. Some form of control mechanism may then be put
in place to act on the recommendations. This may take the form of balancing services,
changing concurrency levels, and adding or removing resource. The cycle then begins
again, monitoring any changes made to ensure that they have had a beneficial effect, and
collecting the data for the next day, week, or month.
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Capacity Management
Capacity Plan
The Capacity Plan should be published annually in line with the budgetary cycle. Ideally, it
should be updated quarterly, and consists of the following parts:
Introduction
Scope of planning
Methods
Assumptions and prerequisites
Management summary
Business evaluations and scenarios
Service summary
Resource summary
Options for service improvement
Cost model
Recommendations
Business benefit to expect
Potential impact (of not) carrying out recommendations; risks involved
Required resources
Costs: unique and ongoing
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Capacity Plan
Contains:
Introduction
Explains background to this issue of the capacity plan:
Current levels of capacity of the organization
Problems and pain points identified due to over- or under-capacity.
Changes since last issue of capacity plan
Scope of plan is given (ideally all IT resources).
Methods used (how and when information obtained from sub-processes):
Business forecasts from business plans
Workload forecasts from users
Service level forecasts from modeling
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Management summary
Highlight main issues, options, recommendations and costs.
Business scenarios
Put the plan in the context of the current and future business environment. Mention all
known business forecasts so that readers can determine what is inside and outside the
scope of the plan.
Service summary
For each current and recent service provision, provide a service profile, including
throughput rates and resulting resource utilization. Trends should be presented.
Service forecasts should be detailed because of new and demised services.
Resource summary
Current and recent resource usage should be documented, reporting on trends.
Resource forecasts coming from service forecasts.
Options for service improvement
Outlines possible options for improving effectiveness and efficiency of service delivery;
upgrading network, consolidating applications, rewriting custom built applications, and so
on.
Cost model
Costs associated with options should be documented.
Current and forecasted cost of providing IT services (data generally coming from IT
financial management).
Recommendations
Summary of recommendations made in previous plan and status.
Any new recommendations should be made.
Recommendations should be quantified in terms of:
Business benefit to expect
Potential impact in (not) carrying out recommendations
Risks involved
Resources required
Setup cost and ongoing cost
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Capacity Management
Capacity Database
Capacity Database (CDB)
Data in the CDB is stored and used by all the sub-processes of Capacity
Management because it is a repository that holds a number of different types of
data: business, service, technical, financial, and utilization data.
The information in the CDB is used to form the basis of performance and Capacity
Management reports that are to be delivered to management and technical
personnel.
The data is also utilized to generate future capacity forecasts, and to allow
Capacity Management to plan for future capacity requirements.
11
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Capacity Database
It is a cornerstone of a successful Capacity Management system. It is the basis of
performance and capacity reports to be delivered to management and technical personnel.
All sub-processes use it.
It contains business data:
Number of accounts
Number of branches
Number of calls into call centers
Number of PCs
Anticipated workloads
It contains service data:
Transaction response times
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Capacity Management
Costs
Setting up Capacity Management:
failure
Cost savings
Both achievable through:
Planned buying
Deferring expenditure until really
needed (but in a controlled way)
Matching capacity to business need
Ensures that systems have sufficient capacity
to run the applications required by the
business for the foreseeable future
Planned
Planned buying
buying is
is cheaper
cheaper than
than panic
panic buying.
buying.
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Capacity Management
Risks
Potential problem areas:
Considering all service areas (software, PC, server, LAN, WAN, TK, and so
on) within the scope of capacity management
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Possible problems:
Over-expectation
Customer expectations often exceed technical capability. Therefore it is essential that
customer expectations for new applications be managed from the outset. Capacity
Management needs to discuss with customers the technical feasibility and, more
importantly, the cost implications, of meeting over-ambitious requirements. The opportunity
to achieve this is provided as part of the application sizing activity, where requirements and
expectations should be discussed and agreed between all parties.
The improvements that can be made through regular tuning may not be significant.
However, if a service or application has been badly designed or implemented, a large
performance gain may be possible.
Also Demand Management is often constrained by the requirement for constant online
access to corporate information. It is not always easy or possible to reschedule the use of
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services to quieter off-peak periods. For example, it would be difficult for an Internet site
selling flowers to influence the demand for flowers on or around St Valentine's Day!
