I T S e rvi ce M a n a g e m e n t fo r S m a l l I T Te a m s

I T S ervi ce M a n a g em en t for S m a l l I T

Tea m s

Adam Poppleton and Ken Holmes

F i rs t p u b l i s h e d in th e U K i n 2 01 1

by

B SI

3 89 Ch i s wi ck H i g h Ro a d

Lo n d o n W4 4AL

© B ri ti sh S ta n d a rd s I n sti tu ti o n 2 01 1

Al l ri g h ts re se rve d . E xce p t a s p e rm i tte d u n d e r th e Co p yri g h t, D e si g n s a n d Pa te n ts

Act 1 9 8 8 , no p a rt o f th i s p u b l i ca ti o n m a y be re p ro d u ce d , sto re d in a re tri e va l

sys te m o r tra n s m i tte d in a n y fo rm o r b y a n y m e a n s, e l e ctro n i c, p h o to co p yi n g ,

re co rd i n g o r o th e rwi se , wi th o u t p ri o r p e rm i s si o n in wri ti n g fro m th e p u b l i sh e r.

Wh i l s t e ve ry ca re h a s been ta ke n in d e ve l o p i n g and co m p i l i n g th i s p u b l i ca ti o n , B SI

a cce p ts n o l i a b i l i ty fo r a n y l o ss o r d a m a g e ca u s e d , a ri si n g d i re ctl y o r i n d i re ctl y i n

co n n e cti o n wi th re l i a n ce o n i ts co n te n ts e xce p t th a t su ch l i a b i l i ty m a y n o t b e

e xcl u d e d in l a w.

Wh i l s t e ve ry e ffo rt h a s b e e n made to tra ce all co p yri g h t h o l d e rs, a n yo n e cl a i m i n g

co p yri g h t sh o u l d g et i n to u ch wi th th e B S I a t th e a b o ve a d d re ss .

B SI has no re sp o n si b i l i ty fo r th e p e rs i ste n ce o r a ccu ra cy o f U RLs fo r e xte rn a l or

th i rd - p a rty we b si te s re fe rre d to in th i s b o o k, and d o e s n o t g u a ra n te e th a t a n y

co n te n t o n su ch we b s i te s i s , o r wi l l re m a i n , a ccu ra te o r a p p ro p ri a te .

Th e ri g h t o f Ad a m Po p p l e to n and Ke n H o l m e s to b e i d e n ti fi e d a s th e a u th o rs o f

th i s Wo rk h a s b e e n a s se rte d b y th e m in a cco rd a n ce wi th s e cti o n s 7 7 and 7 8 o f th e

Co p yri g h t, D esi g n s a n d Pa te n ts Act 1 9 8 8 .

Typ e se t i n G re a t B ri ta i n b y Le tte rp a rt Li m i te d – l e tte rp a rt. co m

Pri n te d in G re a t B ri ta i n b y B e rfo rts G ro u p , www. b e rfo rts. co . u k

British Library Cataloguing in Publication Data

A ca ta l o g u e re co rd fo r th i s b o o k i s a va i l a b l e fro m th e B ri ti s h Li b ra ry

I SB N 978 0 5 8 0 7 42 5 4 5
Con ten ts

Ackn o wl e d g e m e n ts vi i

S o u rce s vi i i

D e d i ca ti o n s ix

Pre fa ce x

H o w to u se th i s b o o k xi i

1 I n trod u cti on 1

Th e Vi si o n 3

2 Th e I T servi ce m a n a g em en t l a n d sca pe 6

O ve rvi e w 6

A b i t o f h i s to ry 8

Asso ci a te d co n ce p ts , m od el s a n d to o l s 9

D e ci s i o n s, d e ci si o n s … 1 1

3 Pl a n n i n g for I T servi ce m a n a g em en t 1 3

Th e gap a n a l ys i s 1 3

Gaining m a n a g e m e n t co m m i tm e n t 1 9

Th e peopl e a s p e cts 29

4 Proj ect i n i ti a ti on 39

5 I m pl em en ti n g I T servi ce m a n a g em en t 42

G o ve rn a n ce – th e o ve ra l l m a n a g e m e n t syste m 42

Th e main p o i n ts so fa r 49

Re so l u ti o n p ro ce sse s 50

Co n tro l p ro ce sse s 68

Re l a ti o n sh i p p ro ce ss e s 84

S e rvi ce d e l i ve ry p ro ce s se s 94

D e si g n and tra n s i ti o n o f n e w o r ch a n g e d se rvi ce s 1 38

6 Th e con ti n u a l servi ce i m provem en t cycl e 1 41

Co n ti n u a l i m p ro ve m e n t i n I S O /I E C 2 0 0 0 0 – th e Dem i n g Cycl e 1 41

Co n ti n u a l i m p ro ve m e n t i n I TI L 1 42

Si x Si g m a and co n ti n u a l i m p ro ve m e n t 1 43

I m p l e m e n ti n g co n ti n u a l i m p ro ve m e n t 1 44

7 I S O /I E C 2 0000 – to certi fy or n ot to certi fy 1 46

Th e ce rti fi ca ti o n p ro ce ss 1 46

IT Service Management for Small IT Teams v

Pro s 1 48

Co n s 1 48

8 Tool s 1 51

E va l u a ti n g I TS M so ftwa re to o l s 1 51

S e rvi ce d e sk to o l s 1 52

Co n fi g u ra ti o n and re l e a se m a n a g e m e n t to o l s 1 54

E ve n t m o n i to ri n g to o l s 1 55

Pe rfo rm a n ce and ca p a ci ty p l a n n i n g to o l s 1 55

I n fo rm a ti o n s e cu ri ty m a n a g e m e n t to o l s 1 56

9 Ca se stu d i es 1 58

1 0 Ad d i ti on a l processes a n d con cepts rel eva n t to I T servi ce

m a n a g em en t 1 62

Ad d i ti o n a l p ro ce s se s 1 62

Ad d i ti o n a l co n ce p ts 1 65

Appen d i x A Tem pl a tes 1 71

A. 1 Gap a n a l ysi s ch e ckl i st 1 71

A. 2 Ri s k a sse ss m e n t 1 72

A. 3 S u p p l i e r ca ta l o g u e 1 76

A. 4 S e rvi ce ca ta l o g u e 1 77

A. 5 S e rvi ce i m p ro ve m e n t l o g 1 80

A. 6 M a j o r I n ci d e n t Re p o rt 1 81

A. 7 S e rvi ce i n tro d u cti o n ch e ckl i s t 1 82

A. 8 - I T S ki l l s Q u e sti o n n a i re e xa m p l e 1 86

Appen d i x B Referen ces a n d u sefu l sou rces of i n form a ti on 1 87

vi IT Service Management for Small IT Teams

Acknowledgements

Th e a u th o rs wo u l d l i ke to th a n k th e fo l l o wi n g peopl e fo r th e i r h e l p in

th e wri ti n g o f th i s b o o k:

• Ian Ti n s l e y, IS M a n a g e r, Acco rd G ro u p

• M i ke Ru sse l l , S e rvi ce D e l i ve ry M a n a g e r, S e rco

• Ri ch a rd G ri ffi th s, U se r S u p p o rt Te a m Le a d e r, S a n d we l l H om es

• Julia H e l m sl e y, Co m m i ss i o n i n g E d i to r, B SI

• B ri d g e t Ke n yo n , H ea d o f Co n su l ta n cy, Th a l e s e -s e cu ri ty

• S te ve Ingall, H ea d o f Co n su l ta n cy, i Co re Ltd

• J e rry B ra d l e y, H ea d of I S, G DF S u e z E &P

• J a ck Ro b e rtso n -Wo rsfo l d , I T S e rvi ce M a n a g e r, B SI

IT Service Management for Small IT Teams vi i

Sources

All of the templates in Appendix A have been taken from

www.iso20000templates.com.

viii IT Service Management for Small IT Teams

Dedications

Ken Holmes – To my fiancée Victoria and my children Katie, Daniel, Chloe

and Harry; love you always. Thanks to my Mum and Dad for always being
there and to my Grandfather Leslie for leading the way in the
book-writing department.

Adam Poppleton – To my wife Raylene and my wonderful children, Cole

and Grace.

IT Service Management for Small IT Teams ix

Preface

Dave reached the office shortly after 9.00 a.m. Bleary-eyed through
having been up most of the night trying to resolve an issue with a
server that turned out to have no maintenance contract and no
backups, he sat down heavily at his desk, the resulting gust of wind
scattering the various post-it notes that had been left there,
informing him of things that needed to be done, things that weren’t
working and people to call so they could tell him that things weren’t
working and needed to be done.
He looked across the crowded office to the help desk, where a
number of earnest-looking and very busy 20-somethings sat,
frantically taking call after call whilst their harassed supervisor
pleaded over the general hullaballoo, “Did anyone change anything
last night? Anything? Anyone?”
A stack of new PCs engulfed the desk next to him, the latest in a
long line of deliveries intended for hurried installation by an
overstretched team of desk-side engineers. Maybe we should have 9

planned a bit better before we installed the latest version of Office

on everyone’s machine three months ago , he reflected. The resulting 9

flood of slow-PC complaints had kept the first-line, second-line and

procurement teams busy ever since.
User service had suffered heavily as a result of the need to divert
resources to the installations and Dave glanced down the
ever-increasing list of overdue calls and sighed. It’s probably a good 9

job we never meet with user management , he thought. ‘And lucky 9

we don’t have an SLA they can hang us by too’.

Dave sat back in his chair and took a deep breath. Another fun day 9

at the office , he whispered wearily.

9

O f co u rse , th i n g s m a y n o t b e a s ba d a s th i s wi th i n yo u r co m p a n y. Th e

fa ct i s th a t m a n y sm a l l I T te a m s g e t b y p re tty we l l a l o t o f th e ti m e

wi th o u t h a vi n g a n y fo rm a l I T se rvi ce m a n a g em en t i n p l a ce . Th e y d e l i ve r

th e re q u i re d p ro j e cts o n ti m e and a re g e n e ra l l y we l l th o u g h t o f b y th e

p e o pl e th e y s u p p o rt. So wh a t’s a l l th e fu ss a b o u t? Wh a t i s wro n g wi th

th e wa y we do th i n g s n o w?

We l l , on e o f th e i ss u e s i s th a t th e cu rre n t l e ve l o f se rvi ce u su a l l y co m e s a t

a p ri ce ; in te rm s o f sta ff e ffo rt a n d g o o d wi l l ; in te rm s o f co st a n d in

x IT Service Management for Small IT Teams

 Preface

te rm s o f co n si ste n cy. Th e se rvi ce i s g ood d e sp i te th e l a ck o f p ro a cti vi ty,

n o t b e ca u s e o f i t. I t i s co m m o n to fi n d th a t a n I T te a m th a t i s n o t u s i n g

fo rm a l p ro ce sse s i s h a ra sse d , fe d up and m a ki n g m o re u se o f te m p o ra ry

sta ff th a n m a y be n e ce s sa ry. Th e re i s o fte n g e n e ra l a g re e m e n t a m o n g st

th e te a m th a t th e sa m e m i sta ke s a re bei n g made ti m e and ti m e again,

wi th no on e ta ki n g o wn e rsh i p o f fi xi n g th e m o n ce and fo r a l l . Th i s l e a d s

to a l o t o f fru stra ti o n th a t m a y b e re fl e cte d in h i g h e r th a n a ve ra g e s ta ff

tu rn o ve r o r a b se n ce and wo rl d -we a ry n e g a ti ve a tti tu d e s.

Co m m u n i ca ti o n wi th i n th e te a m and b e twe e n te a m s i s o fte n p o o r, g i vi n g

ri s e to m i stru st a n d su sp i ci o n o ve r th e ca u s e s o f p ro b l e m s a n d a ccu sa ti o n s

th a t o n e te a m o r i n d i vi d u a l h a s to co n sta n tl y ‘ cl e a n u p’ a fte r a n o th e r.

Re a cti vi ty i s ki n g , o fte n d ri ve n b y u se rs wh o g i ve ve ry l i ttl e n o ti ce of

re q u e s ts s u ch a s o ffi ce m o ve s o r n e w s ta rte rs, p a rtl y (b u t o fte n n ot

co m p l e te l y) b e ca u se th e y h a ve n e ve r b e e n to l d wh a t n o ti ce i s a ctu a l l y

re q u i re d o r wh a t th e i r re q u e st i n vo l ve s.

Th e se rvi ce s d e l i ve re d a re th o s e th a t th e I T te a m a ss u m e th e u se rs wa n t,

in th e wa y th a t th e y a ssu m e th e u se rs wa n t th e m . M e a n wh i l e , th e u se rs

m a y h a ve l o ca l wo rka ro u n d s to co p e wi th th e p e rce i ve d i n a d e q u a ci e s o f

I T, bu t n o on e h a s th e ti m e to si t d o wn and ta l k a b o u t h o w th e y m i g h t

be ch a n g e d . M a j o r i n ci d e n ts s u ch a s sys te m s fa i l i n g o r s i te s b e i n g d o wn

ca n be an a l m o s t d a i l y o ccu rre n ce , wi th th e sa m e a cti o n s b e i n g ta ke n to

re so l ve th e m e ve ry ti m e , o fte n wi th o u t a cl e a r i d e a o f wh y – ‘ i t j u st

wo rks … ’

In a sm a l l te a m , th e ‘ te ch i e ’ ca n wi e l d a d i sp ro p o rti o n a te a m ou n t of

co n tro l and o fte n l i ve s b y th e m a n tra th a t ‘ kn o wl e d g e i s p o we r’ ,

d e cl i n i n g to co m m u n i ca te o r d o cu m e n t u n l e ss fo rce d to do so . Te sti n g is

ofte n th o u g h t u n n e ce ssa ry b e ca u s e , he d e cl a re s, ‘I kn o w wh a t I ’ m d oi n g ’,

and th e b i g -b a n g a p p ro a ch i s th e sta n d a rd i m p l e m e n ta ti o n m e th o d fo r

th e sa m e re a so n , wi th so m e ti m e s ca ta s tro p h i c re s u l ts.

A re a cti ve I T te a m i s co n sta n tl y su rp ri se d , wh e th e r i t’s b y a se rve r d i sk

fi l l i n g up or a n o ffi ce cl o s i n g d o wn . I t m a y sti l l d e l i ve r g o o d se rvi ce , bu t

i t’s o fte n b y th e s ki n o f i ts te e th e ve ry ti m e . B u t on e o f th e b e st wa ys to

te l l wh e th e r i m p l e m e n ti n g g ood p ra cti ce wi l l h el p yo u as an I T te a m i s to

ta l k to o th e r te a m s th a t h a ve a l re a d y d o n e i t. Ask th e m wh e th e r th e y

wo u l d go b a ck to d oi n g th i n g s th e wa y th e y u se d to and we a re

co n fi d e n t th a t yo u wi l l n o t fi n d a si n g l e on e th a t wo u l d . O K, th e y m a y

a d m i t th a t so m e ti m e s th e y re m i n i s ce a b o u t th e d a ys wh e n th e y co u l d j u st

go a h ea d and ch a n g e so m e th i n g o r fi x a n i ss u e wi th o u t l o g g i n g i t, bu t

wo u l d th e y a b a n d o n th e co n tro l and sta b i l i ty th e y h a ve e xp e ri e n ce d

si n ce th e y sta rte d d oi n g i t? We th i n k n o t.

IT Service Management for Small IT Teams xi

How to use this book

Yo u j u st tu rn th e p a g e s, ri g h t? We l l , ye s, b u t we wa n t yo u to g e t m u ch

m o re o u t o f th i s b o o k th a n j u st a th e o re ti ca l a p p re ci a ti o n o f wh a t I T

se rvi ce m a n a g e m e n t i s a b o u t. We wa n t yo u to be a bl e to ta ke th e i d ea s

se t o u t i n th e s e pa g es a n d re a l l y a p p l y th e m to yo u r sm a l l I T te a m . We

kn o w i t’s n o t e a sy; we kn o w th e re a re a l o t o f d i ffe re n t a re a s co ve re d ,

and we a l so kn o w yo u ’ re b u s y.

Th a t’s wh y we h a ve tri e d to su m m a ri z e th e va ri o u s a p p ro a ch e s a n d

so u rce s o f i n fo rm a ti o n a b o u t I T se rvi ce m a n a g em en t i n sh o rt, h o p e fu l l y

e a sy-to - re a d ch a p te rs, en d i n g wi th a co n ci se su m m a ry a n d so m e p o i n te rs

a s to wh a t to do n e xt to m o ve th i n g s fo rwa rd in yo u r o rg a n i z a ti o n . I t’s a

bi g s u b j e ct a n d i n e vi ta b l y th e re a re som e th i n g s we h a ve l e ft o u t e i th e r

b e ca u s e we d o n ’t th i n k th e y wi l l be th a t u s e fu l to yo u o r b e ca u s e th e y

a re m o re a d va n ce d co n ce p ts i n a p p ro p ri a te fo r a n i n tro d u cto ry b o o k su ch

a s th i s. Yo u sh o u l d a l so be a wa re th a t th e re a re d i ffe re n t wa ys o f l o o ki n g

a t so m e o f th e co n ce p ts o f I T se rvi ce m a n a g em en t a n d in so m e a re a s th e

i n d u stry e xp e rts d i sa g re e wi th e a ch o th e r; we h a ve tri e d to tre a d a

middle g ro u n d b a se d on o u r e xp e ri e n ce and p u t u s e fu l n e ss to a sm a l l IT

te a m fi rst i n d e ci d i n g wh a t to co ve r.

We h a ve a l so o rd e re d th e ch a p te rs i n wh a t we b e l i e ve to be a l o g i ca l

se q u e n ce fo r s o m e o n e a tte m p ti n g to i m p l e m e n t th e i d e a s a s th e y g o

a l on g . So we sta rt wi th so m e typ i ca l re a so n s wh y o rg a n i z a ti o n s l i ke yo u rs

m a ke u se of g ood p ra cti ce and th e n go on to h o w to cre a te a b u si n e ss

ca se to co n vi n ce yo u r se n i o r m a n a g e m e n t th a t i t i s a g ood i d ea , b e fo re

pl a n n i n g a s e rvi ce i m p ro ve m e n t p ro j e ct i n d e ta i l .

B u t l e t u s a l so p o i n t o u t th a t th e re is an a l te rn a ti ve a p p ro a ch th a t th e

b o o k wi l l a l so s u p p o rt. M a n y o rg a n i z a ti o n s th a t h a ve u se d th e s e co n ce p ts

n e ve r cre a te d a b u si n e ss ca se , did n o t se cu re a n y e xtra fu n d i n g n or d i d

th e y p l a n it as a p ro j e ct. Th e y j u st to o k th e i d ea s a n d sta rte d to a ppl y

th e m in sm a l l wa ys i n th e d a y- to -d a y m a n a g e m e n t o f th e i r s e rvi ce s . No

g ra n d pl a n , j u st i m p ro ve m e n t l i ttl e b y l i ttl e . I f th i n g s g e t b u sy th e y h a ve

a b re a k fro m i n tro d u ci n g i m p ro ve m e n ts a n d wh e n i t’s a b i t q u i e te r th e y

sp e n d m o re ti m e on th e m . So th i s d o e s n o t h a ve to be a bi g d ea l wi th i n

yo u r te a m wi th p re ssu re d d ea d l i n es a n d high m a n a g e m e n t e xp e cta ti o n s .

J u st sta rt to do th i n g s d i ffe re n tl y, g ra d u a l l y.

Al th o u g h we se t o u t a s fu l l a l i st a s we ca n o f th e cu rre n t fra m e wo rks,

sta n d a rd s a n d m e th o d s p re va i l i n g in I T se rvi ce m a n a g e m e n t a t th e

xi i IT Service Management for Small IT Teams

 How to use this book

cu rre n t ti m e , we wo u l d fre e l y a d m i t th a t m o st o f o u r e xp e ri e n ce (a n d

th e re fo re o u r a d vi ce ) i s b a se d on I TI L (I T I n fra stru ctu re Li b ra ry) Ve rs i o n s 2

and 3 and th e I S O /I E C 2 0 0 0 0 sta n d a rd . Th i s o b vi o u sl y h a s a n e ffe ct o n th e

stru ctu re o f th e book a n d th e te rm i n o l o g y u se d . O ve ra l l , h o we ve r, th e

b a si c p ri n ci p l e s a cro ss I TI L, I S O /I E C 2 0 0 0 0 , CO B I T, Si x Si g m a e tc. a re

b ro a d l y si m i l a r a n d we h a ve tri e d to co n ce n tra te on m a ki n g th e main

i d e a s cl e a r ra th e r th a n p u sh i n g a p a rti cu l a r wa y o f d o i n g th i n g s .

So, a s yo u tu rn th e p a g e s, we h ope e a ch on e wi l l sta rt to seed a t l e a st

on e i d ea o f h o w yo u ca n m a ke yo u r l i fe , th a t o f yo u r te a m and th e

d e l i ve ry o f I T se rvi ce s i n to yo u r o rg a n i z a ti o n , b e tte r.

IT Service Management for Small IT Teams xi i i

1 I n tro d u cti o n

Th e e ffe cti ve d e l i ve ry o f I T s e rvi ce s p l a ys a n e sse n ti a l p a rt i n th e su rvi va l

and g ro wth of a sm a l l o rg a n i z a ti o n th ro u g h to m a tu ri ty, e sp e ci a l l y i n th i s

i n te rn e t-ce n tri c a g e . M a n y re l y u p o n th e i n te rn e t to se l l th e i r p ro d u cts

and re a ch cu s to m e rs so co m p u te r d o wn ti m e wi l l h a ve a d i re ct e ffe ct

u pon sa l e s a n d th e re fo re p ro fi ta b i l i ty. In to u g h e co n o m i c co n d i ti o n s ,

sta b l e I T s e rvi ce s ca n be th e d i ffe re n ce b e twe e n sta yi n g in b u s i n e ss a n d

g oi n g u n d e r.

I t i s te m p ti n g to th i n k th a t I T se rvi ce m a n a g em en t g ood p ra cti ce

g e n e ra l l y a p p l i e s to l a rg e r o rg a n i z a ti o n s wi th se e m i n g l y l i m i tl e ss

re so u rce s a n d g l oba l re p u ta ti o n s to p ro te ct, b u t th i s i s n o t n e ce ssa ri l y th e

ca se . S m a l l e r o rg a n i z a ti o n s h a ve j u st a s m u ch to gain fro m th e

a p p l i ca ti o n o f th e i d ea s em bed d ed in su ch fra m e wo rks, p re ci se l y b e ca u se

th e y d o n ’t h a ve l i m i tl e ss re so u rce s. G ood p ra cti ce is all a b o u t g e tti n g th e

m o st fro m th e re so u rce s yo u h a ve and, i f yo u r te a m i s sm a l l , th i s m a ke s i t

e ve n m o re re l e va n t to yo u as an o rg a n i z a ti o n . U n fo rtu n a te l y m a n y o f th e

g ood p ra cti ce g u i d e s th a t e xi st h a ve to ca te r to m u l ti p l e a u d i e n ce s a n d it

i s o fte n th e l a rg e r o rg a n i z a ti o n s th a t ca n a ffo rd to p ro vi d e co n tri b u to rs

to su ch wo rk. Th e sh e e r co m p l e xi ty o f I T se rvi ce m a n a g e m e n t wi th i n

g l oba l o rg a n i z a ti o n s wi th h u n d re d s o f a p p l i ca ti o n s a n d th o u s a n d s o f

u s e rs m e a n s th a t th e m a n a g e m e n t o f th e i r I T se rvi ce s b e co m e s d i ffi cu l t

b y n a tu re and th i s i s i n e vi ta b l y re fl e cte d in th e l i te ra tu re . B u t th e

p ri n ci p l e s th a t a re e sta b l i sh e d wi th i n su ch l a rg e co m p a n i e s o fte n te n d to

sca l e d o wn q u i te we l l and, as a sm a l l I T te a m , yo u a re in a g ood p o s i ti o n

to b e n e fi t fro m th e h a rd l e ss o n s th a t h a ve co st th e bi g p l a ye rs m a n y

m i l l i on s a n d m a n y ye a rs to l e a rn .

B u t wh a t d o we m ea n by ‘sm a l l I T te a m ’ ? Th i s i s a q u e sti o n we h a ve

wre stl e d wi th to try to p ro vi d e a re a s o n a b l e a n s we r. Th e re a re va ri o u s

d e fi n i ti o n s o f ‘ sm a l l o rg a n i z a ti o n ’ in u se wi th i n th e U K, E u ro p e , U S A,

Au stra l i a and Asi a , u si n g d i ffe re n t cri te ri a su ch a s n u m b e r o f e m p l o ye e s ,

tu rn o ve r a n d va l u e o f a s se ts, and va ryi n g a l so b y th e p a rti cu l a r i n d u stry

in q u e sti o n . E ve n wh e re th e sa m e cri te ri a a re u se d , o fte n th e n u m b e rs

a re d i ffe re n t, m a ki n g a si n g l e d e fi n i ti o n d i ffi cu l t. I f we th e n e xp a n d th i s

to th e d e fi n i ti o n of a sm a l l I T te a m s p e ci fi ca l l y i t b e co m e s e ve n m o re

a wkwa rd , p a rti cu l a rl y i f we ta ke i n to a cco u n t th e e ffe ct o f o u tso u rci n g ,

wh e re so m e ti m e s si g n i fi ca n t I T o p e ra ti o n s a re co n tro l l e d by a sm a l l co re

te a m o f i n -h o u s e I T sta ff. O b vi o u sl y th e u se o f e xte rn a l su p p l i e rs i s o fte n

e s se n ti a l so th e re wi l l be so m e e l e m e n t o f o u tso u rci n g typ i ca l l y p re se n t

in m o st I T te a m s, b u t i f th e m a j o ri ty o f I T s u p p o rt wi th i n yo u r

IT Service Management for Small IT Teams 1

1 Introduction

o rg a n i z a ti o n i s ca rri e d o u t b y th i rd p a rti e s we wo u l d su g g e st th a t a book

o f th i s typ e i s p ro b a b l y l e ss a p p ro p ri a te and on e on co n tra ct

m a n a g e m e n t wo u l d be m o re su i ta b l e .

H o we ve r, we b e l i e ve we o we i t to yo u a s th e re a d e r o f th i s b o o k to g i ve

th e b e st i n d i ca ti o n we ca n o f th e si z e o f te a m i t i s a i m ed a t so th a t yo u

ca n d e ci d e fo r yo u rse l f wh e th e r i t i s re l e va n t to yo u . So, as a ‘ g u t fe e l ’

i n d i ca ti o n , we wo u l d see th e ta rg e t I T te a m a s co n si s ti n g o f a ro u n d 25 or

fe we r sta ff, wi th a si g n i fi ca n t p a rt o f th e i r I T su p p o rt a cti vi ti e s ca rri e d

o u t i n - h o u se . Som e peopl e a t wh o m th i s b o o k i s a i m e d wo u l d p ro b a b l y

co n si d e r 2 5 to be a ‘ l a rg e ’ I T te a m and i t i s re a l l y a l l a b o u t p e rce p ti o n ;

we h a ve ce rta i n l y i m p l e m e n te d th e i d ea s set ou t i n th e se pa g es i n an IT

te a m o f fo u r, and b e l i e ve th e y wo u l d sti l l a p p l y to a te a m of on e.

N o w th a t h o p e fu l l y we h a ve cl e a re d th a t u p , th e re a re a n u m ber of

d i sti n ct a d va n ta g e s to bei n g sm a l l wh e n i m p l e m e n ti n g I T se rvi ce

m a n a g e m e n t. Th e s e i n cl u d e :

• Communication lines are shortened – a sm a l l te a m , p a rti cu l a rl y o n e

b a se d at a si n g l e si te , wi l l te n d to ta l k to e a ch o th e r o n a fre q u e n t

b a si s , and wh e n n ew i d ea s n eed to be p a s se d on th i s i s u su a l l y a

stra i g h tfo rwa rd p ro ce s s.

• Decisions can be made more quickly – b e ca u s e th e re a re fe we r

peopl e i n vo l ve d in m a ki n g th e m , d e ci si o n s o n a p p ro a ch , d e ta i l ,

ti m i n g e tc. wi l l te n d to be made m o re q u i ckl y, th u s a l l o wi n g m o re to

be a ch i e ve d in th e ti m e a va i l a b l e .

• Training is delivered faster – p ro vi d i n g tra i n i n g to a sm a l l te a m is a

fa ste r p ro ce ss th a n i f m a n y se s si o n s n e e d to be o rg a n i z e d , a l th o u g h

th e n eed to ke e p th e se rvi ce ru n n i n g m u st o b vi o u sl y b e co n si d e re d

p a ra m o u n t.

• Staff are often more flexible – a s sta ff i n a sm a l l te a m te n d to be

m u l ti -s ki l l e d th e re i s o fte n m o re wi l l i n g n e ss to l e a rn n e w ski l l s a n d

p e rfo rm se ve ra l ro l e s wi th i n th e I T s e rvi ce m a n a g e m e n t a re a .

• Integration of processes can be easier if there are fewer process

owners – fo r e xa m p l e , wh e re th e o wn e r o f th e i n ci d e n t, p ro b l e m and

ch a n g e p ro ce s se s a re th e sa m e p e rso n , i n te g ra ti o n ca n be a ch i e ve d

m o re e ffe cti ve l y a s p o te n ti a l co n fl i ct a n d th e n eed fo r g ro u p

co -o rd i n a ti o n i s re d u ce d .

Al l o f th e se fa cto rs ca n m ea n th a t th e i m p l e m e n ta ti o n ti m e s ca l e fo r n e w

I T se rvi ce m a n a g e m e n t p ro ce sse s i n a sm a l l I T te a m ca n be s i g n i fi ca n tl y

sh o rte r th a n th a t fo r a l a rg e r o rg a n i z a ti o n , and th e b e n e fi ts o f fo l l o wi n g

g o od p ra cti ce ca n be fe l t m o re q u i ckl y. Th i s m e a n s th a t u s e rs a n d I T sta ff

ca n re a p th e re wa rd s o f b e tte r se rvi ce in a ti m e fra m e th a t m o st l a rg e

o rg a n i z a ti o n s co u l d o n l y d re a m o f.

2 IT Service Management for Small IT Teams

 The Vision

I t a l so h e l p s to a d d re ss a n u m b e r o f i ssu e s o fte n fa ce d by a typ i ca l sm a l l

I T te a m i n cl u d i n g :

• Depth of knowledge – tryi n g to e n su re th a t I T sta ff h a ve a

re a so n a b l e d e p th a s we l l a s b re a d th o f kn o wl e d g e a b o u t th e se rvi ce s

th e y su p p o rt. We wi l l p ro vi d e yo u wi th a m e th o d o f a sse s si n g ski l l s

re q u i re m e n ts a n d d e ve l o p i n g sta ff co m p e te n ci e s i n o rd e r to m eet

th e m .

• Reliance on external suppliers – sm a l l I T te a m s o fte n h a ve to re l y

u pon th e se rvi ce p ro vi d e d b y e xte rn a l su p p o rt o rg a n i z a ti o n s, su ch as

so ftwa re su p p l i e rs a n d te ch n i ca l co n s u l ta n ts. Th e su p p l i e r

m a n a g e m e n t p ro ce s s e n su re s th a t s u ch re l a ti o n s h i p s a re ba sed on a

cl e a r u n d e rsta n d i n g o f th e l e ve l s o f se rvi ce p ro vi d e d and re q u i re s

th a t d e l i ve ry a g a i n st th e m i s m e a su re d and re vi e we d re g u l a rl y, th u s

i m p ro vi n g th e i r e ffe cti ve n e s s.

• Workload peaks and troughs – th e va ryi n g vo l u m e o f i n ci d e n ts,

ch a n g e s a n d p ro j e cts d e m a n d e d b y th e b u si n e ss ca n so m e ti m e s

swa m p a sm a l l I T te a m , l ea d i n g to a re d u cti o n in th e se rvi ce

d e l i ve re d . I T se rvi ce m a n a g e m e n t p ro vi d e s wa ys o f re d u ci n g i n ci d e n ts

th ro u g h p ro b l e m m a n a g e m e n t, managing ch a n g e s m o re e ffe cti ve l y

and s e tti n g th e e xp e cta ti o n s o f th e cu sto m e r a p p ro p ri a te l y th ro u g h

re g u l a r m e e ti n g s to d i scu ss se rvi ce and u p co m i n g p ro j e cts.

• Impact of staff turnover, holidays and sickness – due to th e

co m p l e xi ty o f th e va ri o u s ro l e s fu l fi l l e d b y e a ch m e m b e r o f th e te a m ,

th e l o ss o f o n e m e m b e r o f sta ff ca n h a ve a m o re s e ri o u s e ffe ct o n

th e se rvi ce th a n in a l a rg e r o rg a n i z a ti o n wh e re se ve ra l peopl e

p e rfo rm th e sa m e ro l e . O fte n , th e i m p l e m e n ta ti o n of g ood p ra cti ce

h a s been sh o wn to i m p ro ve th e m o ra l e o f th e I T te a m , th a t m a y h e l p

to re d u ce sta ff tu rn o ve r. Th e e m p h a si s o n p ro ce ss a n d kn o wl e d g e

ca p tu re a l so m e a n s th a t a re p l a ce m e n t ca n g et u p to speed m o re

q u i ckl y.

• Pressure on budgets – th e sm a l l e r I T te a m u su a l l y h a s l e ss m o n e y to

sp e n d th a n i ts l a rg e co m p a n y e q u i va l e n t. Th e e ffe cti ve a p p l i ca ti o n of

g ood p ra cti ce h e l p s to g e t th e m o s t o u t o f e xi sti n g sta ff, re d u ci n g

th e n eed to su p p l e m e n t re so u rce s wi th e xte rn a l co n tra cto rs. Th ro u g h

th e I T fi n a n ce and su p p l i e r m a n a g e m e n t p ro ce sse s i t a l s o h e l p s to

e n su re th a t o p p o rtu n i ti e s fo r co s t sa vi n g a re h i g h l i g h te d and

p ro vi d e s th e m e a s u re m e n t d a ta to be a bl e to b a l a n ce se rvi ce l e ve l s

and co st.

The Vision
So I T s e rvi ce m a n a g em en t g ood p ra cti ce ca n h el p a sm a l l I T te a m in all of

th e a re a s th a t h a ve j u st been l i ste d . B u t i f we had to su m m a ri z e th e re a l

co n tri b u ti o n th a t i t ca n p o te n ti a l l y m a ke to yo u r te a m ’s sta n d i n g in yo u r

o rg a n i z a ti o n , i t wo u l d be u si n g F i g u re 1 .

IT Service Management for Small IT Teams 3

1 Introduction

Figure 1 – The Vision

Al l to o m a n y sm a l l I T te a m s a re vi e we d b y th e i r p a re n t o rg a n i z a ti o n as

an e xp e n s e th a t th e y wo u l d ra th e r n o t h a ve . S e n i o r m a n a g e m e n t re a l i z e

th a t I T i s a n e ce s sa ry p a rt o f a m o d e rn b u si n e ss b u t h a ve l i ttl e

u n d e rs ta n d i n g o f o r co n ta ct wi th th e I T d e p a rtm e n t o n a d a i l y b a s i s. It is

p e rce i ve d as a u ti l i ty o ffe ri n g l i ttl e b u si n e s s va l u e and th e I T M a n a g er i s

ra re l y i n vi te d to se n i o r m a n a g e m e n t te a m m e e ti n g s. S o m e ti m e s th i s vi e w

i s ta ke n to i ts l o g i ca l co n cl u si o n and I T i s o u tso u rce d to a th i rd p a rty.

N o w, si tu a ti o n s va ry a n d we a re n o t sa yi n g fo r a m o m e n t th a t e ve ry

sm a l l I T d e p a rtm e n t i s l i ke th i s, and we h ope yo u rs i sn ’t. Th e p o i n t i s th a t

th e I T se rvi ce m a n a g e m e n t p ro ce s se s a n d te ch n i q u e s s e t o u t i n th i s b o o k

wi l l h el p yo u to fu rth e r d i sta n ce yo u rse l f fro m th i s sa d s i tu a ti o n , i m p ro ve

yo u r se rvi ce and yo u r re l a ti o n sh i p wi th th e b u si n e ss a n d m a ke i t m u ch

l e s s l i ke l y th a t th e o rg a n i z a ti o n wi l l fe e l th a t a th i rd p a rty co u l d do it

b e tte r. As yo u r m a n a g e m e n t o f I T se rvi ce s i m p ro ve s yo u wi l l fi n d yo u rse l f

fi rm l y i n th e E ffe cti ve Su ppl i er box a n d h o p e fu l l y we l l on th e wa y

to wa rd s b e co m i n g a va l u e d B u si n e s s Pa rtn e r, co n tri b u ti n g d i re ctl y to

b u si n e ss p e rfo rm a n ce and re g a rd e d as a stra te g i c a s se t o f th e co m p a n y.

Th a t i s th e vi si o n ; in th e re st o f th i s b o o k we wi l l o u tl i n e h o w we th i n k

yo u ca n sta rt to a ch i e ve i t.

4 IT Service Management for Small IT Teams

 The Vision

Summary

• A sm a l l I T te a m h a s m u ch to gain fro m th e i m p l e m e n ta ti o n

o f I T se rvi ce m a n a g em en t a n d i s u n i q u e l y p l a ce d to a ch i e ve

si g n i fi ca n t p ro g re ss i n a re l a ti ve l y s h o rt sp a ce o f ti m e – in

fa ct, to ti m e sca l e s th a t wi l l m a ke th e i r l a rg e co m p a n y

e q u i va l e n ts ’ g re e n wi th e n vy’ .

• Ke y to th i s g o a l i s th e a b i l i ty to i n te rp re t l i te ra tu re th a t i s

o fte n a i m ed a t l a rg e r o rg a n i z a ti o n s a n d to m a ke i t se e m

re l e va n t a n d u se fu l to a sm a l l te a m . Th i s b o o k h a s b e e n

wri tte n to h el p yo u to wa rd s th i s g o a l .

• Th e vi si o n i s to m o ve fro m a N e ce s sa ry E xp e n se , th ro u g h an

E ffe cti ve S u p p l i e r to b e co m e a tru e B u si n e ss Pa rtn e r.

IT Service Management for Small IT Teams 5

2 Th e I T se rvi ce m a n a g em en t

l a n d sca p e

O vervi ew

B e fo re l a u n ch i n g i n to an e xp l a n a ti o n o f th e va ri o u s co n ce p ts su rro u n d i n g

I T se rvi ce m a n a g e m e n t, i t i s p ro b a b l y wo rth j u st q u i ckl y s e tti n g s tra i g h t

so m e o f th e te rm s a b o u t th e su b j e ct. Pe o p l e o fte n a sk ′ Wh a t i s th e

d i ffe re n ce b e twe e n ’ I T se rvi ce m a n a g e m e n t’ , ’ I TI L’ , ’ I S O /I E C 2 0 0 0 0 ’ and al l

th e o th e r te rm s b a n d i e d a ro u n d in th e i n d u stry? ′ S o , h e re is a q u i ck

e xp l a n a ti o n .

I T servi ce m a n a g em en t i s a d i sci p l i n e . It is a su b j e ct a re a s u p p o rte d by a

si g n i fi ca n t a m o u n t o f kn o wl e d g e th a t i s se t o u t i n b o o ks a n d o th e r

m ed i a and in p e o p l e ’s h e a d s . Th e re a re an i n fi n i te n u m b e r o f wa ys to do

I T se rvi ce m a n a g e m e n t: th e I TI L a n d th e l i ke a re o n l y d o cu m e n te d

e xa m p l e s o f h o w i t ca n be d on e – e ve n i f yo u a re n o t a wa re of a n y of

th e m e th o d s b e l o w, i f yo u a re d e l i ve ri n g I T se rvi ce s th e n yo u a re d oi n g IT

se rvi ce m a n a g e m e n t a l re a d y. Th e aim o f I TI L, I S O /I E C 2 0 0 0 0 , CO B I T, e tc. is

to h el p yo u to do i t m o re e ffe cti ve l y a n d wi th l o we r ri sk a n d , h o p e fu l l y,

l o we r co st.

I TI L (I T I n fra stru ctu re Li bra ry) i s a se ri e s o f b o o ks wri tte n a n d m a i n ta i n e d

b y th e O G C (U K O ffi ce o f G o ve rn m e n t Co m m e rce ) th a t d o cu m e n ts th e

co l l e cti ve vi e w a n d e xp e ri e n ce s o f m a n y o rg a n i z a ti o n s’ ’g ood p ra cti ce ’

wa ys o f p e rfo rm i n g I T se rvi ce m a n a g e m e n t a cti vi ti e s. So yo u wi l l fi n d

ch a p te rs o n i n ci d e n t m a n a g e m e n t, on re l e a s e m a n a g e m e n t, on ca p a ci ty

m a n a g e m e n t, e tc. Th i s p ro vi d e s m u ch o f th e d e ta i l a b o u t h o w to ca rry

o u t I T se rvi ce m a n a g e m e n t a cti vi ti e s, i n cl u d i n g p ro ce ss d i a g ra m s a n d

ro l e s a n d re sp o n si b i l i ti e s, all b ro u g h t to g e th e r i n to an o ve ra l l l i fe cycl e

m od el . I TI L i s o fte n re fe rre d to as a ‘ fra m e wo rk’ b e ca u s e i t g i ve s yo u th e

stru ctu re bu t i t i s u p to yo u to ta i l o r i t a t a l o we r l e ve l to yo u r

o rg a n i z a ti o n ’s s p e ci fi c re q u i re m e n ts.

I S O /I E C 2 0000 i s a n i n te rn a ti o n a l s ta n d a rd l i ke I SO 9001 (q u a l i ty

m a n a g e m e n t) or I SO 1 40 0 1 (e n vi ro n m e n ta l m a n a g e m e n t) . I t ta ke s th o se

a sp e cts o f I T se rvi ce m a n a g e m e n t th a t a re d eem ed , b y se ve ra l

i n te rn a ti o n a l co m m i tte e s, a s m a n d a to ry fo r a n o rg a n i z a ti o n wi s h i n g to

p ro ve th a t th e y d e m o n s tra te g ood p ra cti ce . Al l re q u i re m e n ts o f th e

sta n d a rd (Pa rt 1 ) sh o u l d be co m p l i e d wi th fo r th e o rg a n i z a ti o n to be

ce rti fi e d to I S O /I E C 2 0 0 0 0 . Th e re a re s e ve ra l o th e r p a rts o f I S O /I E C 2 0 0 0 0

6 IT Service Management for Small IT Teams

 Overview

th a t d e se rve a m e n ti o n : Pa rt 2 , th e Co d e o f Pra cti ce , e l a b o ra te s o n th e

n e ce ss a ri l y m i n i m a l i s t re q u i re m e n ts o f Pa rt 1 and d e scri b e s to so m e

e xte n t h o w th e p ro ce ss e s sh o u l d be i m p l e m e n te d – u se fu l i f yo u wo u l d

l i ke m o re d e ta i l th a n i s co n ta i n e d in Pa rt 1 b u t d o n ’t wa n t to re a d all fi ve

I TI L V3 b o o ks. Pa rts 3 , 4 and 5 p ro vi d e fu rth e r g u i d a n ce on sco p e

d e fi n i ti o n , re fe re n ce m od el and i m p l e m e n ta ti o n re sp e cti ve l y. Th e re a re

a l so p l a n s fo r a Pa rt 8 (Pro ce ss As se ssm e n t M o d e l ) and Pa rt 1 0 (Co n ce p ts

and Te rm i n o l o g y) , so I S O /I E C 2 0 0 0 0 i s fa st d e ve l o p i n g i n to a we l l -ro u n d e d

d e fi n i ti o n o f I T se rvi ce m a n a g em en t g ood p ra cti ce .

F i g u re 2 s u m m a ri z e s th e s tru ctu re and th e g e n e ra l co n ce p ts o f th e

I S O /I E C 2 0 0 0 0 sta n d a rd .

Fi g u re 2 – S u m m a ry of th e I S O /I E C 2 0000 sta n d a rd

Source: ISO/IEC 20000:201 1 Part 1

Pre vi o u sl y I TI L a n d I S O /I E C 2 0 0 0 0 h a ve n o t a b so l u te l y co rre l a te d a s th e re

we re p ro ce ss e s sp e ci fi e d in I TI L wh i ch did n o t e xi st i n I S O /I E C 2 0 0 0 0

(e ve n t m a n a g e m e n t, fo r e xa m p l e ) , b u t th e p ri n ci p l e s se t o u t i n

I S O /I E C 2 0 0 0 0 co u l d sti l l be u se d to fi l l th e g a p s fo r th o se m i s si n g

p ro ce s se s. Th e I S O /I E C 2 0 0 0 0 sta n d a rd i s co n sta n tl y b e i n g re vi e we d and is

re vi se d e ve ry fi ve or so ye a rs to ke e p it in line wi th g ood p ra cti ce

th i n ki n g . A re vi se d ve rsi o n o f Pa rt 1 (th e Re q u i re m e n ts) o f th e

IT Service Management for Small IT Teams 7

2 The IT service management landscape

I S O /I E C 2 0 0 0 0 sta n d a rd wa s p u b l i s h e d in 2 01 1 ; on e o f th e o b j e cti ve s o f

th i s n e w ve rsi o n i s to re a l i g n th e sta n d a rd wi th I TI L V3 m o re fu l l y.

To su m m a ri z e and d ra w a n a ca d e m i c p a ra l l e l , i t co u l d b ro a d l y b e sa i d

th a t ‘ I T se rvi ce m a n a g e m e n t’ i s th e su b j e ct, I TI L i s th e se t o f kn o wl e d g e

th a t fo rm s th e co n te n t a n d I S O /I E C 2 0 0 0 0 i s th e e xa m th a t yo u ca n

ch o o s e to ta ke a t th e en d to p ro ve yo u r o rg a n i z a ti o n ’s p ro fi ci e n cy i n th e

su b j e ct.

A bit of history
Th e re a re a fe w th i n g s a b o u t I TI L th a t d e se rve a q u i ck m e n ti o n . I t beg a n

l i fe in th e 1 9 8 0 s a s th e I T I n fra stru ctu re Li b ra ry, a co l l e cti o n o f 3 4 b o o ks

co ve ri n g a s p e cts o f m a n a g i n g I T o p e ra ti o n s. Ti tl e s ra n g e d fro m th e

fa m i l i a r Change Management , to g u i d a n ce on Lo ca l Are a N e two rk (LAN )

wi ri n g and Setting up a Machine Room . Th e i n te n ti o n wa s to i m p ro ve IT

se rvi ce q u a l i ty i n ce n tra l and l o ca l g o ve rn m e n t, and n a ti o n a l i z e d u ti l i ti e s.

Th i s wa s Ve rsi o n 1 .

I TI L V2 wa s d e ve l o p e d mainly in th e l a te 1 9 9 0 s. It had a n a rro we r fo cu s,

on th e m o re fa m i l i a r se t o f se ve n b o o ks a n d th e a s so ci a te d to p i cs

(a l th o u g h m o st o f th e a tte n ti o n wa s typ i ca l l y p u t o n th e fi rst two of

th e se , kn o wn a s th e Re d and Blue B o o ks) :

• se rvi ce d e l i ve ry (co ve ri n g a va i l a b i l i ty m a n a g e m e n t, ca p a ci ty

m a n a g e m e n t, fi n a n ci a l m a n a g e m e n t fo r I T se rvi ce s, I T s e rvi ce

co n ti n u i ty m a n a g e m e n t a n d se rvi ce l e ve l m a n a g e m e n t) – th i s wa s

th e Re d B o o k;

• se rvi ce su p p o rt (co ve ri n g co n fi g u ra ti o n m a n a g e m e n t, ch a n g e

m a n a g e m e n t, i n ci d e n t m a n a g e m e n t, p ro b l e m m a n a g e m e n t, re l e a se

m a n a g em en t a n d th e se rvi ce d e sk fu n cti o n ) – th e Blue B o o k;

• so ftwa re a ss e t m a n a g e m e n t;

• se cu ri ty m a n a g e m e n t;

• a p p l i ca ti o n m a n a g e m e n t;

• i n fra stru ctu re m a n a g e m e n t;

• th e b u si n e ss p e rsp e cti ve .

I TI L sta rte d to sp re a d wo rl d wi d e and l ea p a cro s s th e d i vi d e b e twe e n

pu bl i c a n d p ri va te s e cto r, Th e N e th e rl a n d s h a vi n g an e s p e ci a l l y p ro m i n e n t

and a cti ve ro l e . B y a ro u n d 2 000, it had b e co m e th e de fa cto s ta n d a rd fo r

I T se rvi ce m a n a g e m e n t. Th e p ro j e ct to cre a te I TI L V3 , o ri g i n a l l y l a b e l l e d

a s th e ‘ I TI L Re fre sh ’ , wa s a n n o u n ce d in 2 005 and i t wa s p u b l i s h e d in May

2 007 . Th i s co n so l i d a te d th e V2 g u i d a n ce i n to a se t o f fi ve b o o ks , on e fo r

e a ch sta g e of a l i fe cycl e , co n si s ti n g o f:

1 . S e rvi ce stra te g y.

2. S e rvi ce d e si g n .

3. S e rvi ce tra n si ti o n .

8 IT Service Management for Small IT Teams

 Associated concepts, models and tools

4. S e rvi ce o p e ra ti o n .

5. Co n ti n u a l se rvi ce i m p ro ve m e n t.

H o we ve r, V3 wa s n o t a n i m m e d i a te re p l a ce m e n t fo r V2 and e ve n n ow

th e re a re m a n y o rg a n i z a ti o n s u s i n g th e V2 b o o ks a s th e i r m a i n g u i d a n ce .

Th e re h a s been so m e cri ti ci s m a ro u n d th e re a d a b i l i ty o f so m e o f th e V3

b o o ks a n d th i s h a s re su l te d in a p a rti a l re wri te , wh i ch i s sch e d u l e d to hit

th e sh e l ve s d u ri n g 2 01 1 .

Th e I TI L V3 Li fe cycl e i s n o rm a l l y re p re se n te d wi th S e rvi ce S tra te g y a t th e

co re and d esi g n , Tra n si ti o n and O p e ra ti o n g u i d ed b y i t. Co n ti n u a l S e rvi ce

I m p ro ve m e n t i s th e n sh o wn a s bei n g a ppl i ed a cro ss a l l o f th e p ro ce s se s.

In a d d i ti o n to th e fi ve co re b o o ks th e re is a wi d e va ri e ty o f

co m p l e m e n ta ry p u b l i ca ti o n s a l so p u b l i sh e d b y th e O G C (O ffi ce of

G o ve rn m e n t Co m m e rce , th e o wn e rs o f I TI L) and a n u m b e r o f we b -b a se d

i n i ti a ti ve s a va i l a b l e .

Associ a ted con cepts, m od el s a n d tool s

I t i s a l so wo rth ta ki n g a b ri e f l o o k a t ce rta i n a sso ci a te d co n ce p ts wh i ch

wi l l h el p yo u to b e tte r u n d e rs ta n d th e e n ti re I T se rvi ce m a n a g em en t

l a n d s ca p e – I TI L a n d I S O /I E C 2 0 0 0 0 a re fa r fro m th e fu l l sto ry o n I T s e rvi ce

m a n a g e m e n t. We h a ve g i ve n a fl a vo u r o f e a ch o f th e se in th e se cti o n

bel ow bu t pl ea se l o o k a t Ap p e n d i x B fo r m o re d e ta i l and re fe re n ce s to

so m e so u rce s o f i n fo rm a ti o n a b o u t e a ch o f th e m . D o n ’t fo rg e t th a t th e se

a re si m p l y o th e r g u i d a n ce m o d e l s to wh i ch yo u m i g h t wa n t to re fe r i f i t

h e l p s yo u and yo u r o rg a n i z a ti o n re a ch yo u r g o a l s. D o n ’t g e t to o

co n ce rn e d wi th tryi n g to u se e ve ryth i n g ; ch e rry-p i ck th o se i d ea s a n d

co n ce p ts th a t h e l p yo u and i g n o re th o se th a t d o n ’t.

Th e Ca pa bi l i ty M a tu ri ty M od el I n teg ra ti on (CM M I ) i s a m o d e l fo r

a s se ssi n g th e p ro ce sse s o f a n o rg a n i z a ti o n a g a i n st a ste p p e d sca l e of

‘ m a tu ri ty’ . U se d co rre ctl y th e CM M I ca n be ve ry u se fu l in a gap

a s se ssm e n t o f a n o rg a n i z a ti o n ’s I T se rvi ce m a n a g e m e n t p ro ce sse s (o r

i n d eed a n y o f i ts p ro ce sse s ) .

I S O /I E C 2 7 000 i s a fa m i l y o f i n te rn a ti o n a l sta n d a rd s th a t p ro vi d e a g ood

p ra cti ce so l u ti o n to a ra n g e o f re g u l a to ry a n d o p e ra ti o n a l se cu ri ty i s su e s

fa ce d b y o rg a n i z a ti o n s. I t p ro vi d e s g u i d a n ce on a re a s su ch a s se cu ri ty

p o l i cy, o rg a n i z a ti o n , p e rso n n e l s e cu ri ty, co m m u n i ca ti o n s a n d o p e ra ti o n s

m a n a g e m e n t, a cce ss co n tro l , sys te m d e ve l o p m e n t a n d m a i n te n a n ce ,

b u si n e s s co n ti n u i ty m a n a g e m e n t, p h ys i ca l and e n vi ro n m e n ta l se cu ri ty a n d

co m p l i a n ce .

CO BI T s ta n d s fo r ‘ Co n tro l O b j e cti ve s fo r I n fo rm a ti o n and Re l a te d

Te ch n o l o g y’ , and is a m od el d e si g n e d to a d d re ss th e co n tro l o f th e e n ti re

I T fu n cti o n . I t wa s o ri g i n a l l y d e ve l o p e d in 1 9 9 4 b y th e re se a rch i n sti tu te

o f th e I n fo rm a ti o n S ys te m s Au d i t a n d Co n tro l As so ci a ti o n (I S ACA) . It

IT Service Management for Small IT Teams 9

2 The IT service management landscape

su p p o rts a n d a ss i sts m a n a g e m e n t i n th e g o ve rn a n ce o f I T b y p ro vi d i n g a

co m p re h e n s i ve d e scri p ti o n of a se ri e s o f co n tro l o b j e cti ve s fo r a l l IT

p ro ce sse s a n d b y p ro vi d i n g a m e ch a n i s m fo r m o n i to ri n g , m e a s u ri n g and

a sse s si n g th e on g oi n g m a tu ri ty o f th e p ro ce sse s.

I S O /I E C 3 85 00 i s a n i n te rn a ti o n a l s ta n d a rd d e s cri b i n g a fra m e wo rk fo r

th e g o ve rn a n ce o f th e u se of I T by a n o rg a n i z a ti o n . Th i s i s su b tl y

d i ffe re n t fro m (b u t cl o se l y l i n ke d to ) CO B I T i n th a t CO B I T i s a m od el fo r

th e g o ve rn a n ce o f p ro ce sse s wi th i n I T wh e re a s I S O /I E C 3 8 5 0 0 i s a m od el

fo r h o w se n i o r m a n a g e m e n t (th e b o a rd o f d i re cto rs o r si m i l a r) sh o u l d

g o ve rn and se t s tra te g i c d i re cti o n fo r I T a cro s s th e o rg a n i z a ti o n .

Lea n i s a co n ti n u a l i m p ro ve m e n t m e th o d , o fte n d e s cri b e d as a ‘ m i n d se t’ ,

th e co re i d ea o f wh i ch i s to m a xi m i z e cu sto m e r va l u e wh i l e m i n i m i zi n g

wa ste . Le a n si m p l y m e a n s cre a ti n g m o re va l u e fo r cu sto m e rs wi th fe we r

re so u rce s. Wi th i n I T Le a n h a s been a re l a ti ve l y re ce n t e n tra n t to th e

d i scu s si o n , a l th o u g h i t h a s been a ro u n d in o th e r i n d u stri e s, p a rti cu l a rl y

m a n u fa ctu ri n g , fo r so m e ti m e .

S i x S i g m a wa s o ri g i n a l l y d e ve l o p e d i n th e m i d -1 9 8 0 s b y M o to ro l a , as a

wa y to m e a su re and re d u ce th e a m o u n t o f va ri a ti o n o r i n co n si s te n cy i n a

p ro ce ss. I t p ro vi d e s a q u a n ti ta ti ve m e th o d o l o g y fo r co n ti n u a l

i m pro ve m e n t a n d l o we ri n g co sts b y re d u ci n g th e a m o u n t o f va ri a ti o n in

p ro ce ss o u tco m e s to a l e ve l su i ta b l e fo r th e g i ve n o rg a n i z a ti o n .

O th ers

Th e re a re a l so se ve ra l o th e r fra m e wo rks, m od el s a n d i n te rn a ti o n a l

sta n d a rd s th a t su p p o rt va ri o u s p a rts o f I T se rvi ce m a n a g e m e n t, su ch a s:

• M i cro so ft O p e ra ti o n s F ra m e wo rk (M O F ) – si m i l a r i n s co p e to I TI L V3 ;

• BS 25999 B ri ti s h S ta n d a rd fo r b u si n e s s co n ti n u i ty m a n a g e m e n t –

ti p p e d to b e co m e an i n te rn a ti o n a l sta n d a rd in th e n o t to o d i sta n t

fu tu re ;

• I S O /I E C 1 9 7 7 0 – a n i n te rn a ti o n a l sta n d a rd fo r so ftwa re a sse t

m a n a g e m e n t;

• I SO 9001 – a we l l - kn o wn g e n e ra l q u a l i ty sta n d a rd th a t fo rm s th e

b a si s fo r m a n y o th e r sta n d a rd s i n cl u d i n g I S O /I E C 2 0 0 0 0 a n d

I S O /I E C 2 7 0 0 1 ;

• Ti ckI T – a so ftwa re d e ve l o p m e n t s ta n d a rd , a l so cl o se l y re l a te d to

I SO 9001 .

1 0 IT Service Management for Small IT Teams

 Decisions, decisions …

Decisions, decisions …
Al th o u g h th i s b o o k fo cu s e s q u i te h e a vi l y o n th e p ro ce sse s a s so ci a te d wi th

I T s e rvi ce m a n a g e m e n t, i t i s wo rth p o i n ti n g ou t a t a n e a rl y sta g e th a t th e

a ctu a l aim of a l l o f th i s i s to d e l i ve r to th e b u si n e ss th e su p p o rt th a t i t

re q u i re s. Th a t d o e sn ’t j u st m e a n fi xi n g PCs wh e n n eed ed ; i t i n vo l ve s

p ro vi d i n g th e b u si n e ss wi th th e m e a n s to d e l i ve r i ts g o o d s o r se rvi ce s to

i ts cu sto m e rs i n th e m o st e ffe cti ve wa y. I T ca n be a huge e n a b l e r o f th i s

b u t o n l y i f th e m i n d se t i s ri g h t. Th e re ’s a n o ft-ci te d adage th a t p e o p l e do

n o t wa n t q u a rte r- i n ch d ri l l b i ts , th e y wa n t q u a rte r-i n ch h o l e s. We wo u l d

co n te n d th a t th e y a ctu a l l y wa n t a p l a ce to ke e p th e i r b o o ks – wh i ch is

re l i a n t o n h a vi n g a sh e l f, wh i ch i s re l i a n t o n b ra cke ts, wh i ch n eed

q u a rte r-i n ch h o l e s fo r th e scre ws to s u p p o rt th e b ra cke ts. In re a l i ty, th e

cu s to m e r’s p e rce p ti o n o f th e va l u e d e l i ve re d b y I T wi l l be m e a su re d by

h o w e a sy i t i s to p e rfo rm i ts ta sks. Pl e a s e ke e p th i s i n mind e ve n wh e n

we a re d eep i n to th e d e ta i l of a p a rti cu l a r p ro ce s s.

So wh i ch o f th e se va ri o u s o p ti o n s sh o u l d a m a n a g er of a sm a l l I T te a m

u se to h el p fu rth e r h i s /h e r I T se rvi ce m a n a g e m e n t a m b i ti o n s ? I n e vi ta b l y

th i s i s a d i ffi cu l t q u e sti o n . Al l o f th e fra m e wo rks, sta n d a rd s a n d m e th o d s

o u tl i n e d a b o ve h a ve been cre a te d o ve r a p e ri o d o f ti m e b y ve ry cl e ve r

peopl e and, u se d co rre ctl y, wi l l all h el p to i m p ro ve th e wa y i n wh i ch yo u

d e l i ve r I T s e rvi ce s to yo u r o rg a n i z a ti o n . On e a n swe r wo u l d be th a t yo u

sh o u l d try to ta ke th e b e st fro m e a ch o f th e a b o ve o p ti o n s, b u t fo r a

b u sy I T m a n a g e r we re co g n i z e th a t th i s wo u l d be a ve ry ti m e - co n su m i n g

a p p ro a ch and p ro b a b l y l e a d to a g re a t d e a l o f co n fu si o n fo r yo u and

yo u r sta ff.

So o u r re co m m e n d a ti o n i s th a t yo u ch o o se a si n g l e sta n d a rd or

fra m e wo rk a s yo u r m a i n so u rce o f kn o wl e d g e and ru n wi th i t, u si n g

o th e r so u rce s i f yo u wi sh a s b a cku p i n fo rm a ti o n to fi l l in th e o cca si o n a l

gap o r e xp a n d u pon sp e ci fi c a re a s . Th i s i s th e a p p ro a ch we h a ve ta ke n in

wri ti n g th i s b o o k a n d so we h a ve had to co m e d o wn on th e si d e of on e

o r two o f th e a b o ve m e th o d s i n o rd e r to ke e p th e su b j e ct l o g i ca l and

co n si ste n t.

F o r th e re co rd , th e n , th e a d vi ce g i ve n wi th i n th e se p a g e s i s l a rg e l y b a s e d

u pon th e I S O /I E C 2 0 0 0 0 s ta n d a rd , wi th fu rth e r e xp a n s i o n su p p l i e d fro m

th e I TI L V3 fra m e wo rk. We co u l d h a ve u se d CO B I T o r M O F (o r e ve n I TI L

V2 ) and so ca n yo u i f yo u ch o o se to . B u t, a s we h a ve a l re a d y a d m i tte d ,

o u r co m b i n e d e xp e ri e n ce l e a n s to wa rd s I S O /I E C 2 0 0 0 0 a n d I TI L V3 so we

fe e l we ca n do a b e tte r j o b o f e xp l a i n i n g th e i d e a s wi th th e se as a g u i d e.

Th a t sa i d , l e t’s s ta rt m a ki n g so m e p ro g re ss.

IT Service Management for Small IT Teams 1 1

2 The IT service management landscape

Summary

• I T s e rvi ce m a n a g em en t i s a d i sci p l i n e fo r wh i ch I TI L i s a

b o d y o f kn o wl e d g e d e ta i l i n g th e co l l e cti ve vi e w o f g o o d

p ra cti ce and I S O /I E C 2 00 0 0 is a sta n d a rd a g a i n st wh i ch

o rg a n i z a ti o n s ca n be ce rti fi e d .

• Th e re a re m a n y a sso ci a te d co n ce p ts a n d m o d e l s th a t ca n

be u se fu l in th e I T M a n a g e r’ s a rse n a l i n cl u d i n g : CM M I fo r

a sse ss i n g m a tu ri ty, I S O /I E C 2 7 0 0 0 fo r a sse ss i n g , co n tro l l i n g

and ce rti fyi n g se cu ri ty, CO B I T a n d I S O /I E C 3 8 5 00 fo r

a sse rti n g a m a n a g ea bl e fra m e wo rk fo r b o th th e

g o ve rn a n ce of I T a n d o f th e p ro ce sse s o f I T, Le a n and Si x

Si g m a fo r i m p ro ve m e n t a n d e ffi ci e n cy.

• Th e co n te n ts o f th i s b o o k a re l a rg e l y b a s e d u pon th e

I S O /I E C 2 0 0 0 0 sta n d a rd and I TI L V3 , b u t th e se a re by n o

m e a n s th e o n l y o p ti o n s fo r i m p ro vi n g yo u r I T s e rvi ce

m a n a g em en t

• O u r re co m m e n d a ti o n i s th a t yo u ch o o se a si n g l e sta n d a rd

o r fra m e wo rk a s yo u r m a i n so u rce o f kn o wl e d g e and ru n

wi th i t, u si n g o th e r so u rce s i f yo u wi sh a s b a cku p .

Next step

Fi n d o u t m o re a b o u t th e fra m e wo rks, sta n d a rd s a n d m e th o d s

co ve re d to g et a b e tte r i d e a o f h o w th e y m a y b e u se fu l to yo u

– se e Ap p e n d i x B fo r m o re i n fo rm a ti o n .

1 2 IT Service Management for Small IT Teams

3 Pl a n n i n g fo r I T se rvi ce

m a n a g em en t

The gap analysis

Th e g re a t th i n g a bou t g ood p ra cti ce i s th a t i t d e fi n e s p re tty cl e a rl y

wh e re yo u n eed to en d u p. B u t to g e t fro m wh e re yo u a re n o w to th e IT

se rvi ce m a n a g e m e n t p ro m i s e d land yo u wi l l n eed to kn o w th e fi rs t b i t –

wh e re a re yo u n o w? Th i s i s th e p u rp o se o f th e gap a n a l ysi s (i t m a y g o by

o th e r n a m e s s u ch a s ‘ I TS M a ss e ssm e n t’ o r ‘ m a tu ri ty a n a l ysi s ’ bu t i t i s

b a si ca l l y th e sa m e th i n g ) . Th i s i s i m p o rta n t b e ca u se i t g i ve s yo u a cl e a r

i d ea o f wh a t wi l l n eed to be d on e, h ow l on g i t m a y ta ke , th e l i ke l y co st

and, m o st i m p o rta n t o f a l l , wh a t b e n e fi ts yo u m a y d e ri ve fro m sta rti n g

to do th i n g s d i ffe re n tl y.

Approach
Th e re a re re a l l y o n l y two main wa ys o f ca rryi n g ou t a n I T s e rvi ce

m a n a g em en t g a p a n a l ysi s . F i rst, yo u co u l d g et a co n su l ta n t to do i t fo r

yo u . Th e re a re co n su l ta n cy fi rm s l a rg e and sm a l l wh o h a ve ca rri e d ou t

si m i l a r e xe rci se s m a n y ti m e s b e fo re and wo u l d , o f co u rse , b ri n g

si g n i fi ca n t e xp e ri e n ce and a d vi ce to th e p a rty. B u t th i s co m e s a t a p ri ce

and i t’s u p to yo u wh e th e r yo u th i n k i t’s wo rth it and wh e th e r yo u h a ve

a b u d g e t a va i l a b l e . B ea r i n mind th a t a n e xte rn a l a ss e ssm e n t i s l i ke l y to

ca rry m o re we i g h t th a n on e yo u h a ve d on e yo u rse l f a n d wi l l te n d to be

m o re o b j e cti ve , so i t m a y we l l be wo rth th e e xtra e xp e n d i tu re a t th e

sta rt.

S e co n d , yo u co u l d do i t yo u rse l f. Th e re a re a n u m ber of g a p a n a l ys i s

to o l ki ts a va i l a b l e th a t ca n a ssi st yo u in th i s a n d i t i s wo rth h a vi n g a l ook

a ro u n d on th e i n te rn e t to se e i f th e y m e e t yo u r n e e d s. O r yo u co u l d

m a ke yo u r o wn – and we wi l l te l l yo u h o w.

B u t wh a t e xa ctl y wi l l yo u be a ss e ssi n g th e gap a g a i n s t? Ag a i n , th e re a re

o p ti o n s . G e n e ra l l y a cce p te d g ood p ra cti ce in I T se rvi ce m a n a g em en t i s

em bod i ed in I TI L. In i ts l a te s t ve rs i o n , I TI L V3 co n si sts o f fi ve b o o ks

co ve ri n g e a ch o f th e ste p s i n a l i fe cycl e a p p ro a ch – n a m e l y S tra te g y,

D e si g n , Tra n si ti o n , O p e ra ti o n and Co n ti n u a l S e rvi ce I m p ro ve m e n t. So yo u

co u l d , in th e o ry, l o o k th ro u g h th e b o o ks i n tu rn and try to a sse ss to wh a t

e xte n t yo u cu rre n tl y fo l l o w th e p ro ce s se s th e y d e s cri b e . Th i s i s ce rta i n l y

IT Service Management for Small IT Teams 1 3

3 Planning for IT service management

p o ssi b l e and m a y we l l be a wo rth wh i l e e xe rci s e i f o n l y b e ca u se yo u wi l l

b e co m e fa m i l i a r wi th th e co n te n t o f th e b o o ks. B u t i t m a y ta ke yo u q u i te

a wh i l e to do and th e re su l ts wi l l p ro b a b l y b e a l i ttl e su b j e cti ve . So we ’ d

l i ke to p ro p o se an a l te rn a ti ve wa y o f d o i n g i t th a t i n o u r vi e w, i s q u i cke r,

ch e a p e r a n d m o re m e a su ra b l e th a n th i s a p p ro a ch .

E ve n i f yo u h a ve a b so l u te l y n o i n te n ti o n o f h a vi n g yo u r o rg a n i z a ti o n

ce rti fi e d a g a i n st i t, co m p a ri n g yo u rse l f a g a i n st th e i n te rn a ti o n a l sta n d a rd

fo r I T s e rvi ce m a n a g e m e n t, I S O /I E C 2 0 0 0 0 , is in ou r opi n i on e a si e r th a n

co m p a ri n g yo u rse l f a g a i n s t I TI L b e ca u se th e fo rm e r i s m u ch m o re co n ci s e ,

co n si s ti n g o f fe we r th a n 20 p a g e s o f re q u i re m e n ts ve rs u s m a n y h u n d re d s

in I TI L. Th i s m e a n s th a t i t i s p e rfe ctl y fe a si b l e to go th ro u g h

I S O /I E C 2 0 0 0 0 Pa rt 1 (th e S p e ci fi ca ti o n ) line by l i n e and d e ci d e wh e th e r o r

n o t e a ch o f th e 2 00 or so re q u i re m e n ts i s cu rre n tl y i n p l a ce . It is as

th o u g h th e I S O /I E C co m m i tte e h a s d on e th e h a rd wo rk fo r yo u in

d i sti l l i n g I TI L d o wn i n to a s h o rt (b u t a d m i tte d l y ra th e r d ry) co n ci s e

su m m a ry o f th e b e s t a sp e cts o f g o o d p ra cti ce .

Th e re a re p u b l i sh e d m a te ri a l s to h el p yo u ta ke th i s a p p ro a ch (a n d we

re co m m e n d yo u l o o k a t th e m ) b u t yo u a l so h a ve th e o p ti o n to s a ve

yo u rse l f so m e m on ey a n d j u st i m p o rt Pa rt 1 (th e Re q u i re m e n ts) o f th e

sta n d a rd i n to a sp re a d sh e e t a n d wo rk fro m th a t (o f co u rse , yo u wi l l n eed

to b u y th e s ta n d a rd fi rst so i t’s n o t a co m p l e te l y co s t-fre e o p ti o n ) . M a ke

su re th a t e a ch re q u i re m e n t i s l i ste d in a s e p a ra te ce l l so th a t yo u ca n

i n d i ca te i n d i vi d u a l l y, u si n g a 1 (Ye s ) or a 0 (N o ) wh e th e r i t i s fo l l o we d

wi th i n yo u r o rg a n i z a ti o n . F o r th o s e th a t yo u a re n o t su re a b o u t we

su g g e s t yo u e rr o n th e si d e o f ca u ti o n and pu t a 0. Th i s th e n a l l o ws yo u

to o b j e cti ve l y m e a su re h o w m u ch of g ood p ra cti ce yo u a re cu rre n tl y

d oi n g and to b re a k i t d o wn b y p ro ce ss a re a .

Ad d a fe w m e a n i n g fu l ch a rts cre a te d fro m th e sp re a d sh e e t d a ta and

yo u ’ re in b u si n e ss ! We ’ ve pu t a n e xa m p l e in Ap p e n d i x A. 1 to g i ve yo u an

i d ea o f wh a t th i s co u l d l o o k l i ke . I t i s a l so a g ood i d ea to re co rd any

su p p o rti n g i n fo rm a ti o n o r e vi d e n ce fo r a ‘ Ye s’ and an a cti o n fo r e a ch

‘N o’.

D oi n g i t th i s wa y a l so m e a n s yo u ca n re p e a t th e p ro ce ss o n a re g u l a r

b a si s th ro u g h o u t th e p ro j e ct to ke e p tra ck o f h o w co m p l i a n t wi th

I S O /I E C 2 0 0 0 0 yo u a re to d a te . Th i s a l so p ro vi d e s a g re a t i n d i ca to r to pu t

in yo u r we e kl y p ro g re s s re p o rts .

Method
Th e gap a n a l ysi s i s ve ry si m i l a r to an audit in m a n y wa ys a n d th e

m e th o d s u se d to ca rry i t o u t a re th e sa m e, n a m e l y:

• a re vi e w o f d o cu m e n ta ti o n and re co rd s;

1 4 IT Service Management for Small IT Teams

 The gap analysis

• i n te rvi e wi n g ke y p e rs o n n e l ;

• o b se rvi n g th e te a m in a cti o n .

Th e main d i ffe re n ce b e twe e n th e gap a n a l ysi s a n d a re a l a u d i t i s th a t th e

gap a n a l ysi s i s a co m p l e te ‘ d ra i n s u p ’ e xe rci se co ve ri n g all a re a s o f I T

se rvi ce m a n a g em en t i n wh i ch we wa n t s ta ff to vo l u n te e r i n fo rm a ti o n

a b o u t h o w th i n g s a re re a l l y d o n e a t th e m o m e n t. We wa n t a l l th e i s su e s

to be laid b a re so th a t we ca n o b ta i n a tru e p i ctu re o f h o w m u ch wo rk

th e re i s to d o. An a u d i t, in co n tra st, te n d s to be a sl i g h tl y m o re g u a rd e d

a ffa i r wh e re sta ff l a rg e l y sti ck to a n swe ri n g j u st th e q u e sti o n s th e y a re

a s ke d , and no m o re .

Al th o u g h th e th re e m e th o d s a re l i s te d bel ow i n a s e t o rd e r, in p ra cti ce

th e y n e e d all to h a ppen a t th e sa m e ti m e and bu i l d u pon e a ch o th e r –

fo r e xa m p l e , yo u i n te rvi e w a m e m b e r o f sta ff, re vi e w th e re co rd s to

co n fi rm wh a t h e o r sh e i s sa yi n g , si t i n and o b se rve i t h a ppen i n g th e n

d i scu ss yo u r fi n d i n g s i n a n o th e r i n te rvi e w, fo l l o we d b y m o re o b se rva ti o n ,

e tc. Th i s wi l l th e n a l l o w yo u to re a ch a co n si d e re d co n cl u si o n fo r e a ch

re q u i re m e n t, a l on g wi th su p p o rti n g o b se rva ti o n s . I f yo u a re th e IT

M a n a g e r th e n , si n ce yo u r te a m i s sm a l l , yo u m a y a l re a d y b e a wa re of

m o st o f th e a n swe rs wi th o u t co n s u l ti n g a n yo n e el se; bu t be ca re fu l to

ch e ck th a t th e wa y yo u th i n k th i n g s h a p p e n i s a ctu a l l y th e wa y th e y

h a ppen on th e g ro u n d .

Review of documentation and records

Th e fi rst s te p i s to g a th e r to g e th e r a l l th e d o cu m e n ta ti o n yo u cu rre n tl y

h a ve i n to on e p l a ce and a ss e ss i t a g a i n s t wh a t i s re q u i re d b y th e

sta n d a rd . Yo u m a y h a ve so m e th a t, a l th o u g h i t d o e sn ’t h a ve th e sa m e

name a s th a t i n th e sta n d a rd , fu l fi l s th e sa m e p u rp o se so sti l l co u n ts. Th e

d o cu m e n ta ti o n in e xi ste n ce o fte n te n d s to be of a te ch n i ca l n a tu re and is

fo cu s e d on a sp e ci fi c p i e ce o f te ch n o l o g y. Th i s m a y re p re se n t a re co rd of

so m e ki n d in I S O /I E C 2 0 0 0 0 te rm s – fo r e xa m p l e , a p ro ce d u re fo r a l l o wi n g

su p p l i e rs to a cce ss yo u r se rve rs re m o te l y i s n o t e xp l i ci tl y d e fi n e d in th e

sta n d a rd b u t i s sti l l re l e va n t to th e I n fo rm a ti o n S e cu ri ty se cti o n as a

‘ co n tro l ’ th a t i m p l e m e n ts p a rt o f yo u r i n fo rm a ti o n se cu ri ty p o l i cy (o n ce

yo u h a ve on e) .

M a n y o f yo u r re co rd s m a y e xi st i n yo u r cu rre n t se rvi ce d e sk sys te m in

va ri o u s g u i s e s a n d yo u m a y a l so h a ve so m e fo rm o f kn o wl e d g e b a se on a

sh a re d n e two rk d ri ve . D o cu m e n ts p ro d u ce d a s p a rt o f wi d e r co m p a n y

p ro ce s se s, su ch as HR and b u d g e ti n g , wi l l a l so be re l e va n t.

Th e ke y p o i n ts to l o o k fo r wi th i n yo u r d o cu m e n ta ti o n se t a re :

• H o w co m p l e te i s i t? Are th e re a n y p ro ce sse s th a t a re n ot

d o cu m e n te d ?

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3 Planning for IT service management

• I s i t bei n g u se d ? D o all re l e va n t sta ff kn o w a b o u t th e d o cu m e n ta ti o n

and i s th e re e vi d e n ce th a t th e y a re fo l l o wi n g i t?

• I s i t bei n g ke p t u p to d a te ?

• I s i t su b j e ct to ch a n g e m a n a g e m e n t?

• D o e s i t co n ta i n co n tro l i n fo rm a ti o n su ch a s ve rsi o n h i sto ry, a u th o r,

o wn e r, d i s tri b u ti o n and a p p ro va l ?

Interviewing key personnel

F o r e a ch p a rt o f th e sta n d a rd yo u n eed to i d e n ti fy wh o i s cu rre n tl y

re sp o n si b l e fo r th a t a re a . Th i s m a y n o t b e p o ssi b l e i f so m e o f th e

p ro ce sse s j u st d o n ’t e xi st a t th e m o m e n t, b u t i f th a t i s th e ca s e th e n try

to pi n d o wn th e p e rso n wh o i s cl o s e st to i t.

Yo u th e n n eed to si t th e m d o wn a wa y fro m a n y d i stra cti o n s a n d h a ve a

ch a t. E m p h a si z e th a t th i s i s n o t a n audit and th a t yo u a ctu a l l y wa n t th e m

to te l l yo u wh a t i sn ’t ri g h t ra th e r th a n a fa n ta sy vi e w o f h o w th e y wi sh

th i n g s we re . S ta rt b y a ski n g th e m to d e scri b e h o w th i n g s cu rre n tl y wo rk

in th e a re a u n d e r d i s cu s si o n b e fo re m o vi n g on to d i s cu s si n g th e

re q u i re m e n ts o f th e sta n d a rd line by l i n e. I t m a y h el p to h a ve yo u r g a p

a n a l ysi s s p re a d s h e e t o p e n on a l a p to p and m a rk e a ch re q u i re m e n t a s yo u

go a l on g .

Ask th e m to sh o w yo u th e e vi d e n ce o f wh a t th e y sa y i s h a p p e n i n g – fo r

e xa m p l e , h el p d e sk re co rd s, re p o rts, m i n u te s o f m e e ti n g s, e m a i l s. I f th e y

ca n n o t e vi d e n ce i t, th e ch a n ce s a re i t i sn ’t re a l l y h a p p e n i n g o r i t’s so

i n fo rm a l th a t i t d o e sn ’t co u n t. O f co u rse , in a sm a l l te a m yo u , a s th e IT

M a n a g e r o r s i m i l a r p o s i ti o n , wi l l p ro b a b l y we a r m a n y o f th e p ro ce ss

o wn e r h a ts a n d so be th e p e rs o n wh o n e e d s to be i n te rvi e we d . I f yo u a re

u si n g an e xte rn a l co n su l ta n t th e n th i s wi l l n ot be a p ro b l e m as he o r sh e

ca n a sk yo u th e re q u i re d q u e sti o n s. I f yo u a re d oi n g th e e xe rci s e yo u rse l f,

h o we ve r, th e n yo u j u st n e e d to e n su re th a t yo u a re a s h o n e st a n d

a ccu ra te a s yo u ca n re a so n a b l y b e ; re m e m b e r th a t th i s i s n o t a te st b u t a

wa y o f wo rki n g o u t wh a t n e e d s to be d on e to i m p ro ve yo u r l i fe and th e

su p p o rt o f th e b u si n e ss.

D o n ’t fo rg e t to ta l k to peopl e o th e r th a n th e I T sta ff – th e re is no b e tte r

p l a ce to g et a tru e i m p re ssi o n o f u se r p e rce p ti o n th a n fro m a re a l - l i fe

u se r o r two .

Observing the team in action

Th i s m a i n l y a p p l i e s to th e Re s o l u ti o n p ro ce sse s (i n ci d e n t a n d p ro b l e m

m a n a g e m e n t) , b u t co u l d a l so be ca rri e d o u t fo r o th e r p ro ce sse s su ch as

Re l a ti o n s h i p (b y s i tti n g in on som e b u s i n e ss a n d s u p p l i e r m e e ti n g s) and

Co n tro l (si tti n g in on a Ch a n g e Ad vi so ry B o a rd m e e ti n g ) .

1 6 IT Service Management for Small IT Teams

 The gap analysis

Th e main p l a ce to sta rt i s th e h e l p /se rvi ce d e sk, and th e n m o ve i n to on e

o r m o re o f th e se co n d -l i n e re so l u ti o n g ro u p s (i f yo u h a ve th e m ) su ch as

d e skto p su p p o rt. Yo u a re l o o ki n g to se e i f th e p ro ce d u re s a re a ctu a l l y

kn o wn a bou t a n d fo l l o we d (o r ke p t i n a l o cke d fi l i n g ca b i n e t i n th e

b a se m e n t) , and wh e th e r so m e o f th e l i n ka g e s b e twe e n p ro ce ss e s h a p p e n

a s th e s ta n d a rd re q u i re s th e m to – e. g . b e twe e n i n ci d e n t a n d p ro b l e m

m a n a g e m e n t. Yo u ca n p i ck u p a l o t o f u se fu l i n fo rm a ti o n j u s t fro m

l o i te ri n g . Ag a i n , th e fa ct th a t i t’s n o t a te st n e e d s to be e m p h a si z e d to

th e sta ff b e i n g o b se rve d so th a t th e y co n ti n u e to do th i n g s th e wa y th e y

n o rm a l l y d o ra th e r th a n th e wa y th e y th i n k yo u wa n t th e m to .

Re m e m b e r to ta ke ti m e d and d a te d n o te s o f wh a t h a s b e e n o b s e rve d fo r

re fe re n ce l a te r.

Analysing and presenting the results

O n ce yo u h a ve re vi e we d yo u r d o cu m e n ta ti o n , i n te rvi e we d th e ke y sta ff

m e m b e rs, o b se rve d th e d e l i ve ry o f th e se rvi ce in a cti o n and re co rd e d

yo u r re su l ts o n yo u r a sse s sm e n t s p re a d s h e e t, i t i s ti m e to cre a te th e gap

a n a l ysi s re p o rt. Th i s i s a ke y d o cu m e n t th a t, i f p re p a re d p ro p e rl y, wi l l

fu l fi l a n u m b e r o f p u rp o se s:

• a sn a p sh o t th a t te l l s yo u h o w co m p l i a n t yo u r o rg a n i z a ti o n cu rre n tl y

i s to g ood p ra cti ce ;

• su p p o rti n g e vi d e n ce fo r yo u r p ro p o sa l to se n i o r m a n a g e m e n t to

i m pl em en t g ood p ra cti ce ;

• a ro a d m a p fo r yo u and yo u r te a m fo r th e p ro j e ct to go fo rwa rd .

As a minimum, th e gap a n a l ysi s re p o rt n e e d s to a n swe r th e fo l l o wi n g ke y

q u e sti o n s :

• Wh a t b e n e fi ts co u l d we and th e o rg a n i z a ti o n o b ta i n by d oi n g th i n g s

in a cco rd a n ce wi th g ood p ra cti ce ?

• H o w cl o se to th e I S O /I E C 2 0 0 0 0 sta n d a rd a re we a t th e m o m e n t?

• Wh a t a p p ro a ch sh ou l d we ta ke to i m p l e m e n t I T se rvi ce

m a n a g e m e n t?

• H ow l on g i s i t l i ke l y to ta ke ?

• H o w m u ch wi l l i t co s t?

• Wh e re sh o u l d we s ta rt?

• Do we n eed to bu y a n e w to o l (s) ?

• H o w m u ch e ffo rt d o we as an I T te a m n eed to pu t i n ?

• Wh a t wi l l we n eed fro m th e b u si n e s s to m a ke i t wo rk?

Th e tri ck i n th e re p o rt i s to ke e p th e a n swe rs a s s i m p l e a s p o ssi b l e . I f, as

we su g g e ste d , yo u h a ve u se d a sp re a d sh e e t to a sse ss yo u rse l f a g a i n st th e

re q u i re m e n ts, th e n yo u wi l l be a bl e to g i ve a stra i g h t p e rce n ta g e fi g u re

fo r h o w cl o se yo u a re , b a cke d up by a ch a rt th a t sh o ws a p e rce n ta g e

b ro ke n d o wn b y a re a o f th e s ta n d a rd (se e F i g u re 3). I t wi l l n ot be

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3 Planning for IT service management

i n fa l l i b l e b u t i t wi l l g i ve e ve ryo n e a p re tty g o o d i d ea o f wh e re yo u sta n d ,

wh i ch is all th a t i s re q u i re d a t th i s sta g e .

Figure 3 – Gap analysis chart

Wi th i n th e re p o rt d o n ’t fo rg e t to i n cl u d e th o se th i n g s th a t yo u a re

cu rre n tl y d o i n g ri g h t a s we l l a s a re a s fo r i m p ro ve m e n t so th a t a b a l a n ce d

vi e w i s p re se n te d to th e re a d e r, wh o m a y we l l be yo u r m a n a g e r o r

d i re cto r. Som e i n p u t fro m th e b u si n e ss wi l l a l so h el p to e n su re th e re p o rt

is a b a l a n ce d vi e w o f wh e re yo u a re n o w. In te rm s o f ti m e sca l e s i t m a y

be u se fu l to ta l k to o th e r I T m a n a g e rs wh o h a ve i m p l e m e n te d g ood

p ra cti ce wi th i n an o rg a n i z a ti o n o f yo u r s i z e , and re m e m b e r to fa cto r i n

th e u p co m i n g p ro j e cts th a t yo u a re a wa re o f wh i ch m a y a ct a s a d ra i n on

re so u rce s a n d d i ve rt yo u fro m yo u r g o a l .

1 8 IT Service Management for Small IT Teams

 Gaining management commitment

Summary

• We re co m m e n d co m p a ri n g yo u r cu rre n t I T se rvi ce

m a n a g e m e n t p ro ce ss e s a g a i n st Pa rt 1 o f th e I S O /I E C 2 0 0 0 0

sta n d a rd (th e Re q u i re m e n ts) .

• Th e gap a n a l ysi s i s ca rri e d o u t vi a a co m b i n a ti o n of

i n te rvi e w, d o cu m e n t re vi e w a n d o b se rva ti o n .

• Th e re s u l ti n g re p o rt n e e d s to a n swe r a l l o f th e ke y

q u e sti o n s su ch a s wh y, wh e n , h o w, wh o and h o w m u ch ?

Next steps

1 . D e ci d e wh e th e r yo u wi l l do th e gap a n a l ysi s yo u rse l f o r g e t

so m e o n e in to do i t.

2. Ca rry o u t th e gap a n a l ysi s.

3. Re p o rt a n d p re se n t th e re su l ts

Gaining management commitment

So, l e t’s sa y th a t yo u ’ re co n vi n ce d : I T se rvi ce m a n a g em en t g ood p ra cti ce

i s th e wa y fo rwa rd fo r o rg a n i z i n g th e a cti vi ti e s yo u r sm a l l I T te a m

p e rfo rm s to a ch i e ve e ffi ci e n t a n d e ffe cti ve se rvi ce d e l i ve ry. Yo u a re

co n vi n ce d , b u t n o w fo r th e to u g h cro wd – th e se n i o r m a n a g e m e n t.

Yo u wi l l n eed to p ro vi d e a co ste d fo re ca st o f h o w th i s n e w s e t-u p wi l l be

i m p l e m e n te d , h ow l on g i t’s g o i n g to ta ke (b o th in te rm s o f e l a p se d ti m e

and m a n - h o u rs) and wh a t th e ri s ks a re (b o th of d oi n g it and of n ot

d oi n g i t) . B u t th e m o st i m p o rta n t fa cto r i s wh a t yo u i n te n d i t to a ch i e ve :

th i n g s l i ke co st sa vi n g s, i m p ro ve d q u a l i ty a n d re l i a b i l i ty, fa ste r d e l i ve ry (o f

n e w se rvi ce s, o f ch a n g e s ) and b e tte r a b i l i ty to a d a p t to th e ch a n g i n g

b u si n e s s n e e d s.

Th i s a l l so u n d s ra th e r d a u n ti n g and, in so m e p a rts, nigh on i m p o ssi b l e

b u t, fe a r n o t, i t’s re a l l y a si m p l e p ro ce s s o f a s se m b l i n g fa cts. To beg i n

wi th , yo u re a l l y n e e d to u n d e rsta n d th e p ro b l e m . Th e fi rst s te p i s to

p e rfo rm a gap a s se ssm e n t o n yo u r o p e ra ti o n and we h a ve e xp l a i n e d h ow

to do th i s i n th e p re vi o u s se cti o n .

IT Service Management for Small IT Teams 1 9

3 Planning for IT service management

Baselining current service

N e xt, yo u n eed to b a se l i n e a se ri e s o f ke y m e tri cs. B a si ca l l y th i s m e a n s

p u tti n g a sta ke in th e g ro u n d to d e fi n e – and, m o st i m p o rta n tl y, q u a n ti fy

– wh e re yo u a re sta rti n g fro m . Th i s i s e sse n ti a l a s i t i s a g a i n st th e se

m e tri cs yo u wi l l p ro m i se i m p ro ve m e n t a n d , fu rth e r d o wn th e l i n e, re p o rt

yo u r p ro g re ss to m a n a g e m e n t. A typ i ca l se t m a y b e a s fo l l o ws.

• U se r s a ti sfa cti o n – ru n a su rve y i f yo u d o n ’t a l re a d y; ch e ck th a t a n y

e xi s ti n g s u rve y a sks q u e sti o n s th a t a re re l e va n t to th e d e l i ve ry o f

cu rre n t I T s e rvi ce s .

• S ta ff sa ti sfa cti o n and m o ra l e – u se th e m o st re ce n t e m p l o ye e su rve y

i f th e re i s on e; i f n o t yo u co u l d cre a te yo u r o wn .

• S e rvi ce l e ve l s – i s th e re a co m m o n l y u n d e rsto o d i n fo rm a l S e rvi ce

Le ve l Ag re e m e n t (S LA) th a t d e te rm i n e s e xi sti n g u se r e xp e cta ti o n s?

Wh a t l e ve l s o f se rvi ce a re cu rre n tl y b e i n g d e l i ve re d (e . g . a ve ra g e

i n ci d e n t re so l u ti o n ti m e s, a ve ra g e ph on e a n swe r ti m e s o n th e h el p

d e sk) ?

• S ta ffi n g l e ve l s – m i x o f p e rm a n e n t a n d co n tra ct sta ff; sta ff tu rn o ve r

ra te s ; n u m b e r o f i n ci d e n ts re so l ve d p e r sta ff m e m b e r p e r d a y/we e k.

• N u m b e r o f i n ci d e n ts b e i n g re p o rte d and cl o se d – yo u wi l l n eed so m e

h i sto ri ca l d a ta to a l l o w fo r s e a so n a l fl u ctu a ti o n s (e . g . q u i et h ol i d a y

p e ri o d ) .

• N u m b e r o f fa i l e d ch a n g e s – th i s m a y b e h a rd to i d e n ti fy, b u t try to

l o o k b a ck a t a n y m a j o r i n ci d e n ts yo u h a ve had o ve r th e l a st th re e to

si x m o n th s a n d d e te rm i n e wh e th e r th e y h a p p e n e d b e ca u s e

so m e th i n g wa s ch a n g e d .

• S e rvi ce a va i l a b i l i ty – p a rti cu l a rl y fo r yo u r m o st cri ti ca l syste m s, h ow

m a n y o u ta g e s h a ve yo u had in th e l a s t si x to twe l ve m o n th s a n d h ow

l on g did th e y l a st? H o w m u ch did th e y co s t th e co m p a n y i n l o st

p ro d u cti o n ?

• An d , o f co u rse , co st – h o w m u ch do yo u cu rre n tl y sp e n d on

d e l i ve ri n g l i ve s e rvi ce s ? H o w i s i t b ro ke n d o wn ?

O n ce yo u h a ve yo u r g a p a s se ssm e n t a n d m e tri cs, yo u ca n beg i n th e

p ro ce ss o f p u tti n g to g e th e r two th i n g s:

1 . A S e rvi ce M a n a g e m e n t Pl a n – wh a t a re yo u tryi n g to a ch i e ve and

h o w a re yo u g oi n g to do i t?

2. A b u s i n e ss ca se to co n vi n ce se n i o r m a n a g e m e n t – wh y i s i t a g ood

i d e a ? I s a n y re q u i re d i n ve s tm e n t j u sti fi e d ?

So, l e t’s ta ckl e e a ch o f th e se in tu rn .

20 IT Service Management for Small IT Teams

 Gaining management commitment

Th e I T S ervi ce M a n a g em en t Pl a n

Th i s i s s i m p l y a d o cu m e n t d e ta i l i n g wh a t a sp e cts o f I T se rvi ce

m a n a g e m e n t yo u a re pl a n n i n g to ta ckl e , in wh a t o rd e r a n d h o w. It

d o e sn ’t n e e d to be p a rti cu l a rl y fa n cy; i t m a y be a s si m pl e a s:

1 . a se cti o n d e ta i l i n g th e o ve ra l l ra ti o n a l e and a i m s – fo r e xa m p l e , to

re d u ce co s ts a n d i m p ro ve cu sto m e r a n d u s e r sa ti sfa cti o n wh i l st

m a i n ta i n i n g th e I T fu n cti o n as an i n -h o u se te a m ;

2. a se cti o n e xp l a i n i n g wh a t th e d e si re d o b j e cti ve s a re (wi th ti m e sca l e s) ,

fo r e xa m p l e :

(a ) re d u ce o ve ra l l I T sp e n d by 5 p e r ce n t b y e n d o f Q 4;

(b ) i n cre a se q u a n ti ty o f h e l p d e s k i n ci d e n ts fi xe d a t fi rst ca l l by 1 0

p e r ce n t wi th i n on e ye a r;

(c) i m p ro ve u se r sa ti sfa cti o n ra ti n g fro m X to Y by en d o f Q 2 Y2 ;

(d ) i n cre a se th e a va i l a b i l i ty o f cri ti ca l sys te m s b y 2 p e r ce n t;

(e ) re d u ce th e n u m b e r o f i n ci d e n ts re p o rte d by 5 p e r ce n t.

3. a b ri e f se cti o n e xp l a i n i n g th e a p p ro a ch bei n g u se d :

(a ) si x- m o n th l y se l f-a s se ssm e n ts a g a i n st I S O /I E C 2 0 0 00 to g e n e ra te ;

(b ) a sco re fo r e a ch p ro ce ss th a t wi l l be u se d to re vi s e th e stra te g y;

(c) yo u sh ou l d i n cl u d e h e re d e ta i l s o f h o w th e p ro g re ss wi l l be

g o ve rn e d and m o n i to re d .

4. a l i st o f a l l o f th e I T se rvi ce m a n a g e m e n t p ro ce sse s i n I S O /I E C 2 0 0 0 0

d e ta i l i n g :

(a ) th e cu rre n t a n d d e si re d m a tu ri ty l e ve l s ; and

(b ) p ri o ri ti z a ti o n a cco rd e d to e a ch p ro ce ss (so m e m a y fa cto r m o re

h e a vi l y to wa rd s yo u r o ve ra l l a i m s o r o b j e cti ve s – se e ‘ Pl a n n i n g

co n si d e ra ti o n s’ in th e n e xt se cti o n ) .

F o r e a ch p ro ce ss, d e ta i l wh a t n e e d s to be ch a n g e d , i m p ro ve d or

i m p l e m e n te d a b o u t th e p ro ce ss i n o rd e r to a ch i e ve th e d e si re d m a tu ri ty

ra ti n g yo u h a ve d e te rm i n e d in yo u r p l a n . Yo u sh o u l d a l so co n si d e r e a ch

o f th e m e tri cs th a t yo u h a ve s e t a s yo u r o b j e cti ve s a n d d e ta i l th e a cti o n s

th a t n e e d to be ta ke n in o rd e r to b ri n g a b o u t th e i m p ro ve m e n t.

Ag a i n st e a ch o f th e l i s te d a cti o n s yo u n eed to be a bl e to pu t a

re a so n a b l e e sti m a te of h ow l on g th i s i s l i ke l y to ta ke , wh o n e e d s to be

i n vo l ve d and h o w m u ch o f th e i r ti m e n e e d s to be sp e n t o n i t. Yo u a l so

n eed to i n cl u d e a n y to o l s o r e xte rn a l g o o d s o r s e rvi ce s th a t n e e d to be

b o u g h t o r b ro u g h t i n to a ssi st i n th e i m p l e m e n ta ti o n (e . g . a

co n fi g u ra ti o n m a n a g e m e n t d a ta b a se , a n y tra i n i n g co u rse s fo r I T o r u se r

sta ff, e xte rn a l co n su l ta n ts fo r a ssi sta n ce o r co n su l ta n cy) . Th e s e sh o u l d all

be p ri ce d and g i ve n ti m e sca l e s.

Th e o ve ra l l pl a n i s p ro b a b l y b e st sh o wn as a se ri e s o f s p re a d s h e e ts , on e

p e r p ro ce ss, sh o wi n g a G a n tt ch a rt o f th e a cti o n s to be ta ke n , a l th o u g h

by a l l m e a n s u se a p ro j e ct m a n a g e m e n t to o l i f yo u a re co n fi d e n t i n i ts

u se.