Vendor influence
Where budget and sales target deadlines coincide, it is not uncommon to be offered what
seems to be the deal of a lifetime, such as purchase sufficient capacity for today and
tomorrow at yesterdays prices. On face value, cost efficiencies can be realized; however,
before purchasing, remember:
The pace of change is rapid: today's special offer is often tomorrow's end-of-line
product
Technological advancement: tomorrow's technology will perform faster and have more
built-in capacity than today's technology
The overall reducing cost of technology: today's performance and capacity will always
be cheaper tomorrow and considerably cheaper in six months time.
Manufacturers quoted performance figures are often not achievable within a production
environment. Care should be taken when negotiating with vendors for additional
performance. Where possible, performance figures should be verified before purchase
through reference site visits and by simulation testing where appropriate.
Lack of information
Time-to-market pressures are placing ever-increasing demands, and as a result business
planning cycles are shorter. This is not an excuse, but a statement of fact about the
environment within which Capacity Management must function. Traditionally, it has always
been difficult to obtain accurate business forecasts, in order to predict increases and
decreases in demand for IT capacity.
However, even the best business planning function cannot always accurately predict
demand. There have been numerous recent examples of unprecedented and unpredicted
consumer demand for either the latest product or the latest information. Internet sites that
are suddenly popular are good examples of consumer demand far outstripping supply and
causing failed or drastically delayed delivery of information or products. The Internet is a
prime example where consumers literally at the click of a button are lost forever as they
go elsewhere to receive a service, never again to return to a temporarily unavailable or
slow site.
It is not possible to provide consistently high-quality service levels, cost-effectively, without
timely, accurate business planning information being made available. However, Capacity
Management can work effectively, even with crude business estimates. Also, it helps if the
Capacity Management process understands the business and can talk to the customer in
their language. The business is much more likely to know how many chocolate bars it is
going to sell than the amount of CPU seconds it uses in the process. The Capacity
Management process always improves over time.
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Capacity Management
Best Practices
The Capacity Management process should be reviewed for effectiveness and
efficiency at regular intervals to ensure that:
It is producing the required output at the required times for the appropriate
audience
Its activities are cost-effective
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Capacity Management
Summary
The goal of Capacity Management is to ensure that all the current and
future capacity and performance aspects of the business requirements
are provided in a timely and cost-effective manner.
Demand Management
Capacity Plan and Capacity Database (CDB)
Good
Good Capacity
Capacity Management
Management ensures
ensures NO
NO SURPRISES!
SURPRISES!
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Unit 12
Financial Management
Content:
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Financial Management
Source: IPW Model is a trade mark of Quint Wellington and KPN Telecoms
3
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Financial Management
Mission Statement
Financial Management ensures that the IT organization is able to account fully on
the money spent on IT services, to attribute these costs to IT services delivered to
customers, and to assist management decisions on IT investment by providing
detailed business cases for changes to IT services.
The goal of IT Financial Management is also:
For internally (in-house) oriented IT service providers
Monitoring of the usage of IT components and resources for supplying IT
services with regard to cost efficiency
For externally oriented IT service providers
Recording of costs incurred, and details of how these relate to services
performed for the customer
Support management decisions about IT investment by means of detailed
business cases.
4
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Financial Management
Figure 12-4. Financial Management: Why Financial Management for IT Services (1)
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Financial Management
Flexible determination of services which are to be defined. It is the basis for the business design of IT
services.
Figure 12-5. Financial Management: Why Financial Management for IT Services (2)
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Financial Management
Tasks
ITITFinancial
Financial
Management
Management
Budgeting
IT Accounting
Ensures that
business provides
sufficient funds to
run the IT services
it requires
Provides management
information on the
cost of providing IT
services supporting
business needs
Charging
Provides sound
business method of
balancing shape
and quantity of IT
services with needs
and resources of the
customers
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Financial Management
Process
Business IT
Business IT
requirements
requirements
IT operational
IT operational
plan (including
plan (including
budgets)
budgets)
Financial targets
Cost analysis
Cost analysis
(accounting)
(accounting)
Costing
models
external
Charging
Charging
internal
Charging
Charging
Charging
policies
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This slide looks at methods for an IT organization to predict and calculate the costs of
service, and discusses ways of estimating the proportion of costs that can be attributed to
each customer where an IT service is shared. This simple diagram is used as a basis for
the whole item.