IT Service Management for Small IT Teams 21

3 Planning for IT service management

Planning considerations
B u t wh i ch o f th e many and va ri e d p ro ce sse s o f I T se rvi ce m a n a g em en t

sh o u l d yo u sp e n d ti m e on fi rst? Th e a n s we r o b vi o u sl y d e p e n d s to so m e

e xte n t o n wh e re yo u ’ re s ta rti n g fro m , b u t fo r th e sa ke o f si m p l i ci ty we

wi l l a ssu m e th a t yo u cu rre n tl y h a ve n on e o f th e p ro ce ss e s i n p l a ce . Yo u

m a y h a ve on e o r m o re p a rti cu l a r a re a s th a t a re ca u si n g yo u th e m o st

pa i n – su ch as a high ra te o f fa i l e d ch a n g e s o r co n sta n tl y ru n n i n g ou t of

d i sk sp a ce – in wh i ch ca se yo u sh o u l d ce rta i n l y a d d re s s th o se fi rs t a s th e y

wi l l be wh e re yo u wi l l d e ri ve th e m o st b e n e fi t (a n d yo u m a y ch o o se to

d e fi n e th e s e , u si n g th a t s l i g h tl y o ve ru se d te rm , a s th e q u i ck wi n ) . Yo u

m a y a l so h a ve e xte rn a l d ri ve rs th a t d i cta te wh e re to sta rt, su ch as a

n e g a ti ve a u d i t re p o rt o r i n stru cti o n s fro m se n i o r m a n a g e m e n t.

E xte rn a l i n fl u e n ce s a p a rt, a l th o u g h m a n y o f th e p ro ce s se s a re cl o se l y

re l a te d to e a ch o th e r, yo u do h a ve th e o p ti o n to sta rt wh e re ve r yo u n eed

to , si n ce fe w o f th e m a re so ti g h tl y co u p l e d th a t th e y a b so l u te l y m u st b e

d on e to g e th e r – ch a n g e and co n fi g u ra ti o n m a n a g e m e n t i s th e m o st

o fte n q u o te d e xa m p l e o f cl o se l y re l a te d p ro ce sse s a n d i t wo u l d ce rta i n l y

be wi se to a p p ro a ch th e se as a p a i r. Th o se a si d e , yo u m a y d e ci d e to

a d d re ss th e p ro ce sse s o n e at a ti m e o r to so m e e xte n t i n p a ra l l e l ,

d epen d i n g on h o w m u ch ti m e yo u h a ve a va i l a b l e . Som e o rg a n i z a ti o n s

i m p l e m e n t th e p ro ce sse s a cco rd i n g to th e I TI L V3 g ro u p i n g s o f S tra te g y,

D esi g n , Tra n si ti o n , O p e ra ti o n and Co n ti n u a l S e rvi ce I m p ro ve m e n t,

a l th o u g h th e o rd e r ca n va ry wi d e l y d e p e n d i n g on p e rce i ve d p ri o ri ti e s.

Th i s i s a l s o a va l i d a p p ro a ch b u t re q u i re s a b i t m o re kn o wl e d g e a bou t

h o w I TI L V3 i s s tru ctu re d to m a ke i t wo rk. Th e re co m m e n d a ti o n of

I S O /I E C 2 0 0 0 0 Pa rt 5 ‘ E xe m p l a r I m p l e m e n ta ti o n Pl a n ’ i s th a t th e re a cti ve

p ro ce sse s a re a d d re sse d fi rs t b e fo re m o vi n g on to th e p ro a cti ve on es a n d

th a t wo u l d se e m to m a ke a l o t o f se n se .

O u r u su a l re co m m e n d a ti o n , b a se d on e xp e ri e n ce , i s th a t yo u beg i n wi th

th e m o s t vi si b l e and e a sy to re l a te to p ro ce ss, n a m e l y i n ci d e n t

m a n a g e m e n t. Th i s u n d e rp i n s m a n y o f th e o th e r p ro ce s se s a n d , b e ca u se it

u su a l l y i n vo l ve s a s i g n i fi ca n t p ro p o rti o n o f th e I T te a m , th e re is a l o t to

be g a i n ed fro m i m p ro vi n g i ts e ffe cti ve n e ss e a rl y. I t a l so u su a l l y e xi sts

a l re a d y i n so m e fo rm so re a l l y yo u wi l l be i m p ro vi n g a p ro ce s s ra th e r

th a n sh o cki n g yo u r sta ff wi th a co m p l e te l y n e w o n e . I t i s b e st to e a se

g ood p ra cti ce i n to yo u r te a m ra th e r th a n h i tti n g th e m o ve r th e h ea d

wi th i t. An o th e r a d va n ta g e o f sta rti n g h e re i s th a t a n y i m p ro ve m e n t wi l l

be n o ti ce d s tra i g h t a wa y b y yo u r u se rs, so p ro vi d i n g e xtra m o m e n tu m to

ke e p g oi n g .

In g ood p ra cti ce te rm s, th e p ro ce ss o f i n ci d e n t m a n a g e m e n t i s n o rm a l l y

ru n b y th e fu n cti o n o f th e I T s e rvi ce d esk a n d i f yo u d o n ’t a l re a d y h a ve

on e o f th e se th i s i s a g ood ti m e to sta rt to th i n k a b o u t e sta b l i sh i n g on e.

I f th e i n ci d e n t (a n d s e rvi ce re q u e st) vo l u m e j u sti fi e s i t yo u m a y d e ci d e to

h a ve on e o r m o re m e m b e rs o f yo u r te a m a l l o ca te d to th e s e rvi ce d esk

fu l l -ti m e , p e rh a p s e ve n on a ro ta b a s i s. B u t i f vo l u m e i s l ow a n d yo u r

22 IT Service Management for Small IT Teams

 Gaining management commitment

te a m i s ve ry sm a l l th e n yo u wi l l n eed to juggle th e re sp o n s e to i n ci d e n ts

a ro u n d o th e r wo rk, p o ssi b l y b y e n co u ra g i n g u se rs to l og i n ci d e n ts vi a a

se l f- se rvi ce m e th o d (o r si m p l y e m a i l ) ra th e r th a n b y te l e p h o n e .

Building on th i s fo u n d a ti o n , th e n e xt a re a to a d d re s s i s u su a l l y p ro b l e m

m a n a g e m e n t a s th i s ca n h a ve a si g n i fi ca n t e ffe ct o n re d u ci n g th e n u m ber

o f i n ci d e n ts l o g g e d b y wo rki n g o u t wh y th e y h a p p e n in th e fi rs t p l a ce . It

i s a l so cl o se l y re l a te d to i n ci d e n t m a n a g e m e n t so i t a p p e a rs to be a

l o g i ca l ste p to th e re st o f th e I T te a m , so re d u ci n g re s i sta n ce . O n ce th e se

two p ro ce sse s a re i m p l e m e n te d yo u wi l l be we l l on yo u r wa y, and

h o p e fu l l y th e b e n e fi ts o f u s i n g g ood p ra cti ce wi l l be sta rti n g to b e co m e

cl e a r.

N e xt o n yo u r l i s t wi l l typ i ca l l y b e ch a n g e , re l e a se and co n fi g u ra ti o n

m a n a g e m e n t a s th e se a l so re l a te cl o se l y to i n ci d e n t a n d p ro b l e m

m a n a g em en t a n d a re m o st l i ke l y to be i m p l e m e n te d u si n g th e sa m e

se rvi ce d e sk sys te m . I t i s wo rth p o i n ti n g o u t th a t th e o fte n -q u o te d

tri a n g l e o f ‘ Pe o p l e /Pro ce ss/Te ch n o l o g y’ sti l l a p p l i e s to I T s e rvi ce

m a n a g e m e n t j u st a s i t d o e s to m o st a re a s o f I T (a l th o u g h I TI L V3 adds a

fo u rth e l e m e n t o f ‘ Pa rtn e rs’ ) , and yo u n eed to e n s u re th a t e a ch o f th e se

a s p e cts i s a d d re ss e d in a b a l a n ce d wa y – s e e th e se cti o n h ea d ed ‘ Th e

peopl e a s p e cts’ and Ch a p te r 8 re l a ti n g to to o l s fo r so m e i d ea s on h o w to

do th a t.

In I TI L V3 te rm s th i s m e a n s th a t yo u wi l l b y n o w h a ve a d d re sse d m o st

a re a s o f S e rvi ce O p e ra ti o n and S e rvi ce Tra n s i ti o n . In th e p a st m a n y

o rg a n i z a ti o n s h a ve e ffe cti ve l y s to p p e d wh e n th e se p ro ce sse s a re in p l a ce ,

re g a rd i n g th e i r p ro j e ct a s co m p l e te . E xp e ri e n ce h a s sh o wn , h o we ve r, th a t

p re s si n g on to th e re m a i n i n g p ro ce sse s b ri n g s si g n i fi ca n t b e n e fi ts a n d

yo u sh ou l d aim to ke e p th e m o m e n tu m yo u h a ve bu i l t u p. Wi th i n i ti a l

p ro ce s se s i n p l a ce yo u wi l l h a ve e s ta b l i s h e d co n tro l o ve r yo u r

e n vi ro n m e n t a n d ca n beg i n to m e a s u re and re p o rt o n se rvi ce l e ve l s wi th

a vi e w to se tti n g ta rg e ts i n a S e rvi ce Le ve l Ag re e m e n t.

B y th i s p o i n t i n yo u r p ro j e ct yo u sh ou l d be m o re e xp e ri e n ce d in g ood

p ra cti ce and ca n p i ck a n d ch o o se wh i ch a re a s to co ve r n e xt; we wo u l d

h e si ta te to su g g e st a n y p a rti cu l a r o rd e r a s i t re a l l y d o e s d e p e n d u pon

wh e re yo u r we a k sp o ts a re , bu t a typ i ca l se q u e n ce m i g h t be:

1 . B u d g e ti n g and a cco u n ti n g

2. B u si n e ss re l a ti o n sh i p m a n a g em en t

3. Su ppl i er m a n a g em en t

4. Ava i l a b i l i ty/se rvi ce co n ti n u i ty

5. I n fo rm a ti o n se cu ri ty m a n a g e m e n t

6. Ca p a ci ty a n d p e rfo rm a n ce m a n a g em en t

As we sa i d e a rl i e r, d oi n g th e m all in p a ra l l e l i s a l so q u i te a ch i e va b l e ,

d epen d i n g on h o w m u ch ti m e yo u h a ve a va i l a b l e . Yo u sh o u l d be fi n d i n g

IT Service Management for Small IT Teams 23

3 Planning for IT service management

th a t th e i n fo rm a ti o n fl o wi n g fro m th e p ro ce ss e s yo u h a ve a l re a d y

i m p l e m e n te d sm o o th e s th e wa y fo r th o se co m i n g a fte rwa rd s.

The business case

So, yo u h a ve th o u g h t th ro u g h wh a t I TS M n e e d s to a ch i e ve ; yo u n ow

h a ve d e ta i l s o f th e p ro b l e m (n a tu re and sca l e ) , th e re co m m e n d e d

so l u ti o n and th e co sts o f i m p l e m e n ti n g th e so l u ti o n . Wh a t yo u n ow n eed

is a wa y to co n vi n ce s e n i o r m a n a g e m e n t to l e t yo u do i t – yo u n eed a

b u si n e ss ca se .

I TI L d e fi n e s th i s a s ‘ j u s ti fi ca ti o n fo r a s i g n i fi ca n t i te m o f e xp e n d i tu re ,

i n cl u d i n g i n fo rm a ti o n a b o u t co s ts, b e n e fi ts , o p ti o n s, i ssu e s, ri sks a n d

p o ssi b l e p ro b l e m s’ . I t i s b a si ca l l y a ve h i cl e fo r yo u to e xp l a i n th e a i m s of

th e i n i ti a ti ve , h o w yo u ’ re p ro p o si n g to a p p ro a ch i t, wh a t th e va ri o u s p ro s

and co n s a re o f th e p ro p o s e d o p ti o n s a n d wh a t co m m i tm e n t yo u a re

a ski n g fo r fro m th e se n i o r m a n a g e m e n t te a m (i n te rm s o f co st a n d

su p p o rt) . In an i d ea l wo rl d , no p ro j e ct s h o u l d be u n d e rta ke n in b u s i n e ss

wi th o u t a cl e a r i d e a o f th e co sts, ri s ks a n d a n ti ci p a te d re tu rn s a n d

b e n e fi ts .

Sen i or m a n a g em en t n eed to be made a wa re o f wh a t yo u a re e n te ri n g

i n to , e sp e ci a l l y a s I T se rvi ce m a n a g e m e n t i s m u ch m o re th a n

i m p l e m e n ti n g a n e w te ch n o l o g y o r re l o ca ti n g an o ffi ce : i t i s a bou t

ch a n g i n g to a n e w wa y o f wo rki n g th a t wi l l co n ti n u e we l l a fte r th e

i n i ti a l ‘ fl u sh ’ o f th e i m p l e m e n ta ti o n i s o ve r, so yo u n eed sen i or

m a n a g e m e n t to be fu l l y b o u g h t-i n to i t.

A typ i ca l b u si n e ss ca se wi l l co n ta i n :

1 . I n tro d u cti o n – th i s p re se n ts th e b u si n e ss o b j e cti ve s th a t th e p ro j e ct,

i n i ti a ti ve o r i n ve stm e n t i s h o p i n g to a d d re ss.

2. M e th o d s a n d a ssu m p ti o n s –th e main b o d y o f th e b u si n e ss ca se ,

l a yi n g o u t th e o p ti o n s co n si d e re d and p ro p o se d and th e a ss u m p ti o n s

th a t u n d e rp i n and l i m i t th e sco p e o f th e b u si n e s s ca se .

3. B u si n e ss i m p a cts – a n e xp l a n a ti o n o f th e fi n a n ci a l and n o n -fi n a n ci a l

e ffe cts th e b u si n e ss ca s e m a y h a ve on th e b u si n e ss.

4. Ri sks a n d co n ti n g e n ci e s – th e p ro b a b i l i ty th a t a l te rn a ti ve re su l ts wi l l

e m e rg e and h o w i t i s a n ti ci p a te d to d ea l wi th th e m .

5. Re co m m e n d a ti o n s – th e o p ti o n p re fe rre d , sp e ci fi c a cti o n s re q u i re d

and n e xt ste p s .

24 IT Service Management for Small IT Teams

 Gaining management commitment

The introduction
Th e i n tro d u cti o n sh o u l d be th e e a sy b i t (re l a ti ve l y) . Wh a t a re th e i ssu e s

fa ci n g yo u r d e p a rtm e n t? Wh a t a re th e re su l ta n t i s su e s to th e b u s i n e ss, to

th e se rvi ce s yo u d e l i ve r, to yo u r u s e rs a n d cu sto m e rs a n d , u l ti m a te l y, to

th e cu sto m e rs o f yo u r o rg a n i z a ti o n ?

Wh e n yo u ’ re wri ti n g th e b u si n e ss ca s e , yo u m i g h t fi n d th a t th e sca l e of

th e p ro b l e m i s (o r a t l e a st l o o ks o n p a p e r) d a u n ti n g . At th i s p o i n t yo u

sh o u l d ste p b a ck a l i ttl e and a s k yo u rse l f ‘ wh a t a re th e ke y i ssu e s th a t

n eed to be ta ckl e d fi rs t? ’ . Th i s wi l l a l l o w yo u to l i m i t th e i n i ti a l sco p e of

yo u r i m p l e m e n ta ti o n and b re a k th e wh o l e e xe rci se i n to m o re

m a n a g ea bl e p h a se s (e a ti n g th e el eph a n t on e b i te at a ti m e ) . Th i s wi l l

a l so h a ve th e b e n e fi ci a l e ffe ct th a t yo u ca n sh o w e a rl y re tu rn s o n se n i o r

m a n a g e m e n t fa i th in yo u r p l a n s .

Be b ri e f, b u t m a ke su re th a t a l l th e p o i n ts a re th e re , a re we l l e xp l a i n e d

and a re re l e va n t to yo u r a u d i e n ce . Go th ro u g h th e p o i n ts wi th a

co l l e a g u e fro m th e b u si n e ss to m a ke su re th a t h e o r sh e a g re e s wi th th e

p o i n ts yo u a re m a ki n g ; th e re i s n o th i n g wo rse th a n p u tti n g a re p o rt i n

fro n t o f th e b o a rd and h a vi n g i t b l o wn a p a rt fo r wa n t o f b e tte r

b a ckg ro u n d re se a rch .

Methods and assumptions

Th i s i s wh e re yo u ca n sta rt to l a y o u t yo u r p l a n . B eg i n b y e xp l a i n i n g ,

b ri e fl y, wh a t i t i s yo u a re p ro p o si n g . D o n ’t fi l l th e re p o rt wi th to o m u ch

e xp l a n a ti o n – yo u ca n ta ke a l on g o r su p p l y b a cku p i n fo rm a ti o n a s yo u

th i n k fi t, b u t d o n ’t i n cl u d e it all h e re . Wh a t yo u wa n t i s to pa i n t a fu l l

p i ctu re o f h o w yo u r p ro p o sa l i s g oi n g to a d d re ss a l l o f th e i s su e s yo u

i d e n ti fi e d in th e i n tro d u cti o n .

M a ke su re th a t yo u h i g h l i g h t cl e a rl y th e co sts, ti m e sca l e s a n d a n y o th e r

i n ve stm e n ts yo u re q u i re to m a ke i t wo rk. F o r e xa m p l e , yo u m a y n eed th e

b o a rd to a g re e to i n cl u d e co m p l i a n ce wi th I T se rvi ce m a n a g em en t

p o l i ci e s i n to e ve ryo n e ’s p e rs o n a l p e rfo rm a n ce o b j e cti ve s. I f th i s i s p a rt o f

a l o n g e r, ph a sed a p p ro a ch , e xp l a i n th a t a n d g i ve a ske tch i d ea of h ow

th e re st o f th e pl a n wi l l l o o k.

In a d d i ti o n to yo u r p l a n , yo u a l so n eed to d e ta i l a t l e a st o n e o th e r

o p ti o n th a t co u l d be co n si d e re d . Th i s m a y b e th e ‘D o n o th i n g ’ o p ti o n ,

th a t i n d i ca te s to th e m a n a g e m e n t th e co sts a n d ri sks a sso ci a te d wi th n ot

fo l l o wi n g yo u r re co m m e n d e d co u rse o f a cti o n . Th e re m a y be o th e r wa ys

o f a ch i e vi n g th e sa m e re su l ts b u t a t a h i g h e r co st (o u tso u rci n g o r g e tti n g

a sl e w o f co n su l ta n ts i n to do th e wo rk) . Yo u sh o u l d g i ve su ffi ci e n t d e ta i l

to sh o w th a t yo u h a ve n o t o ve rl o o ke d th e m .

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3 Planning for IT service management

Yo u n eed to be cl e a r, co n ci se and h o n e st. Fa i l i n g on a n y o f th e s e co u n ts

wi l l a t b e s t ca u se yo u p ro b l e m s a n d a t wo rst g e t th e b u si n e ss ca se

d i sm i ss e d .

Business impacts, risks and contingencies

Th e se two se cti o n s a re wh a t wi l l re a l l y m a tte r to th e s e n i o r m a n a g e m e n t:

h o w wi l l yo u r p ro p o sa l s a ffe ct, p o si ti ve l y o r n e g a ti ve l y, th e s m o o th

o p e ra ti o n o f th e i r b u si n e ss? Wi l l it add to p ro d u cti vi ty? I f so, h ow a n d by

h o w m u ch ? Wi l l i t a l l o w th e m to re d u ce h ea d co u n t? Wi l l i t re d u ce th e

co st o f I T? Wi l l i t re d u ce th e a m o u n t o f ti m e th e sa l e s te a m h a ve to wa i t

fo r q u o ta ti o n s ? WI I F M … Wh a t’s I n I t For M e?

Be a s b u si n e ss-m i n d e d a s p o ssi b l e and m a ke s u re yo u e xp l a i n th e i m p a cts

in te rm s th a t th e se n i o r m a n a g e m e n t wi l l cl e a rl y u n d e rsta n d . Th i n k

a b o u t th e wh o l e pl a n fro m th e i r p e rsp e cti ve and th i n k th ro u g h ‘ wh a t

wi l l h a ppen if …’ and ‘ h o w wi l l th i s a ffe ct … ’ fro m th e p o i n t o f vi e w o f a

d e p a rtm e n t m a n a g e r, a te a m l e a d e r, a ca l l -ce n tre o p e ra to r a n d th e en d

cu sto m e rs . I f yo u s h o w th a t yo u h a ve re a l l y th o u g h t a b o u t h o w th i s ca n

a ssi st th e b u si n e ss, ra th e r th a n j u s t e xp re ss i n g it as a se ri e s o f b e n e fi ts to

th e I T d e p a rtm e n t, yo u wi l l h a ve g on e a l on g wa y to wa rd s wi n n i n g th e m

o ve r.

Recommendations
O b vi o u sl y, yo u ’ re g oi n g to re co m m e n d yo u r p re fe rre d co u rse o f a cti o n ,

b u t yo u n eed to e xp l a i n wh y. Wh y i s th i s o p ti o n th e on e th a t th e

m a n a g e m e n t te a m sh o u l d e n d o rs e ? M a ke i t cl e a r a n d fi n i sh wi th a fe w

sta te m e n ts e xp l a i n i n g th a t o p ti o n 1 (o r 2 , or 3 ) i s yo u r re co m m e n d a ti o n

and wh a t yo u wa n t fro m th e m a n a g e m e n t te a m in o rd e r to g et g oi n g .

An I T servi ce m a n a g em en t bu si n ess ca se

So th a t’s th e p ro ce ss fo r p u tti n g a b u si n e ss ca s e to g e th e r, b u t wh a t

a d d i ti o n a l th i n g s sh o u l d yo u be p u tti n g i n to a b u s i n e ss ca se sp e ci fi ca l l y

fo r I T s e rvi ce m a n a g e m e n t? Th e fo l l o wi n g is a n o n -e xh a u sti ve l i st p u t

to g e th e r fro m o u r e xp e ri e n ce s .

Direct costs
Th e re a re a n u m b e r o f co sts th a t yo u ca n g e n e ra l l y e xp e ct to i n cu r wi th

an I T se rvi ce m a n a g e m e n t i m p l e m e n ta ti o n :

26 IT Service Management for Small IT Teams

 Gaining management commitment

• ITSM software tools – i f yo u d o n ’t h a ve a p ro d u ct a l re a d y i n u se th a t

ca n handle th e a d d i ti o n a l th i n g s yo u wa n t i t to do th e n yo u wi l l

m o st l i ke l y b e l o o ki n g at an u p g ra d e o r re p l a ce m e n t.

• Hardware – a d d i ti o n a l so ftwa re m a y we l l n eed h a rd wa re on wh i ch

to ru n .

• Consultancy – d epen d i n g u pon h o w m u ch ti m e yo u yo u rse l f h a ve

a va i l a b l e to p e rfo rm cu rre n t sta te a sse ssm e n ts a n d h o w co n fi d e n t

yo u a re to p ro ce e d wi th o u t e xte rn a l a d vi ce .

• Audit days – i f yo u i n te n d to re a ch th e I S O /I E C 2 0 0 0 0 l e ve l , yo u wi l l

n eed to b u d g e t fo r th e i n i ti a l a s se ssm e n t d a ys a n d fo r a n n u a l

su rve i l l a n ce a u d i ts . E ve n i f yo u ’ re n o t, co n si d e r a cco u n ti n g fo r th e m

to a l l o w yo u to u se an e xte rn a l p a i r o f e ye s o n a ye a rl y b a si s to

p e rfo rm yo u r i n te rn a l a u d i ts.

• Training – yo u m a y d e ci d e to a l l ow a co st fo r e a ch m e m b e r o f th e IT

te a m to be p u t th ro u g h I TI L o r I S O /I E C 2 0 0 0 0 fo u n d a ti o n tra i n i n g , or

a t l ea st a n o ve rvi e w co u rse . Yo u sh o u l d a l so co n si d e r p ro vi d i n g

h i g h e r l e ve l (i n te rm e d i a te ) co u rse s fo r th o se i n d i vi d u a l s wh o wi l l be

a s si s ti n g yo u wi th wri ti n g and m a i n ta i n i n g th e p ro ce sse s . In a d d i ti o n ,

yo u n eed to co s t i n yo u r o wn i n te rm e d i a te o r e xp e rt l e ve l tra i n i n g

(o r wh o e ve r wi l l be d ri vi n g th e i m p l e m e n ta ti o n fo rwa rd ) .

• Publications – i t wo u l d ce rta i n l y b e h i g h l y a d va n ta g e o u s to h a ve a

fu l l se t o f th e I TI L m a n u a l s, and th e re wi l l be m a n y o th e r

p u b l i ca ti o n s wh i ch wo u l d be va l u a b l e a d d i ti o n s to yo u r I T s e rvi ce

m a n a g e m e n t l i b ra ry. I f yo u d e ci d e to go fo r I S O /I E C 2 0 0 0 0

ce rti fi ca ti o n yo u wi l l a l so n eed to bu y a co p y o f th e s ta n d a rd , or a t

l e a st Pa rt 1 (Re q u i re m e n ts) and i d e a l l y Pa rt 2 (Co d e o f Pra cti ce ) .

Time
Ch a n g i n g th e wa y yo u and yo u r o rg a n i z a ti o n wo rk ta ke s ti m e , in te rm s

o f b o th m a n -d a ys a n d e l a p se d d a ys.

• Wri ti n g p ro ce ss d o cu m e n ta ti o n – do n o t u n d e re s ti m a te h ow l on g it

ca n ta ke to wri te th i s a s th e fi rst d ra ft wi l l , a l m o s t ce rta i n l y, be to o

a s p i ra ti o n a l and se ve ra l re wri te s wi l l g e n e ra l l y b e n eed ed .

• QA of a l l d o cu m e n ta ti o n – e ve ry p ro ce ss d o cu m e n t, e ve ry p ro ce d u re

and e ve ry p o l i cy th a t i s wri tte n sh o u l d be Q u a l i ty Ass u re d . A

stru ctu re d Q A i s th e p re fe rre d m e th o d b u t th i s i s n o t a l wa ys p o ssi b l e

so i t sh o u l d a t l e a st b e re a d by a n i n d e p e n d e n t p e rso n to ch e ck fo r

co n si ste n cy, sp e l l i n g , g ra m m a r, e tc. B e tte r s ti l l , th a t p e rso n sh o u l d

p e rfo rm a ‘ sa n i ty ch e ck’ on th e d o cu m e n t to e n su re th a t th e re a re

no g l a ri n g o r fu n d a m e n ta l fl a ws i n th e l o g i c.

• Ra i si n g a wa re n e s s – yo u wi l l n eed to se t a s i d e a fa i r a m o u n t o f ti m e

fo r e a ch p ro ce ss- o wn e r to g e t o u t th e re and ra i se a wa re n e s s, b o th

th e i r o wn and th a t o f th e te ch n i ca l te a m s a n d u se rs a cro ss th e

b u si n e s s.

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3 Planning for IT service management

Risks
Co n s i d e ra ti o n n e e d s to be g i ve n to wh a t co u l d go wro n g wi th th e

p ro j e ct a n d wh a t to do i f i t d o e s. Typ i ca l ri sks m a y b e :

• l a ck o f b u y-i n fro m s ta ff;

• l a ck o f se n i o r m a n a g e m e n t co m m i tm e n t;

• i n su ffi ci e n t re s o u rce s a va i l a b l e to p ro g re s s th e p ro j e ct, p e rh a p s a s a

re su l t o f u n e xp e cte d b u si n e ss -cri ti ca l p ro j e cts;

• i n a d e q u a te to o l s to su p p o rt th e p ro ce ss e s;

• p ro ce ss i n tro d u cti o n p ro ve s to be m o re co m p l e x th a n fi rst th o u g h t.

Benefits
Th e e xp e cte d b e n e fi ts o f i m p ro vi n g I T se rvi ce m a n a g em en t n eed to be

cl e a r fro m th e o u tse t. Th i s i s o fte n a d i ffi cu l t a re a to q u a n ti fy a s m a n y o f

th e b e n e fi ts a re q u a l i ta ti ve , b u t i t wi l l h el p yo u r p ro j e ct a s we l l a s yo u r

b u si n e ss ca se i f s p e ci fi c ta rg e ts a re s e t (i . e . n u m b e rs) . We h a ve to u ch e d

on th i s a l re a d y i n th e s e tti n g o f o b j e cti ve s i n yo u r I T S e rvi ce M a n a g em en t

Pl a n , b u t fu rth e r e xa m p l e s co u l d i n cl u d e th e fo l l o wi n g .

• Co st re d u cti o n – fe we r sta ff wi l l be n eed ed to p ro vi d e th e sa m e l e ve l

o f s e rvi ce ; u se o f co n tra cto rs m a y b e re d u ce d .

• Re d u cti o n in th e n u m b e r o f i n ci d e n ts l o g g e d and a co rre s p o n d i n g

i n cre a s e in u s e r p ro d u cti vi ty – yo u wi l l n eed to do som e re se a rch on

b u si n e ss co st p e r i n ci d e n t to be a bl e to q u a n ti fy th i s.

• I n cre a s e d a va i l a b i l i ty o f I T s e rvi ce s – s i m i l a rl y yo u wi l l n eed to

ca l cu l a te th e co s t p e r h o u r o f a n o u ta g e of a ke y s e rvi ce .

• B e tte r a l i g n m e n t o f I T se rvi ce s wi th b u si n e s s n e e d s – l e ss wa ste d

e ffo rt i n p ro vi d i n g th i n g s u s e rs n e i th e r n e e d n o r wa n t.

• Re d u ce d ri sk to th e b u si n e ss a s a re su l t o f m o re e ffe cti ve se cu ri ty

co n tro l s , ca p a ci ty p l a n n i n g , e tc.

• I m p ro ve d va l u e fo r m o n e y fro m e xi sti n g su p p l i e rs a n d co n tra cts.

Summary

• An I T se rvi ce m a n a g em en t pl a n se ts o u t yo u r o b j e cti ve s

and a p p ro a ch and d e fi n e s th e a cti vi ti e s, re so u rce s a n d

ti m e sca l e s n e e d e d to m e e t yo u r o b j e cti ve s.

• A b u si n e ss ca s e is a u se fu l to o l fo r m a ki n g th e j u sti fi ca ti o n

fo r I T se rvi ce m a n a g e m e n t i m p ro ve m e n t i n yo u r

o rg a n i z a ti o n cl e a r a n d a ch i e vi n g se n i o r m a n a g e m e n t

b u y- i n .

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 The people aspects

• I t sh ou l d co ve r th e i n tro d u cti o n , m e th o d s a n d a ss u m p ti o n s,

b u si n e ss i m p a cts, ri s ks a n d co n ti n g e n ci e s, and

re co m m e n d a ti o n s co n ce rn e d wi th yo u r p ro p o se d I T se rvi ce

i m p ro ve m e n t p ro j e ct.

• D o n ’t fo rg e t to b u d g e t fo r tra i n i n g , p u b l i ca ti o n s ,

co n su l ta n cy (o p ti o n a l ) and (i f yo u d e ci d e to go fo r

I S O /I E C 2 0 0 0 0 ce rti fi ca ti o n ) a u d i t co sts.

• Yo u n eed to be cl e a r, co n ci se and h o n e st. Fa i l i n g on a n y of

th e se co u n ts wi l l a t b e st ca u se yo u p ro b l e m s a n d a t wo rst

g e t th e b u s i n e ss ca se d i s m i s se d .

Next steps

1 . S ta rt to th i n k a b o u t wh a t yo u a re tryi n g to a ch i e ve wi th i n

yo u r o rg a n i z a ti o n ; h o w wi l l i t b e n e fi t th e b u si n e s s, th e IT

te a m and o th e r sta ke h o l d e rs ?

2. Cre a te a fi rst d ra ft I T se rvi ce m a n a g em en t pl a n in o rd e r to

sta rt to d e fi n e yo u r i d e a s o f h o w i t wi l l wo rk.

3. D ra ft a b u s i n e ss ca se and o b ta i n som e fe e d b a ck fro m

su i ta b l e co n ta cts o r co l l e a g u e s b e fo re s u b m i tti n g i t to

se n i o r m a n a g e m e n t.

The people aspects

As p a rt o f yo u r g o o d p ra cti ce p ro j e ct yo u wi l l be cre a ti n g d o cu m e n ts,

p e rh a p s i n sta l l i n g so m e e xtra so ftwa re and sta rti n g to m e a su re q u i te a

fe w th i n g s yo u d i d n ’t b e fo re . Al l o f th i s i s i m p o rta n t, b u t m a ke su re th a t

th e ‘peopl e a s p e cts’ o f yo u r i m p l e m e n ta ti o n d o n ’t g e t o ve rl o o ke d . Be in

no d o u b t, a se rvi ce i m p ro ve m e n t p ro j e ct b a se d a ro u n d I T se rvi ce

m a n a g em en t g ood p ra cti ce i s fi rst a n d fo re m o st a cu l tu re ch a n g e p ro j e ct.

I f yo u d o n ’t h a ve yo u r te a m on si d e ve ry l i ttl e wi l l ch a n g e on th e g ro u n d .

Ye s , yo u wi l l h a ve a m o re co m p l e te se t o f d o cu m e n ta ti o n and m a yb e

e ve n so m e g re a t n e w so ftwa re b u t, u n l e ss yo u r p e o p l e ch a n g e th e wa y

th e y wo rk d a y-to - d a y, th e se rvi ce to yo u r u se rs wi l l sta y e xa ctl y th e sa m e

a s b e fo re and yo u wi l l h a ve wa s te d a si g n i fi ca n t p a rt o f yo u r ti m e .

In th i s se cti o n we wi l l l o o k a t h o w yo u ca n a sse ss yo u r ski l l and tra i n i n g

re q u i re m e n ts, m e a s u re and i m p ro ve yo u r te a m m o ra l e , i n vo l ve yo u r sta ff

and p o ssi b l y re o rg a n i z e th e m i n to a m o re l o g i ca l stru ctu re . B u t b e fo re

we do th i s we ’ d l i ke to sa y a fe w wo rd s a b o u t fo s te ri n g g en u i n e

o wn e rsh i p o f th e n e w wa ys o f wo rki n g .

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3 Planning for IT service management

Al l to o o fte n th e wa y i n wh i ch I T se rvi ce m a n a g e m e n t p ro ce s se s a re

i n tro d u ce d i s b y ca l l i n g a m e e ti n g , sh o wi n g a fe w sl i d e s o f a p ro ce s s

fl o wch a rt (p ro b a b l y co p i e d fro m an I TI L b o o k o r si m i l a r) and th e n

d e cl a ri n g th i s to be ‘ th e n e w wa y we do th i n g s h e re ’ . U n d e rs ta n d a b l y

th i s ca n ca u se a n e g a ti ve re a cti o n (o r wo rse , co m p l e te a p a th y) fro m th e

I T sta ff i n vo l ve d and th e p ro ce ss i s l a rg e l y d o o m e d b e fo re i t h a s beg u n .

We wo u l d su g g e s t th a t a b e tte r a p p ro a ch i s to sta rt wi th a d i scu ssi o n

a b ou t th e i ssu e s wi th th e cu rre n t p ro ce ss (p e rh a p s u si n g th e

b ra i n sto rm i n g te ch n i q u e ) and th e n wo rk th ro u g h h o w th e se i ssu e s m a y

be a d d re sse d b y cre a ti n g a b e tte r p ro ce ss, m a ppi n g th a t p ro ce ss o u t a s

yo u go a l on g . Th e l a st ste p wo u l d th e n be to co m p a re th a t p ro ce s s wi th

d o cu m e n te d g ood p ra cti ce (fo r e xa m p l e , in I TI L) to see i f th e re a re any

a re a s th a t d i ffe r. B u t e ve n i f th e re a re d i ffe re n ce s , d o n ’t a ssu m e th a t

g o od p ra cti ce wi l l wi n th ro u g h e ve ry ti m e ; th e wh o l e i d ea o f fra m e wo rks

su ch a s I TI L i s th a t th e y sh o u l d be a d a p te d to su i t yo u r p a rti cu l a r

o rg a n i z a ti o n . Th i s i s h o w th e g e n e ri c d e fi n i ti o n of ‘ g ood p ra cti ce ’ in th e

b o oks e vo l ve s i n to a s p e ci fi c i m p l e m e n ta ti o n o f ‘ b e st p ra cti ce ’ wi th i n

yo u r te a m .

Th e p o i n t a b o u t i n tro d u ci n g ch a n g e in th i s wa y i s th a t i t a n swe rs th e bi g

q u es ti o n o f ‘ wh y? ’ , wh i ch i s so o fte n th e stu m b l i n g b l o ck to th e

i n tro d u cti o n of a b e tte r wa y o f wo rki n g . I t a l so e n s u re s th a t th e peopl e

wh o cre a te th e n e w p ro ce ss a re th e ve ry p e o p l e b e st p l a ce d to g et i t

ri g h t, n a m e l y th o se cu rre n tl y d o i n g i t. Th e I TI L b o o ks p o i n t o u t th a t th e

wh o l e i d ea i s to cre a te ‘ p ra cti ca l so l u ti o n s’ n o t ‘ p e rfe ct p ro ce sse s ’ .

B u t wh a t i f yo u n eed to i n tro d u ce a p ro ce ss th a t d o e sn ’t cu rre n tl y e xi st

wi th i n yo u r te a m ? H o w ca n peopl e co m e up wi th i m p ro ve m e n ts i f th e re

is no sta rti n g p o i n t? Th e a n swe r i s th a t th e va st m a j o ri ty o f I T se rvi ce

m a n a g e m e n t p ro ce sse s d o in fa ct e xi st; th e y a re j u st (so m e ti m e s ve ry)

i n fo rm a l . Ta ke ch a n g e m a n a g e m e n t, fo r e xa m p l e : all I T te a m s ch a n g e

th i n g s – i t’s i n e vi ta b l e . So th e re is an e xi sti n g p ro ce ss, bu t i t m a y si m pl y

co n si s t o f th e fo l l o wi n g ste p s:

1 . I d e n ti fy so m e th i n g th a t n e e d s to be ch a n g e d .

2. Ch a n g e i t.

3. H ope th e re a re no u n d e s i ra b l e co n s e q u e n ce s.

I f yo u sta rt fro m th i s p ro ce ss fl o w, and th e n wo rk th ro u g h wi th yo u r

te a m wh a t e l se th e y p e rh a p s sh o u l d be d oi n g , yo u m a y be s u rp ri se d h ow

q u i ckl y th e main e l e m e n ts o f g o o d p ra cti ce a re s u g g e ste d ; b u t th e

o wn e rsh i p o f th e n e w p ro ce s s l i e s wi th yo u r sta ff, n o t th e a u th o rs o f I TI L,

CO B I T o r I S O /I E C 2 0 0 0 0 . We h u m b l y su g g e st yo u u se th e b o o ks a s

g u i d el i n es, n ot d og m a .

Wi th i n th e fi e l d o f b u s i n e ss ch a n g e m a n a g e m e n t (a s o p p o s e d to IT

ch a n g e m a n a g e m e n t, wh i ch we d i scu ss i n Ch a p te r 5 th e re a re a n u m ber

o f we l l -kn o wn a p p ro a ch e s to fa ci l i ta ti n g and em bed d i n g ch a n g e th a t

30 IT Service Management for Small IT Teams

 The people aspects

yo u co u l d l o o k to u se wi th i n yo u r te a m . We o n l y m e n ti o n th e m b ri e fl y

h e re b u t i t i s we l l wo rth fi n d i n g o u t m o re a b o u t th e m .

Th e AD KAR m o d e l d e fi n e s fi ve fa cto rs to be cre a te d o r d e ve l o p e d wh e n

m a ki n g ch a n g e s:

• Awa re n e ss – a b o u t wh y th e ch a n g e i s n e ce ss a ry;

• D e si re – to co -o p e ra te and p a rti ci p a te ;

• Kn o wl e d g e – to guide th e ch a n g e p ro ce ss;

• Ab i l i ty – a n d re l e va n t ski l l s to d ri ve th e ch a n g e p ro ce ss;

• Re i n fo rce m e n t – a n d p l a n s to s u s ta i n th e ch a n g e p ro ce ss.

I TI L V3 re co m m e n d s th e u se of J oh n P. Ko tte r’s Eight Steps to

Transforming Your Organisation a s fo l l o ws:

1 . Cre a ti n g a sen se o f u rg e n cy.

2. F o rm i n g a guiding co a l i ti o n .

3. Cre a ti n g a vi si o n .

4. Co m m u n i ca ti n g th e vi si o n .

5. E m p o we ri n g o th e rs to a ct o n th e vi si o n .

6. Pl a n n i n g fo r a n d cre a ti n g sh o rt- te rm wi n s.

7. Co n so l i d a ti n g i m p ro ve m e n ts a n d p ro d u ci n g m o re ch a n g e .

8. I n sti tu ti o n a l i z i n g th e ch a n g e .

B u t h o we ve r yo u d e ci d e to a p p ro a ch th e i ssu e o f ch a n g e wi th i n yo u r

te a m i t i s i m p o rta n t th a t yo u d e m o n s tra te som e cl e a r l e a d e rs h i p ,

n e g o ti a ti o n and l i ste n i n g s ki l l s to e n su re th a t yo u r p e o p l e co m e wi th yo u

on th e j o u rn e y ra th e r th a n g e tti n g o ff a t th e fi rst sto p .

Skills and training

We h a ve a l re a d y sta te d th a t i n a sm a l l I T te a m yo u r p e o p l e a re yo u r m a i n

a s se t. Th e re l i a n ce on th e i n d i vi d u a l th a t b e i n g sm a l l e n ta i l s m a ke s

h a vi n g th e ri g h t m i x o f ski l l s to su p p o rt yo u r se rvi ce s a n i m p o rta n t i ssu e .

H ow d o yo u bu i l d and m a i n ta i n a cl e a r p i ctu re o f wh e th e r yo u ’ ve g ot i t

ri g h t?

O n ce yo u h a ve a g ood i d ea o f th e se rvi ce s th a t yo u p ro vi d e to yo u r

cu s to m e rs a n d h a ve e s ta b l i sh e d a se rvi ce ca ta l o g u e , we wo u l d

re co m m e n d th a t yo u g i ve so m e th o u g h t a s to th e ski l l s yo u n eed to h a ve

in yo u r te a m to p ro vi d e th o s e se rvi ce s a n d co n d u ct a tra i n i n g n eed s

a n a l ysi s , o r TN A. F o r e xa m p l e , fo r a n em a i l se rvi ce yo u m a y n eed yo u r

te a m to h a ve ski l l s i n som e or a l l o f th e fo l l o wi n g :

• th e em a i l cl i e n t o n th e PC;

• th e se rve r e m a i l so ftwa re ;

• Dom a i n Name S e rvi ce s (D N S ) ;

• th e o p e ra ti n g sys te m i t ru n s o n ;

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3 Planning for IT service management

• th e h a rd wa re th a t p ro vi d e s th e p l a tfo rm .

B u t h a ve th e y? An d , i f so, h o w m a n y o f th e m h a ve th e s e ski l l s a n d in

wh a t m i xe s? To fi n d o u t yo u co u l d re vi e w p a st tra i n i n g re co rd s o r a s k

th e m to ta ke som e fo rm o f te st, b u t th a t wo u l d be d i ffi cu l t a n d

ti m e -co n su m i n g . We wo u l d co n te n d th a t th e m o st e ffe cti ve wa y o f

fi n d i n g o u t i s si m p l y to a sk th e m .

F i rst, yo u wi l l n eed a l i st o f ski l l s s u ch a s th o se in th e e xa m p l e a b o ve .

Ag a i n , th e m o st e ffe cti ve wa y to cre a te su ch a l i st i s to i n vo l ve yo u r

te a m . H ol d a wo rksh o p (se e th e se cti o n ‘ M e th o d s o f i n vo l ve m e n t’ and

g e t yo u r te a m to te l l yo u :

• all o f th e ski l l s th e y ca n th i n k o f th a t th e y cu rre n tl y h a ve ;

• th o se s ki l l s th a t th e y d o n ’t h a ve b u t b e l i e ve a re n eed ed to su p p o rt

th e s e rvi ce s i n th e se rvi ce ca ta l o g u e (g i ve e ve ryo n e a co p y o f th i s to

h el p th i n g s a l o n g ) .

D o n ’t fo rg e t to co ve r b o th te ch n i ca l (e . g . o p e ra ti n g syste m s, d a ta b a s e s

and h a rd wa re ) and s o ft ski l l s s u ch a s cu sto m e r se rvi ce , I TI L a n d tra i n i n g .

Ad d a n y o th e rs yo u ca n th i n k o f yo u rse l f a n d th e n re co rd and ca te g o ri z e

th e l i st h o we ve r yo u se e fi t.

N o w we n eed to u n d e rsta n d h ow m a n y peopl e in yo u r te a m h a ve th e s e

ski l l s a n d to wh a t l e ve l . Th i s i s b e st d o n e b y cre a ti n g a si m p l e

q u es ti o n n a i re (a s p re a d sh e e t wi l l d o) and u si n g a b a si c ra ti n g syste m (e . g .

1 for n o kn o wl e d g e th ro u g h to 5 fo r g u ru ) . G e t e a ch o f yo u r sta ff

m e m b e rs (a n d yo u rse l f) th e n to ra te th e m se l ve s o n e a ch ski l l a cco rd i n g to

yo u r ra ti n g sch e m e . Co l l e ct th e re s p o n se s (m a ke s u re e ve ryo n e d o e s i t) ,

p e rfo rm a sa n i ty ch e ck b a se d on yo u r o wn kn o wl e d g e o f yo u r sta ff a n d

do a si m p l e sp re a d sh e e t a n a l ysi s to a sse ss th e s ki l l l e ve l wi th i n yo u r te a m ,

b o th :

• as an a ve ra g e – th i s i n d i ca te s th e g e n e ra l l e ve l o f kn o wl e d g e in th a t

a re a ; and

• in te rm s o f h o w m a n y p e o p l e yo u h a ve a b o ve th e l e ve l yo u fe e l is

n eed ed fo r th a t ski l l .

Th i s se co n d p o i n t i s i m p o rta n t a s i t wi l l sh o w yo u wh e re yo u h a ve si n g l e

p o i n ts o f fa i l u re in th e ski l l s o f yo u r te a m ; th e se o fte n sh o w u p wh e n a

se n i o r m a n a g e r wa n ts so m e th i n g d on e wh e n th e p e rso n wh o n o rm a l l y

d o es i t i s o n h ol i d a y a n d no on e el se in yo u r te a m has a cl u e . Th e l e ve l

yo u fe e l i s n eed ed wi l l be d i cta te d b y h o w cri ti ca l th e se rvi ce s th a t re l y

on th a t s ki l l a re . F o r e xa m p l e , fo r yo u r m a i n b u si n e ss -cri ti ca l s yste m yo u

wi l l p ro b a b l y wa n t a t l e a st two peopl e wi th a s ki l l l e ve l of 3 o r m o re –

j u st m a ke su re th e y d o n ’t g o on h o l i d a y a t th e sa m e ti m e .

O u t o f th i s a n a l ys i s th e n fa l l s yo u r tra i n i n g re q u i re m e n ts, b a se d on th e

n e e d s o f yo u r s e rvi ce s a n d cu sto m e rs ra th e r th a n wh a t’s co o l to l e a rn

32 IT Service Management for Small IT Teams

 The people aspects

a b o u t th i s ye a r. Yo u wi l l p ro b a b l y h a ve a m i xtu re o f tra i n i n g n e e d s, so m e

o f wh i ch ca n be a d d re s se d b y b a si c sh a d o wi n g o r te a m d e m o n s tra ti o n s

ra th e r th a n fo rm a l tra i n i n g . Re p e a t th e e xe rci se wh e n e ve r yo u fe e l i t’s

a p p ro p ri a te , m a yb e a n n u a l l y.

La s tl y, i t’s wo rth m e n ti o n i n g S F I A. Th e S ki l l s F ra m e wo rk fo r th e

I n fo rm a ti o n Ag e is a si m p l e and l o g i ca l two -d i m e n si o n a l fra m e wo rk

co n si sti n g o f, on on e a xi s, th e ski l l s i n ca te g o ri e s a n d su b ca te g o ri e s a n d ,

on th e o th e r, th e va ri o u s l e ve l s o f ski l l th a t ca n be a tta i n e d . It is

m a i n ta i n e d b y th e S F I A F o u n d a ti o n , a n o t- fo r-p ro fi t o rg a n i z a ti o n to

wh i ch th e B ri ti sh Co m p u te r S o ci e ty a n d th e I T S e rvi ce M a n a g em en t

F o ru m su b scri b e . S F I A p ro vi d e s a co m m o n re fe re n ce m od el fo r th e

i d e n ti fi ca ti o n o f th e ski l l s n e e d e d to d e ve l o p e ffe cti ve i n fo rm a ti o n

syste m s (I S ) m a ki n g u se o f i n fo rm a ti o n co m m u n i ca ti o n s te ch n o l o g i e s

(I CT) .

Th e p u rp o se o f S F I A i s to p ro vi d e a sta n d a rd i z e d vi e w o f th e wi d e ra n g e

o f p ro fe ssi o n a l ski l l s n e e d e d by peopl e wo rki n g in i n fo rm a ti o n

te ch n o l o g y. Th e d e fi n i ti o n s d e scri b e e l e m e n ts o f re q u i re d ca p a b i l i ty su ch

a s ‘ d a ta b a se d esi g n ’, ra th e r th a n te ch n o l o g i ca l l y-o ri e n ta te d m a tte rs su ch

a s th e kn o wl e d g e of a p a rti cu l a r d a ta b a se . I t u se s a co m m o n language

and a se n si b l e , l o g i ca l stru ctu re th a t ca n be a d a p te d to th e tra i n i n g and

d e ve l o p m e n t n e e d s o f a ve ry wi d e ra n g e o f b u si n e ss e s – o r si m p l y u se d

‘ o ff th e sh e l f’ . I t i s wo rth a l o o k to se e i f i t m i g h t be u se fu l fo r yo u r

te a m .

I m provi n g m ora l e

I s yo u r I T te a m a b i t fe d u p? On e o f th e m o st co m m o n a ttri b u te s o f a n IT

d e p a rtm e n t th a t h a sn ’t i m p l e m e n te d I T s e rvi ce m a n a g em en t g ood

p ra cti ce i s l o w m o ra l e . Th i s ca n e xh i b i t i tse l f i n m a n y d i ffe re n t wa ys ,

i n cl u d i n g re g u l a r co m p l a i n ts, open cri ti ci sm of m a n a g em en t a n d h i g h er

th a n a ve ra g e a b s e n ce ra te s. Th e re m a y a l so be a stro n g sen se o f d i s tru st

and cyn i ci sm , so wh e n yo u sta rt ta l ki n g a b o u t I T se rvi ce m a n a g e m e n t yo u

m a y n ot g et a wa rm fe e l i n g th a t yo u ’ re bei n g l i ste n e d to . I n i ti a l l y th e

o n l y th i n g yo u ca n do i s g ri t yo u r te e th and wo rk th ro u g h i t, b u t o ve r

ti m e th e re a re a n u m b e r o f a cti o n s yo u ca n ta ke th a t wi l l h el p to

i m p ro ve m o ra l e a m o n g st yo u r te a m . Wh a t th e y m o s tl y co m e d o wn to is

sh o wi n g th a t yo u a ctu a l l y ca re a b o u t yo u r sta ff.

Som e o f th e a cti o n s yo u ca n ta ke a re :

• Praise – ca tch th e m d oi n g so m e th i n g ri g h t a n d m a ke a fu ss a b o u t i t.

G e t yo u r m a n a g e r to co m e d o wn and m a ke a fu ss a b o u t i t to o .

M a yb e e ve n g i ve th e m a ce rti fi ca te th a t sa ys ‘ We l l d on e’. I t h a s to be

g en u i n e and d e se rve d th o u g h : a ce rti fi ca te fo r ‘ m a ki n g a g re a t cu p

o f te a ’ wi l l u n d e rm i n e yo u r cre d i b i l i ty s o m e wh a t. Al so , try to e n s u re

th a t th e b e h a vi o u r yo u re wa rd m o ve s yo u r te a m cl o se r to a ch i e vi n g

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3 Planning for IT service management

yo u r o b j e cti ve s – i f i t ca n be re l a te d to Ke y Pe rfo rm a n ce I n d i ca to rs

(KPI s ) th e n e ve ryo n e sh ou l d be co n te n t.

• Do performance reviews when you’re supposed to – n o th i n g s a ys ‘ I

d o n ’t ca re a b o u t yo u ’ q u i te so we l l a s n o t h a vi n g a p e rfo rm a n ce

re vi e w fo r se ve ra l ye a rs wh e n th e y sh o u l d be e ve ry si x m o n th s. I t’s

a m a zi n g h o w wo rth wh i l e e ve ryo n e sa ys th e y a re i f yo u a ctu a l l y m a ke

th e e ffo rt.

• Give them some training – th i s a l s o sh o ws th a t yo u r te a m i s wo rth

i n ve sti n g in a s we l l a s re d u ci n g th e p o te n ti a l e xcu s e s fo r n o t d o i n g

so m e th i n g ‘ b e ca u s e I h a ve n ’t b e e n tra i n e d in i t’ . B u t d o n ’t p ro m i se

wh a t yo u ca n ’t d e l i ve r – i f yo u h a ve n ’t g o t th e b u d g e t th e n be

h o n e st a n d l o o k a t l o we r-co st a l te rn a ti ve s to cl a ss ro o m co u rse s.

• Communicate, communicate, communicate – m a ke su re yo u h a ve

we e kl y te a m m e e ti n g s to te l l yo u r sta ff wh a t’s g o i n g on and to g i ve

th e m a ch a n ce to te l l yo u wh a t th e y th i n k. Do yo u r b e st to a ctu a l l y

l i ste n to wh a t th e y’ re s a yi n g to o , and th e n a ct o n i t. Al wa ys re co rd

th e a cti o n s a n d co m e b a ck to th e m n e xt we e k. Be p re p a re d fo r th e

fi rst fe w m e e ti n g s to be m oa n i n g se ss i o n s – i t wi l l i m p ro ve o ve r ti m e ,

so s ti ck wi th it

As wi th m a n y a s p e cts o f se rvi ce i m p ro ve m e n t, i f yo u ca n ’t m e a s u re i t, yo u

ca n ’t i m p ro ve it and te a m m o ra l e is no d i ffe re n t. M a n y o rg a n i z a ti o n s

n o w u n d e rta ke e m p l o ye e s a ti s fa cti o n s u rve ys a n d co m p a re th e re su l ts

ye a r u p o n ye a r. I f yo u rs d o e s th i s, th e n i t ca n a ve ry u se fu l so u rce of

i n fo rm a ti o n n o t o n l y a b o u t h o w sa ti sfi e d yo u r I T s ta ff a re , b u t wh e th e r

th e i m p ro ve m e n ts yo u pu t i n p l a ce h a ve had a n y n o ti ce a b l e e ffe ct u p o n

th e i r sa ti sfa cti o n l e ve l s. If no su rve y e xi sts a t th e m o m e n t th e n it is in

yo u r p o we r to ca rry o n e o u t, fo cu se d sp e ci fi ca l l y o n th e I T te a m . We

wo u l d s u g g e st th a t yo u u n d e rta ke th i s p ri o r to a n y i m p ro ve m e n t

a cti vi ti e s (to b a se l i n e te a m sa ti sfa cti o n ) and th e n a fte rwa rd s to se e wh a t

i m pro ve m e n t, i f a n y, h a s been e xp e ri e n ce d . Th i s co u l d si m p l y ta ke th e

fo rm o f fi ve to te n d i re ct q u e s ti o n s re g a rd i n g a re a s s u ch a s o ve ra l l

h a pp i n e s s l e ve l s, co m m u n i ca ti o n , te a m sp i ri t, ca re e r p ro sp e cts a n d a b i l i ty

to do th e j ob, p e rh a p s ra te d on a si m p l e 1 –1 0 sca l e . M a ke ro o m fo r

fre e - te xt co m m e n ts to o a s th e se a re o fte n m o re e n l i g h te n i n g th a n th e

n u m b e rs. I t d o e s n ’t n e e d to be co m p l i ca te d , and in m a n y wa ys j u st th e

a ct o f ca rryi n g ou t a su rve y ca n h a ve a p o si ti ve e ffe ct o n m o ra l e .

Methods of involvement
We ’ ve all had th e e xp e ri e n ce – yo u h ol d a m e e ti n g to g e t p e o p l e ’s vi e ws

on a su b j e ct b u t m o st o f th e m si t th e re l o o ki n g a t th e fl o o r, to o fe d up

o r to o s h y to co n tri b u te and al l yo u g et i s on e o r two o p i n i o n s fro m th e

sa m e ol d peopl e. So h ow d o yo u a ctu a l l y g e t yo u r sta ff i n vo l ve d in su ch

m e e ti n g s , wo rksh o p s, e tc. ? Th e a n swe r i s sti cky n o te s su ch a s Po st-i ts®

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N o w, we a p p re ci a te th a t th e se g et a ba d p re ss n o wa d a ys l a rg e l y fro m

o ve ru se . B u t i f yo u n eed to m a ke peopl e co n tri b u te th e n th e y a re yo u r

si l ve r b u l l e t (b e a r wi th u s) .

Brainstorming
(Al so kn o wn b y va ri o u s o th e r n a m e s su ch a s ‘m i n d s we e p i n g ’ and

‘ th o u g h t sh o we r’ ) . An ol d te ch n i q u e and o fte n m i s co n stru e d as an

u n co n tro l l e d sh o u ti n g o u t o f i d e a s, bu t u sed co rre ctl y (a n d co m b i n e d

wi th sti cky n o te s th i s si m p l e m e th o d wi l l m a ke yo u r s ta ff fe e l th a t th e y

h a ve co n tri b u te d and been l i s te n e d to . We h a ve u se d th i s su cce ss fu l l y o n

m a n y o cca si o n s wh e re we n eed to pu l l i d ea s ou t of peopl e.

S i t e ve ryo n e in an a rc a ro u n d yo u and e xp l a i n th e su b j e ct o f th e

b ra i n sto rm – yo u n eed to be fa i rl y sp e ci fi c i n o rd e r to g e t u se fu l i d e a s.

Wri te i t d o wn on a fl i p ch a rt i f yo u ca n . E xa m p l e su b j e cts m i g h t b e ‘ Wh a t

ca n we do to i m p ro ve o u r i n ci d e n t m a n a g e m e n t? ’ o r ‘ H o w ca n we

i n cre a se u se r sa ti sfa cti o n ? ’

S ta te th e ru l e s, wh i ch a re :

1 . Ke e p s tri ctl y to th e o rd e r – n o on e i s a l l o we d to sh o u t o u t u n l e ss i t’s

th e i r tu rn .

2. E ve ryo n e g e ts a g o.

3. Yo u ca n p a s s i f yo u h a ve to , b u t try n o t to .

Th e n s ta rt a t th e fi rs t p e rso n and go ro u n d -ro b i n fa sh i o n , wri ti n g e a ch

i d ea d o wn on a sti cky n o te a s yo u go a l on g . I f so m e peopl e ke e p p a s si n g ,

g i ve th e m so m e g e n tl e e n co u ra g e m e n t to co n tri b u te m o re . I t wo rks b e st

wi th a ro u n d te n peopl e, g i ve o r ta ke th re e o r so : to o many and peopl e

l o se fo cu s, to o fe w a n d no on e h a s en ou g h ti m e to th i n k. Wh e n yo u g et

to th e sta g e wh e re m o st p e o p l e a re p a s si n g , open it up to e ve ryo n e fo r

a n y re m a i n i n g i d e a s.

Clustering
Th i s te ch n i q u e fo l l o ws o n fro m b ra i n sto rm i n g . O n ce yo u h a ve all th e

i d e a s wri tte n on sti cky n o te s wo rk wi th th e g ro u p to cl u s te r th e m

to g e th e r i n to co m m o n g ro u p s – fo r e xa m p l e , i f th e q u e sti o n wa s ‘ H o w

ca n we i m p ro ve I T sta ff ski l l l e ve l s? ’ th e n ‘ m o re co u rse s’ and ‘ b e tte r

p ro j e ct h a n d o ve rs’ co u l d be g ro u p e d to g e th e r. O n ce yo u h a ve d on e th i s,

a s k th e g ro u p to g i ve e a ch g ro u p i n g a name (e . g . ‘ tra i n i n g ’ ) .

Yo u th e n h a ve a se t o f i d e a s g ro u p e d i n to su b j e ct a re a s. Th e n e xt ste p is

to a sk wh o wi l l ta ke o wn e rsh i p o f e a ch l a bel l ed g ro u p i n g and, o n ce th i s

i s d e ci d e d , wri te th a t p e rso n ’s n a m e n e xt to th e g ro u p i n g .

IT Service Management for Small IT Teams 35

3 Planning for IT service management

Follow-up
A ke y p o i n t a b o u t th i s a re a , in co m m o n wi th m a n y o th e rs we wi l l co ve r,

i s th a t yo u m u st d o cu m e n t i t. Re co rd all o f th e sti cky n o te s i n th e i r

g ro u p i n g s wi th n a m es a n d o wn e rs i n an e l e ctro n i c d o cu m e n t a n d th e n

se n d i t o u t to e ve ryo n e wh o a tte n d e d . Ad d th e a cti o n s i n to yo u r s e rvi ce

i m p ro ve m e n t p l a n (we m a ke no a p o l o g i e s fo r s a yi n g th i s ti m e and ti m e

again a s i t i s a b so l u te l y ke y) .

Th e a b o ve te ch n i q u e s wi l l p ro vi d e an e l e m e n t o f stru ctu re to yo u r

d i scu s si o n s a n d e n su re th a t i t’s n o t j u st th e l ou d o n e s wh o h a ve a sa y i n

h o w yo u r te a m d e ve l o p s. We ’ re n o t su g g e s ti n g yo u u se th i s i n e ve ry

se ss i o n b u t e ve ry n o w a n d th e n i t i s fi n e .

Organization structure
On e o f th e q u e sti o n s o fte n a ske d wh e n i m p l e m e n ti n g I T se rvi ce

m a n a g em en t g ood p ra cti ce i s ‘Sh ou l d we ch a n g e o u r I T o rg a n i z a ti o n

stru ctu re ? ’ I t’s a n i n te re sti n g p o i n t a s e xi s ti n g wo rki n g p ra cti ce s a re o fte n

a l i g n ed and co n stra i n e d b y th e stru ctu re o f th e te a m and ro l e

d e scri p ti o n s m a y b e to o sp e ci fi c (o r i n so m e ca s e s we h a ve co m e a cro ss,

to o g e n e ri c) to a l l o w m u ch fl e xi b i l i ty. In m a n y wa ys i t i s b e st to d el a y

m a ki n g a n y si g n i fi ca n t ch a n g e s u n ti l yo u r g o o d p ra cti ce i m p l e m e n ta ti o n

i s we l l u n d e rwa y; yo u m a y fi n d th a t th e I T sta ff th e m s e l ve s s ta rt to

su g g e s t ro l e ch a n g e s a s th e p ro j e ct p ro g re ss e s.

In th e l o n g e r te rm th e a n swe r i s i d e a l l y ‘ Ye s’ so th a t i t fi ts th e I TI L m o d e l

(a l th o u g h n o w th e d e b a te i s ‘ wh i ch I TI L m o d e l , V2 o r V3 ? ’ ) bu t i n re a l i ty

i t ca n be an a re a fu l l o f p i tfa l l s fo r th e u n wa ry I T m a n a g e r a n d o fte n

ta ke s a l on g ti m e to co m e to fru i ti o n . As so o n a s yo u s u g g e st ch a n g i n g

a n y ti tl e s o r re p o rti n g l i n es a wh o l e p l e th o ra o f i s su e s b u b b l e to th e

su rfa ce , su ch a s:

• Wi l l we j u st s l o t i n to th e n e w ro l e s o r wi l l we h a ve to a p p l y fo r

th e m ?

• Do th e u n i on s n eed to be i n vo l ve d ?

• Wh a t p a y s ca l e s wi l l th e n e w ro l e s h a ve ?

• Wi l l th e y b e a d ve rti se d e xte rn a l l y?

• Wh a t q u a l i fi ca ti o n s wi l l I n eed to h a ve fo r th e n e w ro l e ?

• Wi l l m y s i ckn e ss re co rd co u n t a g a i n st m e if I a p p l y fo r a ro l e ?

I t i s cl e a r fro m th e a b o ve l i st o f q u e sti o n s th a t yo u wi l l n eed to g e t yo u r

human re so u rce s d e p a rtm e n t (i f yo u h a ve on e) i n vo l ve d fro m th e o u tse t

to e n su re yo u s ta y o n th e ri g h t si d e o f e m p l o ym e n t l a w.

So, u n l e ss yo u ’ re a ve ry sm a l l co m p a n y a n d yo u h a ppen to be th e o wn e r,

d o n ’t e xp e ct a n y q u i ck fi xe s h e re . I t’s a l so n ot a n a b so l u te re q u i re m e n t o f

g ood p ra cti ce – a s l on g a s yo u r ro l e s a n d re sp o n si b i l i ti e s a re d e fi n e d and

36 IT Service Management for Small IT Teams

 The people aspects

a l l o ca te d to so m e o n e yo u ’ l l be O K. Th e b e n e fi ts o f re m o u l d i n g th e

o rg a n i z a ti o n stru ctu re a re th a t yo u ca n be m o re sp e ci fi c wi th th e IT

se rvi ce m a n a g e m e n t ro l e s a n d a l l o ca te th e m to peopl e wh o h a ve ti tl e s

th a t re fl e ct th e a re a (s) th e y a re co n ce n tra ti n g on . Th i s i n cre a se s th e

l i ke l i h o o d o f th e p ro ce ss e s b e i n g ke p t u p to d a te o n ce th e e xci te m e n t o f

th e i n i ti a l i m p l e m e n ta ti o n h a s fa d e d .

O f co u rs e , th e a m o u n t o f fl e xi b i l i ty yo u h a ve d epen d s u pon th e si z e of

yo u r te a m – i f i t i s ve ry s m a l l th e n th e re is no a l te rn a ti ve b u t to we a r

m a n y h a ts a t o n ce (e . g . I n ci d e n t M a n a g e r, Pro b l e m M a n a g e r, Ch a n g e

M a n a g e r) and m a ke th e b e st o f i t. Th i s a ctu a l l y i sn ’t a s b a d a s i t sou n d s

b e ca u se wh a t yo u l o se th ro u g h l a ck o f re so u rce yo u wi l l m a ke up in l a ck

o f co n fl i ct b e twe e n th e ro l e s (u n l e ss yo u l i ke a rg u i n g wi th yo u rse l f) .

I f yo u do d e ci d e to ch a n g e yo u r o rg a n i z a ti o n stru ctu re th e n yo u h a ve a

n u m b e r o f o p ti o n s. Th e tra d i ti o n a l wa y o f o rg a n i z i n g a sm a l l d e p a rtm e n t

a ro u n d I TI L p ri n ci p l e s i s to go wi th a stra i g h t se rvi ce su p p o rt/s e rvi ce

d e l i ve ry sp l i t i n line wi th I TI L V2 . Th i s e ffe cti ve l y m e a n s th a t o n e p a rt o f

yo u r te a m ta ke s o n th e cu sto m e r/u se r- fa ci n g a s p e cts o f th e se rvi ce

i n cl u d i n g i n ci d e n t, p ro b l e m and se rvi ce l e ve l m a n a g e m e n t, wh i l st th e

o th e r co n ce n tra te s m o re on th e b a ck-o ffi ce p ro ce sse s su ch a s ca p a ci ty

pl a n n i n g , i n fo rm a ti o n s e cu ri ty a n d s e rvi ce co n ti n u i ty. In a sm a l l te a m th i s

i s o fte n a se n si b l e spl i t a n d ca n m a ke th e m o st o f a n i n d i vi d u a l ’s sp e ci fi c

ta l e n ts (a l th o u g h b e wa re o f o rg a n i z i n g yo u r stru ctu re a ro u n d

p e rs o n a l i ti e s ra th e r th a n se rvi ce re q u i re m e n ts) .

Wi th th e a d ve n t o f I TI L V3 th e d e b a te h a s i n cre a se d in co m p l e xi ty. In

th e o ry a re a s o n a b l e sp l i t wo u l d seem to be a ro u n d th e fi ve a re a s o f th e

l i fe cycl e – S tra te g y, D e si g n , Tra n s i ti o n , O p e ra ti o n and Co n ti n u a l S e rvi ce

I m p ro ve m e n t (CS I ) – b u t we h a ve ye t to se e th a t wo rk we l l in a sm a l l

te a m e n vi ro n m e n t (b u t i n ti m e i t m a y) . I TI L g i ve s va ri o u s su g g e sti o n s b u t

o b vi o u sl y ca n n o t m a ke fi rm re co m m e n d a ti o n s a s o rg a n i z a ti o n s a re so

d i ve rse . As su m i n g th a t S tra te g y a n d CS I fa l l to th e I T M a n a g e r, th e th re e

main a re a s m o st sm a l l I T te a m s s tru g g l e to o rg a n i z e a ro u n d a re p ro j e cts,

su p p o rt a n d a p p l i ca ti o n s, p a rti cu l a rl y th e fi rs t two . Ap p l i ca ti o n s su p p o rt

te n d s to be se p a ra te d l o g i ca l l y b y i ts n a tu re and fe w sm a l l I T te a m s

n o wa d a ys d o a n y s i g n i fi ca n t b e sp o ke a p p l i ca ti o n s d e ve l o p m e n t, so th e

main d i scu ssi o n i s u su a l l y a ro u n d h o w to ca te r fo r p ro j e cts a n d on g oi n g

su p p o rt. H a vi n g been th ro u g h a fe w n i g h tm a re s o f tryi n g to a l l ow

su p p o rt sta ff to p a rti ci p a te in p ro j e cts, o u r re co m m e n d a ti o n wo u l d be

th a t th e y a re co n s i d e re d se p a ra te ro l e s to be p e rfo rm e d b y d i ffe re n t

peopl e. Ro ta s o f o n e d a y/we e k/m o n th on p ro j e cts fo l l o we d b y ti m e on

su p p o rt so u n d g ood in th a t th e y m a ke s u p p o rt sta ff a wa re o f p ro j e cts

and e n h a n ce th e i r ski l l s, b u t ra re l y wo rk e ffe cti ve l y i n p ra cti ce . Ke e p i n g

th e m se p a ra te a l so p ro vi d e s a d e fi n e d ca re e r p a th to su p p o rt sta ff.

IT Service Management for Small IT Teams 37

3 Planning for IT service management

So by a l l m e a n s l o o k a t ch a n g i n g th e stru ctu re o f yo u r I T te a m to fi t th e

ro l e s o f I T se rvi ce m a n a g e m e n t b u t co n si d e r th e i ssu e s ca re fu l l y a n d if

yo u a re tryi n g to i m p l e m e n t p ro ce sse s q u i ckl y th e n d o n ’t e xp e ct i t to

h a ppen a t th e sa m e p a ce .

Summary

• B a se yo u r tra i n i n g p ro g ra m m e on th e ski l l s n e e d e d to

su p p o rt yo u r se rvi ce s vi a a s ki l l s a u d i t.

• Th e re a re va ri o u s te ch n i q u e s th a t ca n be u se d to i m p ro ve

m o ra l e wi th i n yo u r I T te a m , i n cl u d i n g re g u l a r p ra i se ,

e n s u ri n g re vi e ws h a p p e n , ta ki n g tra i n i n g se ri o u sl y a n d

sp e n d i n g ti m e on p ro p e r co m m u n i ca ti o n .

• B a sel i n i n g yo u r I T te a m ’s m o ra l e l e ve l a t th e sta rt o f a

se rvi ce i m p ro ve m e n t p ro j e ct m a y b e u se fu l so th a t th e

e ffe ct o f i m p ro ve m e n ts o n m o ra l e ca n be o b j e cti ve l y

m e a su re d

• B ra i n sto rm i n g and cl u ste ri n g u si n g s ti cky n o te s ca n be an

e ffe cti ve te ch n i q u e fo r i n vo l vi n g all o f yo u r s ta ff.

• Re s tru ctu ri n g yo u r I T te a m a ro u n d I T se rvi ce m a n a g em en t

p ri n ci p l e s m a y b e u se fu l b u t g i ve i t p l e n ty o f th o u g h t fi rst,

i n vo l ve HR and d o n ’t e xp e ct i t to h a ppen q u i ckl y.

Next steps

1 . G e t yo u r te a m to te l l yo u wh a t ski l l s a re n eed ed to s u p p o rt

th e se rvi ce s i n yo u r se rvi ce ca ta l o g u e .

2. Pe rfo rm a m o ra l e b a se l i n i n g e xe rci se wi th i n yo u r te a m .

3. Try o u t b ra i n sto rm i n g wi th Po st-i ts© a t yo u r n e xt te a m

m e e ti n g .

4. Co n si d e r wh e th e r yo u r e xi sti n g o rg a n i z a ti o n s tru ctu re is

th e ri g h t o n e fo r th e fu tu re .

38 IT Service Management for Small IT Teams

4 Pro j e ct i n i ti a ti o n

O n ce yo u r b u si n e ss ca se h a s been a p p ro ve d th e re a re a fe w ta s ks yo u

n eed to do in o rd e r to se t u p th e i m p l e m e n ta ti o n p ro j e ct a n d e sta b l i sh

th e fra m e wo rk fo r th e n e xt fe w m o n th s. In a d d i ti o n to th i n g s yo u wi l l

n eed to do in e a ch o f th e p ro ce ss a re a s , th e re a re som e g e n e ra l

p ri n ci p l e s th a t yo u n eed to g et i n p l a ce e a rl y o n o r yo u m a y re g re t i t

l a te r. Th e fi rst i s to co n fi rm th a t yo u r i m m e d i a te m a n a g e r i s we l l a wa re

o f wh a t yo u ’ re d oi n g and su p p o rts i t wh o l e h e a rte d l y – i d e a l l y h e o r sh e

wi l l h a ve been i n vo l ve d in th e cre a ti o n and s u b m i ssi o n o f th e b u si n e s s

ca se . In a n y e ve n t, i f yo u sa y yo u ’ re sta rti n g a s e rvi ce i m p ro ve m e n t

p ro j e ct th e n fe w m a n a g e rs wi l l sa y th a t’s a ba d th i n g . Avo i d u si n g IT

se rvi ce m a n a g e m e n t te rm i n o l o g y th a t yo u r m a n a g e r m a y n o t b e fa m i l i a r

wi th a s th i s wi l l o n l y m u d d y th e wa te rs .

Th e n e xt ste p i s to try to cl e a r th e d e cks a s m u ch a s p o ss i b l e b y d e l a yi n g

a n yth i n g th a t’s n o n - e sse n ti a l and pl a n n i n g a ro u n d cri ti ca l p ro j e cts th a t

a re d i cta te d b y th e b u si n e ss (su ch a s o ffi ce m o ve s) . I f yo u h a ve a l ot of

th e s e cri ti ca l p ro j e cts co m i n g up th e n we wo u l d su g g e st yo u d e l a y th e

se rvi ce i m p ro ve m e n t u n ti l yo u h a ve a b e tte r wi n d o w o f o p p o rtu n i ty

(a l th o u g h , o f co u rse , h a vi n g b e tte r I T se rvi ce m a n a g e m e n t wo u l d h el p

wi th th e p ro j e cts , so i t’s u p to yo u ) .

S i n ce th i s i s a p ro j e ct i t’s a g ood i d ea to cre a te a p ro j e ct i n i ti a ti o n

d o cu m e n t (we ’ ve u sed th e PRI N CE 2 te rm b u t th i s i s o fte n ca l l e d ‘ Te rm s o f

Re fe re n ce ’ or a va ri e ty o f o th e r n a m e s) , b a se d on th e co n te n ts o f th e

a p p ro ve d b u si n e ss ca se wh i ch se ts o u t:

• wh o i s g oi n g to do wh a t (i n cl u d i n g wh o th e p ro j e ct m a n a g e r wi l l

be) ;

• wh a t yo u th i n k yo u r o rg a n i z a ti o n wi l l g e t o u t o f i t (b e n e fi ts a n d

o b j e cti ve s) ;

• th e sco p e o f yo u r p ro j e ct;

• a ro u g h ti m e s ca l e ;

• th e a va i l a b l e b u d g e t;

• th e re so u rce s a l l o ca te d to th e p ro j e ct;

• wh a t co u l d go wro n g , and try to pl a n a ro u n d i t (p ro j e ct ri s k

a s se ssm e n t) ;

• h o w o fte n yo u ’ re g oi n g to p ro d u ce p ro g re ss re p o rts.

IT Service Management for Small IT Teams 39

4 Project initiation

Yo u th e n n eed to g e t th i s p ro j e ct i n i ti a ti o n d o cu m e n t a g re e d b y th e

a ffe cte d p a rti e s. I t’s a g ood i d ea to i n vo l ve yo u r te a m in th e se tti n g up of

th e p ro j e ct a s th i s wi l l h el p to gain th e i r co m m i tm e n t to th e ro a d a h ea d

– u se fu l wh e n th e g oi n g g e ts to u g h .

O th e r e sse n ti a l ta sks i n th e e a rl y d a ys a re a s fo l l o ws.

• M a ke a fi n a l d e ci si o n on wh a t tra i n i n g yo u a re g oi n g to p ro vi d e to

wh a t l e ve l and to wh o m , th e n g e t i t b o o ke d . As we m e n ti o n e d

e a rl i e r th e re is a ve ry we l l e s ta b l i sh e d se t o f tra i n i n g co u rse s o n I TI L

V3 co ve ri n g i n tro d u cto ry th ro u g h to e xp e rt l e ve l s a n d th e ra n g e of

I S O /I E C 2 0 0 0 0 co u rse s i s a l so e xp a n d i n g to fi l l d em a n d . Som e o f th e s e

co u rse s (su ch a s I TI L V3 F o u n d a ti o n ) h a ve e xa m s a s so ci a te d wi th

th e m and l ea d to th e a wa rd of a q u a l i fi ca ti o n .

• E sta b l i sh re g u l a r m e e ti n g s a n d m a ke s u re th e y h a p p e n – a we e kl y

m a n a g e m e n t m e e ti n g o f a ro u n d an h o u r (i f yo u h a ve m o re th a n on e

m a n a g e r/s u p e rvi so r i n th e te a m ) and a we e kl y te a m m e e ti n g of h a l f

to on e h o u r to s ta rt o ff wi th . Th e se m e e ti n g s wi l l be e ss e n ti a l to

co m m u n i ca te p ro g re ss a n d o b ta i n vi ta l fe e d b a ck fro m yo u r te a m .

• Re p e a t yo u r g a p a sse s sm e n t o n a q u a rte rl y b a si s o r so to tra ck

p ro g re ss a n d i d e n ti fy a re a s th a t a re s ta rti n g to lag beh i n d .

• Yo u sh o u l d be a bl e to p ro ve th a t th i n g s a re h a ppen i n g , so sta rt to

g et i n th e h a b i t o f m i n u ti n g m e e ti n g s a s s o o n a s p o s si b l e . Th i s i s a

m a j o r cu l tu re ch a n g e fo r m a n y I T te a m s a n d an a d d i ti o n a l o ve rh e a d

– th i n k a b o u t h o w to stre a m l i n e i t a s m u ch a s yo u ca n , su ch a s by

j u st re co rd i n g a cti o n s a n d d e ci si o n s ra th e r th a n l e n g th y n a rra ti ve .

An d i f yo u h a ve d e ci d e d to go fo r ce rti fi ca ti o n to th e I S O /I E C 2 0 0 0 0

sta n d a rd :

• Ch o o se yo u r a u d i to rs a n d g e t th e m in e a rl y o n . A fa cto r i n th e ch o i ce

wi l l be h o w d o e s i t fi t i n wi th a n y o th e r q u a l i ty a ccre d i ta ti o n s yo u

h a ve (e . g . I SO 9 0 01 , I S O /I E C 2 7 0 0 1 ) – i f yo u h a ve th e se i t wo u l d m a ke

se n se to u se th e sa m e a u d i t co m p a n y.

• B o o k th e a u d i t d a te in p l e n ty o f ti m e a s th e a u d i to rs te n d to be ve ry

b u sy fo r m o n th s a h e a d . Be p re p a re d to m o ve i t i f p ro g re ss i s n o t a s

yo u h oped , b u t g i ve th e m p l e n ty o f n o ti ce o r yo u m a y en d up sti l l

g e tti n g ch a rg e d .

Th e fi rst fe w we e ks o f a n I T se rvi ce m a n a g e m e n t p ro j e ct a re o fte n th e

m o st cru ci a l . B y m a ki n g su re yo u pu t i n p l a ce th e i d e a s p ro p o se d in th i s

ch a p te r, yo u ca n g i ve yo u r p ro j e ct th e b e s t ch a n ce o f su cce ss a n d m a ke

th e a ch i e ve m e n t o f re a l b e n e fi ts to u s e rs m o re l i ke l y.

40 IT Service Management for Small IT Teams

 4 Project initiation

Summary

• Co m m i tm e n t fro m yo u r i m m e d i a te m a n a g e r i s e ss e n ti a l to

th e s u cce s s o f th e p ro j e ct.

• I t’s a g ood i d ea to re d u ce th e n u m b e r o f n o n -cri ti ca l

p ro j e cts p l a n n e d to h a ppen a t th e sa m e ti m e a s yo u r I T

se rvi ce m a n a g e m e n t i m p l e m e n ta ti o n .

• A p ro j e ct i n i ti a ti o n d o cu m e n t se ts o u t th e sco p e , re so u rce s,

bu d g et a n d o th e r a ttri b u te s o f th e p ro j e ct fro m th e o u tse t,

b a se d on th e a g re e d b u si n e ss ca se .

• Re g u l a r m a n a g e m e n t a n d te a m m e e ti n g s a re e sse n ti a l to

co m m u n i ca te p ro g re ss, d i scu ss i ssu e s a n d o b ta i n fe e d b a ck.

• I f yo u h a ve d e ci d e d to go fo r ce rti fi ca ti o n to th e

I S O /I E C 2 0 0 0 0 sta n d a rd , ch o o se yo u r a u d i to rs a n d g e t th e m

in e a rl y o n .

Next steps

1 . Ra i s e th e p ro j e ct a t yo u r n e xt o n e - to -o n e m e e ti n g wi th

yo u r m a n a g e r a n d co n fi rm he o r sh e i s beh i n d yo u .

2. Cre a te a p ro j e ct i n i ti a ti o n d o cu m e n t a n d g e t i t a g re e d .

3. Re vi e w th e sch e d u l e o f o th e r p ro j e cts fo r th e n e xt s i x to

twe l ve m o n th s.

4. S ch e d u l e m a n a g em en t a n d te a m m e e ti n g s i n th e d i a ry.

IT Service Management for Small IT Teams 41

5 I m p l e m e n ti n g I T se rvi ce

m a n a g em en t

Governance – the overall management system

In a d d i ti o n to th e i n d i vi d u a l p ro ce sse s d e fi n e d wi th i n g ood p ra cti ce

m a te ri a l , th e re is a n eed fo r a n o ve ra l l m a n a g e m e n t syste m th a t d i re cts,

e va l u a te s a n d i m p ro ve s h o w yo u p e rfo rm I T se rvi ce m a n a g e m e n t wi th i n

yo u r o rg a n i z a ti o n . Th i s i s o fte n re fe rre d to a s ‘ g o ve rn a n ce ’ and it is a

re sp o n si b i l i ty th a t fa l l s n e ce ss a ri l y to se n i o r m a n a g e m e n t. To u se a

n a u ti ca l a n a l o g y, g o ve rn a n ce i s a b o u t ste e ri n g th e ri g h t co u rse wh i l st th e

en g i n e ro o m o f I T se rvi ce m a n a g e m e n t p ro ce s se s p ro d u ce s th e re q u i re d

p o we r to tu rn th e p ro p e l l e r. M a n y o rg a n i z a ti o n s e s ta b l i sh a fo ru m ca l l e d

an I T S te e ri n g G ro u p , o r si m i l a r, wh i ch co n si sts o f se n i o r m a n a g e rs wh o

m eet on a re g u l a r b a si s to o ve rse e th e u se and d e ve l o p m e n t o f I T wi th i n

th e co m p a n y. Th e fo cu s o f su ch g ro u p s i s o fte n we i g h te d to wa rd s n e w

p ro j e cts b u t i f yo u ca n co n vi n ce i t to a d d re ss th e m a n a g e m e n t o f e xi sti n g

se rvi ce s to o , th e n th i s sh o u l d be b e n e fi ci a l all ro u n d .

M a n a g em en t n eed to d e te rm i n e th e fu n d a m e n ta l o b j e cti ve s a n d p o l i ci e s

fo r se rvi ce m a n a g e m e n t. Som e o f th e i n i ti a l ro u n d o f th i s wi l l h a ve been

d on e a s p a rt o f th e cre a ti o n of a b u si n e ss ca se and S e rvi ce M a n a g em en t

Pl a n b u t th e re n e e d s to be a wa re n e s s o f th e fa ct th a t th i s wi l l n eed to be

m o n i to re d and a m en d ed to ke e p th e a i m s o f se rvi ce m a n a g em en t

a l i g n ed wi th th o se o f th e o ve ra l l b u si n e s s. H o w th i s i s d o n e , b y wh o m

and h o w fre q u e n tl y s h o u l d be d o cu m e n te d in th e S e rvi ce M a n a g em en t

Po l i cy so th a t e ve ryo n e kn o ws a n d u n d e rsta n d s th e i r p a rt i n th e I T se rvi ce

m a n a g e m e n t sys te m .

Th i s p a rt o f I TS M ca n be seen , b y so m e , a s o ve rl y b u re a u cra ti c b u t i t

d o e s n ’t n e e d to be. Th e I S O /I E C 2 0 0 0 0 sta n d a rd d e ta i l s wh a t yo u n eed to

be a bl e to d e m o n stra te i s bei n g d on e wi th re g a rd s to G o ve rn a n ce and

we ’ l l g i ve som e b ri e f a n d re a l i sti c g u i d a n ce h e re . So b e fo re yo u pl ou g h

h ea d l on g i n to d e si g n i n g yo u r fi rst p ro ce ss, i t’s a g ood i d ea to p u t so m e

th o u g h t to yo u r I T S e rvi ce M a n a g e m e n t S yste m , sta rti n g wi th th e IT

S e rvi ce M a n a g e m e n t Po l i cy.

42 IT Service Management for Small IT Teams

 Governance – the overall management system

Th e I T S ervi ce M a n a g em en t Pol i cy

Th e I T S e rvi ce M a n a g e m e n t Po l i cy d e scri b e s th e o ve ra l l a p p ro a ch th a t

yo u h a ve d e ci d e d to ta ke in th e g o ve rn a n ce o f I T se rvi ce m a n a g em en t

wi th i n yo u r o rg a n i z a ti o n . I t d o cu m e n ts h o w co n tro l wi l l be e xe rci se d

o ve r th e wh o l e o f I TS M and a n s we rs q u e sti o n s su ch a s:

• H o w wi l l p ro ce ss e s b e d o cu m e n te d ?

• H o w wi l l i m p ro ve m e n ts b e a sse ss e d , a u th o ri z e d and m o n i to re d fo r

e ffe cti ve n e ss?

• H o w wi l l p ro ce ss ro l e s b e a ss i g n e d , d e fi n e d and a ss e sse d ?

• H o w wi l l co m p l i a n ce be a u d i te d ?

• H o w wi l l ri sks a n d i s su e s b e l og g ed , tra cke d and a cti o n e d ?

To pu t i t i n q u a l i ty m a n a g e m e n t te rm s , th i s i s yo u r I TS M Q u a l i ty M a n u a l .

In o rd e r to m a i n ta i n co n tro l o f th e va ri o u s p ro ce sse s a n d ke e p th e m all

syn ch ro n i z e d yo u wi l l wa n t to e l i m i n a te o p p o rtu n i ti e s fo r co n fu si o n . To

th a t e n d , yo u sh o u l d e n su re th a t th e I T S e rvi ce M a n a g e m e n t Po l i cy

d e fi n e s p ro ce sse s a n d p ro ce d u re s a p p ro p ri a te to yo u r o rg a n i z a ti o n ’s

n e e d s; if all p ro ce ss e s a re to be o wn e d by a si n g l e p e rso n (a s i s co m m o n

in ve ry sm a l l te a m s) th e e l e m e n ts o f i n te ra cti o n b e twe e n p ro ce ss o wn e rs

m a y be a m o o t p o i n t, bu t i n th i s ca s e yo u wi l l wa n t to em ph a si ze m o re

fu l l y th e n eed fo r co n ti n g e n cy a rra n g e m e n ts a n d su cce ssi o n pl a n n i n g .

Co m m o n h ea d i n g s i n an I T S e rvi ce M a n a g e m e n t Po l i cy i n cl u d e :

• S co p e o f I T s e rvi ce m a n a g e m e n t;

• O ve rvi e w o f p ro ce s se s;

• H i g h -l e ve l p o l i cy s ta te m e n ts a n d o b j e cti ve s;

• M a n a g e m e n t o f o b j e cti ve s a n d a cti o n s;

• S e rvi ce m a n a g e m e n t ro l e s a n d re sp o n s i b i l i ti e s;

• M a n a g e m e n t o f I T se rvi ce m a n a g e m e n t su p p l i e rs;

• Co m p l a i n ts a n d e s ca l a ti o n s;

• I n te rfa ce s wi th m a n a g em en t a n d sta ff;

• I n te rfa ce s b e twe e n p ro ce sse s ;

• I n te rfa ce s wi th o th e r fu n cti o n s (e . g . Pro j e ct O ffi ce ) ;

• Managing ri sks a n d i ss u e s ;

• Re so u rce s, fa ci l i ti e s, fi n a n ce s a n d b u d g e ts;

• U se o f I T se rvi ce m a n a g e m e n t to o l s ;

• Cri ti ca l S u cce s s F a cto rs a n d Ke y Pe rfo rm a n ce I n d i ca to rs;

• Au d i ts ;

• M a n a g e m e n t o f i m p ro ve m e n ts ;

• D o cu m e n ta ti o n m a n a g e m e n t;

• Awa re n e ss a n d tra i n i n g .

E a ch o f th e se a re a s n e e d s to be th o u g h t th ro u g h to se t o u t h o w i t wi l l

be h a n d l ed wi th i n yo u r o rg a n i z a ti o n ; th e re is no ‘ o n e -s i z e -fi ts -a l l ’ o p ti o n

h e re . As wi th all th i n g s i n I T se rvi ce m a n a g e m e n t, th e se a re a s wi l l e vo l ve

o ve r ti m e and yo u sh o u l d i n cl u d e an e xp l a n a ti o n o f h o w yo u wi l l

IT Service Management for Small IT Teams 43

5 Implementing IT service management

p e ri o d i ca l l y re -e va l u a te and u p d a te all p o l i ci e s. We wi l l co ve r so m e o f th e

m o re i m p o rta n t a re a s i n th e n e xt fe w se cti o n s.

S ervi ce m a n a g em en t rol es a n d respon si bi l i ti es

On e o f th e fi rst th i n g s th a t m a n a g e m e n t n e e d s to do i s to e sta b l i sh th e

ro l e s a n d re sp o n si b i l i ti e s wi th i n th e I T S e rvi ce M a n a g e m e n t S yste m . In a

sm a l l te a m th e s e wi l l te n d to fa l l to a se l e ct fe w p e o p l e and in so m e

ca se s i t wi l l all be d o wn to on e, b u t e ve n i f yo u a re th e so l e ro l e h ol d er i t

h e l p s to u n d e rs ta n d th e d i ffe re n t vi e ws yo u n eed to ta ke on th e se rvi ce s

yo u p ro vi d e and th e p ro ce sse s th a t a re u se d to p ro vi d e th e m . Th e re a re a

l o t o f ro l e s d e fi n e d in th e I TI L V3 g u i d a n ce (a n d we m ea n a l o t) bu t

th e re a re so m e g e n e ri c ro l e s th a t we wi l l o u tl i n e h e re .

• Pro ce ss O wn e r – th e ro l e re s p o n si b l e fo r e n su ri n g th e s p e ci fi c p ro ce ss

i s wo rki n g a s i t sh o u l d and th a t i t i s b e i n g i m p ro ve d o ve r ti m e ; ve ry

m u ch fo cu se d on th e p ro ce ss i tse l f.

• S e rvi ce O wn e r – th e ro l e th a t ta ke s a cl i e n t-fo cu se d vi e w o f a si n g l e

I T se rvi ce th a t m a y u se m u l ti p l e p ro ce sse s i n i ts e xe cu ti o n .

• Pro ce ss M a n a g e r – th e ro l e th a t a ctu a l l y m a n a g e s th e ca rryi n g ou t of

th e p ro ce ss o n a d a y-to -d a y b a si s; fo r e xa m p l e , th e Ch a n g e M a n a g er

wi l l handle th e d e ta i l o f ch a n g e re q u e sts.

A u se fu l wa y o f d o cu m e n ti n g ro l e s a n d re s p o n si b i l i ti e s i s i n th e fo rm of a

RACI ch a rt wh e re th e ta s ks a re l i ste d d o wn th e l e ft h a n d si d e , th e ro l e s

a re l i s te d a cro ss th e to p and on e o r m o re l e tte rs (R fo r ‘ re sp o n si b l e ’ , A

fo r ‘ a cco u n ta b l e ’ , C fo r ‘ co n su l te d ’ and I fo r ‘ i n fo rm e d ’ ) a re i n se rte d at

th e re l e va n t i n te rse cti o n , as in th e ta b l e b e l o w.

Ta bl e 1 – RACI ch a rt

Ta sk Process S ervi ce S ervi ce Ch a n g e

own er own er m a n a g er m a n a g er

Ca p tu re and A/R I C/I I

re co rd i d e n ti fi e d

ri sks to

p ro ce s se s

Ap p ro ve m a j or I A/R I

ch a n g e s to

p ro ce s s

p e rs o n n e l

U p d a te p ro ce ss A/R C/I C/I I

d o cu m e n ta ti o n

44 IT Service Management for Small IT Teams

 Governance – the overall management system

Th e o n l y sp e ci fi c ru l e wi th RACI ch a rts i s th a t o n l y o n e ro l e ca n be

‘ a cco u n ta b l e ’ fo r th e ta sk.

Th e ke y p o i n t h e re i s to d e fi n e wh a t sh o u l d be d on e in e a ch a re a and

m a ke su re th a t e ve ryo n e in yo u r te a m i s a wa re o f th e p a rt th e y h a ve to

pl a y i n th e d e l i ve ry o f I T s e rvi ce s.

Documentation management
Le t’s fa ce it – no on e l i ke s d o i n g d o cu m e n ta ti o n . I t’s o n e o f th o s e j obs

th a t a l wa ys g e ts p u s h e d to th e b a ck o f th e l i st a s so o n a s s o m e th i n g

m o re i n te re sti n g co m e s a l o n g . I f yo u ’ re th e o n l y p e rso n th a t p e rfo rm s a

ta sk a n d yo u do i t re g u l a rl y th e n h a vi n g i t wri tte n d o wn i s o f l i m i te d u se

to yo u . An d th e re i n l i e s th e p ro b l e m wi th g e tti n g peopl e to d o cu m e n t

th i n g s – n i n e ti m e s o u t o f te n i t i s of n o u se to th e m p e rs o n a l l y b e ca u se

th e y a l re a d y kn o w i t. B u t i t’s ve ry u s e fu l to th e p e rso n wh o h a s to

p e rfo rm th a t ta sk wh e n th e o th e r p e rso n i s on h o l i d a y, o ff si ck o r h a s l e ft

th e co m p a n y. To u se an I T a n a l o g y to i l l u stra te th e poi n t of h ow

i m p o rta n t d o cu m e n ta ti o n i s, yo u wo u l d n ’t fa i l to b a ck u p yo u r co m p a n y’s

d a ta b e ca u s e yo u kn o w th a t i f th a t se rve r fa i l s yo u co u l d l o se it all a l on g

wi th yo u r j o b . M a n y o f u s h a ve been th ro u g h th e si tu a ti o n wh e re a

p ro b l e m wi th a ta p e d ri ve o r so ftwa re h a s m e a n t th a t b a cku p s a re n ot

h a ppen i n g , and had sl e e p l e ss n i g h ts a s a re su l t. An d ye t we d o n ’t se e th e

co n ce p t o f b a cki n g up o u r I T sta ff kn o wl e d g e in th e sa m e l i g h t, e ve n

th o u g h peopl e a re n o to ri o u sl y l e ss re l i a b l e th a n a n y se rve r.

So – at all l e ve l s fro m p ro ce d u re s u p to p ro ce ss e s , pl a n s a n d stra te g i e s –

d o cu m e n ta ti o n i s a b s o l u te l y ke y to d e l i ve ri n g a g ood se rvi ce and th e re is

no poi n t i n h a vi n g all th o s e d o cu m e n ts i f yo u ca n ’t fi n d th e m o r i f yo u

d o n ’t kn o w i f yo u ’ re u si n g th e l a te st ve rsi o n . Th i s i s wh e re

d o cu m e n ta ti o n m a n a g e m e n t co m e s i n ; i t d o e sn ’t h a ve to be fa n cy b u t i t

d o e s h a ve to be cl e a r.

Yo u wi l l n eed to th i n k a b o u t wh e re d o cu m e n ta ti o n wi l l be sto re d ; yo u

d o n ’t n e ce ssa ri l y n e e d a si n g l e ce n tra l sto re fo r a l l d o cu m e n ts (i n d e e d

th i s i s vi rtu a l l y i m p o ssi b l e ) b u t yo u sh o u l d kn o w wh a t d o cu m e n ta ti o n yo u

h a ve and wh e re i t ca n be fo u n d , e sp e ci a l l y i f yo u ’ re th i n ki n g o f a ctu a l l y

g oi n g fo r ce rti fi ca ti o n . A si m p l e re g i s te r o f wh a t d o cu m e n ta ti o n and

re co rd s e xi st s h o u l d s u ffi ce i n cl u d i n g d e ta i l s o f wh e re th e y ca n be fo u n d ,

wh o o wn s th e m (p e rh a p s a re fe re n ce to th e p ro ce ss o wn e r) , th e i r

p u rp o se and h ow l on g th e y sh o u l d be re ta i n e d . Th e re n e e d s to be cl e a r

g u i d a n ce a b o u t th i n g s l i ke naming co n ve n ti o n s, re te n ti o n and d i sp o s a l ,

and b a cku p s.

Th e re a re two main ca te g o ri e s o f d o cu m e n ta ti o n :

• re co rd s – wh i ch a re d e fi n e d by I SO a s e vi d e n ce o f a cti vi ti e s; and

• d o cu m e n ts – wh i ch a re d e fi n e d a s e vi d e n ce o f i n te n ti o n .