In summary:
Budgeting enables an organization to:
Predict the money required to run IT services for a given period
Ensure that actual spend can be compared with predicted spend at any point
Reduce the risk of overspending
Ensure that revenues are available to cover predicted spend (where charging is in
place)
IT accounting enables an organization to:
Account for the money spent in providing IT services
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Calculate the cost of providing IT services to both internal and external customers
Perform cost-benefit or Return-on-Investment analyses
Identify the cost of changes
Charging enables an organization to:
Recover the costs of the IT services from the customers of the service
Operate the IT organization as a business unit if required
Influence user and customer behavior
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Financial Management
Budgeting is the process of predicting and controlling the spending of money within the
organization, and consists of a periodic negotiation cycle to set budgets (usually annual) and the
day-to-day monitoring of the current budgets. Budgeting enables an organization to:
Predict the money required to run IT services for a given period
Ensure that actual spending can be compared with predicted spending at any point
Reduce the risk of overspending
Ensure that revenues are available to cover predicted spending (where charging is in place)
Accounting is the set of activities that enable the IT organization to account fully for the way its
money is spent. IT accounting enables an organization to:
Account for the money spent in providing IT services
Calculate the cost of providing IT services to both internal and external customers
Perform cost-benefit or return-on-Investment analyses
Identify the cost of changes
Figure 12-8. Financial Management: Process Budgeting and Accounting Activities (mandatory)
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The aim of budgeting is that the actual costs match the budget (predicted costs). This
budget is usually set by negotiations with the customers who are providing the funds
(although this sometimes happens at an unrefined level, where the business leaders agree
proportions of their revenue to be used to fund IT, based upon what IT have told them their
costs are). Good budgeting is essential to ensure that the money does not run out before
the period ends. Where shortfalls are likely to occur, the organization needs early warning
and accurate information to enable good decisions to best manage the situation.
Current leading practice is to use IT accounting to aid investment and renewal decisions,
and to identify inefficiencies or poor value, but to charge a fixed amount for an agreed
capacity (determined by the level of service agreed in the Service Level Agreements or
SLAs). In this case, IT Finance Management works with Service Level Management (they
may even be the same person) to ensure that the overall costs of running the agreed
services should not exceed the predicted costs. Charging is then often a matter of billing for
agreed periods at an agreed rate, for example 1/12 of each customer's IT budget each
calendar month. Additional charges are made for work above the agreed service levels
(such as office moves, major roll-out, unplanned hardware upgrade).
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Financial Management
Recover the costs of the IT services from the customers of the service
Operate the IT organization as a business unit if required
Achieve transparency for customers
Influence user and customer behavior
Achieve profit
Use market strength (invisible hand)
Deliver effective services in agreed quality and quantity
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Financial Management
Cost Types
For producing a cost model, the suggested cost types are:
All
All costs
costs for
for services
services can
can be
be grouped
grouped into
into the
the cost
cost types
types listed.
listed.
Other
types
are
possible;
this
is
not
a
fixed
rule.
Other types are possible; this is not a fixed rule.
Important:
Important: all
all major
major cost
cost elements
elements in
in the
the current
current or
or proposed
proposed IT
IT
budget
are
identified
and
then
attributed
to
the
customers
who
budget are identified and then attributed to the customers who
cause
cause them.
them.
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External service and transfer costs need further explanation. It is now common to buy in
services from external parties (external services) that are a mixture of cost types, for
example an outsourced service for providing an organizations application development, or
the provision of a data center. It may be difficult to break down this cost (into each of the
first four categories), as it is likely to contain elements that are indivisible or that the
supplier will not wish to detail. It is easier and more usual to categorize this as an external
service cost.
Transfer costs are those that represent goods and services that are sold from one part of
an organization to another (often within a multinational or other large organization that has
a sophisticated internal accounting system). Transfer costs may be for:
Hardware (an IT organization buying PCs on behalf of a business customer)
Software (the corporate finance department producing control mechanisms for IT to
manage their costs)
People (the HR overhead levied by the corporate HR department)
Accommodation (a charge made by the Facilities Management department)
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Transfer costs should be visible in the cost model, because people may forget that internal
goods and services represent a cost to the organization and are part of the cost of
providing service. Hence, a false figure may be reached when assessing costs if a service
is dependent upon activity from another part of the organization but this cost is excluded
from calculations. Some organizations will insist on these transfer costs being accounted
for in each part of the organization, while others might only use them when modeling costs,
and no money will actually pass across the organization. In this publication, it is assumed
that it is not necessary to separately identify transfer costs in the cost model examples.
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Financial Management
Cost Classification
Capital Costs
Operational Costs
Direct Costs
those clearly attributable to a single customer,
such as manufacturing systems used only by
the Manufacturing division.
Fixed Costs
Variable Costs
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The cost-by-customer cost model requires that all major cost elements in the current or
proposed IT budget be identified and then attributed to the customers who cause them.
To do this, the costs first have to be identified as either direct or indirect:
Direct costs are those clearly attributable to a single customer, such as manufacturing
systems used only by the Manufacturing division.
Indirect costs (sometimes called overheads) are those incurred on behalf of all, or a
number of, customers, such as the network or the technical support department, which has
to be apportioned to all, or a number of, customers in a fair manner.
Any indirect costs (sometimes called unabsorbed overheads) which cannot be apportioned
to a set of customers have then to be recovered from all customers in as fair a way as
possible, usually by uplifting the costs calculated so far by a set amount. This ensures that
the sum of all of the costs attributed to each customer still equals the total costs incurred by
the IT organization; this is referred to as the balance check. This balance check can be
applied to costs divided in other ways, such as by service or location; the sum of the parts
should always equal the whole.
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If the cost model is being produced for the first time, the categories and cost elements for it
need to be developed first, to a level of detail that meets the needs of IT accounting and of
any charging to be performed. Hence an understanding of charging policies is necessary
when the cost model is drawn up.
If costs are mainly direct, perhaps because each customer has independent hardware and
software, the method of recording and of apportioning costs can be very simple. For
example, if Finance are the only customers of the general ledgers and the system on which
they run, all costs directly associated with the general ledgers, including purchase,
maintenance, and support, can be attributed to the Finance department's code in the
ledgers (often called a cost center or a charge code).
However, if resources are shared, for instance a mainframe is running applications for
more than one customer, the hardware costs may have to be classified as indirect and
apportioned to each customer, say by CPU seconds, disk storage, print volumes, and so
on, from workload predictions. To do this requires a model that allows these costs to be
spread across a number of customers.
For finance purposes, costs are classified into either capital or operational when the
financial ledgers are reported (the books). This is because capital expenditure is
assumed to increase the total value of the company, while operational expenditure does
not, although in practice the value of capital expenditure decreases over time
(depreciates).
This distinction affects IT accounting, because the cost model needs a method of
calculating the annual cost of using a capital item (such as a mainframe) to deliver an IT
service. The annual costs must make allowance for the decreasing value of capital items
(assets), and make for timely renewal of capital items, such as buildings, servers, and
applications. Usually, this is taken as the annual depreciation, from a method set by the
Finance department (within the boundaries of the country's laws).
Capital costs are typically those applying to the physical (substantial) assets of the
organization. Traditionally this was the accommodation and machinery necessary to
produce the organizations product. Capital costs are the purchase or major enhancement
of fixed assets; for example, computer equipment, building, and plant are often also
referred to as one-off costs. It is important to remember that it is not usually the actual
cost of items purchased during the year that is included in the calculation of the cost of the
services, but the annualized depreciation for the year.
Operational costs are those resulting from the day-to-day running of the IT services
organization, such as staff costs, hardware maintenance, and electricity, and relate to
repeating payments whose effects can be measured within a short timeframe, usually less
than the 12-month financial year.
Fixed or Variable
Costs that do not vary even when resource usage varies are referred to as fixed costs.
Examples of this would be a maintenance contract for a server, or a corporate software
license (within agreed user limits).
Copyright IBM Corp. 2004
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Variable costs are those that vary with some factor, such as usage or time. They are likely
to be used for cost elements which cannot be easily predicted, and for which it is to the
benefit of both supplier and customer to determine the costs exactly, perhaps for variable
charges to be applied. Examples of charges that might vary, because the underlying cost
varies, are out-of-hours cover, major equipment relocation, and the production of additional
quarterly reports.