IT Service Management for Small IT Teams 45

5 Implementing IT service management

So th e p ro ce d u re fo r l o g g i n g an i n ci d e n t i s a d o cu m e n t a s i t sh o ws h o w

yo u i n te n d to d ea l wi th a s i tu a ti o n , wh e re a s th e i n ci d e n t i tse l f i s a re co rd

a s i t sh o ws th a t a n d h o w a cti o n wa s ta ke n .

Yo u a l so n eed to th i n k a b o u t th e d i ffe re n t fo rm s th a t d o cu m e n ta ti o n ca n

ta ke . In th e p re vi o u s e xa m p l e th e p ro ce d u re co u l d h a ve been in pa per

fo rm , an e l e ctro n i c d o cu m e n t o r p e rh a p s H M TL. Th e i n ci d e n t re co rd

m i g h t co n ce i va b l y b e on p a p e r b u t i s m o re l i ke l y to be in an i n ci d e n t

l og g i n g sys te m , su ch as a sp re a d sh e e t o r a d a ta b a s e . Al l fo rm a ts a re

a cce p ta b l e b u t yo u n eed to be a wa re of h ow a n d wh e re th e i n fo rm a ti o n

e xi sts a n d h o w we l l i t ca n be co n tro l l e d .

Ap p ro va l s a n d a u th o ri z a ti o n s , a s we l l a s bei n g n eed ed a s p a rt o f th e

p ro ce sse s th e m se l ve s, a re a l so n eed ed in o rd e r to m a i n ta i n g o ve rn a n ce .

Ca n a n yo n e ch a n g e a p ro ce ss d o cu m e n t o r sh o u l d i t be a p p ro ve d at a

ce rta i n l e ve l fi rst? Th i s p o i n t ti e s b a ck to th e e a rl i e r o n e a b o u t ro l e s a n d

re sp o n si b i l i ti e s b u t n o w m a ke s i t re a l b y a ski n g yo u to e xp l a i n h o w yo u

wi l l ca p tu re and re co rd th e a u th o ri z a ti o n s to e n su re th a t n o n ew

p ro ce d u re s a re pu t i n p l a ce wi th o u t th e m h a vi n g been si g n e d o ff

a p pro p ri a te l y.

In ord e r to ke e p tra ck o f d i ffe re n t e d i ti o n s o f th e sa m e d o cu m e n t yo u

wi l l a l so n eed a si m p l e fo rm o f ve rsi o n co n tro l . Th i s wi l l typ i ca l l y u se a

two- d i g i t n u m b e r su ch a s 1 . 0 fo r th e ve rsi o n fo l l o we d b y wh e th e r i t i s a

fi n a l (i . e . a p p ro ve d ) d o cu m e n t o r a d ra ft. Th e ve rsi o n n u m b e r wi l l th e n

be i n cre m e n te d a cco rd i n g to th e d e g re e o f ch a n g e o f th e d o cu m e n t – fo r

e xa m p l e , fo r a si g n i fi ca n t re wri te th e m a j or n u m ber g oes u p (V1 . 0

b e co m e s V2 . 0 ) o r fo r a sm a l l e r ch a n g e th e m i n o r n u m b e r i s i n cre m e n te d

(V1 . 0 b e co m e s V1 . 1 ) . I f yo u a l re a d y h a ve a co n ve n ti o n wi th i n yo u r

o rg a n i z a ti o n i t wo u l d m a ke sen se to u se th a t ra th e r th a n cre a ti n g yo u r

o wn .

To fi n i sh o ff th e ra th e r d ry b u t n e ce s sa ry s u b j e ct o f d o cu m e n ta ti o n , yo u

wi l l m a ke yo u r l i fe m u ch e a si e r b y m a ki n g su re th a t e a ch d o cu m e n t a l s o

re co rd s th e fo l l o wi n g i te m s o f i n fo rm a ti o n :

• a u th o r;

• o wn e r (m a y b e sa m e a s th e a u th o r) ;

• d a te cre a te d ;

• d a te a p p ro ve d ;

• a p p ro ve d b y;

• su m m a ry o f ch a n g e s fro m p re vi o u s ve rsi o n ;

• d i stri b u ti o n (wh o i s a ctu a l l y se n t a co p y) .

I f yo u d e ci d e to h ol d d o cu m e n ts a s co n fi g u ra ti o n i te m s a n d pu t

a m e n d m e n ts th ro u g h yo u r ch a n g e m a n a g e m e n t p ro ce ss th e n th e ch a n g e

re q u e st n u m b e r sh o u l d a l so be re co rd e d in th e d o cu m e n t.

46 IT Service Management for Small IT Teams

 Governance – the overall management system

M a n a g em en t revi ew

A ke y p a rt o f th e g o ve rn a n ce o f th e se rvi ce m a n a g e m e n t s yste m is

re g u l a r ch e cki n g to se e if all i s ru n n i n g a s i t sh o u l d . Th i s i n vo l ve s

sch e d u l e d re vi e ws o f a l l o f th e p ro ce ss e s, u si n g u se fu l m e tri cs to

d e te rm i n e tre n d s a n d a re a s th a t co u l d be i m p ro ve d . F o r e xa m p l e , in

ch a n g e m a n a g e m e n t a re we g e tti n g an i n cre a s e in e m e rg e n cy ch a n g e s o r

fa i l e d ch a n g e s? I s th e n u m b e r o f i n ci d e n ts o n an u p wa rd tre n d ? Are

co n fi g u ra ti o n a u d i ts sh o wi n g a l o t o f d i scre p a n ci e s ? H o w o fte n yo u

p e rfo rm s u ch re vi e ws d e p e n d s u p o n yo u r p e rce p ti o n o f h o w th i n g s a re

g oi n g ; so m e o rg a n i z a ti o n s d o th e m q u a rte rl y a n d in a sta b l e si tu a ti o n

e ve ry si x m o n th s m i g h t b e a p p ro p ri a te .

As we l l a s p ro ce s s-sp e ci fi c re vi e ws i t’s a g ood i d ea to h ol d a h i g h e r l e ve l

re vi e w o f th e wh o l e se rvi ce m a n a g e m e n t s yste m a t l e a st o n ce a ye a r. Th i s

wi l l i n vo l ve d i scu ssi o n s wi th cu sto m e rs to se e wh e th e r th e i r re q u i re m e n ts

h a ve ch a n g e d and wh a t th e i m p a ct o f a n y ch a n g e s wi l l be. Yo u wi l l a l so

wa n t to a s se ss wh e th e r th e o b j e cti ve s se t o u t i n yo u r S e rvi ce

M a n a g e m e n t Pl a n h a ve been a ch i e ve d and i f n o t, wh y n o t? Th e se ki n d s

o f a sse s sm e n t a re b e s t s yn ch ro n i z e d wi th th e I T b u d g e t cycl e as any

ch a n g e s m a y h a ve fi n a n ci a l i m p l i ca ti o n s fo r wh i ch yo u wi l l n eed to h a ve

fu n d s a l l o ca te d .

M a ke su re yo u re co rd th e co n cl u si o n s o f e a ch re vi e w a n d p a ss a n y

a cti o n s a cro s s to yo u r se rvi ce i m p ro ve m e n t p l a n so th a t th e y d o n ’t g e t

fo rg o tte n .

I n tern a l a n d extern a l a u d i t

Yo u r re vi e ws wi l l te l l yo u a l o t a b o u t h o w th i n g s a re g oi n g b u t th e re

re a l l y i s n o su b sti tu te fo r a g ood o l d - fa sh i o n e d a u d i t, wh e th e r i t i s

i n te rn a l o r e xte rn a l . I t’s e a s y to co n vi n ce yo u rse l f th a t a l l i s we l l ,

p a rti cu l a rl y i f yo u ’ re ve ry b u sy, b u t th e re l a ti ve fo rm a l i ty o f a n a u d i t wi l l

sh o w u p a re a s th a t yo u m a y h a ve co n ve n i e n tl y ch o se n to i g n o re . I n te rn a l

a u d i to rs m a y u se th e i r o wn m e th o d s o r co u l d b a se th e a u d i t a ro u n d

CO B I T o r th e I S O /I E C 2 0 0 0 0 sta n d a rd and, a l th o u g h i t i s h a rd to b e l i e ve

so m e ti m e s, th e y re a l l y a re th e re to h el p yo u i m p ro ve yo u r se rvi ce .

I f yo u h a ve an e s ta b l i sh e d i n te rn a l a u d i t d e p a rtm e n t th a t wi l l be yo u r

fi rs t p o rt o f ca l l to a rra n g e a p ro g ra m m e o f vi s i ts , b u t i f n o t th e n th i rd

p a rti e s l a rg e and sm a l l a re a va i l a b l e to fi l l th a t g a p . I f yo u r i n te n ti o n is

to go fo r ce rti fi ca ti o n to th e I S O /I E C 2 0 0 0 0 s ta n d a rd th e n th e a u d i ts wi l l

n eed to u se th i s a s th e i r b a si s a n d we wo u l d s u g g e st yo u s ta rt th e m

so o n e r ra th e r th a n l a te r.

F o r m o re a d vi ce a b o u t e xte rn a l a u d i ts to th e sta n d a rd , p l e a se h a ve a

l o o k a t Ch a p te r 7 .

IT Service Management for Small IT Teams 47

5 Implementing IT service management

Risk assessment
Th e a sse s sm e n t o f ri s k i s a co m m o n th e m e th ro u g h o u t th i s s u b j e ct a re a

and th i s b o o k, and we d i scu ss h o w to ca rry o u t a ri sk a s se ssm e n t fo r I T

se rvi ce co n ti n u i ty a n d fo r i n fo rm a ti o n se cu ri ty p u rp o s e s i n l a te r se cti o n s .

H o we ve r, th e re a re va ryi n g l e ve l s o f ri sk a s se ssm e n t a n d a t th e l e ve l of

th e o ve ra l l I T s e rvi ce m a n a g e m e n t syste m th e re i s a l so a n eed to th i n k

a b o u t wh a t co u l d go wro n g and pl a n fo r i t.

As wi th d o cu m e n ta ti o n s ta n d a rd s, yo u r o rg a n i z a ti o n m a y h a ve a

sta n d a rd m e th o d o f a sse ss i n g ri sk a t co rp o ra te l e ve l and i t i s wo rth

u n d e rs ta n d i n g a n y e xi s ti n g m e th o d s i n u se and e n su ri n g yo u a re

co n si s te n t wi th th e m . Wi th i n th e S e rvi ce M a n a g e m e n t Pl a n we wi l l h a ve

d e fi n e d o u r o b j e cti ve s fo r th e co m i n g ye a r a t l e a st a n d pl a n n ed ou r

re so u rce s to a ch i e ve th e m . B u t th i n g s d o n ’t a l wa ys g o to pl a n so it is a

g ood i d ea to si t d o wn and co n si d e r wh a t co u l d h a ppen th a t wo u l d a ffe ct

th e a ch i e ve m e n t o f th o se o b j e cti ve s .

Th e se wi l l te n d to be fa i rl y h i g h l e ve l su ch a s:

• re stri cti o n of bu d g et d u e to p o o r b u s i n e ss e n vi ro n m e n t;

• si g n i fi ca n t a n d u n e xp e cte d b u si n e ss ch a n g e , su ch as a m e rg e r o r

a cq u i si ti o n ;

• l o ss o f ke y re so u rce s (o b vi o u sl y th i s ca n h a ve a m a j o r e ffe ct o n a

sm a l l te a m ) ;

• m a j o r su p p l i e rs g o i n g i n to a d m i n i s tra ti o n , or som e fo rm o f d i s p u te ;

• re g u l a to ry o r l e g i sl a ti ve ch a n g e s;

• l o ss o f s e n i o r m a n a g e m e n t co m m i tm e n t, p e rh a p s a s a re s u l t o f

re o rg a n i z a ti o n o r p ro m o ti o n .

Th e re wi l l be o th e rs sp e ci fi c to yo u r o rg a n i z a ti o n and i n d u stry th a t n e e d

to be co n si d e re d and, fo r th o s e th a t a re a b o ve yo u r ri sk th re s h o l d , yo u

wi l l n eed to e i th e r ta ke so m e a cti o n n ow or pl a n a co n ti n g e n cy i f th e ri sk

b e co m e s re a l i ty.

Summary

• G o ve rn a n ce i s a b o u t e n su ri n g th a t th e I T se rvi ce

m a n a g e m e n t syste m i s we l l d e fi n e d and i s d e l i ve ri n g th e

re q u i re d re s u l ts.

• A ke y p a rt o f th e o ve ra l l g o ve rn a n ce i s th e d e fi n i ti o n of a n

I T S e rvi ce M a n a g e m e n t Po l i cy th a t se ts o u t h o w th e IT

se rvi ce m a n a g e m e n t sys te m fu n cti o n s i n o ve rvi e w,

i n cl u d i n g ro l e s, p ro ce sse s, d o cu m e n ta ti o n and i n te rfa ce s.

• D o cu m e n ta ti o n m a n a g em en t i s a n u n p o p u l a r b u t n e ce ss a ry

p a rt o f d e l i ve ri n g e ffe cti ve I T se rvi ce m a n a g e m e n t.

48 IT Service Management for Small IT Teams

 The main points so far

• Re g u l a r m a n a g e m e n t re vi e ws, a u d i ts a n d ri sk a s se ssm e n ts

a re e sse n ti a l to e n s u re yo u ke e p on tra ck.

Next steps

1 . Cre a te a S e rvi ce M a n a g e m e n t Po l i cy co ve ri n g th e h ea d i n g s

se t o u t i n th i s se cti o n .

2. Ta l k to o th e r d e p a rtm e n ts a b o u t wh a t sta n d a rd s cu rre n tl y

e xi st i n yo u r o rg a n i z a ti o n fo r th i n g s l i ke ri sk a ss e ssm e n t,

d o cu m e n ta ti o n m a n a g em en t a n d a u d i ti n g .

3. G e t so m e m a n a g e m e n t re vi e ws a n d a u d i ts b o o ke d in th e

d i a ry.

The main points so far

We ’ ve co ve re d a l o t o f g ro u n d in th e p re ce d i n g pa g es a n d a t th i s sta g e

i t’s p ro b a b l y wo rth p a u si n g fo r a fe w m o m e n ts to re i te ra te th e main

p o i n ts so fa r b e fo re we co n ti n u e i n to th e sp e ci fi c p ro ce s se s o f I T s e rvi ce

m a n a g e m e n t. Th e a re a s we h a ve co ve re d up to th i s p o i n t a re co n ce rn e d

wi th se tti n g th e fo u n d a ti o n and o ve ra l l fra m e wo rk fo r th e re st o f th e

book i n wh i ch we wi l l e xp l a i n h o w th e i n d i vi d u a l p ro ce ss e s wi l l d e l i ve r

re su l ts fo r yo u .

We sta rte d b y se tti n g o u t wh y we b e l i e ve th a t I T s e rvi ce m a n a g em en t i s

p a rti cu l a rl y i m p o rta n t fo r a sm a l l I T te a m and h o w, in m a n y wa ys , s u ch a

te a m i s i d e a l l y p l a ce d to gain m a xi m u m b e n e fi t fro m th e co n ce p ts

d e ve l o p e d b y l a rg e r o rg a n i z a ti o n s . Th e o ve ra l l g oa l i s to m o ve yo u r te a m

fro m bei n g p e rce i ve d as a n e ce s sa ry e xp e n se to wa rd s b e co m i n g a va l u e d

b u si n e s s p a rtn e r, h el pi n g to d ri ve th e b u si n e s s fo rwa rd and co m i n g to be

vi e we d a s stra te g i c a s se t th a t a cts a s a d i ffe re n ti a to r b e twe e n yo u r

o rg a n i z a ti o n and th e co m p e ti ti o n .

We th e n we n t o n to te l l yo u h o w I T se rvi ce m a n a g em en t i s a d i sci p l i n e

th a t i s su p p o rte d by a n u m b e r o f d i ffe re n t fra m e wo rks, te ch n i q u e s a n d

sta n d a rd s , e a ch o f wh i ch h a s i ts o wn m e ri ts , b u t th a t th e main o n e s we

wo u l d co n ce n tra te on a re I TI L V3 and th e I S O /I E C 2 0 0 0 0 sta n d a rd .

Th e n e xt ste p s we re co m m e n d e d we re to :

• co n d u ct a gap a n a l ys i s to a ss e ss h o w yo u r cu rre n t p ro ce sse s co m p a re

to th e I S O /I E C 2 0 0 0 0 s ta n d a rd ;

IT Service Management for Small IT Teams 49

5 Implementing IT service management

• b a se l i n e yo u r cu rre n t se rvi ce so th a t yo u h a ve a re l i a b l e fo u n d a ti o n

a g a i n st wh i ch to m e a su re yo u r i m p ro ve m e n t i n i ti a ti ve s;

• cre a te a S e rvi ce M a n a g e m e n t Pl a n se tti n g o u t th e a p p ro a ch yo u h a ve

ch o se n to ta ke ;

• fo rm u l a te a b u si n e s s ca s e to co n vi n ce s e n i o r m a n a g e m e n t th a t i t’s a

g ood i d ea ;

• co n si d e r yo u r p e o p l e i ss u e s so th a t yo u r sta ff co m e wi th yo u ra th e r

th a n g e tti n g o ff a t th e fi rst sto p ;

• i n i ti a te yo u r p ro j e ct i n a cl e a r wa y, e n su ri n g th a t th e o b j e cti ve s a re

u n d e rs to o d and d e l i ve ra b l e s d e fi n e d ;

• sta rt to fo rm yo u r se rvi ce m a n a g e m e n t syste m to p ro vi d e o ve ra l l

g o ve rn a n ce a ro u n d yo u r p ro ce sse s so th a t th e y ca n be co n ti n u o u sl y

m e a su re d and i m p ro ve d .

We re m i n d yo u o f th e s e p o i n ts b e ca u se we kn o w i t’s ve ry e a sy to b e co m e

e n g ro s se d in th e m e ch a n i cs o f a s p e ci fi c p ro ce ss a n d te m p o ra ri l y l o se

si g h t o f th e b i g g e r p i ctu re . Try to e n su re th a t yo u h a ve th e a b o ve a re a s

co ve re d b e fo re l o o ki n g to ch a n g e th e wa y yo u do th i n g s; as in all p ro j e ct

m a n a g e m e n t u p -fro n t p l a n n i n g ca n p re ve n t u n ce rta i n ty a n d co n fu si o n

l a te r o n .

O f co u rse , in o u r e a rl i e r se cti o n ‘ H o w to u se th i s b o o k’ we did sa y th a t a n

a l te rn a ti ve a p p ro a ch i s to a d opt a l o w ke y b o tto m -u p m e th o d , i m p ro vi n g

i n d i vi d u a l p ro ce sse s a s yo u see fi t a n d u si n g re so u rce wh e n i t i s a va i l a b l e

– and we sta n d b y th i s a ss e rti o n . S o m e ti m e s th e re j u st i s n ’t th e a p p e ti te

a m o n g s t s e n i o r m a n a g e m e n t fo r th i s ki n d o f p ro j e ct a n d i t wo u l d be a

p i ty to do n o th i n g . I f yo u do d e ci d e to ta ke th i s a p p ro a ch we wo u l d sti l l

re co m m e n d b a se l i n i n g e a ch p ro ce ss b e fo re yo u sta rt a n d m a ki n g su re th e

p e op l e i s su e s a re co n s i d e re d . O n ce yo u h a ve b e co m e m o re co m fo rta b l e

wi th th e co n ce p ts yo u m a y fe e l i t i s wo rth a try wi th se n i o r m a n a g e m e n t

on a m o re fo rm a l fo o ti n g , p a rti cu l a rl y i f so m e bu d g et i s n eed ed to

p ro g re ss fu rth e r.

H a vi n g ru n o ve r th e main p o i n ts i n s u m m a ry, i t’s ti m e to g e t i n to so m e

p ro ce ss d e ta i l .

Resolution processes
An d so we co m e to th e i m p l e m e n ta ti o n , o r m o re l i ke l y i m p ro ve m e n t, of

th e re s o l u ti o n p ro ce ss e s, i n ci d e n t m a n a g e m e n t a n d p ro b l e m

m a n a g e m e n t. Th e s e a re ke y to th e p ro vi s i o n of a n e ffe cti ve fro n t- l i n e

se rvi ce to th e u se r a n d wa rra n t a si g n i fi ca n t a m o u n t o f ti m e to be spen t

on th e m to g e t th e m ri g h t a n d th e n ke e p th e m u n d e r re vi e w.

50 IT Service Management for Small IT Teams

 Resolution processes

I n ci d en t m a n a g em en t

O bj ecti ve

To restore agreed service to the business as soon as possible or to

respond to service requests.
An i n ci d e n t i s co m m o n l y d e fi n e d a s ‘ a n y e ve n t th a t i s n o t p a rt o f th e

sta n d a rd o p e ra ti o n of a se rvi ce and th a t ca u se s , o r m a y ca u se , an

i n te rru p ti o n to , or a re d u cti o n in, th e q u a l i ty o f se rvi ce ’ .

So, wh a t d o e s th a t m e a n ? We l l , in si m p l e te rm s i t’s wh e n so m e th i n g g oes

wro n g (o r i s a b o u t to go wro n g ) and th a t i m p a cts th e u se r’s a b i l i ty to u se

th e se rvi ce . E xa m p l e s m i g h t i n cl u d e a PC n o t wo rki n g , a n e two rk

co n n e cti o n d o wn (wh i ch m i g h t o b vi o u sl y a ffe ct m u l ti p l e u s e rs) o r, as an

e xa m p l e o f so m e th i n g th a t i s a b o u t to go wro n g , th e se rve r d i sk i s a t 9 5

p e r ce n t fu l l .

Th e aim o f i n ci d e n t m a n a g e m e n t i s to re sto re n o rm a l se rvi ce (o r a vo i d

th e l o ss o f s e rvi ce ) a s q u i ckl y a s p o s si b l e wi th l i ttl e re g a rd a s to wh y th e

i ss u e h a ppen ed in th e fi rst p l a ce . Th i s p ro ce ss i s ve ry fo cu se d on th e

S e rvi ce Le ve l Ag re e m e n t ta rg e ts th a t p ro m i s e m a xi m u m l e ve l s o f

d o wn ti m e , so th e q u i cke r th e u se r(s) ca n be re sto re d to bei n g fu l l y

o p e ra ti o n a l , th e b e tte r.

Th e re a re va ri o u s te a m s i n vo l ve d in i n ci d e n t m a n a g e m e n t a s, in re a l i ty,

th i s p ro ce ss fo rm s a l a rg e p a rt o f wh a t m o st I T d e p a rtm e n ts sp e n d th e i r

ti m e d o i n g . Th e fi rs t te a m to g e t i n vo l ve d i s th e s e rvi ce d e s k. N o w, th i s

so u n d s q u i te g ra n d i o se and l a rg e , bu t i n re a l i ty i t n e e d co n si st o f n o th i n g

m o re th a n a p e rso n on th e en d of a ph on e (o r o th e r co m m u n i ca ti o n

m e th o d su ch a s em a i l ) wi th th e a b i l i ty to l og th e ca l l , o ffe r so m e i n i ti a l

(p o ssi b l y e ve n scri p te d ) s u p p o rt a n d g i ve fe e d b a ck to u se rs a s to th e

sta tu s o f th e i r ca l l s. Th i s i n cl u d e s i n ci d e n ts, ch a se s a n d se rvi ce re q u e sts.

We ’ l l co ve r th e a cti vi ti e s o f th e s e rvi ce d e s k m o re fu l l y i n a l i ttl e wh i l e ,

b u t i t’s wo rth s a yi n g h e re th a t th e d e ta i l o f wh a t th e s e rvi ce d esk d oes

and h o w i t wo rks sh o u l d be d o cu m e n te d in a p o l i cy sta te m e n t th a t ca n

i n fo rm th e re s t o f th e i n ci d e n t m a n a g e m e n t p ro ce s s.

Th e n e xt te a m to g e t i n vo l ve d wi l l g e n e ra l l y b e th e te ch n i ca l te a m s,

so m e ti m e s re fe rre d to a s th e ‘ re so l ve r’ te a m s fo r o b vi o u s re a s o n s. Th e se

wi l l be th e te a m s (o r i n d i vi d u a l s) wi th i n I T wi th re sp o n s i b i l i ty fo r th e

va ri o u s s yste m s a n d a p p l i ca ti o n s . F o r e xa m p l e , yo u m a y h a ve a te a m

re sp o n s i b l e fo r d a ta b a se m a i n te n a n ce o r n e two rk i n fra s tru ctu re ; in a

sm a l l I T te a m th i s m a y b e th e sa m e p e rso n b u t i t i s wo rth co n si d e ri n g

naming th e se ro l e s e ve n i f th e y a re th e n a s si g n e d to th e sa m e i n d i vi d u a l

a s, yo u n e ve r kn o w, yo u r te a m m a y g ro w a n d wh e n i t d o e s yo u h a ve

a l re a d y b u i l t yo u r o rg a n i z a ti o n stru ctu re , and yo u r p ro ce ss e s re fl e ct th a t

stru ctu re .

IT Service Management for Small IT Teams 51

5 Implementing IT service management

Po ssi b l y th e m o st i m p o rta n t p l a ye r i n all o f th i s i s th e u se r. I TS M

d i s ti n g u i sh e s b e twe e n a u se r a n d a cu sto m e r b y sa yi n g th a t th e cu sto m e r

i s th e i n d i vi d u a l wh o d e fi n e s, a g re e s a n d p a ys fo r th e se rvi ce wh e re a s a

u se r m e re l y u se s i t. O b vi o u sl y a cu s to m e r ca n a l so be a u s e r b u t th e y d o

n o t n e ce ssa ri l y h a ve to be th e sa m e . Th e re a re o th e r p l a ye rs wh o may

g e t i n vol ve d in, o r p ro vi d e su p p o rt to , i n ci d e n t m a n a g e m e n t su ch a s th e

Pro b l e m M a n a g er a n d Ch a n g e M a n a g e r.

The life cycle of an incident

Th e re a re se ve ra l sta g e s i n th e l i fe cycl e of a n i n ci d e n t a n d yo u sh o u l d

co n si d e r ca re fu l l y h o w yo u p ro ce ss a n d re co rd e a ch sta g e a s, d o n ’t

fo rg e t, th i s p ro ce ss i s o n e o f th e main i n te rfa ce s wi th th e u se rs. Fa i l i n g

on th i s o n e wi l l h a ve a fa r g re a te r e ffe ct o n u ser a n d cu sto m e r

p e rce p ti o n and sa ti sfa cti o n th a n m a n y o f th e o th e r p ro ce ss e s.

Th e fu l l i n ci d e n t p ro ce ss i s sh o wn in F i g u re 4. Th e main ste p s a re as

fo l l o ws.

Figure 4 – Typical incident management process flow

52 IT Service Management for Small IT Teams

 Resolution processes

Incident detection and recording

O ka y, so th e u s e r’s PC h a s fa i l e d ; in re a l i ty th e i n ci d e n t h a s b e g u n b u t,

u n ti l yo u a re a wa re o f i t, yo u ca n ’t b e wo rki n g to re cti fy i t; so th e fi rst

ste p i s d e te cti o n . Th i s co u l d be th ro u g h a u to m a ti o n ; e ve n t m a n a g e m e n t

syste m s a re a va i l a b l e th a t wi l l ra i se an i n ci d e n t wh e n a ce rta i n

p re - a g re e d co n d i ti o n o ccu rs – p e rh a p s a se rve r cra s h e s – o r i t co u l d be

th ro u g h th e u se r ca l l i n g or em a i l i n g th e s e rvi ce d e s k.

O b vi o u sl y th e n e xt s te p i s to re co rd th e i n ci d e n t. Th e re is a huge va ri e ty

o f syste m s o n th e m a rke t fo r i n ci d e n t re co rd i n g fro m sm a l l to l a rg e sca l e ,

l o ca l l y h o ste d or Sa a S (S o ftwa re as a S e rvi ce ) b u t th e e s se n ti a l o p e ra ti o n

a t th i s sta g e i s to ca p tu re th e b a s i c i n fo rm a ti o n : u se r d e ta i l s (n a m e ,

l o ca ti o n , co n ta ct n u m b e r/e m a i l ) , fa u l t d e s cri p ti o n , ti m e o f o ccu rre n ce and

ti m e of l og g i n g . As l o n g a s yo u h a ve a syste m ca p a b l e o f re co rd i n g th e se

d e ta i l s a n d p ro vi d i n g a unique ca l l re fe re n ce n u m b e r, yo u ’ re in b u si n e ss .

Th i s co u l d be s o m e th i n g a s si m p l e as an E xce l s p re a d s h e e t b u t we

wo u l d n ’t a d vi se th a t: a s th e ca l l g oes on , th e re wi l l be m o re i n fo rm a ti o n

re co rd e d and a sp re a d sh e e t wo u l d q u i ckl y b e co m e u n wi e l d y a n d

i m p ra cti ca l .

Classification and initial support

Th e n e xt th i n g th a t n e e d s to be d on e i s to cl a ssi fy th e i n ci d e n t.

Cl a ssi fyi n g i s a ctu a l l y two th i n g s: p ri o ri ti z i n g and ca te g o ri z i n g – b o th a re

e s se n ti a l fo r th e co rre ct ro u ti n g , d i a g n o si s a n d e ve n tu a l re so l u ti o n o f th e

i n ci d e n t a n d ca re sh o u l d be ta ke n to set u p th e p ri o ri ti e s a n d ca te g o ri e s

co rre ctl y fo r yo u r o rg a n i z a ti o n .

I t m i g h t be th a t yo u on l y n eed th re e l e ve l s o f p ri o ri ty – H i g h , M ed i u m

and Lo w – b u t e ve n th e n yo u n eed to be ve ry cl e a r a b o u t wh a t yo u

m ea n b y e a ch o f th e se te rm s . Yo u m i g h t d e fi n e High to m ea n th a t m o re

th a n 5 0 p e r ce n t o f yo u r u se r b a se i s a ffe cte d (u n a b l e to u se th e se rvi ce ) ,

b u t wo u l d th a t a cco u n t fo r th e ti m e wh e n yo u r fi ve u s e rs i n p a yro l l a re

u n a bl e to a cce ss th e p a yro l l syste m on th e 2 9 th o f th e m o n th ? M a ke su re

th a t yo u r p ri o ri ti e s a n d d e fi n i ti o n s a re cl e a r a n d we l l co m m u n i ca te d ; it

wi l l h el p to a vo i d co n fu si o n and co n fl i ct – we ’ re all p ro b a b l y we l l a wa re

o f si tu a ti o n s th a t wa rra n te d a High p ri o ri ty a n d we re n o t we l l ca te re d

fo r i n th e p ri o ri ty d e fi n i ti o n .

S i m i l a rl y yo u n eed to g i ve so m e th o u g h t to th e ca te g o ri e s yo u wa n t to

h a ve a va i l a b l e . M a n y s yste m s a l l o w va ri o u s l e ve l s o f ca te g o ry so yo u

m i g h t h a ve th e s o rt o f l i st sh o wn in F i g u re 5.

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5 Implementing IT service management

Figure 5 – Simple incident management category tree

Of course, this is a very simplistic example but you get the idea. As with
priorities, make the categories relevant for your organization and, above
all else, clear and unambiguous. This information can be hugely useful as,
in the immediate term, it can determine to which team (or individual)
you should route this incident and, in the longer term, it can help you to
identify troublesome systems or components (more of this in the section
headed ‘Problem management’.

The second part of this stage is ‘initial support’. This incident may be one
that has happened before, so it’s worth looking it up in your knowledge
base if you have one or simply searching the incident database for similar
incidents. if they are in the same room ask your colleagues, and perhaps
use some standard techniques to resolve this – remember the aim of
incident management is to restore normal service as quickly as possible
so, if all it takes is ‘have you tried switching it off and on again?’, then so
be it. We’ll worry about why it happened in the first place later but for
now ‘Hooray! ’, the user is back up and working, you can move on to
incident closure. However, if the quick fixes haven’t done the trick then
you need to move on to the next stage.

54 IT Service Management for Small IT Teams

 Resolution processes

Case in point

Th e I T M a n a g er h a d a g re e d th e S LA fo r i n ci d e n ts wi th th e

b u si n e ss a n d co m m u n i ca te d th i s to h i s s ta ff. Th i s wo rke d we l l

u n ti l th e Ch i e f E xe cu ti ve wa n te d h i s B l a ckB e rry fi xe d

i m m e d i a te l y, d e sp i te th e fa ct th a t i t wa s o n a two -d a y S LA.

Afte r i n i ti a l l y s ti cki n g to th e a g re e d ti m e sca l e s, th e h el p d e sk

wa s o rd e re d to d ro p e ve ryth i n g , i n cl u d i n g m o re u rg e n t wo rk,

to g e t th e j ob d on e stra i g h t a wa y. Afte r th i s a s p e ci fi c S LA

e xce p ti o n wa s a g re e d wi th th e e xe cu ti ve te a m and th e y we re

d e fi n e d a s VI Ps wi th i n th e s e rvi ce d e s k syste m .

On e p o i n t to n o te h e re i s th a t yo u sh o u l d a l so g i ve so m e th o u g h t to h ow

l on g yo u wo u l d wa n t th e se rvi ce d e sk (o r wh o e ve r i s ta ske d wi th th e

i n i ti a l su p p o rt a cti vi ty) to spen d on th i s. Th e y n e e d to sp e n d su ffi ci e n t

ti m e th a t a l a rg e p ro p o rti o n o f th e i n ci d e n ts a re fi xe d q u i ckl y a t th e fi rs t

p o i n t o f co n ta ct – i . e . th e u se r’s i n ci d e n t i s re so l ve d b e fo re he o r sh e e ve n

p u ts th e ph on e d o wn . B u t th e l o n g e r th e se rvi ce d e sk sp e n d s o n an

i n ci d e n t th a t th e y ca n n o t re s o l ve th e l e ss ti m e th e s u b se q u e n t te a m s

h a ve to sp e n d on i t – re m e m b e r we ’ re a g a i n s t th e S LA cl o ck o n i n ci d e n ts .

Al so , i f yo u ’ re ta l ki n g a bou t a si n g l e p e rs o n s e rvi ce d e s k th e n all th e ti m e

th a t p e rs o n i s on th e ph on e to th i s u se r tryi n g to do i n i ti a l su p p o rt th e re

m a y b e o th e r u s e rs wh o ca n ’t g e t th ro u g h to l og th e i r i n ci d e n ts. Th i s h a s

se ve ra l i m p l i ca ti o n s: th e re m a y be a tre n d bu i l d i n g up th a t yo u a re n ot

a wa re of a s yo u ’ re n o t h e a ri n g a b o u t th e i n ci d e n ts a s q u i ckl y a s yo u

sh o u l d , th e u s e rs wi l l p e rce i ve I T to be u n a bl e to d ea l wi th th e i r ca l l s

and, a s p o i n te d o u t b e fo re , i t fo rm s a b o ttl e n e ck m e a n i n g th a t th e

se rvi ce d e sk i s th e o n l y p a rt o f I T th a t i s d e a l i n g wi th i n ci d e n ts .

Diagnosis
O ka y, so th e i n i ti a l su p p o rt d i d n ’t re so l ve th e u se r’s i n ci d e n t, b u t a t l e a st

yo u n o w kn o w wh a t yo u ’ re d ea l i n g wi th , th e p ri o ri ty a n d , p o te n ti a l l y,

wh a t ste p s d i d n ’t wo rk. N o w i t’s ti m e to p a ss th e ca l l (I TI L ca l l s th i s

‘ e sca l a ti o n ’ ) to th e a p p ro p ri a te te ch n i ca l te a m . H o p e fu l l y th e

ca te g o ri z a ti o n sh ou l d g i ve yo u a re a l l y g o o d ste e r o n wh i ch te a m th i s

n e e d s to go to ; i f n o t, yo u m i g h t n eed to do so m e fu rth e r i n ve s ti g a ti o n .

Th e te ch n i ca l te a m wi l l , a s th i s s ta g e su g g e s ts, do so m e fu rth e r

i n ve sti g a ti o n and h o p e fu l l y d i a g n o se th e ca u s e . O n ce th e y h a ve a ca u s e

and a p ro p o se d re s o l u ti o n th e i n ci d e n t m o ve s o n to th e n e xt sta g e . I f,

a fte r d e e p e r i n ve sti g a ti o n , th e te ch n i ca l te a m i s s ti l l u n a bl e to d e te rm i n e

th e ca u se , i t m a y be n e ce ssa ry to ra i se a p ro b l e m re co rd .

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We ’ l l d ea l wi th p ro b l e m m a n a g e m e n t m o re fu l l y i n th e n e xt s e cti o n bu t

a t th i s sta g e i t i s su ffi ci e n t fo r u s to s a y th a t a p ro b l e m i s th e u n kn o wn ,

u n d e rl yi n g ca u se of on e o r m o re i n ci d e n ts.

Resolution
So, a fte r p e rh a p s a l o t o f h e a d - scra tch i n g and i n ve sti g a ti o n , yo u wo rk

o u t wh a t n e e d s to be d on e to g e t th i n g s wo rki n g p ro p e rl y a g a i n .

Re so l u ti o n i s a b o u t re sto ri n g s e rvi ce to th e u se r. Som e re so l u ti o n s m a y b e

si m p l e (re b o o ti n g a PC) ; o th e rs m a y re q u i re re p l a ce m e n t o f h a rd wa re or

so ftwa re or a co m b i n a ti o n o f th e two . O n ce yo u h a ve e ffe cte d a

re so l u ti o n , th e re m a y be re co ve ry a cti o n s th a t n e e d to be p e rfo rm e d to

g e t th e u s e r b a ck to fu l l y o p e ra ti o n a l . F o r i n sta n ce , i f th e re so l u ti o n

re q u i re d re p l a ce m e n t o f a se rve r h a rd d i s k, g e n e ra l l y yo u wi l l a l so n eed

to re -i m a g e , re i n s ta l l o r re sto re a b a cku p b e fo re th e h a rd d i s k i s u se a b l e

and th e o ve ra l l s e rvi ce i s re co ve re d . S o m e ti m e s yo u wi l l be a bl e to

re so l ve a u se r’s i n ci d e n t wi th o u t fi n d i n g o u t wh a t ca u s e d it and, in

i n ci d e n t m a n a g e m e n t te rm s, th i s i s a cce p ta b l e – th e y a re wo rki n g again

and i t’s sm i l e s a l l ro u n d . H o we ve r, yo u kn o w a t th e b a ck o f yo u r m i n d

th a t, si n ce yo u d o n ’t kn o w th e ca u s e , th i s co u l d h a ppen again. So wh a t

do yo u d o? Th i s i s wh e re i n ci d e n t m a n a g e m e n t i n te rfa ce s wi th p ro b l e m

m a n a g e m e n t to pu t a m a rke r d o wn to sa y th a t we n eed to co m e b a ck to

th i s i n ci d e n t a n d wo rk o u t wh y i t h a p p e n e d . Th e i n ci d e n t i s cl o s e d , bu t a

p ro b l e m i s open ed .

Incident closure
Afte r a l l th e wo rk h a s b e e n d on e, th e i n ci d e n t h a s b e e n re so l ve d and th e

se rvi ce h a s been re co ve re d , th a t’s i t ri g h t? Yo u ca n cl o se th e i n ci d e n t a n d

m o ve on , ye s? We l l , a l m o st. S i n ce th i s i s I T s e rvi ce m a n a g em en t a n d th e

co rre ct o p e ra ti o n o f th e se rvi ce i s a s vi e we d fro m th e u se r’s p e rsp e cti ve ,

yo u n eed to g e t th e i r co n fi rm a ti o n b e fo re yo u ca n cl o se th e i n ci d e n t.

Som e o rg a n i z a ti o n s m a ke it a p o l i cy to o b ta i n p o si ti ve co n fi rm a ti o n fro m

th e u se r b e fo re cl o s i n g all i n ci d e n ts. H o we ve r, th i s o fte n l e a d s to

i n ci d e n ts sta yi n g open fo r p ro l o n g e d p e ri o d s a s th e u se r, p e rh a p s ri g h tl y,

se e s th a t th e i r s e rvi ce i s n o w ru n n i n g and d o e sn ’t m u ch ca re a bou t

cl o s i n g yo u r i n ci d e n t re co rd . O th e r o rg a n i z a ti o n s ta ke th e a p p ro a ch th a t

th e re wi l l be a cu t-o ff ti m e a fte r wh i ch , if no re p l y h a s b e e n re ce i ve d

fro m th e u se r, th e i n ci d e n t wi l l be a u to m a ti ca l l y cl o se d . Yo u n eed to

d e fi n e th e a p p ro p ri a te p o l i cy fo r yo u r o rg a n i z a ti o n and g e t i t a g re e d

and co m m u n i ca te d .

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Escalation
Th e re a re two so rts o f e sca l a ti o n : fu n cti o n a l and h i e ra rch i c. F u n cti o n a l

e s ca l a ti o n d e a l s wi th th e tra n sfe r o f a n i n ci d e n t b e twe e n fu n cti o n a l

te a m s (fo r e xa m p l e , fro m th e we b te a m to th e n e two rk te a m ) wh e re a s

h i e ra rch i c e sca l a ti o n d e a l s wi th wh a t i s n o rm a l l y u n d e rsto o d by

e s ca l a ti o n – ra i si n g th e i n ci d e n t to p ro g re ssi ve l y h i g h e r l e ve l s o f

m a n a g e m e n t. H o w, wh e n and to wh o m i n ci d e n ts s h o u l d be e sca l a te d

sh o u l d be d e fi n e d , a g re e d and co m m u n i ca te d th ro u g h th e i n ci d e n t

m a n a g e m e n t p o l i cy. I n ci d e n t m a n a g e m e n t to o l s wi l l o fte n a u to m a te th i s

p ro ce s s fo r yo u .

Ownership, monitoring, tracking and communication

Co n cu rre n t wi th all o f th e a b o ve sta g e s , yo u (o r so m e o n e to wh o m yo u

h a ve d e l e g a te d th e ta sk) sh o u l d be m o n i to ri n g th e p ro g re ss o f th e

re so l u ti o n o f th e i n ci d e n t a n d ke e p i n g th o se wh o a re a ffe cte d b y th e

i n ci d e n t u p to d a te wi th th e sta tu s. Th i s i s o fte n h a n d l ed b y th e se rvi ce

d e sk b u t, in sm a l l te a m s, yo u m a y a s si g n an i n d i vi d u a l to j u st ke e p an e ye

on th e q u eu e o f i n ci d e n ts a n d p e rh a p s p ro d i n d i vi d u a l s fro m ti m e to

ti m e . Th i s ro l e wo u l d be re fe rre d to a s th e I n ci d e n t M a n a g e r.

The incident management policy

Som e o f th e co n si d e ra ti o n s fo r yo u r i n ci d e n t m a n a g e m e n t p o l i cy h a ve

been m e n ti o n e d a s we ’ ve been g oi n g th ro u g h , b u t h e re is a m o re

co n so l i d a te d l i st:

1 . Sources – Wh a t so u rce s wi l l yo u a cce p t fo r i n ci d e n ts to be l og g ed ?

Ph o n e ca l l s? E m a i l ? Wa l k-i n s? S e l f- se rvi ce ? Do yo u h a ve a p re fe rre d

so u rce th a t yo u wi l l e n co u ra g e u se rs to u se and, i f so , wh i ch ?

2. Priorities – H o w m a n y l e ve l s o f p ri o ri ty wi l l yo u u se and wh a t wi l l

th e y m e a n ?

3. Timescales – Yo u n eed to g i ve som e th o u g h t to h ow l on g yo u wi l l

a l l o w fo r e a ch o f th e sta g e s i n th e i n ci d e n t p ro ce s s. Th e ti m e s ca l e

wi l l n eed to re fl e ct th e p ri o ri ty a cco rd e d th e i n ci d e n t a n d th e S LA fo r

th e se rvi ce .

4. Roles and responsibilities – Wh o i s i n vo l ve d in th e p ro ce s s a n d wh a t

i s th e i r ro l e in i t?

5. Escalation – H o w, wh e n and to wh o m wi l l ca l l s b e e sca l a te d ? Th i s

sh o u l d be d on e wi th an e ye to se rvi ce l e ve l ta rg e ts – i t’s b e st to

e s ca l a te th e m a tte r b e fo re i t b re a ch e s i ts ta rg e t. Re g a rd i n g

fu n cti o n a l e s ca l a ti o n , th e p o l i cy sh o u l d d e ta i l wh i ch te a m s a re

i n vo l ve d and h o w h a n d - o ff wi l l be p e rfo rm e d – i . e. wi l l th e re be an

a ckn o wl e d g e m e n t se n t wh e n th e re ce i vi n g te a m a cce p ts th e i n ci d e n t

o r wi l l i t be ta ke n on fa i th th a t th e y’ ve seen it and a re wo rki n g on

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i t? (Ti p : i f yo u d o n ’t wa n t ca l l s b re a ch i n g ta rg e ts l e ft, ri g h t a n d

ce n tre , d o n ’t a s su m e th a t p e o p l e a re wo rki n g on i t; i n cl u d e a ste p

wh i ch ve ri fi e s th e fa ct. )

6. Incident closure – H o w wi l l yo u ve ri fy th e u se r’s a cce p ta n ce of a n

i n ci d e n t cl o su re ? H ow l on g wi l l yo u wa i t? Wi l l a ve rb a l a cce p ta n ce

be su ffi ci e n t o r d o yo u n eed an em a i l ?

7. Interfaces – Th i n k a b o u t h o w yo u r p ro ce ss wi l l i n te ra ct wi th o th e r I T

se rvi ce m a n a g em en t a n d o th e r b u si n e s s p ro ce ss e s ; p ro b l e m

m a n a g e m e n t, ch a n g e m a n a g em en t a n d co n fi g u ra ti o n m a n a g em en t

a re th e o b vi o u s o n e s b u t yo u sh o u l d a l so th i n k a b o u t h o w yo u ca n

i n fo rm ca p a ci ty m a n a g e m e n t wh e n th e re a re p e rfo rm a n ce i ss u e s ,

h o w a va i l a b i l i ty m a n a g e m e n t ca n u se yo u r d a ta to a n a l yse se rvi ce

a va i l a b i l i ty a n d wh a t i n te ra cti o n n e e d s to ta ke p l a ce b e twe e n

i n ci d e n t m a n a g e m e n t a n d se rvi ce l e ve l m a n a g em en t i n o rd e r to

e n su re th a t i n ci d e n t re so l u ti o n ta rg e ts a re d e l i ve re d .

8. Reopening – Wi l l yo u a l l o w i n ci d e n ts to be re o p e n e d ? I f so , wh o ca n

a u th o ri z e and u n d e r wh a t co n d i ti o n s?

Som e o rg a n i z a ti o n s o p e ra te a p o l i cy th a t i f th e re o p e n re q u e st

o ccu rs wi th i n 2 4 h o u rs o f th e ca l l cl o s u re , i t i s a l l o we d and ca n be

p e rfo rm e d b y th e se rvi ce d e sk o p e ra ti ve ; a fte r th a t a n e w ca l l m u st

be l og g ed .

9. Major incidents – D e fi n e wh a t yo u and th e b u si n e ss co n s i d e r to be a

m a j o r i n ci d e n t a n d wh a t th a t wi l l m ea n in te rm s o f re s o u rce s ,

p ri o ri ti z a ti o n and th e m a j o r i n ci d e n t p ro ce ss i ts e l f.

1 0. Information – G i ve so m e th o u g h t to wh a t i n fo rm a ti o n yo u n eed to

co l l e ct/re co rd a b o u t th e i n ci d e n t. Th i s wi l l be d ri ve n to so m e e xte n t

b y th e p ro ce ss i tse l f, b u t yo u m a y h a ve o th e r i n fo rm a ti o n s p e ci fi c to

yo u r o rg a n i z a ti o n wh i ch wi l l h el p wi th re so l u ti o n o r wi th su b se q u e n t

a n a l ysi s.

1 1 . Post incident reviews – Wi l l yo u u n d e rta ke PI Rs fo r a l l i n ci d e n ts (n o t

re co m m e n d e d ) o r fo r th o se m e e ti n g ce rta i n cri te ri a (p e rh a p s o n l y

Pri o ri ty O n e ca l l s) ?

1 2. Communications and reporting – Th i n k a b o u t wh a t co m m u n i ca ti o n s

wi l l ta ke p l a ce d u ri n g and a fte r i n ci d e n ts a n d wh a t i n fo rm a ti o n wi l l

be co m m u n i ca te d and re p o rte d on an on g oi n g b a si s .

1 3. Metrics – Yo u sh o u l d d e fi n e m e tri cs th a t yo u ca n u se to m o n i to r th e

d a y-to -d a y e ffe cti ve n e s s a n d e ffi ci e n cy o f th e p ro ce ss. Ke y m e tri cs

yo u sh o u l d co n si d e r a re :

• to ta l n u m b e r o f i n ci d e n ts b ro ke n i n to th e va ri o u s sta g e s (l o g g e d ,

u n d e rg o i n g d i a g n o si s, cl o se d , e tc. ) ;

• n u m b e r (a n d p e rce n ta g e ) o f m a j o r i n ci d e n ts;

• m ea n el a psed ti m e to a ch i e ve i n ci d e n t re so l u ti o n ;

• n u m b e r (a n d p e rce n ta g e ) o f i n ci d e n ts i n co rre ctl y a s si g n e d or

i n co rre ctl y ca te g o ri z e d ;

• n u m b e r (a n d p e rce n ta g e ) o f i n ci d e n ts re o p e n e d ;

• n u m b e r o f i n ci d e n ts cl o se d b y th e fi rs t p o i n t o f co n ta ct (u su a l l y

th e s e rvi ce d e sk) .