A cost element such as file store may be considered to be variable. If a customer requires
an additional 10 GB, it may be possible to calculate that the cost of this is 1000, and
hence that the cost per GB is 100. The danger of this approach is that there are often
sharp changes in costs because they cannot be continuously scaled: the next disk drive
may require another cabinet, or an additional process run on the server may cause
queuing problems resulting in all jobs taking longer to run.
It is sometimes necessary to view a cost as having a fixed element and a variable element,
for example, using file store at all requires disk controllers and bandwidth, causing a fixed
cost. The variable cost of additional disk drives can then be calculated and added to the
fixed portion. This level of detail is not usually needed in calculating the cost of a service,
but can be useful when evaluating competing technologies or services.
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Financial Management
Example of IT Accounting
Hardware
Software Personnel
Hardware
Software Personnel
Facility
Facility
External services
External services
Transfer
Transfer
Indirect costs
(overhead costs)
Cost centers
Direct costs
(individual costs)
Calculation
Calculation
Product (groups)
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Financial Management for IT Services interacts with most IT service processes and has
particular dependencies upon and responsibilities to:
Service Level Management - The SLA specifies customer expectations and IT
Services obligations. The cost of meeting the customer's requirements may have a
major impact on the shape and scope of the services that are eventually agreed. IT
Finance Management liaises with Service Level Management about the costs of
meeting current and new business demands, the charging policies for the organization,
their effects on customers, and how the policies are likely to influence customer and
user behavior. The more that the SLA allows individual customers to request variations
to service levels, the greater is the scope for (and potential benefits of) charging for IT
services, but also the greater the overheads of budgeting, IT accounting, and charging.
Capacity Management - Cost information can be used to estimate the costs of the
desired capacity and availability of the system. In planning the capacity, it may be
necessary to discuss the costs with individual customers or the organization as a whole.
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Data that is collected so that costs can be determined may also be relevant to capacity
assessments, such as staff effort, machine usage.
Configuration Management -Financial Management requires asset and cost
information that may be managed by large organization-wide systems. Configuration
Management is responsible for managing the data relating to assets (configuration
items) and their attributes (such as cost).
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Benefits
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Financial Management
Risks
Potential problem areas:
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There are a number of possible problems in implementing IT accounting and charging:
IT accounting and charging are often new disciplines in IT Services, and there is limited
understanding of leading practice in cost modelling and charging mechanisms, which
could lead to over-complex or ineffective systems.
IT accounting relies on planning information provided by other processes both within
and outside IT Services Management which may not be routinely available, delaying the
project.
Staff combining accountancy and IT experience are rare, so many activities may need
to be shared with staff from outside IT Services who may not have this as their priority.
The IS strategies and objectives of an organization may not be well formulated and
documented, and prediction of capacity requirement may not be accurate.
Senior business managers may not recognize the benefits of IT accounting and
charging, and may resent the administrative overheads and the limitations on workload.
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The IT organization may not be able to respond to changes in users' demands once
costs become an influence.
The IT accounting and charging processes are so elaborate that the cost of the system
exceeds the value of the information produced.
The monitoring tools providing resource usage information are inaccurate or irrelevant,
or cost too much to develop and maintain..
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Financial Management
Best Practices
Customer-specific charging
Financing, benchmarks, and investments are very important
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Summary
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Unit 13
Business impact
Risk analysis
Service recovery
Continuity plan
Continuity plan testing and review
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ITSCM Management
Source: IPW Model is a trade mark of Quint Wellington and KPN Telecoms
3
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ITSCM
Mission Statement
The mission for IT Service Continuity Management (ITSCM) is to support the overall Business
Continuity Management process by managing risks to ensure that IT services (including computer
systems, networks, applications, telecommunications, technical support, and service desks) can be
recovered within required, agreed-to business timescales.
ITIL Discipline Contingency Planning (disaster planning) was renamed to IT Service Continuity Management
(ITSCM), and is now part of Business Continuity Management.. The dependencies between business
processes and technology are now so intertwined that Contingency Planning (or Business Continuity
Management, as it is now sometimes termed) incorporates both a business element (Business Continuity
Planning) and a technology element (IT Service Continuity Management Planning).
Goal of ITSCM:
The goal for ITSCM is to support the overall Business Continuity Management process by ensuring
that the required IT technical and services facilities, including:
computer systems
networks
applications
telecommunications
technical support and Service Desk
can be recovered within required, and agreed, business timescales.