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 Resolution processes

Summary

• I n ci d e n t m a n a g e m e n t i s a ke y I TS M p ro ce s s to g e t ri g h t a s

i t i s ve ry vi si b l e to th e u se r a n d ca n h a ve a si g n i fi ca n t e ffe ct

on b u si n e ss p ro d u cti vi ty.

• Th e i n ci d e n t m a n a g e m e n t p ro ce ss i s a b o u t g e tti n g th e u se r

wo rki n g again a s soon a s p o s si b l e ra th e r th a n n e ce s sa ri l y

fi n d i n g o u t wh a t we n t wro n g (th i s i s th e p u rp o se of

p ro b l e m m a n a g e m e n t) .

• Th e se rvi ce d e sk ca rri e s o u t th e i n ci d e n t m a n a g e m e n t

p ro ce ss a ssi ste d , wh e re re q u i re d , b y re s o l ve r g ro u p s.

• S i g n i fi ca n t th o u g h t n e e d s to be p u t i n to th e d e fi n i ti o n of

an i n ci d e n t m a n a g e m e n t p o l i cy – i n cl u d i n g p ri o ri ti e s,

ca te g o ri e s, e sca l a ti o n and cl o su re .

Next steps

1 . D e te rm i n e a p o l i cy fo r h o w i n ci d e n ts wi l l be m a n a g ed .

2. I d e n ti fy o p p o rtu n i ti e s fo r a u to m a ti n g th e i n ci d e n t l o g g i n g

p ro ce ss.

3. Ag re e , wi th th e b u s i n e ss, th e p ri o ri ti e s a n d ca te g o ri e s to be

u se d , and wh a t th e y m e a n .

4. Cre a te a p o l i cy to g o ve rn h o w m u ch ti m e sh ou l d be sp e n t

b y e a ch te a m a t e a ch sta g e .

5. D e fi n e h o w th e p ro ce ss wi l l i n te rfa ce wi th o th e r p ro ce sse s

su ch a s p ro b l e m m a n a g e m e n t, ch a n g e m a n a g e m e n t,

i n fo rm a ti o n s e cu ri ty m a n a g e m e n t.

Problem management
Objective

To minimize disruption to the business by proactive identification and

analysis of the cause of incidents and by managing problems to
closure.
Pro bl e m m a n a g em en t i s a huge boon to a sm a l l I T te a m si n ce th e wh o l e

aim i s to re d u ce th e re a cti ve wo rkl o a d wh i ch i s th e ba n e of a l l I T te a m s

b u t wh i ch i m p a cts o n sm a l l te a m s wo rse th a n m o st. B u t wh a t d o we

m ea n by a ‘ p ro b l e m ’ ? A p ro b l e m i s d e fi n e d b y I TI L® a s ‘ th e u n kn o wn

ca u se of on e o r m o re i n ci d e n ts ’ .

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5 Implementing IT service management

Le t’s g i ve yo u an e xa m p l e : A u se r l o g s a n i n ci d e n t th a t j o b s a re bei n g

se n t to th e p ri n te r b u t n o th i n g i s co m i n g o u t. Afte r ch e cki n g th e u su a l

(S wi tch e d o n ? Pl u g g e d i n ? Ri g h t p ri n te r? ) , th e se rvi ce d e sk a n a l yst

su g g e sts th a t th e u s e r re b o o ts h i s o r h e r PC a n d , h e y p re sto , 1 5 co p i e s o f

th e u se r’s re p o rt s ta rt sp e wi n g fro m th e p ri n te r. I n ci d e n t cl o s e d . Th e

fo l l o wi n g d a y, th e sa m e u se r ca l l s u p wi th th e sa m e i ssu e . A d i ffe re n t

se rvi ce d e sk a n a l yst p i cks u p th i s ca l l and (tu t, tu t) d o e sn ’t ch e ck fo r p ri o r

i n ci d e n ts b u t g e ts th e u se r to re b o o t th e PC. S u rp ri s e , s u rp ri se – sa m e

re s u l t, p ri n te r n o w wo rks . I n ci d e n t cl o s e d . Th i s h a p p e n s re p e a te d l y o ve r

th e n e xt two d a ys. I s th i s a n e ffi ci e n t wa y o f d o i n g th i n g s? N o! Wh a t yo u

n eed h e re i s p ro b l e m m a n a g e m e n t. Th e i d ea i s to g e t to th e b o tto m of

wh y th i n g s g o wro n g in th e fi rst p l a ce , ra th e r th a n cl e a n i n g up ti m e and

ti m e again a fte rwa rd s. I t’s o n e o f th o se j o b s th a t yo u kn o w yo u sh o u l d

d o, b u t yo u j u st n e ve r se e m to g e t a ro u n d to . I f yo u m a ke th a t e xtra

e ffo rt, i t wi l l m a ke l i fe so m u ch e a si e r.

Case in point

Afte r th e fi rs t i n ci d e n t wa s l o g g e d a fl u rry o f fu rth e r ca l l s we re

re ce i ve d b y th e se rvi ce d e sk. Fi l e se rvi n g wa s ve ry sl o w a n d

u s e rs we re g e tti n g fru stra te d , a l th o u g h re b o o ti n g th e PC

se e m e d to h el p. A p ro b l e m re co rd wa s o p e n e d and an

i n ve sti g a ti o n wa s b e g u n . Wa s i t th e re p l i ca ti o n s o ftwa re , o r th e

l a ck o f d i sk a rm s o n th e se rve r, o r so m e e s se n ti a l p ro fi l e m o ve s

th a t we re bei n g ca rri e d o u t th a t wa s ca u si n g th e p ro b l e m ?

O ve r a p e ri o d o f we e ks a se ri e s o f ch a n g e s we re i m p l e m e n te d

to try to re l i e ve th e i s su e wi th no su cce ss. Th e h a rd wa re

su p p l i e r wa s ca l l e d in to si ze n e w se rve rs a n d p u rch a s e or l oa n

a l te rn a ti ve s we re co ste d . E ve n tu a l l y, a fte r se ve ra l we e ks, an

o ve rn i g h t d i sk d e fra g re so l ve d th e p ro b l e m . A m a j o r p ro b l e m

re vi e w wa s h e l d and a n u m b e r o f l e sso n s l e a rn e d .

Pro b l e m m a n a g em en t sh ou l d re a l l y ki ck- i n a t th e p o i n t wh e re th e fi rst

i n ci d e n t wa s l o g g e d a s th e re wa s a n i ss u e o f u n kn o wn ca u se , bu t

g e n e ra l l y yo u r p o l i cy wo u l d e rr a wa y fro m l og g i n g e ve ry i n ci d e n t a s a

p ro b l e m . I n ste a d i t m i g h t sta te th a t o n th e se co n d o ccu rre n ce o f th e

sa m e i n ci d e n t, wh i l s t a t th e sa m e ti m e re so l vi n g th e i n ci d e n t, th e

o p e ra to r sh o u l d open a l i n ke d p ro b l e m re co rd fo r so m e o n e to fo l l o w u p

and try to i d e n ti fy th e u n d e rl yi n g ca u se . Th i s i s te rm e d ‘ re a cti ve p ro b l e m

m a n a g e m e n t’ fo r o b vi o u s re a so n s.

Pro b l e m m a n a g e m e n t ca n a l so sta rt o ff wi th all i n ci d e n t h i sto ry a n d se e k

to i d e n ti fy tre n d s wh i ch p e rh a p s we re n ’t sp o tte d a s th e y d i d n ’t i n i ti a l l y

60 IT Service Management for Small IT Teams

 Resolution processes

se e m re l a te d – p e rh a p s a u se r l o g i n i ssu e and a p ri n te r sp o o l i n g i s su e

wh i ch , a l th o u g h th e y d o n ’t a p p e a r to be re l a te d , m i g h t sh a re a co m m o n

fa cto r su ch a s th e se rve r b e i n g u sed . Th i s m i g h t l e a d to an i n ve sti g a ti o n

o f th a t se rve r re ve a l i n g m e m o ry o r d i sk sp a ce i s su e s; th i s i s ‘ p ro a cti ve

p ro bl e m m a n a g e m e n t’ .

A th i rd th re a d o f p ro b l e m m a n a g e m e n t wo rks ve ry cl o se l y wi th

a va i l a b i l i ty a n d ca p a ci ty m a n a g e m e n t to i d e n ti fy a re a s wh e re th e ve ry

fa b ri c o f th e I T i n fra stru ctu re m a y, in th e fu tu re , l ea d to an i n cre a se d

n u m b e r o f i n ci d e n ts. Pro b l e m m a n a g e m e n t wo u l d th e n se e k to ra i se

ch a n g e s to a l l e vi a te o r a vo i d th e si tu a ti o n – a ki n d o f ‘ p re ve n ta ti ve ’

m e th o d .

In a sm a l l I T te a m th e peopl e i n vo l ve d a re l i ke l y to be th e sa m e p l a ye rs

as in i n ci d e n t m a n a g e m e n t: th e se rvi ce d e sk wi l l pl a y a l a rg e p a rt i n

ca p tu ri n g and i d e n ti fyi n g p ro b l e m s ; th e sa m e re so l ve r te a m s a re l i ke l y to

be i n vo l ve d in i n ve s ti g a ti n g th e ro o t ca u se s. U n l i ke i n ci d e n t

m a n a g e m e n t, u s e rs a re n o t u su a l l y so i n vo l ve d in p ro b l e m m a n a g em en t

a s th e i r p ri m a ry co n ce rn sh o u l d be g e tti n g b a ck u p and ru n n i n g … wh i ch

i s h a n d l ed b y i n ci d e n t m a n a g e m e n t. Yo u r a ve ra g e u s e r d o e sn ’t ca re m u ch

wh y i t h a p p e n e d j u st s o l on g a s (a ) i t’s fi xe d , (b ) i t d o e sn ’t h a p p e n again,

and (c) i f i t d o e s, yo u ’ re wo rki n g on wa ys to g e t i t fi xe d again m o re

q u i ckl y. So th e y m i g h t b e i n te re s te d to kn o w th a t yo u ’ re wo rki n g

to wa rd s sto p p i n g i t h a ppen i n g again and re d u ci n g th e i m p a ct to th e m

b u t a p a rt fro m th a t, th e y d o n ’t ca re to o m u ch . Yo u r re so l ve r te a m s m a y

a l s o h a ve to i n te ra ct wi th th e m to g e t m o re i n fo rm a ti o n . Cu s to m e rs wi l l

wa n t to kn o w a b o u t h o w yo u a re g oi n g a b o u t th e p ro ce ss o f re d u ci n g

th e n u m b e r o f o u ta g e s a n d i n ci d e n ts to th e i r se rvi ce s a s i t d i re ctl y a ffe cts

th e l e ve l o f se rvi ce yo u d e l i ve r a n d th e l e ve l o f cu sto m e r sa ti s fa cti o n

wh i ch yo u m a i n ta i n . So yo u wi l l wa n t to ke e p th e m i n fo rm e d on a

re g u l a r b a s i s.

I d e a l l y th e re wi l l be a sm a l l fu n cti o n wi th re sp o n si b i l i ty fo r p ro b l e m

m a n a g e m e n t sp e ci fi ca l l y. I t i s u su a l l y q u o te d as a g ood i d ea to m a ke it

i n d e p e n d e n t o f th e i n ci d e n t m a n a g e m e n t fu n cti o n a s th e re a re

so m e ti m e s co n fl i cti n g d e m a n d s – i n ci d e n t m a n a g e m e n t wa n t th e i ssu e

re so l ve d and th e u se r re tu rn e d to n o rm a l se rvi ce AS AP; p ro b l e m

m a n a g em en t m i g h t n eed to ke e p th e u se rs o ff th e se rve r fo r a l i ttl e

wh i l e l o n g e r to ch e ck a fe w m o re th i n g s. B u t i f yo u d o n ’t h a ve th e s ta ff

n u m b e rs fo r th i s d o n ’t wo rry to o m u ch – m o st I T p ro fe ss i o n a l s a re

ca p a b l e o f b a l a n ci n g th e d e m a n d s o f re so l u ti o n ti m e a g a i n st

i n ve sti g a ti o n ti m e and th i s s h o u l d be we l l d o cu m e n te d in th e i n ci d e n t

and p ro b l e m m a n a g e m e n t p o l i ci e s a n ywa y.

Ag a i n , a s wi th i n ci d e n t m a n a g e m e n t, th e re a re m a n y o th e r p l a ye rs wh o

g e t i n vo l ve d : ch a n g e m a n a g e m e n t fo r h a n d l i n g ch a n g e s ra i se d to re so l ve

p ro bl e m s, co n fi g u ra ti o n m a n a g e m e n t fo r p ro vi d i n g d e ta i l e d a n a l ysi s o f

th e i n fra stru ctu re to a ss i st wi th tre n d i n g and, a s sta te d e a rl i e r, a va i l a b i l i ty

and ca p a ci ty m a n a g e m e n t a re cl o s e l y l i n ke d wi th p ro b l e m m a n a g e m e n t.

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The life cycle of a problem

Li ke an i n ci d e n t, a p ro b l e m i s m a n a g ed vi a a p ro ce ss a n d i t h e l p s i f yo u

h a ve a g ood to o l to su p p o rt th i s. Th e re sh ou l d ce rta i n l y b e a s yste m fo r

re co rd i n g and tra cki n g p ro b l e m s a n d , b e ca u s e o f th e stro n g l i n ka g e wi th

i n ci d e n t m a n a g e m e n t, i t i s u s u a l l y re co m m e n d e d th a t th e y s h a re a

co m m o n to o l wi th th e a b i l i ty to handle and l i n k b o th . H o we ve r, th e main

re q u i re m e n t i s fo r to o l s a n d d a ta to a l l o w th e a n a l ysi s o f i n ci d e n t d a ta

fo r tre n d i n g and ro o t ca u se a n a l ys i s. Th e p ro b l e m re co rd s th e m se l ve s, at

a b a si c l e ve l , a re m e re l y a l i st o f n a m e d i s su e s, wi th d a te s a n d l i n ke d

i n ci d e n t i n fo rm a ti o n . In th e sa m e wa y a s a n i n ci d e n t m a n a g e m e n t p o l i cy

i s u se fu l , it is a g ood i d ea to cre a te a p ro b l e m m a n a g e m e n t p o l i cy

d o cu m e n t wh i ch s e ts o u t cl e a rl y h o w th i s a re a i s a p p ro a ch e d wi th i n yo u r

o rg a n i z a ti o n . Th e h e a d i n g s fo r th i s wi l l be b ro a d l y th e sa m e a s th o s e

o u tl i n e d in th e l a st se cti o n on i n ci d e n t m a n a g e m e n t.

A typ i ca l p ro b l e m m a n a g e m e n t p ro ce ss i s sh o wn in F i g u re 6.

Figure 6 – Typical problem management process

We wi l l n o w l o o k a t th e main ste p s i n th i s p ro ce ss.

62 IT Service Management for Small IT Teams

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Detect and record

A p ro b l e m ca n be i d e n ti fi e d fro m a n u m b e r o f so u rce s:

• th e se rvi ce d e sk m a y i d e n ti fy th a t th e re m a y be an u n kn o wn ca u se

beh i n d on e o r m o re i n ci d e n ts;

• a te ch n i ca l te a m m a y, u pon a n a l ys i s o f a n i n ci d e n t a ssi g n e d to i t,

d e te rm i n e th a t th e ca u se i s u n kn o wn ;

• a su p p l i e r m a y n o ti fy yo u th a t a p ro b l e m e xi sts a n d i s bei n g wo rke d

on – fo r e xa m p l e , s e cu ri ty vu l n e ra b i l i ty re p o rts wh e re a wo rka ro u n d

i s g i ve n and an E TA fo r a fu l l fi x i s p ro vi d e d wo u l d be cl a ss e d as a

p ro b l e m ;

• p ro a cti ve p ro b l e m m a n a g e m e n t m a y, th ro u g h a n a l ysi s o f h i sto ri c

i n ci d e n t d a ta , i d e n ti fy a co m m o n , th o u g h sti l l u n kn o wn , th re a d

beh i n d m u l ti p l e i n ci d e n ts;

• re l e a se m a n a g e m e n t m a y h i g h l i g h t p re -e xi sti n g kn o wn e rro rs i n

so ftwa re bei n g re l e a s e d fro m d e ve l o p m e n t; so ftwa re i s o fte n

re l e a se d wi th kn o wn ‘ b u g s’ wh i ch h a ve been a cce p te d a s p e rm i ssi b l e

b y th e cu sto m e r.

O n ce d e te cte d , a p ro b l e m re co rd sh o u l d be cre a te d to a ct a s a p l a ce to

l og th e d e ta i l s o f th e p ro b l e m and i ts p ro g re ss a n d p e rm i t fu tu re

a n a l ysi s .

Classify

Th e p ro b l e m sh o u l d th e n be a ss i g n e d a ca te g o ry. I t i s a d vi s a b l e to u se a

co n si ste n t ca te g o ri z a ti o n co d i n g b e twe e n i n ci d e n t m a n a g e m e n t a n d

p ro b l e m m a n a g e m e n t to en a bl e e a si e r a n a l ysi s a n d tra ce a b i l i ty.

In th e sa m e wa y th a t i n ci d e n ts m u s t b e p ri o ri ti z e d , all p ro b l e m s m u s t b e

to o . Yo u ca n u se th e sa m e p ri n ci p l e s fo r p ri o ri ti z i n g p ro b l e m s a s yo u do

fo r i n ci d e n ts, bu t be ca re fu l to d e fi n e th e a p p ro p ri a te ta rg e ts fo r

re so l u ti o n se p a ra te l y (i f yo u d e ci d e to do th i s – so m e I T te a m s d o n ot

sp e ci fy re so l u ti o n ta rg e ts fo r p ro b l e m s a s th e y a re b y th e i r ve ry n a tu re an

u n kn o wn q u a n ti ty) .

As we l l a s i m p a ct to th e b u si n e s s, i t i s a l so re co m m e n d e d th a t th e

p ri o ri ti z a ti o n o f p ro b l e m s ta ke s i n to a cco u n t th e i m p a ct to I T re so u rce s –

h o w m u ch re so u rce wi l l i t ta ke to re co ve r? Wi th wh a t ski l l l e ve l s? H ow

m u ch wi l l i t co st? e tc.

Diagnosis

Th i s i s wh e re th e sl e u th i n g beg i n s – u si n g a n u m b e r o f te ch n i q u e s (wh i ch

a re o u tsi d e th e sco p e o f th i s b o o k, b u t yo u m a y wi sh to l ook u p

Ch ro n o l o g i ca l An a l ysi s , Ke p n e r a n d Tre g o e and I s h i ka wa D i a g ra m s i n th e

a p p e n d i ce s o f th e ITIL V3 Service Operation Guide ) th e te ch n i ca l te a m s

a tte m p t to a sce rta i n th e u n d e rl yi n g ca u s e o f th e p ro b l e m . Th i s m a y

i n vo l ve re vi e wi n g l o g s, ru n n i n g d i a g n o sti c to o l s a n d ta l ki n g to u se rs to

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o b ta i n m o re i n fo rm a ti o n a b o u t wh e n , h ow a n d wh e re th e re l e va n t

i n ci d e n ts o ccu rre d – a re th e re a n y d i sce rn i b l e p a tte rn s?

Workarounds and known errors

I t i s o fte n p o ssi b l e to fi n d a wo rka ro u n d th a t wi l l e i th e r te m p o ra ri l y e a se

th e u n d e rl yi n g ca u s e re su l ti n g in fe we r i n ci d e n ts o r wi l l p e rm i t a fa st

re sto ra ti o n o f se rvi ce to th o se s ti l l a ffe cte d b y i t. Th i s d o e s n o t m e a n th a t

th e p ro b l e m i s re so l ve d and ca n be cl o se d , n or d oes i t m ea n th a t

on g oi n g wo rk to d i sco ve r th e cu re sh o u l d be h a l te d . I t m e re l y m e a n s th a t

u se rs ca n g e t b a ck to th e i r wo rk – th e se rvi ce d e sk s h o u l d be i n fo rm e d

wh e n e ve r a wo rka ro u n d i s i d e n ti fi e d .

An e xa m p l e m i g h t be to p e rfo rm a n i g h tl y re b o o t o f a se rve r wh i ch is

su ffe ri n g fro m m e m o ry l e a ka g e wh i l e th e te ch n i ca l te a m co n ti n u e to try

to a s ce rta i n wh i ch p ro g ra m i s fa u l ty. Th e re s u l t i s th a t th e u se rs re m a i n

u n a ffe cte d d u ri n g th e d a y b u t th e ca u se and fi n a l cu re h a ve n o t ye t b e e n

d e te rm i n e d .

As so o n as a cu re or a wo rka ro u n d i s i d e n ti fi e d , th i s sh o u l d be e n te re d as

a kn o wn e rro r i n th e kn o wn e rro r d a ta b a se (KE D B ) . I n ci d e n t

m a n a g e m e n t te a m s sh o u l d re fe r to th e KE D B wh e n th e y a re a tte m p ti n g

to re so l ve an i n ci d e n t to a sce rta i n if it is as a re su l t o f a p re -e xi s ti n g

p ro b l e m and i f th e re i s a l re a d y a cu re o r wo rka ro u n d a va i l a b l e .

Resolve

O n ce th e u n d e rl yi n g ca u se i s kn o wn and a fi x h a s b e e n i d e n ti fi e d , it may

be a ppl i ed in o rd e r to re so l ve th e p ro b l e m . Th i s sh o u l d be p e rfo rm e d

u n d e r th e co n tro l o f ch a n g e m a n a g e m e n t to e n su re th a t a n y ri sks a re

a sse s se d . Th e re a re o cca si o n s wh e re th e so l u ti o n d i sco ve re d ca n n o t b e

j u sti fi e d – fo r e xa m p l e , wh e re th e i m p a ct i s sm a l l b u t th e co st o f th e

so l u ti o n is high. Th e b u si n e s s m a y ta ke th e d e ci si o n to n o t i m p l e m e n t th e

so l u ti o n and co n ti n u e to re l y o n th e wo rka ro u n d . In su ch ca se s th e

p ro b l e m re co rd sh o u l d be fl a g g e d to e n s u re th a t o n g o i n g wo rk o n th e

so l u ti o n ce a se s b u t th a t th e p ro b l e m i s h e n ce fo rth e xcl u d e d fro m te a m

p e rfo rm a n ce m e tri cs; o th e rwi s e i t wi l l sta rt to l o o k l i ke th e te a m a ss i g n e d

th e p ro b l e m i s ta ki n g an age to i m p l e m e n t th e so l u ti o n . Th e se fl a g g e d

re co rd s sh o u l d be e va l u a te d p e ri o d i ca l l y to d e te rm i n e wh e th e r

te ch n o l o g y o r ci rcu m sta n ce s h a ve ch a n g e d su ffi ci e n tl y to re q u i re th e

re a ss e ssm e n t o f th e so l u ti o n s j u sti fi ca ti o n .

Closure

Wh e n a n y re q u i re d ch a n g e s h a ve been su cce ssfu l l y m a d e to re so l ve th e

p ro b l e m i t sh o u l d be cl o se d . Th i s m a y a l so tri g g e r th e cl o s u re of

a sso ci a te d i n ci d e n t re co rd s wh i ch re m a i n open and th e a sso ci a te d u ser

ve ri fi ca ti o n o f th o se cl o su re s. At th i s p o i n t a n y kn o wn e rro r re co rd s

sh o u l d a l so be u p d a te d . I t i s re co m m e n d e d th a t th e p ro b l e m re co rd be

64 IT Service Management for Small IT Teams

 Resolution processes

re vi e we d a t cl o s u re to m a ke su re th a t a l l o f th e i n fo rm a ti o n h a s been

re co rd e d cl e a rl y so a s to p e rm i t fu tu re a n a l ysi s.

Major problem review

In th e sa m e wa y th a t th e re sh o u l d be a d e fi n i ti o n in th e i n ci d e n t

m a n a g e m e n t p o l i cy fo r wh a t th e o rg a n i z a ti o n d eem s a m a j o r i n ci d e n t,

th e re sh o u l d be a d e fi n i ti o n in th e p ro b l e m m a n a g e m e n t p o l i cy fo r a

‘ m a j o r’ p ro b l e m .

U pon cl o su re of a p ro b l e m d eem ed to be m a j o r, a re vi e w s h o u l d ta ke

p l a ce to e xa m i n e :

• wh a t wa s d o n e we l l ;

• wh a t co u l d h a ve been d on e b e tte r;

• h o w to p re ve n t re cu rre n ce ;

• wh e th e r th e re wa s a n y th i rd p a rty re sp o n s i b l e ;

• wh e th e r fo l l o w-u p a cti o n s a re n eed ed .

An y a cti o n s a ri si n g sh o u l d be a d d ed to yo u r s e rvi ce i m p ro ve m e n t p l a n so

th a t th e y a re vi s i b l e and ca n be a d d re ss e d .

Summary

• Pro b l e m m a n a g em en t i s a huge boon to a sm a l l I T te a m

si n ce th e wh o l e aim i s to re d u ce th e re a cti ve wo rkl o a d

wh i ch i s th e ba n e of a l l I T te a m s b u t wh i ch i m p a cts o n

sm a l l o n e s wo rse th a n m o st.

• A p ro b l e m i s d e fi n e d b y I TI L a s ‘ th e u n kn o wn ca u se of on e

o r m o re i n ci d e n ts ’ . A kn o wn e rro r i s a p ro b l e m th a t h a s

been d i a g n osed su cce ssfu l l y (o r h a s a wo rka ro u n d ) bu t i s

n o t ye t fi xe d .

• A p ro b l e m m a n a g e m e n t p o l i cy d e ta i l s th e wa ys i n wh i ch

p ro b l e m s ca n be d e te cte d and l og g ed , wh a t i n fo rm a ti o n

n e e d s to be co l l e cte d and re co rd e d , th e ro l e s a n d

re s p o n si b i l i ti e s o f th o se i n vo l ve d , h o w i n fo rm a ti o n a bou t

p ro b l e m s wi l l be d i ss e m i n a te d and s h a re d a m on g th e

te ch n i ca l g ro u p s , wh a t te ch n i q u e s wi l l be u se d fo r

d i a g n o si s , e tc.

• In th e sa m e wa y th a t a l l i n ci d e n ts m u st b e l og g ed e ve n if

th e y h a ve a l re a d y b e e n re so l ve d , all p ro b l e m s m u st b e

l og g ed . Th i s e n su re s th a t th e h i sto ri c d a ta re fl e cts a tru e

p o si ti o n and ca n be u se d fo r tre n d i n g and a n a l ysi s.

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N ext steps

1 . Lo o k a t yo u r e xi sti n g s e rvi ce d e s k to o l to se e h ow i t m a y

be a bl e to l og p ro b l e m s a s we l l a s i n ci d e n ts.

2. D e fi n e yo u r p ro b l e m m a n a g e m e n t p o l i cy a n d p ro ce s s.

3. S ta rt to l og p ro b l e m s a n d d i a g n ose th e i r ro o t ca u se .

O th er I TI L servi ce opera ti on processes

Al th o u g h th e 2 005 ve rsi o n o f th e I S O /I E C 2 0 0 0 0 s ta n d a rd d e fi n e s o n l y

two re so l u ti o n p ro ce s se s, I TI L V3 g oes a b i t fu rth e r a n d d e scri b e s th re e

fu rth e r p ro ce sse s th a t m a y b e o f u se to a sm a l l I T te a m , and we wi l l

b ri e fl y co ve r th e m h e re . Th e y a re re q u e s t fu l fi l m e n t, e ve n t m a n a g e m e n t

and a cce ss m a n a g e m e n t.

Request fulfilment
Li ke i n ci d e n t m a n a g e m e n t, re q u e st fu l fi l m e n t i s a p ro ce ss yo u a re a l m o st

ce rta i n l y d o i n g a l re a d y a s i t i s, b y i ts n a tu re , e ss e n ti a l to th e o p e ra ti o n of

a s e rvi ce d e s k. G ood p ra cti ce re co m m e n d s th e s e p a ra ti o n o f i n ci d e n ts a n d

se rvi ce re q u e sts b e ca u s e th e y a re d i ffe re n t i n a n u m b e r o f wa ys. F i rs t a n d

fo re m o st, wh i l s t a n i n ci d e n t i s a re p o rt o f s o m e th i n g b ro ke n , a s e rvi ce

re q u e st i s a re p o rt o f so m e th i n g th a t th e u se r wa n ts. Typ i ca l e xa m p l e s o f

se rvi ce re q u e sts i n cl u d e :

• a n e w u s e r to be cre a te d ;

• so m e e q u i p m e n t to be p u rch a se d ;

• a d e sk a n d a s so ci a te d ki t to be m o ve d ;

• cl a ri fi ca ti o n on s e rvi ce d esk open i n g ti m e s ;

• h o w to u se a fe a tu re of a n a p p l i ca ti o n ;

• a co m p l a i n t (o r co m p l i m e n t) a bou t a se rvi ce o r m e m b e r o f s ta ff.

Th e fi rst th re e o f th e se e xa m p l e s a re , in fa ct, sta n d a rd ch a n g e s –

p re d e fi n e d , l o w ri sk ch a n g e s th a t d o n ’t n e e d to go th ro u g h th e fu l l

ch a n g e m a n a g e m e n t p ro ce s s. S u ch sta n d a rd ch a n g e s a re re q u e ste d vi a

th e s e rvi ce d esk a s a se rvi ce re q u e st a n d m a n y o rg a n i z a ti o n s wi l l l o o k to

a u to m a te a s m u ch o f th e p ro ce ssi n g o f th e se re q u e sts a s p o ssi b l e . Th e

i d ea l wi l l be to p ro vi d e a se l f-se rvi ce p o rta l to th e u se r wh i ch ca p tu re s

th e re q u i re d i n fo rm a ti o n and ro u te s i t d i re ctl y to th e p e rso n wh o n eed s

to a p p ro ve th e re q u e st, i f n e ce ss a ry b yp a ssi n g th e se rvi ce d e sk. Al th o u g h

su ch se l f-s e rvi ce p o rta l s ca n be d i ffi cu l t to cre a te th e y h a ve th e p o te n ti a l

to p o si ti ve l y a ffe ct th e wo rkl o a d o f th e se rvi ce d e sk a n d so sh ou l d be

se ri o u s l y l o o ke d a t.

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S e rvi ce re q u e sts a re a l so d i ffe re n t fro m i n ci d e n ts i n th a t th e y wi l l u su a l l y

h a ve l o n g e r ti m e sca l e s a sso ci a te d wi th th e m a s th e y a re u su a l l y l e s s

u rg e n t a n d m a y re l y u p o n an e xte rn a l s u p p l i e r, fo r e xa m p l e , fo r

e q u i p m e n t re q u e s ts. Th e se ti m e sca l e s s h o u l d be a g re e d wi th th e b u s i n e ss

a s p a rt o f yo u r S LA – a l th o u g h fo r re q u e s ts s u ch a s n e w u se r se t- u p

cu s to m e rs ra re l y se e m to pl a n a h ea d , o fte n i n fo rm i n g th e se rvi ce d e sk o n

th e F ri d a y o f a n e w sta rte r o n th e M o n d a y. Re m e m b e r, h o we ve r, th a t i f a

o n e -d a y tu rn a ro u n d i s wh a t th e b u s i n e ss re a l l y n e e d s a n d i t i s wi l l i n g to

p a y fo r th e I T te a m to be re so u rce d a cco rd i n g l y, th e n th i s m a y b e

p e rfe ctl y a p p ro p ri a te .

Event management
Al so n e w wi th I TI L V3 wa s th e p ro ce s s o f e ve n t m a n a g e m e n t. In p ra cti ce

th i s i n vo l ve s m o n i to ri n g th e I T e s ta te , u si n g on e o r m o re so ftwa re to o l s ,

and th e n h a vi n g th e co rre ct p ro ce d u re s i n p l a ce to re a ct to e ve n ts th a t

o ccu r th a t h a ve so m e ki n d o f s i g n i fi ca n ce – u su a l l y th a t so m e th i n g has

h a ppen ed o r i s a b o u t to h a ppen . E xa m p l e s wo u l d be a se rve r fa i l i n g or

d i sk u sa g e p a ss i n g a th re s h o l d va l u e . Th e tri ck o n ce an e xce p ti o n e ve n t

(i . e . on e we n eed to do so m e th i n g a b o u t) i s d e te cte d i s to e n su re th a t i t

g o e s th ro u g h th e co rre ct I T se rvi ce m a n a g e m e n t p ro ce s s; th i s co u l d be

i n ci d e n t, p ro b l e m o r ch a n g e m a n a g e m e n t. M o st m o n i to ri n g to o l s ca n

p ro d u ce an em a i l a l e rt wh i ch ca n be se n t to an i n b o x th a t i s wa tch e d by

yo u r se rvi ce d e sk to o l and an i n ci d e n t a u to m a ti ca l l y cre a te d . Wh i l st th i s

ca n be ve ry u se fu l , yo u wi l l n eed to a vo i d th e si tu a ti o n wh e re many

e rro n e o u s i n ci d e n ts a re a u to m a ti ca l l y g e n e ra te d , so so m e

e xp e ri m e n ta ti o n wi l l be ca l l e d fo r h e re .

Access management
Th i s p ro ce ss d e a l s wi th th e m a n a g e m e n t o f u se r a cco u n ts a n d p e rm i ssi o n s

a cco rd i n g to th e i n fo rm a ti o n se cu ri ty p o l i cy. M o st su ch a cti vi ti e s wi l l be

h a n d l ed vi a th e re q u e st fu l fi l m e n t p ro ce ss a b o ve (e . g . n e w u se r cre a ti o n ) .

A ke y ste p i s th e co n fi rm a ti o n o f i d e n ti ty to e n s u re th a t th e peopl e

m a ki n g re q u e sts a re wh o th e y sa y th e y a re , e s p e ci a l l y i f co n ta cti n g th e

se rvi ce d e sk vi a ph on e. Th i s i s a n a re a o fte n n e g l e cte d in a sm a l l I T te a m ,

p a rtl y b e ca u se th e sta ff o n th e s e rvi ce d e s k m a y kn o w th e m a j o ri ty o f th e

u s e rs a n d re co g n i z e th e i r vo i ce s.

Th e re m a i n d e r o f th i s a re a i s co n ce rn e d wi th cre a ti n g g ro u p s fo r u se rs , so

th a t a cce ss ri g h ts a re i n h e ri te d in th e co rre ct wa y, and re g u l a rl y

re vi e wi n g th e d e g re e o f a cce s s i n p l a ce . M o st o rg a n i z a ti o n s a tte m p t to

l i a i se wi th H R to ke e p on to p o f sta rte rs a n d l e a ve rs, wi th va ryi n g re su l ts.

Th i s i s a g ood i d ea i f yo u r H R te a m i s wi l l i n g to pl a y a n d ca n p ro vi d e th e

i n fo rm a ti o n re g u l a rl y a n d in a u sea bl e fo rm a t. Th i s a re a sh o u l d a l so be

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h e a vi l y i n vo l ve d in th e d e ve l o p m e n t a n d re l e a se o f n e w se rvi ce s to

e n su re th e i n te g ri ty o f th e se cu ri ty o f th e l i ve e n vi ro n m e n t.

Summary

• Re q u e st fu l fi l m e n t i s we l l wo rth sp e n d i n g so m e ti m e on to

a n a l yse and a u to m a te a s m u ch a s p o s si b l e .

• E ve n t m a n a g e m e n t ca n h el p yo u to i d e n ti fy i n ci d e n ts

b e fo re , or a s soon a s, th e y h a p p e n and ta ke a p p ro p ri a te

a cti o n .

• Acce s s m a n a g e m e n t d e a l s wi th th e wa y i n wh i ch u se rs a re

cre a te d and p e rm i ssi o n s a ssi g n e d .

Next steps

1 . Cre a te a l i s t o f yo u r co m m o n re q u e sts a n d see to wh a t

e xte n t th e y co u l d be a u to m a te d .

2. Re vi e w yo u r u s e o f m o n i to ri n g to o l s to se e h o w th e y co u l d

be u se d to sp o t i n ci d e n ts b e fo re th e y h a p p e n .

3. Ch e ck th a t yo u r se rvi ce d e sk co n fi rm s th e i d e n ti ty o f u se rs

re q u e s ti n g a cce ss to s yste m s i n an a p p ro p ri a te wa y.

Control processes
Th e co n tro l p ro ce s se s, ch a n g e , re l e a s e and co n fi g u ra ti o n m a n a g em en t

p ro vi d e a so l i d fra m e wo rk to p ro te ct th e i n te g ri ty o f yo u r l i ve

e n vi ro n m e n t a n d g i ve yo u a fu l l e r u n d e rsta n d i n g o f h o w yo u r I T e sta te

fi ts to g e th e r.

Change management
Objective

To ensure all changes are assessed, approved, implemented and

reviewed in a controlled manner.
O n ce yo u r I T se rvi ce s a re in p l a ce th e y sh o u l d , in th e o ry a t l e a s t, ke e p

ru n n i n g wi th a minimum o f o u tsi d e i n te rve n ti o n . Th i s i s tru e o f p ro ce sse s

p e rfo rm e d by peopl e j u st a s i t i s o f d a ta p ro ce sse d b y h a rd wa re and

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so ftwa re . Ye s , h a rd wa re b re a ks a n d a cci d e n ts h a p p e n b u t, g e n e ra l l y, if

yo u l e a ve i t a l on e ve ry l i ttl e sh ou l d go wro n g . U n ti l yo u sta rt to ch a n g e

i t.

Ch a n g e i s o fte n q u o te d a s bei n g on e o f th e fe w ce rta i n ti e s i n l i fe ;

n o th i n g sta ys th e sa m e fo re ve r. M a n a g ed ch a n g e ca n ce rta i n l y b e a ve ry

g ood th i n g , l ea d i n g to i m p ro ve m e n ts fo r th e fu tu re and ta ki n g th e

org a n i z a ti o n fo rwa rd . I f an o rg a n i z a ti o n wi sh e s to sta y i n b u si n e ss i n an

ofte n co m p e ti ti ve m a rke t, th e n i t h a s to ch a n g e wi th th e ti m e s a n d th a t

m e a n s ch a n g i n g i ts I T syste m s to o . B u t wi th ch a n g e i n e vi ta b l y co m e s ri s k

and th e p o te n ti a l to b ri n g d o wn p re vi o u s l y s e rvi ce a b l e syste m s th a t a re

e sse n ti a l to th e d a y-to -d a y wo rki n g s o f th e o rg a n i z a ti o n . Th i s i s wh e re

th e p ro ce ss o f ch a n g e m a n a g e m e n t co m e s i n . Th i s p ro ce ss i s a l l a bou t

pro te cti n g th e l i ve e n vi ro n m e n t b u t, a t th e sa m e ti m e , a l l o wi n g

be n e fi ci a l ch a n g e to ta ke p l a ce in a s l o w ri sk a fa sh i o n a s p o ss i b l e , and

wi th o u t i n tro d u ci n g an a d m i n i stra ti ve n i g h tm a re th a t l e a d s to I T s ta ff

ci rcu m ve n ti n g th e p ro ce ss wh e n th e y ca n .

So do yo u kn o w wh a t ch a n g e s a re h a ppen i n g to th e s e rvi ce s yo u

su p p o rt? Th e ch a n ce s a re th a t i f yo u d o n ’t h a ve ch a n g e m a n a g em en t i n

pl a ce th e n yo u d o n ’t; yo u m a y be a wa re o f so m e o r e ve n m a n y o f th e m ,

bu t ce rta i n l y n o t a l l . An d th a t m e a n s yo u h a ve a ri s k th a t i s cu rre n tl y

u n q u a n ti fi e d and u n m a n a g ed .

Th i s ri sk m a y b e due to a n u m b e r o f re a s o n s, su ch a s:

• ch a n g e s a re p o o rl y th o u g h t th ro u g h and so d o n ’t h a ve th e e ffe ct

th a t wa s i n te n d e d ;

• th e y a re i m p l e m e n te d wi th o u t co n si d e ri n g th e i r i m p a ct o n u se rs;

• th e re a so n fo r d o i n g th e ch a n g e i s n o t cl e a r a n d th e co st m a y n o t b e

j u sti fi e d ;

• th e a cti o n s re q u i re d i f th e ch a n g e g o e s wro n g a re n o t co n si d e re d ;

• ch a n g e s a re n o t te s te d p ro p e rl y b e fo re o r a fte r i m p l e m e n ta ti o n ;

• m o re th a n on e p e rso n m a y be ch a n g i n g th e sa m e i te m , e a ch n ot

kn o wi n g a b o u t th e o th e r.

Th e s e ri sks ca n ca u s e m a j o r p ro b l e m s e ve n in a sm a l l I T te a m wh e re

co m m u n i ca ti o n i s g e n e ra l l y g o o d . An d i t’s o fte n n o t th e p e rs o n th a t

made th e u n su cce ssfu l ch a n g e th a t fe e l s th e pa i n a fte rwa rd s; u n l e ss h e or

sh e i s a l so on fi rst-l i n e s e rvi ce d e s k. Ch a n g e m a n a g em en t i s a l l a bou t

managing th e ri sk o f ch a n g e . I t d o e s n o t re m o ve th e ri s k co m p l e te l y;

ch a n g e s wi l l sti l l fa i l e ve n a fte r yo u h a ve pu t a p ro ce s s i n p l a ce , bu t

h o p e fu l l y l e ss o fte n and th e y wi l l h a ve l ess of a n i m p a ct o n u se rs.

Th e re a re a n u m b e r o f ste p s yo u wi l l n eed to ta ke to g e t b a si c ch a n g e

m a n a g em en t i n p l a ce in yo u r I T te a m . We ’ l l go th ro u g h th e m and

e xp l a i n th e e sse n ti a l s b e fo re ta l ki n g a b o u t re l e a se m a n a g e m e n t, wh i ch is

a re l a te d p ro ce ss th a t d e a l s wi th th e ro l l -o u t o f a n u m b e r o f re l a te d

ch a n g e s th a t h a ve a wi d e r th a n n o rm a l i m p a ct.

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5 Implementing IT service management

In a sm a l l I T te a m th e a l l o ca ti o n o f ro l e s i s u su a l l y fa i rl y stra i g h tfo rwa rd

a s th e ch o i ce i s s o m e wh a t l i m i te d . O fte n th e I T M a n a g e r wi l l ta ke th e

ro l e o f Ch a n g e M a n a g e r, wh o i s re sp o n s i b l e fo r th e p ro ce ss o ve ra l l and

ru n n i n g th e Ch a n g e Ad vi s o ry B o a rd m e e ti n g s (se e th e n e xt se cti o n ,

‘ Ch a n g e m a n a g e m e n t p ro ce ss’ ) . I f yo u h a ve th e re s o u rce s yo u m a y a l so

d e ci d e to a ppoi n t a Ch a n g e Co -o rd i n a to r wh o wi l l do so m e o f th e

a d m i n i stra ti o n o f th e p ro ce ss, bu t a g oa l sh ou l d be to m i n i m i ze th i s

admin a s m u ch a s p o s si b l e .

In o rd e r to m a ke su re th a t e ve ryo n e l o g s ch a n g e s a n d fo l l o ws th e n ew

p ro ce ss, yo u wi l l n eed to be cl e a r a b o u t wh a t i t co ve rs, a t l e a st i n th e

fi rst p h a s e . F o r e xa m p l e , do yo u wa n t to manage ch a n g e s to so ftwa re

a p p l i ca ti o n s o r re stri ct th e sco p e to s e rve rs a n d n e two rk i n fra stru ctu re ?

Yo u wi l l a l so h a ve a n u m b e r o f co m m o n ch a n g e s th a t h a p p e n all th e

ti m e – fo r e xa m p l e , n e w u se r cre a ti o n s, PC i n sta l l a ti o n s o r i n d i vi d u a l fi l e

re s to re s. Yo u p ro b a b l y d o n ’t wa n t to ta ke th e se typ e s o f sm a l l , l o w-ri sk

ch a n g e th ro u g h a fu l l ch a n g e m a n a g e m e n t p ro ce s s a s i t wo u l d d el a y

th e m u n n e ce ssa ri l y a n d be o f l i ttl e b e n e fi t. So th e se a re u su a l l y m a n a g ed

as a se p a ra te ki n d o f ch a n g e kn o wn a s th e ‘ se rvi ce re q u e st’ and a re

l og g ed and p ro ce sse d on th e s e rvi ce d e sk syste m a s su ch . Cre a te yo u rs e l f

a l i s t o f th e se se rvi ce re q u e sts a n d m a ke i t cl e a r to yo u r te a m th a t th e se

d o n ’t n e e d to be l og g ed a s ch a n g e re q u e s ts (b u t th e y sti l l n eed to be

re co rd e d ) .

Change management process

N o w yo u ’ l l n eed to d e fi n e a p ro ce ss so th a t e ve ryo n e in yo u r te a m kn o ws

wh a t th e y sh o u l d be d oi n g . A si m p l e fl o wch a rt wi l l su ffi ce a t fi rst, s u ch as

th e on e sh o wn in F i g u re 7, and th i s ca n be d e ve l o p e d a s th e p ro ce s s b e d s

in and l e sso n s a re l e a rn e d fro m th e e xp e ri e n ce o f ru n n i n g i t. Th e

fo l l o wi n g a re th e main p o i n ts th a t n e e d to be co ve re d in th e p ro ce ss.

Log changes as change requests

Th i s i s p ro b a b l y th e m o st d i ffi cu l t, b u t a t th e sa m e ti m e m o st i m p o rta n t,

p a rt o f i n tro d u ci n g ch a n g e m a n a g e m e n t – g e tti n g sta ff to l og ch a n g e s i n

th e fi rst p l a ce . Th e ke y p o i n t to m a ke to yo u r I T sta ff wh e n i n tro d u ci n g

ch a n g e m a n a g e m e n t i s th a t l o g g i n g a ch a n g e re q u e st a n d g e tti n g it

a u th o ri z e d p ro vi d e s th e m wi th a d d i ti o n a l p ro te cti o n in th e e ve n t th a t i t

g o e s wro n g . I f so m e o n e e l se h a s co n fi rm e d th e n eed fo r i t, ch e cke d th e

pl a n and a g re e d th e ti m i n g , th e n i t’s u n re a l i sti c fo r th e i m p l e m e n te r to

ta ke all th e bl a m e fo r a fa i l e d ch a n g e . Th e ca u se p ro b a b l y l i e s

so m e wh e re in th e ch a n g e m a n a g e m e n t p ro ce ss a n d ca n be a d d re sse d as

an i m p ro ve m e n t so th a t i t i s l e s s l i ke l y to h a ppen again. In th e fi rst fe w

we e ks, h o we ve r, yo u wi l l n eed to be vi g i l a n t to e n su re th a t ch a n g e s a re

n ot bei n g made o u tsi d e o f th e p ro ce s s a n d yo u m a y n eed to cl a ri fy wh a t

is and i s n ’t wi th i n sco p e .

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 Control processes

Change requests are often logged on the same service desk system as
that used for incident and problem management and this is useful
because you will be able to link the different types of records together to
provide an audit trail. But if your system does not support change
management then a spreadsheet approach, perhaps combined with
document templates for change request forms, is perfectly workable at
first.

There are a number of basic details that need to be included on the

change request:

• Who is submitting it?

• Description of the change – what needs to be done?
• Business reason for the change – why does it need to happen?
• Testing to be carried out before the change (to check that it will
work) and after the change (to check it has indeed worked).
• Backout plan – what will we do if the change has unexpected results
and we want to remove it again?
• Anticipated date for the change to happen.

The Change Manager should perform an initial check of the details

supplied when the request is logged to make sure all the required
information has been provided to a sufficient level of detail to allow
assessment to take place.

Figure 7 – Basic change management process

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5 Implementing IT service management

Assess the change request

Th e re i s l i ttl e poi n t i n g e tti n g I T sta ff to l og ch a n g e re q u e sts i f th e y th e n

h a ve to wa i t to o l on g fo r th e m to be a s se sse d and h o p e fu l l y a u th o ri z e d .

I f th i s i s th e ca s e th e re is a d a n g e r th a t th e p ro ce ss wi l l fa l l i n to d i su se as

sta ff wi l l n o t se e th e poi n t i n l og g i n g th e m in th e fi rst p l a ce . Th e Ch a n g e

Ad vi so ry B o a rd (CAB ) is a ra th e r o l d -fa sh i o n e d name fo r a m e e ti n g wh e re

ch a n g e s a re a s se sse d on a re g u l a r b a si s, l ed b y th e Ch a n g e M a n a g e r. A

re a so n a b l e minimum fre q u e n cy i s p ro b a b l y o n ce a we e k fo r a sm a l l IT

te a m b u t th i s wi l l , o f co u rse , d epen d u pon th e n u m b e r o f ch a n g e s to be

a sse s se d . Th e a tte n d e e s j u st n e e d to be th e peopl e wi th an i n te re st i n

on e o r m o re o f th e ch a n g e s b e i n g re vi e we d and yo u m a y d e ci d e to b ri n g

peopl e in o n l y a t th e ti m e s wh e n th e i r ch a n g e s a re bei n g a sse ss e d in

o rd e r to m a ke b e st u s e o f th e i r va l u a b l e ti m e . In a sm a l l te a m th e poi n t

i s o fte n made th a t o n l y o n e p e rso n h a s th e te ch n i ca l kn o wl e d g e to kn o w

wh e th e r th e p ro p o se d ch a n g e wi l l wo rk, and th a t p e rs o n i s th e on e wh o

ra i se d th e ch a n g e in th e fi rst p l a ce . Th e b e n e fi t o f u s i n g th e ch a n g e

m a n a g e m e n t p ro ce ss i n th e se ca se s i s i n th e s tru ctu re d q u e sti o n i n g o f th e

te ch n i ci a n so th a t h e o r sh e i s co n fi d e n t th a t i t h a s b e e n te ste d it and

kn o ws wh a t to do i f i t d o e sn ’t wo rk; th e se a re sti l l va l i d p o i n ts e ve n if

th e te ch n i ca l i ti e s a re n o t u n d e rsto o d b y th e Ch a n g e M a n a g e r.