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Why ITSCM
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ITSCM
Figure 13-5. ITSCM: Definitions: Business Continuity Management (BCS) and ITSCM
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ITSCM
Tasks
ITSCM
ITSCM
Taking
requirements
from BCM
Making, testing,
improving, and
maintaining a
continuity plan
Risk analysis
and risk
management
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ITSCM
Initiate BCM
Business Impact Analysis
Risk Assessment
Business Continuity Strategy
Phase 3: Implementation
Organizational
and
Implementation
Planning
Implement
Standby
Arrangements
Develop Recovery
Rules
Implement Risk
Reduction
Measures
Develop Procedures
Initial Testing
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It is not possible to develop an effective ITSCM plan in isolation; it must fully support the
requirements of the business. This section considers the four stages of the Business
Continuity lifecycle, with particular emphasis on the IT aspects. A full understanding of the
Business Continuity process can be obtained through the OGC ITIL publications,
An Introduction to Business Continuity Management and A Guide to Business Continuity
Management.
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ITSCM
Percent
Percent
Theft
Theft
36%
36%
Virus
Virus
20%
20%
Hacking
Hacking
16%
16%
Hardware
Hardware // Communication
Communication
11%
11%
Environment
Environment
7%
7%
Software
Software
4%
4%
Fire
Fire // Flood
Flood // Force
Force Majeure
Majeure
3%
3%
Other
Other
3%
3%
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ITSCM
Some events that have caused problems
Below
Below is
is aa brief
brief list
list of
of high-profile
high-profile events
events that
that have
have caused
caused significant
significant problems
problems to
to
organizations
organizations over
over the
the years:
years:
Technical
Technical failure:
failure: London
London Stock
Stock Exchange
Exchange (2000)
(2000)
Poison
Poison gas:
gas: Tokyo
Tokyo Underground
Underground System,
System, Japan
Japan (March
(March 1995)
1995)
Power
Power Loss:
Loss: Auckland,
Auckland, New
New Zealand
Zealand (December
(December 1997)
1997)
in
in 2003
2003 alone:
alone: US/Canada,
US/Canada, Italy,
Italy, Sweden/Denmark
Sweden/Denmark
Earthquake:
Earthquake: Kobe,
Kobe, Japan
Japan (January,
(January, 1995),
1995), Los
Los Angeles,
Angeles, USA
USA (January
(January 1994)
1994)
Bombing
Bombing ::
World
World Trade
Trade Center,
Center, New
New York,
York, USA
USA (February
(February 1993)
1993)
Oklahoma
City,
Oklahoma,
USA
(April
Oklahoma City, Oklahoma, USA (April 1995)
1995)
Docklands,
Docklands, London,
London, England
England (February
(February 1996)
1996)
Bishopsgate,
Bishopsgate, London,
London, England
England (April
(April 1993)
1993)
Manchester,
Manchester, England
England (June
(June 1996)
1996)
World
Trade
Center,
New
York,
World Trade Center, New York, USA
USA (September
(September 2001)
2001)
Flood:
Flood: Bangladesh
Bangladesh (July
(July 1996),
1996), Pakistan
Pakistan (August
(August 1996),
1996), Germany/Poland
Germany/Poland (2002)
(2002)
Web
site
denial
of
service
attacks,
such
as
Yahoo
(2000),
Microsoft
(2003),
Web site denial of service attacks, such as Yahoo (2000), Microsoft (2003), SCO
SCO (2004)
(2004)
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ITSCM
Assets
Threats
Risk analysis
Risks
Risks
Weaknesses
Risk management
Countermeasures
11
Damage Reduction
Disaster
Management
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The second driver in determining ITSCM requirements is the likelihood that a disaster or
other serious service disruption will actually occur. This is an assessment of the level of
threat and the extent to which an organization is vulnerable to that threat.
The top section of the figure refers to the risk analysis: if an organizations assets are
highly valued, and there is a high threat to those assets, and the vulnerability of those
assets to those threats is high, there would be a high risk. The bottom section of the figure
shows risk management, where countermeasures (proactive), damage reduction
(operation), and disaster management are applied to manage the business risks by
protecting the assets.
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ITSCM
Manual workaround
Can be an effective interim measure but mostly not to be used for more complex
business processes
Figure 13-11. ITSCM: The continuity strategy involves the selection of recovery options
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Strategy: Recovery options
To be considered for:
People and accommodation: alternative premises, location, and mobility of staff
IT systems and networks: recovery of hardware, software, networks, and data used.
Relies on effective backups and good availability management
Critical services: such as power, telecommunications, water
Critical assets: such as paper records and reference material
It should take short-term and long-term recovery into account.
Options are:
Do nothing: not a very good idea
Manual workarounds: can be an effective interim measure but mostly not to be used
for more complex business processes
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ITSCM
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ITSCM
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ITSCM
Costs
Cost of organization
Cost of implementation
Cost of HW to recover critical IT
services
Cost of implementation of
backup/recovery strategy taking
ITSCM into account
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The advantages of ITSCM include:
Potential lower insurance premiums: The IT organization can help the organization
demonstrate to underwriters or insurers that they are proactively managing down their
business risks. Therefore, the risk to the insurance organization is lower and the
premiums due should reflect this. Alternatively, the organization may feel comfortable in
reducing cover or self-insuring in certain areas as a result of limiting potential losses.
Regulatory requirements: In some industries a recovery capability is becoming a
mandatory requirement (for example, regulators stipulate that financial organizations
have sufficient continuity and security controls to meet the business requirements).
Failure to demonstrate tested business and ITSCM facilities could result in heavy fines
or the loss of trading licenses. Within the service community, there is an obligation to
provide continuous services, such as hospitals, emergency services, and prisons.
Business relationship: The requirement to work closely with the business to develop
and maintain a continuity capability fosters a much closer working relationship between
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IT and the business areas. This can assist in creating a better understanding of the
business requirements and the capability of IT to support those requirements.
Positive marketing of contingency capabilities: Being able to demonstrate effective
ITSCM capabilities enables an organization to provide high service levels to clients and
customers and thus win business.
Organizational credibility: There is a responsibility on the directors of organizations to
protect the shareholders' interest and those of their clients. Contingency facilities
increase an organizations credibility and reputation with customers, business partners,
stakeholders, and industry peers. For example, the growth of call centers in many
organizations has meant that the need to maintain customer communications at all
times is vital to the ability to retain customer confidence and loyalty.
Competitive advantage: Service organizations are increasingly being asked by
business partners, customers, and stakeholders to demonstrate their contingency
facilities, and may not be invited to tender for business unless they can demonstrate
appropriate recovery capabilities. In many cases this is a good incentive for customers
to continue a business relationship, and becomes a part of the competitive advantage
used to win or retain customers.
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ITSCM
Risks
Potential problem areas:
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ITSCM
Summary
The mission of ITSCM is to support the Business Continuity Management process
by ensuring that the required IT technical and services facilities can be recovered
within required and agreed timescales
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14-1
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Unit 14
Security Management
Content:
Summary
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ITSCM Management
Source: IPW Model is a trade mark of Quint Wellington and KPN Telecoms
3
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Security Management
Mission Statement
Security Management is the process of managing a defined level of
security on information and IT services, including managing the responses
to security incidents.
The goal of Security Management is to counter risks of threats to one of the most
important assets for business: the information.
Information is threatened in many ways:
Confidentiality
Integrity / Accuracy
Availability / Accessibility
C
C Confidentiality
Confidentiality
II Integrity
Integrity
A
A Availability
Availability
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IT Security Management is the process of managing a defined level of security for
information, IT services, and infrastructure. IT Security Management enables and ensures
that:
Security controls are implemented and maintained to address changing circumstances,
such as changed business and IT service requirements, IT architecture elements,
threats, and so on
Security incidents are managed
Audit results show the adequacy of security controls and measures taken
Reports are produced to show the status of information security.
IT Security Management needs to be part of every IT manager's job description.
Management is responsible for taking appropriate steps to reduce to acceptable levels the
chances of a security incident occurring. This is the process of risk assessment and
management.
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Security Management
Definitions: CIA
Security Management should protect the value of the information.
Confidentiality
Integrity
Ensuring that information and vital IT services are available and accessible when
required
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Security Management
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Security Management
the confidentiality
the integrity
or the availability
of the information is threatened.
Information security incidents
can accidentally occur,
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Security Management
Security Measures
Security measures make it possible to reduce or eliminate
the risks associated with information. Security measures
only add value when used harmoniously.