As wi th m o st o f th e p ro ce s se s o f I T s e rvi ce m a n a g e m e n t, i t’s a g ood i d ea

to m a ke th e CAB m e e ti n g s a s sh o rt a n d to th e p o i n t a s p o s si b l e wi th a

minimum of a d m i n a fte rwa rd s . To th i s e n d we wo u l d re co m m e n d th a t

yo u co n d u ct th e m e e ti n g wi th th e ch a n g e m a n a g e m e n t syste m on a

scre e n o r p ro j e cto r a n d u p d a te i t d i re ctl y d u ri n g th e m e e ti n g .

As Ch a n g e M a n a g e r yo u m a y d e ci d e to a s se ss a n d a u th o ri z e so m e sm a l l e r

ch a n g e s p ri o r to th e n e xt CAB m e e ti n g , p a rti cu l a rl y i f i t i s a fe w d a ys

a wa y. Th i s i s p e rfe ctl y a cce p ta b l e a s l on g as all o f th e a re a s l i s te d in th e

n e xt p a ra g ra p h a re a d d re ss e d d u ri n g th e a ss e ssm e n t. Wa vi n g ch a n g e

th ro u g h wi th o u t b a cko u t o r te st p l a n s i s a ba d i d ea and wi l l undo all

yo u r g o o d wo rk i n i m p l e m e n ti n g ch a n g e m a n a g e m e n t.

N e wl y l o g g e d ch a n g e s wi l l n eed to be a s se sse d in a n u m b e r o f wa ys to

sa ti sfy th e Ch a n g e M a n a g e r th a t th e y a re su i ta b l e to p ro ce e d . Th e main

a re a s fo r a ss e ssm e n t a re a s fo l l o ws.

• Completeness – H a s th e s u b m i tte r p ro vi d e d all th e re q u i re d

i n fo rm a ti o n ? O fte n a sp e cts su ch a s te sti n g and b a cko u t p l a n s a re

n e g l e cte d ; i f th e y a re n ot u p to scra tch th e Ch a n g e M a n a g er sh ou l d

re fe r th e ch a n g e re q u e st b a ck to th e su b m i tte r to do i t p ro p e rl y.

• Business justification – I s th e ch a n g e wo rth th e ti m e and m on ey i t

wi l l co st to i m p l e m e n t?

• Ri sk – H o w l i ke l y i s th e ch a n g e to su cce e d ? H a s i t b e e n te ste d and

pl a n n ed a d e q u a te l y? H a s th e p e rso n wh o wi l l i m pl em en t i t en ou g h

kn o wl e d g e and e xp e ri e n ce to m a ke i t wo rk? Wa tch o u t fo r ch a n g e s

th a t ca n ’t b e b a cke d o u t.

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 Control processes

• Timing – Wh e n i s th e b e st ti m e to i m p l e m e n t i t? Wh a t p e ri o d s

sh o u l d be a vo i d e d , fo r e xa m p l e , d u ri n g ye a r- e n d p ro ce ss i n g or

Ch ri stm a s fo r a re ta i l e r?

• Security, capacity and service continuity – D o e s th e ch a n g e a ffe ct a n y

o f th e se a re a s , fo r e xa m p l e , a se rve r l o ca ti o n m o ve m a y m ea n th a t

th e se rvi ce co n ti n u i ty p l a n n e e d s to be a m en d ed to o ?

Th i s s o u n d s l i ke a l o t to l o o k a t, b u t a s yo u g e t u se d to th e p ro ce s s i t wi l l

b e co m e se co n d -n a tu re to th i n k a b o u t e a ch o f th e se a re a s . As p a rt o f th e

a s se ssm e n t o f th e ch a n g e yo u wi l l a l so n eed to cl a s si fy i t a cco rd i n g to a

si m p l e sch e m e . U su a l l y th e fo l l o wi n g ca te g o ri e s o f ch a n g e wi l l s u ffi ce :

• major – bi g ch a n g e s , p e rh a p s m a n a g e d as a p ro j e ct;

• normal – i n d i vi d u a l ch a n g e s; m o st wi l l be o f th i s typ e ;

• emergency – n eed ed as a re su l t o f a n i n ci d e n t.

A wo rd on e m e rg e n cy ch a n g e s: i t o fte n h a p p e n s th a t I T s ta ff a t fi rst fa i l

to pl a n a h ea d and l og th e i r ch a n g e s i n p l e n ty o f ti m e fo r th e m to be

a s se sse d at a CAB . Th i s d o e s n ’t m e a n th e ch a n g e is an e m e rg e n cy a n d

yo u s h o u l d n ’t a l l o w i t to be l og g ed a s su ch . Th e e m e rg e n cy ch a n g e

ca te g o ry sh o u l d be re se rve d fo r th o se ch a n g e s th a t h a ve su d d e n l y

b e co m e n e ce s sa ry a n d co u l d n o t h a ve been p re d i cte d , p ro b a b l y a s a

re su l t o f a n i n ci d e n t. Th e p ro ce ss fo r su ch ch a n g e s i s e ffe cti ve l y th e sa m e

a s th a t fo r o th e r typ e s o f ch a n g e , b u t i s e xe cu te d m o re ra p i d l y. Be ca re fu l

n o t to th ro w a l l a sse ss m e n t a n d co n tro l o u t o f th e wi n d o w i n th e h ea t of

th e m o m e n t a s i t m a y co m e b a ck to h a u n t yo u l a te r.

Au th ori ze (or rej ect) th e ch a n g e

At th e en d o f th e a s se ssm e n t ste p yo u wi l l n eed to m a ke a d e ci s i o n on

wh e th e r th e ch a n g e ca n go a h ea d o r n o t. S o m e ti m e s m o re i n fo rm a ti o n is

re q u i re d and th e ch a n g e wi l l re m a i n in th e a sse ssm e n t ste p u n ti l th a t i s

p ro vi d e d . Th e ch a n g e m a y a l so be re j e cte d o u tri g h t i f i t i s j u d g e d n o t to

be re q u i re d o r j u sti fi e d . B u t a ssu m i n g i t p a sse s th e te st, th e ch a n g e wi l l

th e n be fl a g g e d a s ‘ a u th o ri se d ’ and th e re l e va n t p e rso n (wh o m a y or

m a y n ot be th e s u b m i tte r) ca n go a h ea d and i m p l e m e n t i t. Th e d a te and

th e p e rso n a u th o ri z i n g th e ch a n g e sh ou l d be re co rd e d . I d e a l l y th i s s h o u l d

be so m e o n e d i ffe re n t fro m th e a sse s so r, bu t i n a sm a l l te a m th i s i s n o t

a l wa ys p o s si b l e .

I m pl em en t th e ch a n g e

Th e ch a n g e sh o u l d be a p p ro ve d fo r i m p l e m e n ta ti o n at an a g re e d d a te

and ti m e and th e re m a y be co n d i ti o n s i m p o s e d th a t a d d i ti o n a l te s ti n g is

ca rri e d o u t fi rst. B u t, s u b j e ct to th e se fa cto rs, th e ch a n g e sh o u l d th e n be

made a s pl a n n ed and th e re s u l t re co rd e d on th e ch a n g e m a n a g em en t

re co rd a s ‘ i m p l e m e n te d su cce ss fu l l y’ o r ‘ fa i l e d ’ . I f th e ch a n g e wa s n o t

su cce ssfu l i t m a y n eed to be re m o ve d a cco rd i n g to th e b a cko u t p l a n th a t

wa s d e fi n e d a s p a rt o f th e ch a n g e re q u e st a n d th i s sh o u l d be re co rd e d

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a g a i n st th e ch a n g e re co rd . S o m e ti m e s b a cki n g o u t th e ch a n g e i s n o t th e

b e st a p p ro a ch and a fu rth e r ch a n g e re q u e st m a y b e ra i s e d to co rre ct th e

u n wa n te d e ffe cts o f th e fi rst o n e .

Case in point

A p ro j e ct wa s i n th e middle o f i m p l e m e n ta ti o n , wi th so m e

m o d u l e s l i ve and o th e rs i n te st. Th e p ro j e ct te a m d ea l d i re ctl y

wi th th e su p p l i e r o f th e a p p l i ca ti o n to re p o rt b u g s i n b o th

e n vi ro n m e n ts. Th e su p p l i e r wo u l d dial on to th e se rve r a n d

m a ke wh a te ve r a m e n d m e n ts i t th o u g h t wa s n e ce ssa ry. Th e

tro u b l e wa s th e cu sto m e r n e ve r kn e w wh e n th e ch a n g e s we re

bei n g made o r wh a t e l s e th e y wo u l d a ffe ct. Li ve u se rs

co m p l a i n e d b i tte rl y th a t, wh i l st so m e b u g s we re fi xe d , th e y

n e ve r kn e w fro m d a y to d a y wh i ch fu n cti o n s wo u l d wo rk a n d

wh i ch wo u l d be su d d e n l y a n d m yste ri o u sl y b ro ke n .

I t m a y be u se fu l to m a i n ta i n a fo rwa rd l o o ki n g p i ctu re o f wh i ch ch a n g e s

a re sch e d u l e d fo r i m p l e m e n ta ti o n and wh e n , in o rd e r to i d e n ti fy

p o te n ti a l co n fl i cts a n d i n fo rm th e re l e va n t p a rti e s o f wh e n syste m s m a y

n ot be a va i l a b l e fo r u se . Th i s i s o fte n ca l l e d th e ‘ ch a n g e sch e d u l e ’ .

Review the change

As we l l a s a s se ssi n g ch a n g e re q u e sts , th e CAB wi l l a l so re vi e w ch a n g e s

th a t h a ve been i m p l e m e n te d a fte r a ro u n d on e o r two we e ks to ch e ck

th a t th e re h a ve been no u n e xp e cte d i m p l i ca ti o n s fro m i t – fo r e xa m p l e ,

i n cre a se d n u m b e rs o f i n ci d e n ts re p o rte d to th e se rvi ce d e sk.

Close the change

O n ce re vi e we d , th e ch a n g e re q u e st ca n be cl o se d .

Th e se a re th e m a j o r s te p s i n vo l ve d in a ch a n g e m a n a g e m e n t p ro ce ss .

E a ch s te p wi l l h a ve a s ta tu s a s so ci a te d wi th i t b e twe e n wh i ch th e ch a n g e

re q u e st m o ve s. Th e se a re u s u a l l y si m i l a r to th e fo l l o wi n g :

• l og g ed ;

• bei n g a s se sse d ;

• a u th o ri z e d ;

• re j e cte d ;

• i m p l e m e n te d ;

• fa i l e d ;

• cl o se d .

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As wi th m o st o f th e I T s e rvi ce m a n a g e m e n t p ro ce sse s yo u wi l l wa n t to

ke e p a n e ye on th e e m e rg i n g tre n d s i n th e n u m b e r o f ch a n g e s s u b m i tte d

and th e i r su cce ss i n i m p l e m e n ta ti o n . Th i s wi l l a l l o w yo u to i d e n ti fy a n y

i m pro ve m e n ts th a t co u l d be made to th e e ffe cti ve n e ss o f th e p ro ce ss a n d

p ro vi d e yo u in th e l on g te rm wi th b e tte r re su l ts.

Summary

• Ch a n g e m a n a g em en t i s a l l a bou t m a n a g i n g th e ri sk o f

ch a n g e to yo u r (h o p e fu l l y) sta b l e l i ve e n vi ro n m e n t.

• E a ch ch a n g e re q u e s t sh o u l d be l og g ed , a sse ss e d , a p p ro ve d ,

i m p l e m e n te d and re vi e we d a s p a rt o f th e p ro ce ss.

• D e ta i l s l i ke b a cko u t p l a n s a n d p ro p e r te sti n g a re e ss e n ti a l

and sh o u l d n ot be m i sse d o u t.

• E m e rg e n cy ch a n g e s a re fa st- tra cke d th ro u g h th e p ro ce ss,

b u t o n l y i f th e y a re g en u i n e e m e rg e n ci e s i n re sp o n s e to an

u rg e n t n e e d to re sto re s e rvi ce to u se rs.

Next steps

1 . Ch e ck to wh a t e xte n t yo u r e xi sti n g se rvi ce d e sk sys te m

su p p o rts th e p ro ce s s o f ch a n g e m a n a g e m e n t; i f i t d o e s n ’t,

yo u wi l l n eed to d e ci d e wh e th e r to re p l a ce i t o r wo rk

a ro u n d th e l i m i ta ti o n s wi th sp re a d sh e e ts, e tc.

2. D e fi n e yo u r ch a n g e m a n a g e m e n t p o l i cy a n d p ro ce ss wi th

i n p u t fro m yo u r te a m .

3. I d e n ti fy th e ch a n g e s yo u wi l l tre a t a s se rvi ce re q u e sts .

4. S ta rt to l og ch a n g e s a n d h ol d CAB m e e ti n g s to re vi e w

th e m .

Release and deployment management

Objective

To deliver, distribute and track one or more changes in a release into

the live environment.
I t i s re l a ti ve l y u n u su a l n o wa d a ys fo r a sm a l l I T te a m to d e ve l o p i ts o wn

b e s po ke s o ftwa re and h e n ce th e cl a ss i ca l p ro ce ss o f re l e a s e m a n a g em en t

ta ke s o n l e ss i m p o rta n ce th a n i t d oes i n a tra d i ti o n a l so ftwa re

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d e ve l o p m e n t e n vi ro n m e n t. H o we ve r, th e p ro ce ss a s a wh o l e i s s ti l l

re l e va n t to e n su ri n g th a t th e p a cka g e d a p p l i ca ti o n s u se d wi th i n th e

o rg a n i z a ti o n a re ro l l e d ou t i n a co n tro l l e d wa y.

Th e ke y p o i n ts a re to :

• d e fi n e wh a t yo u r p o l i cy i s wi th re g a rd to re l e a se m a n a g e m e n t – fo r

e xa m p l e , h o w o fte n yo u wi l l u p g ra d e ke y a p p l i ca ti o n s a n d h ow l on g

yo u wi l l wa i t a fte r n e w ve rsi o n s h a ve been made a va i l a b l e ;

• e n su re th a t n e w re l e a se s o f so ftwa re go th ro u g h th e ch a n g e

m a n a g e m e n t p ro ce ss so th a t th e y a re pl a n n ed and a ss e sse d

a p p ro p ri a te l y;

• h a ve an a cce p ta n ce te st e n vi ro n m e n t to a l l o w u se rs to ch e ck th a t th e

n e w re l e a se wo rks co rre ctl y b e fo re p u tti n g i t l i ve ;

• m a i n ta i n a fu l l p i ctu re o f wh a t a p p l i ca ti o n s a re i n sta l l e d , to g e th e r

wi th th e i r ve rs i o n s a n d en d o f su p p o rt d a te s ;

• cre a te a pl a n to co n tro l th e re l e a s e o f n e w ve rsi o n s a t th e

a p p ro p ri a te ti m e – fo r e xa m p l e , wh e n th e n e xt ve rsi o n o f yo u r o ffi ce

a p p l i ca ti o n wi l l be d i stri b u te d to all u se rs a n d wh e th e r i t wi l l be

p i l o te d fi rst.

Case in point

We h a ve p re vi o u sl y d o n e so m e wo rk fo r a m a j o r l i b ra ry th a t

p a cka g e d i ts s o ftwa re ch a n g e s fo r a s p e ci fi c a p p l i ca ti o n i n to

twi ce -ye a rl y re l e a se s th a t th e y ca l l e d th e ‘ H a l l o we e n ’ and

‘ B e l ta n e ’ re l e a se s.

E ffe cti ve pl a n n i n g o f n e w re l e a s e s vi a ch a n g e m a n a g e m e n t wi l l e n s u re

th a t i n ci d e n ts a n d p ro b l e m s a re m i n i m i zed and se rvi ce to u se rs i s

d i sru p te d a s l i ttl e a s p o ssi b l e .

I f yo u a re in th e game o f d e ve l o p i n g yo u r o wn so ftwa re , th e n re l e a se

m a n a g e m e n t m a y ta ke on m o re i m p o rta n ce fo r yo u . Yo u wi l l n eed to

d e ci d e h o w o fte n yo u wi l l p a cka g e m u l ti p l e ch a n g e s i n to a re l e a se fo r

i m p l e m e n ta ti o n . Th e re l e a se fre q u e n cy wi l l d epen d u pon an a g re e m e n t

wi th cu s to m e rs a s to h ow l on g th e y ca n wa i t fo r ch a n g e s to be

d e ve l o p e d and p u t l i ve , and wi l l go hand in hand wi th th e cl a ss i fi ca ti o n

s ch e m e o f ‘ m a j o r’ , ‘ n o rm a l ’ and ‘ e m e rg e n cy’ th a t we m e n ti o n e d e a rl i e r.

As we l l a s re g u l a r s ch e d u l e d re l e a se s yo u m a y n eed to d e fi n e a p ro ce ss

fo r d e l ta re l e a s e s co n ta i n i n g th o se ch a n g e s th a t th e b u si n e ss si m p l y ca n ’t

wa i t fo r. Th e ke y p o i n t h e re i s to a g re e i t wi th th e cu sto m e rs a n d

i n te g ra te i t i n to yo u r ch a n g e m a n a g e m e n t p ro ce ss.

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Summary

• Re l e a se m a n a g e m e n t i s a b o u t g ro u p i n g re l a te d ch a n g e s

to g e th e r fo r i m p l e m e n ta ti o n a t th e sa m e ti m e .

• F o r p a cka g e d a p p l i ca ti o n s, m u ch o f th i s wi l l h a ve been

d on e b y th e su p p l i e r b e fo re yo u re ce i ve th e s o ftwa re .

• F o r b e sp o ke d e ve l o p m e n t, yo u wi l l n eed to d e fi n e a

re l e a se p o l i cy fo r e a ch a p p l i ca ti o n wh i ch s e ts o u t th e typ e

and fre q u e n cy o f re l e a se s.

• Re l e a se m a n a g e m e n t n e e d s to be i m p l e m e n te d in cl o s e

co -o p e ra ti o n wi th th e ch a n g e m a n a g e m e n t p ro ce s s.

Next steps

1 . Cre a te a ca ta l o g u e o f yo u r i n sta l l e d s o ftwa re and i ts

ve rs i o n (s) .

2. Re vi e w wh e th e r yo u n eed to g ro u p so ftwa re ch a n g e s i n to

re l e a se s a n d h o w th i s wi l l wo rk wi th yo u r ch a n g e

m a n a g e m e n t p ro ce ss .

Configuration management
Objective

To define and control the components of the service and

infrastructure and maintain accurate configuration information.
Co n fi g u ra ti o n m a n a g e m e n t (o r, to g i ve i t i ts fu l l I TI L n a m e , se rvi ce a s se t

and co n fi g u ra ti o n m a n a g e m e n t) is an a re a th a t ca n be a s wi d e a s yo u

wa n t to m a ke i t. B a s i ca l l y i t i s a b o u t kn o wi n g wh a t yo u ’ ve g o t, wh e re it

is and i d e a l l y h o w th e va ri o u s p a rts o f yo u r I T l a n d sca p e re l a te to e a ch

o th e r. Tra d i ti o n a l l y th i s h a s m e a n t h a rd wa re a ss e ts, b u t i n cre a s i n g l y

o rg a n i z a ti o n s a re re co rd i n g and tra cki n g a va ri e ty o f o th e r typ e s o f a sse t,

su ch a s s e rvi ce s , s o ftwa re , d o cu m e n ta ti o n , and e ve n peopl e.

Th e b e n e fi ts o f e ffe cti ve co n fi g u ra ti o n m a n a g e m e n t ca n go fa r b e yo n d

th e a b i l i ty to p ro d u ce a l i sti n g of a l l yo u r I T e q u i p m e n t fo r i n s u ra n ce or

fi n a n ci a l a u d i ti n g p u rp o se s. Th e co n fi g u ra ti o n m a n a g e m e n t d a ta b a se

(CM D B ) a cts a s a s u p p o rti n g re p o si to ry o f i n fo rm a ti o n th a t i s u s e fu l in

o th e r I T se rvi ce m a n a g e m e n t p ro ce sse s su ch a s i n ci d e n t, p ro b l e m and

ch a n g e m a n a g e m e n t. Th e en d g oa l i s to cre a te a co m p re h e n si ve map of

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5 Implementing IT service management

h o w yo u r I T se rvi ce s a re d e l i ve re d , i n cl u d i n g th e re l a ti o n s h i p s b e twe e n

b u si n e ss p ro ce sse s, I T se rvi ce s, a p p l i ca ti o n s, se rve rs a n d n e two rks, so th a t

th e i m p a ct o f l o si n g on e o f th e m ca n be fu l l y a sse ss e d .

Th e re a re a n u m b e r o f d i ffe re n t wa ys o f a p p ro a ch i n g th i s a re a : so m e

o rg a n i z a ti o n s a d o p t a to p -d o wn m e th o d sta rti n g fro m th e i r se rvi ce

ca ta l o g u e and th e n m a ppi n g o u t th e co m p o n e n ts o f e a ch se rvi ce at

va ri o u s l e ve l s s u ch a s a p p l i ca ti o n , n e two rk a n d se rve r. O th e rs sta rt fro m

th e b o tto m wi th h a rd wa re and wo rk u p wa rd s to wa rd s th e se rvi ce s. B o th

a p p ro a ch e s a re va l i d ; fo r th e p u rp o se s o f e xp l a i n i n g th e p ri n ci p l e s we ’ l l

ta ke th e se co n d o f th e se and beg i n wi th th e h a rd wa re a s se ts.

Th e p ro ce ss o f g e tti n g yo u r h a rd wa re u n d e r co n tro l co n si sts o f fi ve s te p s,

and we wi l l co n si d e r th e m in o rd e r.

Th e ste ps a re s h o wn in F i g u re 8.

Figure 8 – Configuration management steps

Planning
B e fo re sta rti n g to re co rd and co n tro l yo u r a sse ts yo u ’ l l n eed to d e ci d e

so m e b a si c p l a n n i n g p a ra m e te rs, su ch a s:

• How will the exercise be resourced – b o th in th e i m p l e m e n ta ti o n

sta g e s a n d th e on g oi n g o p e ra ti o n o f th e p ro ce ss? I f yo u cu rre n tl y

h a ve no re co rd s a t a l l th e n i t m a y be a bi g j ob to sta rt co l l e cti n g

d a ta a b o u t co n fi g u ra ti o n i te m s, e sp e ci a l l y i f yo u d e ci d e to co ve r a

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wi d e ra n g e and d o n ’t h a ve a so ftwa re to o l to h el p. Ca n yo u g et a n y

o th e r b u s i n e ss d e p a rtm e n ts to h el p fo r e xa m p l e , i f th e y ke e p an

i n ve n to ry? Sh ou l d yo u b ri n g in e xte rn a l re so u rce s a t ke y sta g e s ?

• What is the scope of the items you’re going to bring under control –

fo r e xa m p l e , all l o ca ti o n s, all d e p a rtm e n ts , all d o m a i n s? Th i s wi l l

m a ke a bi g d i ffe re n ce to th e s ca l e o f th e ta sk fa ci n g yo u . S o m e ti m e s

i t’s b e tte r to p h a se th i s i n , p a rti cu l a rl y i f th e re a re d i scre te d i vi d i n g

l i n e s yo u ca n u se (e . g . o ffi ce l o ca ti o n s) .

• What are the specific benefits you’re planning to deliver and how
can they be measured? – As a l wa ys, try to be cl e a r a b o u t wh y yo u

a re d oi n g th i s fro m th e o u tse t – h o w wi l l th e ca p tu re d d a ta be u se d ?

• How long will it take? – O b vi o u sl y th i s wi l l d epen d u pon th e

re so u rce s a va i l a b l e , wh i ch , in tu rn , is a fu n cti o n o f th e b u d g e t yo u

h a ve . Are th e re a n y o th e r d e p e n d e n ci e s su ch a s ye a r-e n d th a t m a ke

i t d e s i ra b l e to be re a d y fo r a p a rti cu l a r d a te ?

• What tools will you need to use? – Wi l l yo u n eed to b u y a n y (s e e

Ch a p te r 8 fo r g u i d a n ce ) ? A ca re fu l l y se l e cte d so ftwa re to o l ca n sa ve

yo u a l o t o f ti m e o ve r th e n e xt fe w m o n th s a n d ye a rs, b u t i t wo n ’t

do it all fo r yo u .

Th e se and o th e r re l e va n t q u e sti o n s s h o u l d be a n swe re d in a

Co n fi g u ra ti o n M a n a g e m e n t Pl a n th a t d e fi n e s wh e re yo u ’ re g oi n g b e fo re

yo u s e t o u t, and h o w yo u wi l l kn o w wh e n yo u ’ ve g o t th e re .

Identification
H a vi n g d on e so m e b a si c p l a n n i n g yo u n e xt n e e d to m a ke so m e d e ci si o n s

at a m o re d e ta i l e d l e ve l .

F i rst, wh i ch typ e s o f d e vi ce a re yo u g oi n g to re co rd and tra ck? I n o rd e r

to wo rk o u t wh a t yo u wi l l o r wo n ’t re co rd yo u wi l l n eed to se t o u t so m e

d e ci si o n cri te ri a , su ch a s:

• cost – i s th e re a minimum va l u e b e l o w wh i ch th e e ffo rt o f re co rd i n g

a d e vi ce o u twe i g h s th e b e n e fi t? F o r e xa m p l e , m o st o rg a n i z a ti o n s

d o n ’t tra ck ke yb o a rd s a n d m i ce , p re fe rri n g to re g a rd th e m as

‘ co n su m a b l e s’ . O f co u rs e , th i s i s a m o va b l e fe a s t a s th e co st o f

h a rd wa re g e n e ra l l y fa l l s o ve r ti m e so ke e p an e ye on th e n e xt fe w

ye a rs wh e n m a ki n g th i s d e ci si o n ;

• security – d e vi ce s th a t h o l d d a ta and a re vu l n e ra b l e to th e ft (e . g .

l a p to p s a n d PD As) p ro b a b l y re q u i re m o re a tte n ti o n . M o re l a p to p s

a re sto l e n th a n d e skto p s so yo u a re m o re l i ke l y to n eed th e d e ta i l s o f

th e s e fo r i n su ra n ce o r cri m e re p o rti n g p u rp o se s th a n l a rg e r, m o re

se cu re d e vi ce s ;

• legal – yo u m a y be bou n d b y re g u l a to ry a u th o ri ti e s to tra ck ce rta i n

i te m s – fo r e xa m p l e , fo r PCI D SS co m p l i a n ce (Pa ym e n t Ca rd I n d u s try

D a ta S e cu ri ty S ta n d a rd ) in re ta i l .

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Th e re a re u s u a l l y so m e i te m s th a t ca u se d e b a te – su ch a s m o n i to rs –

e sp e ci a l l y a s th e co s t o f h a rd wa re co n ti n u e s to fa l l . A d e ci d i n g fa cto r i s

o fte n wh e th e r yo u h a ve an a u to m a te d to o l th a t ca n d i s co ve r th e se

d e vi ce s a n d so re d u ce th e e ffo rt re q u i re d to tra ck th e m . At th e en d of

th e d a y, i t’s u p to yo u , th e re is no h a rd and fa st ru l e . D ra w th e line

b e twe e n co st a n d b e n e fi t wh e re yo u b e l i e ve i t sh o u l d be and m o ve on .

S e co n d l y, wh a t a ttri b u te s o f th e d e vi ce s yo u h a ve se l e cte d do yo u wa n t

to re co rd ? I f yo u re co rd to o m a n y th e n yo u wi l l be cre a ti n g an

a d m i n i stra ti ve b u rd e n ; to o fe w, and yo u co u l d fi n d th a t th e d a ta i s l e ss

u se fu l th a n yo u had h oped . O b vi o u sl y yo u n eed to be a bl e to d i sti n g u i s h

b e twe e n on e i te m and a n o th e r, so s e ri a l n u m ber a n d m a ch i n e name (e . g .

fo r PCs a n d l a p to p s) a re a m u s t. I f yo u r h a rd wa re i s a ss e t-ta g g e d , yo u wi l l

a l m o s t ce rta i n l y wa n t th a t i n fo rm a ti o n to o . B e yo n d th e se b a si cs we th e n

g e t i n to two main g ro u p s o f a ttri b u te s : te ch n i ca l and n o n -te ch n i ca l .

Th e te ch n i ca l a ttri b u te s a re g oi n g to be th o se su ch a s m e m o ry, d i sk

co n fi g u ra ti o n , m a n u fa ctu re r a n d m od el , and th e s e a re a s a re b e st

a d d re sse d by a n a u to m a te d to o l i f yo u h a ve on e (i f yo u h a ve n ’t we

re co m m e n d l o o ki n g a t g e tti n g on e) .

We th e n h a ve th e n o n -te ch n i ca l a ttri b u te s – s u ch a s co st, su p p l i e r,

p u rch a se d a te and p u rch a se o rd e r n u m b e r – wh i ch no to o l cu rre n tl y o n

th e m a rke t i s g o i n g to a u to m a ti ca l l y p ro vi d e fo r yo u . Yo u n eed to th i n k

ca re fu l l y a b o u t wh i ch d a ta yo u re a l l y n e e d to re co rd a g a i n st e a ch i te m

and h o w yo u ’ re g oi n g to o b ta i n it and u p d a te th e CM D B in a ti m e l y

fa sh i o n . F o r fi n a n ci a l i n fo rm a ti o n yo u ’ re e i th e r fa ci n g a l e n g th y tra wl

th ro u g h p a s t p u rch a se o rd e rs a n d i n vo i ce s o r yo u wi l l m a ke a d e ci si o n to

sta rt re co rd i n g i t fo r n e w i te m s o n l y fro m a s e t d a te , fo r e xa m p l e th e

sta rt o f th e fi n a n ci a l ye a r.

O fte n th e m o s t d i ffi cu l t a ttri b u te to ca p tu re i s on e o f th e m o st u se fu l –

l o ca ti o n . In o rd e r to p ro vi d e m e a n i n g fu l re p o rts a n d a u d i t yo u r CM D B ,

yo u wi l l u su a l l y n e e d to kn o w wh e re i te m s a re su p p o se d to be so th a t

yo u ca n p h ys i ca l l y g o and se e i f th e y a re g e n u i n e l y th e re . Th e i d ea l

wo u l d be to h a ve a m e th o d o f a u to m a ti ca l l y ca p tu ri n g l o ca ti o n or

d e ri vi n g i t fro m so m e o th e r a ttri b u te – fo r e xa m p l e , n e two rk a d d re ss o r

n e two rk d i re cto ry – b u t th i s i sn ’t a l wa ys p o s si b l e . I f i t i s n o t p o ss i b l e th e n

yo u wi l l n eed to e n su re th a t a n y I T sta ff wh o re g u l a rl y m o ve ki t kn o w to

u p d a te th e CM D B wh e n th e y d o it and m a ke i t cl e a r to u se rs th a t th e y

sh o u l d n o t m o ve th i n g s th e m se l ve s wi th o u t l e tti n g I T kn o w.

O f co u rse , th e d a ta yo u n eed m a y a l re a d y e xi st i n o th e r p l a ce s wi th i n

yo u r o rg a n i z a ti o n , su ch a s fi n a n ce o r H R sys te m s. I f yo u ca n a cce ss th i s

i n fo rm a ti o n in an e ffe cti ve wa y th e n th i s co u l d fo rm a l o g i ca l p a rt o f

yo u r CM D B – u su a l l y kn o wn as a ‘ fe d e ra te d ’ a p p ro a ch . Th e d a ta sta ys

wh e re i t cu rre n tl y i s b u t i s b ro u g h t to g e th e r b y so m e m e a n s, s u ch as a

q u ery to o l , to p ro d u ce a u se fu l co m p o si te vi e w o r re p o rt.

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Control
H a vi n g d e ci d e d wh a t yo u ’ re g oi n g to tra ck a n d th e a ttri b u te s yo u wa n t

to ca p tu re , th e n e xt ste p i s to sta rt co l l e cti n g th e d a ta . I f yo u a re ve ry

sm a l l or on a si n g l e si te th i s co u l d be d on e m a n u a l l y, bu t i n m o st ca se s a

d i sco ve ry to o l wi l l h el p and th e re a re p l e n ty a va i l a b l e th a t wi l l do th e j ob

wi th o u t co sti n g to o m u ch . S u ch a to o l wi l l s ca n yo u r n e two rk, fi n d

d e vi ce s a n d th e n g a th e r i n fo rm a ti o n a b o u t th e m u si n g a va ri e ty o f

m e th o d s. I t sh ou l d th e n i d e a l l y i n te rfa ce i n to yo u r I T se rvi ce m a n a g em en t

syste m to cre a te co n fi g u ra ti o n i te m s th a t ca n th e n be l i n ke d to i n ci d e n ts ,

p ro b l e m s, ch a n g e s, e tc. a s re q u i re d .

B u t su ch a to o l m a y n ot be a bl e to d e te ct a l l o f th e i te m s th a t yo u wi sh

to re co rd so yo u wi l l p ro b a b l y e n d up ca rryi n g ou t a p a rt m a n u a l , p a rt

a u to m a ti c d a ta co l l e cti o n e xe rci se . D e vi ce s th a t d o n ’t h a ve th e o n -b o a rd

i n te l l i g e n ce to p ro vi d e i n fo rm a ti o n a b o u t th e m se l ve s vi a S N M P (S i m p l e

N e two rk M a n a g e m e n t Pro to co l ) o r cl i e n t i n s ta l l a ti o n (su ch a s som e

b a rco d e s ca n n e rs o r m o n i to rs) m a y n eed to be vi si te d and re vi e we d fo r

se ri a l n u m ber a n d re l a te d i n fo rm a ti o n . Be a wa re a l so th a t d e vi ce s th a t

a re tu rn e d o ff o r si m p l y n o t o n th e n e two rk wh e n a d i sco ve ry sca n is

p e rfo rm e d wo n ’t re sp o n d and so wo n ’t a p p e a r i n yo u r i n ve n to ry ye t.

I f yo u h a ve d e ci d e d to re co rd i n fo rm a ti o n a b o u t l o ca ti o n o f s e rve rs i n a

ra ck th e n th i s to o wi l l re q u i re a ce rta i n a m o u n t o f l e g wo rk.

Status accounting and reporting

As p a rt o f ke e p i n g yo u r CM D B up to d a te yo u wi l l a l so n eed to

i m p l e m e n t so m e fo rm o f p ro ce s s to handle th e l i fe cycl e of a d e vi ce ,

fro m th e a d d i ti o n of n ew on es, th e tra cki n g o f ch a n g e s to th e m and

fi n a l l y th e i r d i sp o s a l . O f co u rse , su ch ch a n g e s sh o u l d be g oi n g th ro u g h

yo u r ch a n g e m a n a g e m e n t o r re q u e s t fu l fi l m e n t p ro ce ss , so yo u sh o u l d be

a wa re o f th e m . I f yo u a re u si n g a d i sco ve ry to o l th e n yo u m a y h a ve th e

o p ti o n o f cre a ti n g a n e w d e vi ce manually in yo u r I T s e rvi ce m a n a g em en t

syste m wi th a minimum o f d e ta i l s (su ch a s th e se ri a l n u m b e r) and th e n

a l l o wi n g th e to o l to ‘ fi l l in th e b l a n ks ’ o n ce th e d e vi ce h a s been i n s ta l l e d

and d i sco ve re d .

Th ro u g h o u t th e i r l i fe cycl e , co n fi g u ra ti o n i te m s wi l l be in on e of a

n u m b e r o f ‘ s ta te s’ , su ch a s:

• i n sta l l e d ;

• in sto ck;

• in re p a i r;

• d i sp o se d o f.

Th e tri ck i s a l wa ys to e n su re th a t e a ch i te m is in th e co rre ct s ta te th ro u g h

a co m b i n a ti o n o f a u to m a te d and p ro ce d u ra l co n tro l s . Ta ke th e ti m e to

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d e fi n e yo u r p ro ce d u re s ca re fu l l y a n d e n su re th a t a l l I T sta ff a re a wa re of

th e m . U se th e d i sco ve ry to o l to i d e n ti fy ca s e s wh e re co rre ct p ro ce d u re s

m a y n o t h a ve been fo l l o we d and cl a m p d o wn on n o n -co n fo rm a n ce in

th e e a rl y s ta g e s b e fo re yo u r CM D B g e ts to o fa r o u t o f syn c wi th re a l i ty.

F o r va ri o u s re a s o n s yo u wi l l wa n t to p ro d u ce re p o rts o n th e i n fo rm a ti o n

h el d in yo u r CM D B and yo u wi l l n eed to be a bl e to d i ffe re n ti a te b e twe e n

e q u i p m e n t th a t i s i n u se and th a t wh i ch h a s been scra p p e d l on g a g o.

Som e o f th e re p o rts yo u m a y wa n t to p ro d u ce a re :

• i n sta l l e d ki t b y m a n u fa ctu re r a n d m od el – th i s m a y b e u se fu l to

p ro vi d e to a h a rd wa re m a i n te n a n ce su p p l i e r to u se fo r q u o te s o r a s

th e b a si s o f a co n tra ct;

• n u m ber a n d va l u e o f i te m s b y l o ca ti o n – u se fu l fo r a u d i to rs a n d

i n su ra n ce co m p a n i e s a l i ke ;

• n u m b e r o f PCs wi th l e ss th a n a s p e ci fi e d a m o u n t o f i n sta l l e d m e m o ry

– to a sse ss th e i m p a ct o f u p g ra d i n g to a l a te r ve rsi o n of a n o p e ra ti n g

syste m o r o ffi ce p a cka g e .

O n ce yo u h a ve th e i n fo rm a ti o n a t yo u r fi n g e rti p s i t’s su rp ri si n g h ow

u se fu l i t ca n be in a wi d e va ri e ty o f ci rcu m sta n ce s. Re vi e w yo u r u se s o f

th e d a ta on a re g u l a r b a si s to ch e ck th a t yo u ’ re n o t e xp e n d i n g va l u a b l e

ti m e to co l l e ct i n fo rm a ti o n th a t i s u n l i ke l y e ve r to be u se d .

Verification
D epen d i n g on h ow g ood yo u r to o l s a re and h o w we l l yo u r p ro ce d u re s

u p d a te co n fi g u ra ti o n i te m sta tu s, yo u r CM D B wi l l be m o re o r l e ss

a ccu ra te . B u t i t’s wi se to co n fi rm o r co n tra d i ct yo u r su sp i ci o n s o n a

re g u l a r b a s i s (e sp e ci a l l y i n th e e a rl y d a ys ) in o rd e r to bu i l d up a d e g re e

o f co n fi d e n ce in yo u r d a ta and i d e n ti fy i m p ro ve m e n ts to yo u r p ro ce ss.

Th a t’s wh e re th e ve ri fi ca ti o n a u d i t co m e s i n .

I t i s u su a l l y b e st to cre a te an a u d i t p ro g ra m m e th a t co ve rs e a ch o f yo u r

main si te s o ve r a p e ri o d o f ti m e , ta i l o re d to th e a va i l a b l e re so u rce and

th e fi n d i n g s o f p re vi o u s a u d i ts. I f yo u h a ve a u d i te d a si te b e fo re and

yo u r CM D B re co rd s h a ve sh o wn a high d e g re e o f a ccu ra cy th e n yo u co u l d

vi s i t th a t s i te re l a ti ve l y i n fre q u e n tl y, so sa vi n g ti m e and m o n e y. I f,

h o we ve r, yo u r CM D B re p o rt o f wh a t sh o u l d be a t th a t si te b e a rs l i ttl e or

no re l a ti o n to wh a t i s a ctu a l l y o n th e g ro u n d th e n fu rth e r i n ve sti g a ti o n

and re g u l a r ch e cki n g wi l l be th e o rd e r o f th e d a y. Th e l i ke l y e n d re s u l t i s

th a t th e q u a l i ty o f yo u r d a ta sh o u l d i m p ro ve o ve r ti m e and a cco rd i n g l y

yo u r a u d i ts b e co m e l e s s fre q u e n t.

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 Control processes

Beyond hardware assets

We sta rte d th i s se cti o n b y sa yi n g th a t co n fi g u ra ti o n m a n a g e m e n t i s m o re

th a n j u st h a rd wa re a ss e t m a n a g e m e n t. Th e d e g re e to wh i ch yo u a re a bl e

to p ro g re ss b e yo n d th i s wi l l d epen d u pon yo u r e xa ct re q u i re m e n ts, l e ve l

o f co m m i tm e n t, ti m e a va i l a b l e and th e fu n cti o n a l i ty o f yo u r I T s e rvi ce

m a n a g e m e n t syste m . M o st sys te m s a l l o w th e d e fi n i ti o n o f o th e r typ e s o f

co n fi g u ra ti o n i te m – su ch a s s o ftwa re , d o cu m e n ta ti o n and se rvi ce – and

yo u wi l l n eed to ca rry o u t th e sa m e p ro ce s s a s wi th h a rd wa re to d e fi n e

th e a ttri b u te s yo u wi sh to re co rd . Ag a i n , a d i sco ve ry to o l ca n h el p wi th

th e tra cki n g o f d e skto p so ftwa re to so m e e xte n t, b u t fo r o th e r typ e s yo u

wi l l a l m o st ce rta i n l y n e e d to e n te r yo u r d a ta m a n u a l l y. H o we ve r, i f yo u

ke e p th e l e ve l o f i te m s re l a ti ve l y h i g h th i s n e e d n ot be to o o n e ro u s .

I f yo u u n d e rta ke a n y b e sp o ke d e ve l o p m e n t i t m a y b e u se fu l to cre a te

co n fi g u ra ti o n i te m s to re p re se n t d i ffe re n t m o d u l e s o r d a ta b a s e s.

Re q u e sts a n d ch a n g e s ca n th e n be l i n ke d to th e se i te m s a n d re p o rte d on

l a te r to g i ve an i n d i ca ti o n o f wh e re th e a re a s o f si g n i fi ca n t ch a n g e a re .

S i m i l a rl y, cre a ti n g co n fi g u ra ti o n i te m s fo r i m p o rta n t d o cu m e n ts wi l l a l l ow

yo u to ke e p tra ck o f ch a n g e s to ve rsi o n s o f th e m .

Th e q u e sti o n o f re p re s e n ti n g m e a n i n g fu l re l a ti o n s h i p s b e twe e n

co n fi g u ra ti o n i te m s i s o fte n th e on e th a t so rts th e m a tu re I TS M syste m s

fro m th e l e ss m a tu re . I d e a l l y yo u wi l l be a bl e to cre a te l i n ks o f d i ffe re n t

typ e s b e twe e n i te m s su ch a s:

• an I T s e rvi ce ‘ u se s’ an a p p l i ca ti o n ;

• an a p p l i ca ti o n ‘ ru n s o n ’ a se rve r;

• a se rve r i s ‘ co n n e cte d to ’ a n e two rk.

… and p e rh a p s e ve n be a bl e to sh o w th e m in h i e ra rch i ca l d i a g ra m fo rm .

In th e o ry, a t l e a st, th i s m a y b e u se fu l d u ri n g th e i m p a ct a ss e ssm e n t sta g e

o f ch a n g e m a n a g e m e n t a s i t wi l l sh o w wh a t e l se wi l l be a ffe cte d by a

ch a n g e to on e co m p o n e n t o f th e i n fra stru ctu re . I f yo u h a ve th e ti m e ,

l i n ki n g su p p o rt d o cu m e n ta ti o n to th e i te m s th e y d o cu m e n t – fo r

e xa m p l e , se rve rs o r sys te m s – wi l l h i g h l i g h t th e n eed to u p d a te th e m if a

ch a n g e i s m a d e, so ke e p i n g cu rre n t a l l a sp e cts o f th e s e rvi ce . An e xa m p l e

co u l d be yo u r I T S e rvi ce Co n ti n u i ty Pl a n , wh i ch co u l d be l i n ke d to th e

se rve rs a n d syste m s th a t a re i n cl u d e d in i t; i f on e o f th e se sys te m s i s

d e co m m i ssi o n e d , th e Pl a n wi l l n eed to be u p d a te d to re fl e ct th e n ew

si tu a ti o n .

In a sm a l l I T o p e ra ti o n th i s m a y b e o f l i m i te d u se a s th e re l a ti o n sh i p s m a y

be we l l kn o wn wi th o u t n e e d i n g to d o cu m e n t th e m , a l th o u g h i t m a y be

h e l p fu l fo r n e w I T sta ff wh o do n o t ye t kn o w th e s e t-u p to o we l l .

E xp e ri m e n ta ti o n i s re q u i re d to e s ta b l i sh wh a t wo u l d be re l e va n t a n d

u s e fu l to yo u .

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5 Implementing IT service management

Summary

• Co n fi g u ra ti o n m a n a g e m e n t h a s th e p o te n ti a l to g i ve a

sm a l l I T te a m a g ood d e g re e o f co n tro l o ve r th e i r a sse ts

and a l l o w th e m to m a ke m o re i n fo rm e d d e ci si o n s.

• H o we ve r, a b a l a n ce n e e d s to be stru ck b e twe e n th e

i n fo rm a ti o n th a t i s co l l e cte d and th e e ffo rt i n vo l ve d in

m a i n ta i n i n g i t, and th e sp e ci fi c o b j e cti ve s fo r yo u r

o rg a n i z a ti o n sh o u l d be cl e a r b e fo re e m b a rki n g u pon th e

e sta b l i sh m e n t o f a CM D B and a ss o ci a te d p ro ce ss.

• Th e u se of a n a u to m a te d d i sco ve ry to o l wi l l h el p

si g n i fi ca n tl y wi th ca p tu ri n g and tra cki n g yo u r h a rd wa re

a sse ts , b u t yo u n eed to m a ke su re th e on e yo u ch o o se ca n

p a s s a t l e a st so m e o f i ts d a ta i n to yo u r se rvi ce d e sk syste m .

Next steps

1 . Cre a te a pl a n to ro l l o u t co n fi g u ra ti o n m a n a g em en t i n

yo u r o rg a n i z a ti o n .

2. S ta rt to d e fi n e wh a t yo u wi l l tra ck a s a co n fi g u ra ti o n i te m .

3. Lo o k a t wh a t to o l s wi l l be u s e fu l .

Relationship processes
Th e re l a ti o n sh i p p ro ce ss e s e n co u ra g e th e sm a l l I T te a m to l o o k b o th wa ys

to wa rd s th e b u si n e ss a n d to wa rd s i ts th i rd p a rty su p p l i e rs to e n s u re th a t

a d e q u a te co m m u n i ca ti o n h a ppen s a n d th a t th e o rg a n i z a ti o n re ce i ve s th e

l e ve l o f se rvi ce i t p a ys fo r.

Business relationship management

Objective

To establish and maintain a good relationship between the service

provider and the customer based on understanding the customer and
their business drivers.
H o w i s yo u r I T te a m ’s re l a ti o n sh i p wi th th e b u si n e s s i t s e rve s? Ch a n ce s

a re i t’s O K o n a d a y-to - d a y b a s i s: peopl e a re g e n e ra l l y fri e n d l y a n d yo u

p ro b a b l y h a ve so m e b a n te r g o i n g on wi th u se rs wh o ca l l th e s e rvi ce d e s k.

84 IT Service Management for Small IT Teams

 Relationship processes

Th e b u si n e ss m a y i n vo l ve I T wh e n th e re ’s a s p e ci fi c p ro j e ct to be

a ch i e ve d , s u ch as a n e w syste m or a l a rg e o ffi ce m o ve . As I T M a n a g e r yo u

m a y h a ve re g u l a r m e e ti n g s wi th yo u r b o ss to d i scu ss a n y i s su e s su ch as

bu d g e ts a n d s ta ffi n g . Ye s, i t’s O K. B u t i t co u l d be so m u ch b e tte r.

Th e typ i ca l p ro b l e m wi th th i s l i m i te d d e g re e o f i n te ra cti o n b e twe e n IT

and th e b u s i n e ss i s th a t th i n g s te n d to sta y p re tty m u ch th e sa m e ; th e

sa m e s e rvi ce s a re d e l i ve re d in th e sa m e wa y ye a r a fte r ye a r o n th e

a ssu m p ti o n th a t th a t’s wh a t th e u se rs wa n t b e ca u se th a t’s wh a t th e u se rs

h a ve a l wa ys h a d . Th i s ca n l ea d to a s e n se o f d e ta ch m e n t b e twe e n th e IT

d e p a rtm e n t a n d th e re s t o f th e b u s i n e ss. Th e re a l i ssu e i s th a t o fte n th e

bu si n e ss d o e sn ’t u n d e rsta n d I T; i t d o e sn ’t se e wh y so m e th i n g s ta ke so

l on g to do o r wh y th e y co st so m u ch – ‘ su re l y yo u j u st p re ss a b u tto n ’ is a

ph ra s e o fte n h e a rd by m a n y a fru stra te d I T m a n a g e r.