Security organization
The
The security
security organization
organization has
has to
to
establish
and
maintain
a
proper
establish and maintain a proper
balance
balance between
between the
the level
level of
of security
security
and
and the
the ability
ability to
to use
use the
the service.
service.
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Corporate executive management is accountable to stakeholders and shareholders for
security, and is responsible for defining the corporate security policy. IT Security
Management is governed by that policy. The existence of the policy registers and
reinforces the corporate decision to invest in the security of information and information
processing. It provides management with guidelines and direction regarding the relative
importance of various aspects of the organization, and of what is allowable and what is not,
in the use of ICT systems and data.
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Security Management
Process
Customer
Report
SLA
Plan
Maintain
Control
Evaluate
Implement
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This slide illustrates the information security process as seen by the business. It covers all
stages, from policy setting and initial risk assessment, through planning, implementation
and operation, to evaluation and audit. The level of security required are defined after the
customer or the business security requirements.
The slide provides an overview of the ITIL IT Security Management Process. The process
shows the complete route, from the collection of a customer's requirements, through
planning, implementation, evaluation and maintenance under a framework of control
with regular status reporting to the customer closing the loop.
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Security Management
Defines its
security
requirements
based on its
business
requirements
Report
SLA
Plan
Maintain
Control
Evaluate
10
Implement
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Security Management
Process Control
Customer
Report
Define processes,
functions, roles,
responsibilities
Organization
structure between
sub-processes
Reporting
structure/line of
command
11
SLA
Plan
Maintain
Control
Evaluate
Implement
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Processes, functions, roles, and allocation of responsibilities have to be defined within the
sub-processes.
The organization structure between these
The reporting structure or line of command
The way the security plans are established
The process through which these are implemented
The way in which the implementation is evaluated
The process through which the results of these evaluations are used for the
maintenance of security plans and the implementation thereof
The reporting structure to the customer
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Security Management
Process SLA
Customer
Report
Report
SLA
Plan
Maintain
Control
Evaluate
12
The section
security in SLA
is negotiated
between
customer and
service provider
Implement
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Security Management
Process Plan
Customer
Report
SLA
SLA
Underpinning
contracts
OLA
Policy statement
Plan
Maintain
Control
Evaluate
13
Implement
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The Plan activity includes the way the security section of the SLA is established as well as
the underpinning contracts.
The generic security requirements in the SLA are refined in Operational Level Agreements
(OLAs). These define support requirements internally.
The Plan activities may also use policy statements for the IT service providers to which
they have to comply.
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Security Management
Process Implement
Customer
Report
SLA
Plan
Maintain
Control
Evaluate
14
Implement
Maintaining
awareness
- Security works only if
discipline and
motivation
Security incident
handling
responsiveness
Security incident
registration
- measurement
- classification
- and reporting
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Security Management
Process Evaluate
Customer
Report
SLA
Plan
Maintain
Avoid the
atmosphere of
phantom security
Internal audits
External audits
Self-assessments
Security incident
evaluation
15
Control
Evaluate
Implement
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Three types of evaluation:
Internal audits
External audits
Self-assessments
Evaluation results are used to determine or refine measures taken.
Evaluation also assesses standards and policies.
Can result in RFCs
Blindly trusting security measures installed long ago will create an atmosphere of
phantom security.
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Security Management
Process Maintain
Customer
Report
Collect experiences,
lessons learned
Improvements will
be considered for
the next round of
- planning
- implementation
16
SLA
Plan
Maintain
Control
Evaluate
Implement
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It is important to keep security measures up to date, as the threats on the infrastructure,
organization, and processes are changing constantly.
Maintenance is based on:
The results of the periodic reviews
Insight into the changing risk picture
Changes in the input material (including SLAs)
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Security Management
Process Report
Customer
Report
Show conformity
with SLA
Management
without
information is
impossible
SLA
Plan
Maintain
Control
Evaluate
17
Implement
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One of the major reasons why information security has been neglected for so long is the
absence of historical records.
Generally no one has any idea of what kind of security incidents have troubled the
organization in the past.
Ignorance
Not exposing the dirty linen
Management needs to be aware of the efficiency of the resources spent on security
measures and the effectiveness of the measures.
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Security Management
Level of measures
Threat
Security
Incident
Detection
Repression
Damage
Correction
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Security Management
Benefits
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Security Management
Summary
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