Case in point

Th e a u th o rs h a ve co m e a cro ss a n u m b e r o f e xtre m e ca se s o f

th i s. In on e co m p a n y, th e I T te a m wa s l i te ra l l y h o u se d in a hut

in th e ca r p a rk a n d th i s su m m e d up th e i r l e ve l o f i n te ra cti o n

wi th b u si n e ss m a n a g e m e n t. Th e I T M a n a g e r re ce i ve d th e sa m e

b u d g e t ye a r o n ye a r a n d d e ci d e d in i s o l a ti o n wh a t to spen d it

on , e ffe cti ve l y g u e ssi n g wh a t th e b u si n e ss p ri o ri ti e s m i g h t b e .

N o t su rp ri si n g l y, th e re a so n th e a u th o rs ca m e a cro ss th i s

co m p a n y wa s b e ca u s e th e y we re l o o ki n g to o u tso u rce th e i r I T –

wh i ch th e y e ve n tu a l l y d i d . I T wa s s e e n as a p u re co s t – a

n e ce ssa ry e vi l to be ca st o u t a t th e fi rst o p p o rtu n i ty.

Imagine th e I T d e p a rtm e n t wa s a sm a l l b u si n e ss a n d th e u se rs i ts

cu sto m e rs – i f i t d i d n ’t h a ve a m on opol y h ow l on g do yo u th i n k i t wo u l d

l a st? Th e ke y to i m p ro vi n g th e re l a ti o n sh i p wi th th e m a n a g e rs a n d u se rs

wi th i n th e co m p a n y i s to re a l i z e th a t th e I T te a m n e e d s to do m a n y of

th e th i n g s a sm a l l b u si n e ss d o e s, su ch a s:

• u n d e rs ta n d wh o yo u r cu sto m e rs a re ;

• u n d e rs ta n d wh a t yo u r cu sto m e rs wa n t;

• m a rke t yo u r se rvi ce s co n ti n u a l l y;

• d ea l wi th cu sto m e r co m p l a i n ts fa i rl y.

O ve r th e n e xt fe w p a g e s we wi l l d ea l wi th e a ch o f th e se a re a s a n d

h o p e fu l l y g i ve yo u so m e i d e a s th a t ca n h el p yo u to g e t cl o se r to yo u r

b u s i n e ss.

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5 Implementing IT service management

Understand who your customers are

Le t’s s ta rt b y re vi s i ti n g th e d i ffe re n ce b e twe e n a ‘ cu sto m e r’ and a ‘ u se r’ .

A cu sto m e r i s so m e o n e wh o p a ys fo r th e se rvi ce yo u p ro vi d e . Typ i ca l l y

th i s wi l l be a b u si n e s s m a n a g e r wh o h ol d s a b u d g e t fro m wh i ch a ch a rg e

is made fo r I T se rvi ce s. Th e l e ve l o f d e ta i l g i ve n fo r th e ch a rg e ca n va ry

and o fte n I T co sts a re l u m ped in wi th o th e r ce n tra l i z e d o ve rh e a d s, su ch

a s fi n a n ce and H R, so i t ca n be d i ffi cu l t fo r th e cu s to m e r to kn o w e xa ctl y

h o w m u ch i s bei n g pa i d fo r th e I T co m p o n e n t. Th i s ca n m a ke i t h a rd fo r

th e cu sto m e r to re a ch a n y co n cl u si o n s a s to wh e th e r h e o r sh e is

re ce i vi n g va l u e fo r m o n e y fo r th e I T se rvi ce s b e i n g su ppl i ed .

A u se r i s th e en d re ci p i e n t o f th e I T se rvi ce , u su a l l y so m e o n e wh o n eed s

to u se an I T s yste m to g e t th e j ob d on e. O f co u rse , a cu sto m e r ca n a l so

be a u se r.

So yo u r fi rst ste p wi l l be to cre a te a l i st o f wh o p a ys fo r yo u r se rvi ce s.

Yo u r fi n a n ce d e p a rtm e n t m a y b e a bl e to h el p wi th th i s a s i t co n tro l s th e

a l l o ca ti o n o f b u d g e ts. I n fo rm a ti o n su ch a s th e i r co n ta ct d e ta i l s a n d h ow

m u ch th e y p a y (o r a t l e a st wh a t p ro p o rti o n o f th e to ta l co st th e y p a y)

wi l l a l so be u se fu l . Yo u m a y wi s h to ta ke th i s l i st a ste p fu rth e r a n d

i n cl u d e ‘ sta ke h o l d e rs ’ in th e I T se rvi ce . Th e s e a re peopl e wh o do n ot

n e ce ssa ri l y p a y fo r o r u s e th e I T se rvi ce d i re ctl y, b u t h a ve an i n te re s t i n ,

and a re a ffe cte d b y, th e wa y se rvi ce s a re p ro vi d e d . Th i s m a y i n cl u d e

g ro u p s su ch a s th e co m p a n y’s cu s to m e rs, i ts s u p p l i e rs a n d p e rh a p s i ts

b o a rd o f d i re cto rs.

Understand what your customers want

N o w th a t yo u kn o w wh o yo u r cu s to m e rs a re , yo u n eed to a sk th e m wh a t

th e y re a l l y wa n t. Th e ke y p o i n t i n th i s i s th a t we a re ta l ki n g a b o u t th e

e xi s ti n g se rvi ce s p ro vi d e d , ra th e r th a n re q u i re m e n ts fo r n e w sys te m s. Th e

l a tte r i s typ i ca l l y o fte n d i scu sse d a t m a n a g e m e n t m e e ti n g s a n d th e IT

M a n a g e r wi l l u su a l l y b e a wa re o f th e se a re a s. B u t th e d e l i ve ry o f se rvi ce s

th a t a re a l re a d y i n p l a ce is all to o o fte n o ve rl o o ke d , e sp e ci a l l y i f th e

se rvi ce s h a ve been ru n n i n g fo r so m e ti m e .

Th e b e st wa y o f d o i n g th i s i s re a l l y u p to yo u ; i t m a y be a p p ro p ri a te to

h a ve a si n g l e m e e ti n g wi th all cu sto m e rs i n a tte n d a n ce o r yo u may

d e ci d e to go and see e a ch p e rso n i n d i vi d u a l l y. Th i s m a y p a rtl y d e p e n d

u pon th e g e n e ra l a p p e ti te to d i s cu s s I T i s su e s; o fte n b u si n e ss m a n a g e rs

a re i n i ti a l l y re l u cta n t to d e d i ca te ti m e to I T a s i t i s n o t se e n a s bei n g

ce n tra l to th e i r ro l e . I t i s th e a u th o rs’ e xp e ri e n ce , h o we ve r, th a t o n ce th i s

i n i ti a l re s i sta n ce i s o ve rco m e , b o th p a rti e s co m e to re g a rd su ch

d i scu s si o n s a s va l u a b l e . I f yo u a re a s su re d of a re a so n a b l e a tte n d a n ce , a

si n g l e m e e ti n g co u l d wo rk we l l . O th e rwi se th e re is no su b sti tu te fo r a

g ood o l d - fa sh i o n e d o n e - to -o n e m e e ti n g . A co m b i n a ti o n o f th e two

m i g h t su i t so m e peopl e; o r d o e s th e cu s to m e r h a ve a re g u l a r

86 IT Service Management for Small IT Teams

 Relationship processes

d e p a rtm e n ta l m e e ti n g th a t yo u co u l d ta ke a sl ot a t on a re g u l a r b a si s ?

Th e fo rm a t d o e sn ’t m a tte r th a t m u ch – th e i m p o rta n t th i n g i s th a t

e ve ryo n e g e ts a ch a n ce to e xp re s s a n opi n i on a b o u t th e cu rre n t I T

se rvi ce .

Case in point

I T sa w th i s p a rti cu l a r o ffi ce a s a l wa ys co m p l a i n i n g and th e

o ffi ce s ta ff th o u g h t th e I T s e rvi ce wa s te rri b l e . E ve n tu a l l y th e IT

M a n a g e r a rra n g e d th e fi rs t o f a se ri e s o f b u si n e ss re l a ti o n sh i p

m e e ti n g s to d i scu ss th e i s su e s. O n ce th e y we re fa ce to fa ce , IT

sta rte d to a p p re ci a te th e p re s su re th a t th e sta ff we re u n d e r,

and th e O ffi ce M a n a g e r a d m i tte d th a t m o st o f th e

co m p l a i n t-g e n e ra ti n g i ssu e s h a d n o t e ve n been l og g ed wi th th e

se rvi ce d e sk. Afte r th re e o r fo u r co n s tru cti ve m e e ti n g s , th e

o ffi ce b e ca m e a ch a m p i o n o f th e I T s e rvi ce and e n co u ra g e d

o th e r d e p a rtm e n ts to h a ve s i m i l a r m e e ti n g s .

Th e s e m e e ti n g s g o hand in hand wi th so m e o f th e a re a s co ve re d wi th i n

th e se rvi ce l e ve l m a n a g e m e n t p ro ce s s. I t h e l p s i f yo u h a ve a se rvi ce

ca ta l o g u e se tti n g o u t th e s e rvi ce s yo u cu rre n tl y p ro vi d e as a b a si s fo r th e

d i scu ss i o n . Som e re p o rts s e tti n g o u t th a t cu sto m e r d e p a rtm e n t’s u se of

th e se rvi ce s wo u l d a l so be u se fu l , fo r e xa m p l e :

• th e n u m b e r o f i n ci d e n ts l o g g e d a t th e se rvi ce d e sk;

• a ve ra g e tu rn a ro u n d ti m e s o f re q u e sts;

• typ e s o f re q u e s t m a d e ;

• th e a va i l a b i l i ty o f th e main sys te m s th e y u se .

Th e ke y q u e sti o n s to d i scu ss a t th e fi rst m e e ti n g wi th th e cu sto m e r a re as

fo l l o ws.

• Wh a t a re th e i r g e n e ra l i m p re ssi o n s o f th e cu rre n t I T se rvi ce ?

• Are we p ro vi d i n g th e ri g h t I T se rvi ce s?

• Are we p ro vi d i n g th e m in th e ri g h t wa y?

• D o th e y re g a rd th e cu rre n t I T se rvi ce a s g ood va l u e fo r m o n e y?

• Wh a t o th e r s e rvi ce s m i g h t b e u s e fu l ?

• Wh a t i ssu e s d o th e y cu rre n tl y h a ve th a t h a ve n ot been re so l ve d to

th e i r sa ti sfa cti o n ?

Be p re p a re d fo r th e fi rst fe w m e e ti n g s to se e m a l i ttl e n e g a ti ve . Th i s i s

th e fi rst o p p o rtu n i ty fo r th e cu sto m e r to ra i se p o ssi b l y se ve ra l ye a rs’

wo rth o f i ss u e s a n d i t i s i m p o rta n t th a t yo u a vo i d b e co m i n g to o

d e fe n s i ve . Yo u m a y fi n d th a t so m e o f th e i ss u e s ra i se d a re e a s i l y fi xe d ; in

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fa ct, i t’s n o t u n co m m o n to fi n d th a t th e y h a ve n ’t b e e n re p o rte d to th e

s e rvi ce d e sk a t a l l . H o we ve r, a s s u b se q u e n t m e e ti n g s p ro g re ss, yo u sh o u l d

fi n d th a t th e m ood l i fts a s a b e tte r m u tu a l u n d e rs ta n d i n g d e ve l o p s .

Th e fre q u e n cy o f m e e ti n g s sh o u l d be a d j u ste d o ve r ti m e a cco rd i n g to th e

n u m b e r o f i ss u e s to be d i scu sse d . O fte n th e y wi l l sta rt o ff a s m o n th l y a n d

th e n re d u ce to q u a rte rl y o r si x-m o n th l y o ve r th e fi rst ye a r. Wh e re th e

re l a ti o n sh i p h a s sta b i l i z e d su ffi ci e n tl y, an annual re vi e w m e e ti n g wi l l

s u ffi ce a s l on g a s th i s i s a g re e d b y b o th p a rti e s. An i m p o rta n t

co n si d e ra ti o n i s to m a ke su re th a t a l l m e e ti n g s a re m i n u te d and a cti o n s

re co rd e d . Th i s wi l l a vo i d a n y d i sp u te s l a te r a n d a ct a s va l u a b l e e vi d e n ce

wh e n yo u a re su b j e ct to an i n te rn a l o r e xte rn a l a u d i t.

Market your services continually

I t i s p ro b a b l y fa i r to sa y th a t m o st o f th e u n re a so n a b l e re q u e sts th a t

co m e fro m u se rs i n to th e I T d e p a rtm e n t a re ba sed u pon a l a ck o f

u n d e rs ta n d i n g ra th e r th a n a d e si re to a n n o y. Th i s i s wh y i t’s i m p o rta n t

fo r th e I T te a m to do e ve ryth i n g i t ca n to m a ke su re th a t u se rs kn o w

wh a t se rvi ce s a re a va i l a b l e , to wh a t ti m e sca l e s a n d wh a t’s i n vo l ve d in

d e l i ve ri n g th e m .

Th i s n e e d n ’t co st th e e a rth , as a va ri e ty o f m e th o d s a re u su a l l y i n p l a ce

wi th i n th e co m p a n y th a t ca n be u se d to co m m u n i ca te to u s e rs. Th e se

m a y i n cl u d e :

• an i n te rn a l m a g a zi n e;

• te a m /co re b ri e fi n g s;

• th e i n tra n e t;

• em a i l .

Tra d i ti o n a l l y I T h a s n o t u se d th e s e ch a n n e l s to co m m u n i ca te p ro a cti ve l y

in th e sa m e wa y a s o th e r p a rts o f th e b u si n e s s, su ch a s H R, re l yi n g

i n ste a d on an o cca s i o n a l b ri e f e m a i l wh e n a s e rvi ce i s n o t wo rki n g .

O b vi o u sl y th i s g i ve s ri se to th e p e rce p ti o n th a t ‘ I T o n l y co m m u n i ca te s

wh e n i t’s b a d n e ws’ . U se wh a te ve r m e th o d s a re a va i l a b l e to yo u to l et

u se rs kn o w a b o u t i te m s su ch a s:

• n e ws – fo r e xa m p l e , n e w se rvi ce s o r i m p ro ve m e n ts to e xi sti n g o n e s;

• h i n ts a n d ti p s;

• d os a n d d o n ’ts – fo r e xa m p l e , fo r i n fo rm a ti o n se cu ri ty;

• se rvi ce l e ve l ta rg e ts;

• re su l ts o f u se r s a ti s fa cti o n s u rve ys;

• u p co m i n g m a j o r ch a n g e s.

As we l l a s th e se sta n d a rd co m m u n i ca ti o n m e th o d s th e re a re a n u m ber of

o th e r wa ys i n wh i ch th e I T te a m ca n m a ke i ts e l f a n d i ts wo rk b e tte r

kn o wn , fo r e xa m p l e :

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• e d u ca ti o n a l e ve n ts su ch a s I T ro a d sh o ws o r o p e n d a ys;

• h o st a re g u l a r b a ck-to -th e -fl o o r d a y fo r m a n a g e rs o f o th e r

d e p a rtm e n ts to sp e n d a day in I T;

• p a rti ci p a te in i n te rn a l cro ss- co m m u n i ca ti o n i n i ti a ti ve s, su ch a s ‘M y

j ob in 60 se co n d s’ ;

• p u b l i sh l e a fl e ts se tti n g o u t ke y I T-re l a te d i n fo rm a ti o n , su ch a s th e

S LA o r i n fo rm a ti o n se cu ri ty p o l i cy;

• se n d ou t a re g u l a r I T n e ws l e tte r vi a em a i l ;

• g e t a rti cl e s p u b l i sh e d in i n d u s try m a g a z i n e s.

D o n ’t e xp e ct fa st re su l ts n e ce ss a ri l y b u t o ve r ti m e yo u wi l l fi n d th a t th e se

a cti vi ti e s m a ke a huge d i ffe re n ce to th e wa y i n wh i ch th e I T d e p a rtm e n t

i s p e rce i ve d wi th i n yo u r co m p a n y. I t ca n be a l on g ro a d , b u t ke e p

pl u g g i n g a wa y a n d yo u and yo u r u se rs sh o u l d fi n d i t wo rth wh i l e .

Deal with customer complaints fairly

Th i n g s d o n ’t a l wa ys g o to pl a n and so m e ti m e s cu s to m e r s e rvi ce i s n ot

wh a t i t sh o u l d be. In th e sa m e wa y a s a co n s u m e r wo u l d e xp e ct to be

fa i rl y tre a te d by a re ta i l o rg a n i z a ti o n so th e I T d e p a rtm e n t s h o u l d try to

e n su re th a t cu sto m e r a n d u se r co m p l a i n ts a re th o ro u g h l y i n ve s ti g a te d

and re so l ve d . Th e i d ea o f e n co u ra g i n g u se rs to co m p l a i n se e m s

co u n te r- i n tu i ti ve b u t th e p ri n ci p l e beh i n d i t i s to g e t th e m to te l l yo u

a b o u t i ssu e s ra th e r th a n to i g n o re yo u and te l l e ve ryo n e e l se . S u rve ys i n

th e p a st h a ve co n cl u d e d th a t u n h a p p y cu s to m e rs wh o d o n ’t co m p l a i n te l l

an a ve ra g e o f se ve n o th e r p e o p l e a b o u t th e i r b a d e xp e ri e n ce . In a sm a l l

o rg a n i z a ti o n i t wi l l n o t ta ke l on g fo r s u ch i ssu e s to b e co m e co m m o n

kn o wl e d g e , th e re fo re u n d oi n g all th e h a rd wo rk yo u ’ ve d on e in

p ro m o ti n g yo u r d e p a rtm e n t wi th i n th e co m p a n y. Yo u a l so wi l l n ot g et a n

o p p o rtu n i ty to fi x wh a t wa s p e rce i ve d to be wro n g o r to a ch i e ve th e

sa ti s fa cti o n th a t co m e s fro m tu rn i n g a co m p l a i n a n t ro u n d to be a

su p p o rte r th ro u g h p ro m p t a n d e ffe cti ve tre a tm e n t o f th e co m p l a i n t.

Th e fi rst a cti o n in th i s i s to e n su re th a t a n a d e q u a te co m p l a i n ts p ro ce ss i s

in p l a ce and a g re e d wi th th e cu sto m e rs o f th e se rvi ce . Th i s i s so m e th i n g

th a t ca n be d i s cu s se d a t yo u r re g u l a r cu sto m e r m e e ti n g s. O n ce in p l a ce , it

sh o u l d be p u b l i sh e d a p p ro p ri a te l y – fo r e xa m p l e , in th e S LA a n d on th e

i n tra n e t – a n d sta ff tra i n e d in h o w to fo l l o w i t. If a co m p l a i n t i s m a d e it

sh o u l d be i n ve sti g a te d , a cte d u pon , re p o rte d and fo rm a l l y cl o se d

a cco rd i n g to th e p ro ce ss . As p a rt o f yo u r co n ti n u o u s i m p ro ve m e n t

a cti vi ty yo u sh o u l d tra ck th e n u m b e r o f co m p l a i n ts re ce i ve d , bu t

re m e m b e r th e n u m b e r i s l i ke l y to go up a t fi rst a s yo u wi l l be

e n co u ra g i n g u se rs to l og co m p l a i n ts . H o p e fu l l y th e n u m b e r sh o u l d pea k

b e fo re yo u ca n th e n sta rt to try to b ri n g i t d o wn to an a cce p ta b l e l e ve l .

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Summary

• A sm a l l I T d e p a rtm e n t h a s a l ot i n co m m o n wi th a sm a l l

b u si n e ss: i t n e e d s to kn o w wh o i ts cu sto m e rs a re , wh a t

th e y wa n t a n d to m a rke t i ts se rvi ce s co n ti n u a l l y th ro u g h a

va ri e ty o f m e th o d s.

• B u si n e ss re l a ti o n s h i p m a n a g e m e n t ca n be on e o f th e m o st

re wa rd i n g a s p e cts o f I T s e rvi ce m a n a g e m e n t fo r b o th th e

b u si n e ss a n d th e I T d e p a rtm e n t.

• Th e ke y a sp e cts a re to i d e n ti fy th e cu sto m e rs o f th e se rvi ce ,

ta l k to th e m o p e n l y a b o u t th e se rvi ce s p ro vi d e d and a ct o n

th e i r fe e d b a ck, wh e th e r i t’s g o o d or ba d .

• Cre a ti n g a pl a n to i n fo rm a s m a n y peopl e a s p o ss i b l e

wi th i n th e b u si n e s s a b o u t yo u r se rvi ce s wi l l a l so b e a r fru i t

o ve r ti m e , b u t e xp e ct th i s to be a l on g and on g oi n g

p ro ce s s.

Supplier management
Objective

To manage suppliers to ensure the provision of seamless quality

services.

E xte rn a l su p p l i e rs a re a ke y co m p o n e n t i n th e d e l i ve ry o f a n e ffe cti ve IT

se rvi ce . Th e re is no wa y a sm a l l I T te a m ca n do it all so h a vi n g a

co m m e rci a l re l a ti o n sh i p wi th a th i rd p a rty th a t h a s e i th e r th e ski l l s o r th e

re s o u rce s (o r b o th ) th a t yo u r te a m l a cks i s a m u s t. B u t i t’s su rp ri s i n g h ow

o fte n s u ch re l a ti o n sh i p s a re b a se d on th e va g u e s t o f fo u n d a ti o n s; an

u n cl e a r d e fi n i ti o n o f wh a t i s to be p ro vi d e d wi th fe w ch e cks th a t th e

co rre ct se rvi ce i s bei n g re ce i ve d . S o m e ti m e s th e o n l y p a rt th a t fl o ws

sm o o th l y se e m s to be th e p a ym e n t. S u ch s i tu a ti o n s ca n be a vo i d e d by

ta ki n g a fe w stra i g h tfo rwa rd ste p s to g e tti n g yo u r s u p p l i e r m a n a g e m e n t

on a fi rm fo o ti n g .

Supplier strategy
Th e fi rst ste p i s to re vi e w yo u r su p p l i e r stra te g y i f yo u h a ve on e o r to

cre a te i t i f yo u d o n ’t. Th i s m a y fi t wi th i n yo u r e xi sti n g I T stra te g y wh e re

i t co ve rs th e so u rci n g of g ood s a n d se rvi ce s to m e e t yo u r n e e d s. It

n e e d n ’t b e a l o n g - wi n d e d d o cu m e n t a s l o n g a s i t co ve rs th e a re a s i n

wh i ch yo u p ro vi d e se rvi ce s a n d yo u r p re fe rre d a p p ro a ch to d e l i ve ri n g

th e m , wh e th e r vi a i n -h o u se ski l l s o r vi a th e e n g a g e m e n t o f o u tsi d e h el p.

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As p a rt o f th i s i t m a y b e u se fu l to ca te g o ri z e yo u r su p p l i e rs o n a m a tri x

o f sp e n d vs. ri s k a s fo l l o ws:

• high sp e n d , high ri sk–stra te g i c

• m ed i u m spen d , m ed i u m ri sk–ta cti ca l

• l ow spen d , l o w ri s k–co m m o d i ty

I t’s u p to yo u wh i ch o f th e a b o ve ca te g o ri e s yo u a l l o ca te to th e

i n te rm e d i a te p o i n ts o n th i s g ri d – fo r e xa m p l e , l o w sp e n d , high ri s k – a s

l on g a s i t se e m s u se fu l to yo u ; th e re a re no h a rd and fa st ru l e s. Th i s h e l p s

in a n u m b e r o f re l a te d I T se rvi ce m a n a g e m e n t a re a s i n cl u d i n g I T se rvi ce

co n ti n u i ty – wh a t wi l l yo u do i f on e o f yo u r s tra te g i c su p p l i e rs ce a se s

tra d i n g fo r so m e re a s o n ?

The supplier catalogue

Th e n e xt ste p i s to cre a te a su p p l i e r ca ta l o g u e l i sti n g all yo u r su p p l i e rs

and th e i r re l e va n t a ttri b u te s. As we l l a s th e o b vi o u s co n ta ct d e ta i l s th e se

a ttri b u te s sh o u l d i n cl u d e :

• co n tra ct sta rt a n d en d d a te s a n d n o ti ce p e ri o d ;

• va l u e o f th e co n tra ct;

• se rvi ce s p ro vi d e d ;

• se rvi ce l e ve l s th a t a re a g re e d in th e co n tra ct;

• l o ca ti o n o f th e co n tra ct d o cu m e n t(s ) ;

• re vi e w m e e ti n g fre q u e n cy.

Th i s co u l d be in a d o cu m e n t, a sp re a d sh e e t o r, i f i t su p p o rts i t, yo u r

se rvi ce d e sk sys te m . Th i s h e l p s i n bei n g a bl e to se e cl e a rl y wh o yo u a re

co n tra cte d wi th , h o w m u ch yo u a re p a yi n g and wh a t yo u sh ou l d be

g e tti n g fo r yo u r m o n e y. Wh e n to u g h b u d g e t a l l o ca ti o n s co m e ro u n d in a

d i ffi cu l t e co n o m i c cl i m a te yo u wi l l n eed to be su re o f wh e re yo u co u l d

sa ve m on ey a n d wh a t th e i m p l i ca ti o n s to s e rvi ce wo u l d be.

Case in point

Th e a u th o rs a re a wa re o f a t l e a st o n e ca se wh e re an annual

su p p o rt co n tra ct i n cl u d e d a n u m b e r o f co n s u l ta n cy d a ys to be

p ro vi d e d e ve ry ye a r, b u t th e cu sto m e r wa s n ’t a wa re o f th i s a n d

th e s u p p l i e r d i d n ’t g o o u t o f i ts wa y to m e n ti o n i t u n l e s s i t wa s

a ske d . As a re s u l t, th e cu sto m e r p a i d e xtra e ve ry ye a r fo r a

se rvi ce i t d i d n ’t re ce i ve .

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Meeting your suppliers

Th e su p p l i e r ca ta l o g u e wi l l h el p yo u to cl a ri fy wh i ch s u p p l i e rs wa rra n t

m o re o f yo u r a tte n ti o n in th e fo rm o f m e e ti n g s a n d re vi e ws . O f co u rs e ,

th e re is no n eed to m e e t wi th e ve ry su p p l i e r i n th e ca ta l o g u e ; th o se wi th

wh o m yo u o n l y sp e n d a l i ttl e m on ey a n d fro m wh o m yo u bu y g ood s or

se rvi ce s th a t a re fre e l y a va i l a b l e e l se wh e re a re p ro b a b l y o n l y wo rth a

ph on e ca l l o n ce a ye a r. H o we ve r, a t th e o th e r e n d o f th e s p e ctru m yo u

m a y h a ve su p p l i e rs wi th wh o m yo u sp e n d a co n si d e ra b l e a m ou n t a n d

re l y u p o n to d e l i ve r yo u r se rvi ce s to u se rs. Th e se a re th e o n e s yo u n eed

to co n ce n tra te on to e n su re yo u a re m a xi m i z i n g va l u e fo r m o n e y.

E sta b l i sh a p o l i cy o f h o w o fte n yo u wi l l m e e t wi th su p p l i e rs a cco rd i n g to

th e ca te g o ry th e y fa l l i n to , fo r e xa m p l e :

• stra te g i c = q u a rte rl y m e e ti n g s;

• ta cti ca l = annual m e e ti n g s;

• co m m o d i ty = a n n u a l ph on e ca l l .

U su a l l y su p p l i e rs wi l l re g a rd s u ch m e e ti n g s a s u se fu l sa l e s o p p o rtu n i ti e s

to i n tro d u ce yo u to n e w p ro d u cts o r se rvi ce s a n d th i s i s fa i r e n o u g h as

l on g a s i t d o e sn ’t b e co m e th e so l e p u rp o se o f th e m e e ti n g . O f co u rse , i t’s

g ood p ra cti ce to h a ve an a g en d a fo r e a ch m e e ti n g and e n s u re m i n u te s

a re ta ke n , i n cl u d i n g a tte n d e e s, d e ci si o n p o i n ts a n d a cti o n s.

Measuring supplier performance

Yo u m a y h a ve som e su p p l i e rs wh o p ro vi d e a d e fi n e d l e ve l o f se rvi ce ,

wh e th e r i t’s p a rti a l o u tso u rci n g or si m pl y h el p d e sk su p p o rt fo r a ke y

a p p l i ca ti o n . Yo u n eed to h a ve a wa y o f m e a su ri n g wh e th e r yo u a re

g e tti n g th e se rvi ce yo u sh o u l d ; i f th e su p p l i e r p ro d u ce s a re g u l a r re p o rt

th e n th a t’s g re a t, b u t e ve n th e n i t i s d e s i ra b l e to be in a p o si ti o n to

ch e ck th a t th e i n fo rm a ti o n i t i s g i vi n g yo u i s a ccu ra te . I t’s n o t u n kn o wn

fo r a su p p l i e r’s se rvi ce d e sk to d o wn g ra d e i n ci d e n ts a u to m a ti ca l l y a s so o n

a s th e y a p p ro a ch th e i r re so l u ti o n ta rg e t, e sp e ci a l l y i f s e rvi ce p e n a l ti e s a re

p a ya b l e .

Th e main wa y to do th i s i s vi a re p o rts fro m yo u r se rvi ce d e sk syste m and

yo u m a y n eed to p u t so m e th o u g h t i n to h o w to twe a k yo u r i n ci d e n t

m a n a g e m e n t p ro ce ss to be a bl e to te l l wh e n an i n ci d e n t wa s l o g g e d wi th

th e su ppl i er a n d h ow l on g i t to o k to re so l ve i t. Th e sa m e p ri n ci p l e

a p p l i e s to o th e r typ e s o f s e rvi ce wh e th e r th e y b e d e s k-si d e su p p o rt,

re m o te m o n i to ri n g o r n e two rk p ro vi si o n , and yo u m a y n eed to l ook a t

a d d i ti o n a l to o l s to h el p yo u wi th th i s. M o st o rg a n i z a ti o n s a d o p t a

p ra g m a ti c a p p ro a ch : i f yo u a re co n fi d e n t th a t a su p p l i e r i s p ro vi d i n g

g ood s e rvi ce and re p o rts th a t ro u g h l y co rre sp o n d to yo u r p e rce p ti o n of

th e s e rvi ce d e l i ve re d th e n yo u m a y d e ci d e to a cce p t th e su p p l i e r’s wo rd

and n o t se e k to m e a su re th e p e rfo rm a n ce yo u rse l f. I f, on th e o th e r h a n d ,

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th e re p o rts sa y th e s e rvi ce i s g ood b u t re ce n t e ve n ts, su ch a s m a j or

o u ta g e s, te n d to co n tra d i ct th a t th e n yo u wi l l wa n t to sp e n d m o re ti m e

fo rm i n g yo u r o wn sta ti sti ca l p i ctu re .

When the relationship is over

S o m e ti m e s su p p l i e rs d o n ’t p e rfo rm . S o m e ti m e s cu sto m e r n e e d s ch a n g e .

Wh a te ve r th e re a s o n , yo u n eed to be p re p a re d fo r a su p p l i e r re l a ti o n sh i p

to co m e to an en d , e i th e r a s a co n tro l l e d cl o se d o wn of a re ti re d se rvi ce

or a s a p o ss i b l y a cri m o n i o u s d i sp u te . As p a rt o f yo u r su p p l i e r

m a n a g e m e n t p ro ce s s yo u n eed to p e rfo rm a ri sk a sse ssm e n t o n e a ch of

yo u r su p p l i e rs : h o w l i ke l y i s th e re l a ti o n s h i p to en d and wh a t wo u l d be

th e i m p a ct o n yo u r se rvi ce s i f i t d i d ? F o r th o se s u p p l i e rs yo u i d e n ti fy a s

m ed i u m or h i g h ri s k, th i n k a b o u t wh a t yo u ca n pu t i n p l a ce n o w to

l e sse n th e i m p a ct (a s th e l i ke l i h o o d m a y we l l be o u tsi d e o f yo u r co n tro l

i f, fo r e xa m p l e , a co m p a n y fa i l s) . F o r so ftwa re p ro d u cts e scro w

a g re e m e n ts a re o fte n pu t i n p l a ce fo r th i s p u rp o se , b u t th e re a re o th e r

th i n g s yo u ca n do to m a ke su re yo u a re n o t l e ft h i g h and d ry. For

o u ts o u rci n g re l a ti o n sh i p s e n su re th a t yo u h a ve a co p y o f a l l p ro ce d u ra l

d o cu m e n ta ti o n re l a ti n g to yo u r sys te m s a n d try to h ol d a cco u n ts wi th

o th e r th i rd p a rti e s , s u ch a s n e two rk o r te l e p h o n e p ro vi d e rs i n yo u r

co m p a n y’s n a m e , ra th e r th a n th a t o f th e l ea d s u p p l i e r. Th i s l i m i ts th e

su p p l i e r’s p o we r to h ol d yo u to ra n s o m in th e e ve n t o f a se ri o u s d i sp u te .

E ffe cti ve su p p l i e r m a n a g e m e n t ca n add si g n i fi ca n tl y to yo u r a b i l i ty to

p ro vi d e re l i a b l e s e rvi ce s to yo u r u se rs a n d g i ve yo u , as an I T m a n a g e r,

a d d i ti o n a l p e a ce of m i n d . Be su re to ta ke th e p re ca u ti o n s o u tl i n e d in th i s

ch a p te r a n d h o p e fu l l y yo u r su p p l i e r re l a ti o n sh i p s wi l l be l on g and

m u tu a l l y fru i tfu l .

Summary

• A su p p l i e r stra te g y l o o ks a t th e l i s t o f s u p p l i e rs, th e s e rvi ce s

th e y p ro vi d e and th e i r va l u e to th e I T te a m and th e

b u si n e ss . A ri sk a s se ssm e n t i s a ke y p a rt o f th e stra te g y.

• Th e su p p l i e r ca ta l o g u e a d d s m o re d e ta i l a b o u t co n ta cts,

l e ve l s o f se rvi ce , co n tra ct sta rt a n d en d d a te s, n o ti ce

p e ri o d s, l o ca ti o n o f co n tra ct d o cu m e n ta ti o n , e tc.

• M e e ti n g fre q u e n cy sh o u l d be b a se d on th e i m p o rta n ce of

th e s u p p l i e r to th e o rg a n i z a ti o n .

• E ve n if a su p p l i e r p ro vi d e s re g u l a r re p o rts, yo u n eed to be

in a p o si ti o n to ch a l l e n g e i ts fi g u re s wi th yo u r o wn .

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• Pre -e m p t p ro b l e m s b y h a vi n g a cl e a r i d e a o f h o w co n tra cts

wo u l d be en d ed i f n e ce s sa ry a t th e l e a st ri sk to yo u r

o rg a n i z a ti o n .

Next steps

1 . Li st a n d ca te g o ri z e yo u r su p p l i e rs a s ‘ stra te g i c’ , ‘ ta cti ca l ’ or

‘ co m m o d i ty’ – b a se d on th e co st a n d va l u e /ri sk o f th e

g ood s a n d se rvi ce s th e y p ro vi d e .

2. D e ci d e h o w o fte n yo u wi l l m e e t wi th su p p l i e rs i n e a ch

ca te g o ry – fo r e xa m p l e , q u a rte rl y fo r stra te g i c su p p l i e rs.

3. Cre a te a s u p p l i e r ca ta l o g u e co ve ri n g all o f yo u r cu rre n t

co n tra cts; dig o u t th e co n tra ct d o cu m e n ta ti o n .

4. Ch e ck wh e th e r yo u a re g e tti n g th e l e ve l o f se rvi ce yo u a re

p a yi n g fo r fro m e a ch and e ve ry su p p l i e r.

Service delivery processes

H e re we d e s cri b e a ra ft o f p ro ce sse s th a t to g e th e r fi l l in m a n y o f th e

re m a i n i n g a sp e cts o f g o o d p ra cti ce , i n cl u d i n g se rvi ce l e ve l m a n a g em en t

and re p o rti n g , ca p a ci ty m a n a g e m e n t, se rvi ce co n ti n u i ty a n d a va i l a b i l i ty,

I T fi n a n ce and i n fo rm a ti o n s e cu ri ty.

Service level management and reporting

Objective

To define, agree, record and manage levels of service. To produce

agreed, timely, reliable, accurate reports for informed decision
making and effective communication.
S e rvi ce l e ve l m a n a g em en t i s a n i m p o rta n t p ro ce s s b e ca u se i t s e ts th e

sta n d a rd b y wh i ch yo u wi l l a sk to be j u d g ed b y th e b u si n e ss . D ra fti n g

and d i scu s si n g a S e rvi ce Le ve l Ag re e m e n t wi th yo u r cu sto m e rs i s

p o te n ti a l l y fra u g h t wi th d a n g e rs a n d yo u wi l l n eed to be su re o f yo u r

cu rre n t se rvi ce l e ve l s b e fo re p u tti n g a n y ki n d s o f ta rg e ts o n th e ta b l e

e ve n i f th e y a re o n l y s u p p o se d to be a sta rti n g p o i n t. O n ce e xp e cta ti o n s

a re se t, th e y wi l l o n l y m o ve so fa r.

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B u t b e fo re we g e t to se rvi ce l e ve l s , we n eed to ta l k a b o u t th e se rvi ce s

th e m se l ve s a s th i s i s o fte n an a re a th a t i s i l l -d e fi n e d in m a n y I T te a m s

and th e o rg a n i z a ti o n s th e y se rve .

The service catalogue

Do yo u kn o w wh a t I T s e rvi ce s yo u r te a m d e l i ve rs? M a n y I T m a n a g e rs

wo u l d sa y co n fi d e n tl y th a t th e y d o , b u t wh e n a s ke d to wri te th e m d o wn ,

o fte n stru g g l e to co m e up wi th a cl e a r d e fi n i ti o n a t fi rs t. Th i s i s b e ca u se

th e re a re se ve ra l d i ffe re n t wa ys o f l o o ki n g a t th e q u e sti o n . Do we d e fi n e

se rvi ce s fro m th e p o i n t o f vi e w o f th e I T d e p a rtm e n t o r th e b u si n e s s? D o

we i n cl u d e th o s e th i n g s th a t we do th a t th e b u si n e s s n e ve r s e e s a n d so is

b l i ss fu l l y u n a wa re o f, su ch a s ca p a ci ty p l a n n i n g o r p ro b l e m m a n a g e m e n t?

Is an a p p l i ca ti o n a se rvi ce ? H o w fa r sh o u l d we b re a k i t d o wn – is

p ro vi si o n i n g a n e w u se r a si n g l e se rvi ce , or i s i t m a d e up o f m u l ti p l e

se rvi ce s su ch a s PC i n sta l l a ti o n , ph on e i n sta l l a ti o n , u se r a d m i n i stra ti o n

and p o ssi b l y ca b l i n g ? S o m e th o u g h t n e e d s to be p u t i n to wh a t we d e ci d e

to d e fi n e as a se rvi ce a s th e S LA wi l l be b a se d on o u r d e ci s i o n .

Th i s i s o n e o f th o s e a re a s wh e re g e tti n g b o th p o i n ts o f vi e w i s e s se n ti a l .

We wo u l d re co m m e n d h ol d i n g a m e e ti n g wi th yo u r I T sta ff to co m e up

wi th i d e a s fo r a l i st o f s e rvi ce s th a t yo u b e l i e ve yo u cu rre n tl y p ro vi d e to

th e b u s i n e ss a n d th e n co m p a ri n g th i s wi th a si m i l a r l i st p ro d u ce d vi a a

m e e ti n g wi th a t l ea st on e (i d e a l l y m o re ) o f yo u r cu sto m e rs . Yo u m a y be

su rp ri se d a t th e re su l ts – so m e ti m e s cu sto m e rs se e a cti vi ti e s th a t yo u do

i n fo rm a l l y a s a d e fi n e d se rvi ce wh i l st re m a i n i n g co m p l e te l y u n a wa re of

wh a t yo u o ffe r i n o th e r, m o re fo rm a l a re a s . Cre a te a s fu l l a l i st a s yo u

ca n , th e n co n si d e r th e n u m b e r o f s e rvi ce s yo u h a ve i d e n ti fi e d ; i f th e l i st i s

to o l on g th e n i t wi l l be d i ffi cu l t to manage and yo u wi l l be cre a ti n g

a d m i n i stra ti ve p ro b l e m s fo r yo u rse l f; to o sh o rt, and yo u m a y be l a cki n g

in fl e xi b i l i ty wh e n yo u co m e to d e fi n e ta rg e t ti m e sca l e s fo r e a ch o f th e

se rvi ce s . U n fo rtu n a te l y th e re is no ri g h t a n swe r we ca n g i ve yo u ; s u ffi ce

to sa y th a t yo u , yo u r te a m and yo u r cu sto m e rs wi l l kn o w wh e n th e l i st

fe e l s a b o u t ri g h t. O n ce yo u h a ve i t, i t’s ti m e to p u t th e l i st i n to a s e rvi ce

ca ta l o g u e .

A s e rvi ce ca ta l o g u e i s, in i ts s i m p l e s t fo rm , a l i st o f th e se rvi ce s a g re e d as

l i ve wi th d e ta i l s o f th e d e scri p ti o n , se rvi ce typ e , l i n ka g e s to su p p o rti n g

se rvi ce s , th e b u s i n e ss u n i ts wh o u se th e se rvi ce (a n d d e ta i l s o f th e

n o m i n a te d b u s i n e ss o wn e r) , th e i n te rn a l se rvi ce o wn e r, re fe re n ce to th e

S LA a g re e d fo r th i s se rvi ce and va ri o u s o th e r p i e ce s o f i n fo rm a ti o n wh i ch

p e rm i t th e o ve ra l l m a n a g e m e n t o f th e e n ti re su i te o f l i ve se rvi ce s.

M a n y o rg a n i z a ti o n s a ctu a l l y h a ve se ve ra l vi e ws o f th e se rvi ce ca ta l o g u e :

• a b u s i n e ss- fo cu s e d on e wh i ch i n cl u d e s e ve ryth i n g th a t a u se r o r

cu s to m e r wo u l d e a si l y re co g n i se a s bei n g a se rvi ce th e y co u l d re q u e st

and m a ke u se o f;

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• an I T-fo cu se d on e wh i ch a l so i n cl u d e s a l l th e su p p o rti n g i n fo rm a ti o n

th a t i s i n vi s i b l e to th e u se r b u t u se fu l to I T – fo r e xa m p l e , th e

a p p l i ca ti o n s a n d i n fra stru ctu re a se rvi ce u se s .

Th e i n fo rm a ti o n h el d wi th i n th e se rvi ce ca ta l o g u e is up to yo u ; we ’ d

a d vi se yo u sta rt wi th a si m p l e on e and e xp a n d i ts co ve ra g e o ve r ti m e as

th e p ri n ci p l e s b e co m e m o re e s ta b l i sh e d wi th i n yo u r o rg a n i z a ti o n . Th e

se rvi ce ca ta l o g u e is a b u s i n e ss- fa ci n g d o cu m e n t o f wh i ch all o f yo u r

cu sto m e rs a n d i d e a l l y yo u r u se rs sh o u l d be a wa re . Som e o rg a n i z a ti o n s

ta ke i t a ste p fu rth e r a n d p u b l i sh th e ca ta l o g u e on th e i r i n tra n e t, tu rn i n g

i t i n to a m e th o d b y wh i ch se rvi ce s ca n be o rd e re d in th e sa m e wa y a s

yo u wo u l d fro m an i n te rn e t sh o p – fo r e xa m p l e , a n e w PC, a n e w l a p to p .

I f th i s m a ke s se n se fo r yo u r o rg a n i z a ti o n and l i st o f s e rvi ce s th e n by a l l

m e a n s g i ve it a g o, a s l on g a s yo u a re cl e a r a b o u t wh a t yo u a re tryi n g to

a ch i e ve b e fo re h a n d and ca n handle th e i ssu e s o f a u th o ri z a ti o n of

re q u e sts p o ss i b l y vi a so m e ki n d o f wo rkfl o w.

The SLA framework

A S e rvi ce Le ve l Ag re e m e n t (S LA) i s, a s yo u m i g h t g u e ss , an a g re e m e n t

b e twe e n th e se rvi ce p ro vi d e r (th e I T d e p a rtm e n t) and th e se rvi ce

co n su m e r (th e cu sto m e r) to d e l i ve r a p re d e te rm i n e d l e ve l o f se rvi ce in

re tu rn fo r ce rta i n co n d i ti o n s. Wh i l st se rvi ce l e ve l m a n a g e m e n t d o e sn ’t

g e t i n to th e n e g o ti a ti o n o f th e ch a rg e s, th e re i s ta ci t u n d e rs ta n d i n g th a t

th e S LA i s th e a g re e m e n t u p o n wh i ch th e ch a rg i n g i s b a se d – ‘ We wi l l

ch a rg e yo u a s p e r th e a rra n g e m e n ts p ro vi d e d th a t we d e l i ve r to yo u as

p e r th e S LA’ . S u ch ch a rg i n g m a y n ot be d i re ct i n th a t i t m a y b e vi a th e

a l l o ca ti o n o f b u d g e t, b u t th e p ri n ci p l e s ti l l a p p l i e s.

S e rvi ce l e ve l m a n a g e m e n t i s a l so re s p o n si b l e fo r e n su ri n g th a t th e

su p p o rti n g re s o u rce s a re in p l a ce and co n tro l l e d su ffi ci e n tl y we l l to

d e l i ve r th e se rvi ce . F o r i n te rn a l re so u rce s th e a rra n g e m e n ts a re

d o cu m e n te d in O p e ra ti o n a l Le ve l Ag re e m e n ts (O LAs) and fo r th i rd p a rty

o rg a n i z a ti o n s th e y a re d o cu m e n te d in U n d e rp i n n i n g Co n tra cts (U Cs) .

B e fo re l o o ki n g a t th e co n te n ts o f a n S LA, i t’s wo rth co n si d e ri n g h o w yo u

wa n t to stru ctu re th e S LA fra m e wo rk. S i n ce i t’s l i ke l y th a t yo u h a ve

se ve ra l se rvi ce s a n d m u l ti p l e cu sto m e r g ro u p s i n a n e two rk a rra n g e m e n t,

yo u n eed to co n si d e r wh e th e r yo u wi l l cre a te se rvi ce -b a se d or

cu sto m e r-b a se d S LAs . Th e re a re p ro s a n d co n s wi th e a ch : se rvi ce -b a se d

S LAs ca n be d i ffi cu l t to a g re e wh e n yo u h a ve m u l ti p l e cu sto m e rs fo r th a t

se rvi ce , e a ch wi th co n fl i cti n g d e m a n d s; cu sto m e r- b a s e d S LAs a re o fte n

b e tte r b u t ca n ca u se e xtra wo rk to a g re e ch a n g e s to se rvi ce s a s th e e n ti re

S LA m u st b e re vi e we d e a ch ti m e a si n g l e s e rvi ce ch a n g e s. Th e re is no

o n e - si z e - fi ts-a l l fo r th i s : yo u m a y fi n d i t si m p l e st to sta rt wi th a si n g l e S LA

fo r a l l se rvi ce s to all cu sto m e rs a n d se e h o w i t wo rks i n yo u r

o rg a n i z a ti o n , th e n a d a p t a s yo u go a l on g (co n ti n u a l i m p ro ve m e n t) .

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SLA negotiation
An oft-cited rule is ‘if you can’t measure it, you can’t manage it’ –
nothing should be included in an SLA unless you can monitor it and
measure it; otherwise you run the risk of failing to deliver against your
SLA for no reason other than you were flying blind.

We have set out below some typical SLA headings with an indication of
what would come within each one – headings in brackets are optional
depending on the organization.

1. Heading – to start with, there needs to be a heading section that

deals with who agreed the SLA, when it was agreed, which services it
relates to, when it will next be reviewed and an agreed form of
words that lays out what will happen to minor changes during the
life of the agreement and under what circumstances the entire
agreement may be reviewed.
2. Scope – which services are included, which are excluded.
3. Body – for each service:
(a) Service description – what it consists of, business functions
supported, deliverables, scale, impact to business (you may
choose to refer to the service catalogue).
(b) Service hours – the hours during which the service should be
available, special exceptions (weekends, bank holidays),
procedure for requesting exceptions or extensions, details of
pre-agreed maintenance, housekeeping, backup or release slots
and procedure for requesting permanent changes to service
hours.
(c) Service availability – it’s usually best to express this as maximum
permissible unavailability, but try not to give technical or
meaningless values (99.999% available means little to the
business); it’s better to say, for example, a maximum of four
hours of outage across any one month. Even better if you can
relate the specifics of what the outages will mean to the
business and can give availability targets around the business
processes.
(d) Reliability – the maximum number of outages that will be
tolerated over an agreed time frame (e.g. no more than four per
annum).
(e) Customer support – details of how to contact support, when it’s
available, what to do outside the support hours, targets for call
answering, incident response and resolution, procedure for
requesting support extensions. The incident resolution targets
should include and be based upon the definition of incident
impact and priority codes and incident classification.
(f) Contact points and escalation – contacts for the customer and
the service provider, escalation points and procedure and
definition of and procedure for managing complaints and
compliments.

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(g ) Service performance – d e ta i l s o f re sp o n s i ve n e ss e xp e cte d o f th e

se rvi ce (e . g . wo rksta ti o n s wi l l re sp o n d wi th i n two se co n d s 9 5 per

ce n t o f th e ti m e ) and th e a g re e d e xp e cte d tra ffi c vo l u m e s,

th ro u g h p u t q u a n ti ti e s a n d a n y kn o wn co n stra i n ts. Th i s sh o u l d

a l so i n cl u d e d e ta i l s o f wh a t syste m d em a n d wi l l i n va l i d a te th e

ta rg e ts (fo r e xa m p l e , i f i t i s a g re e d th a t th e e xp e cte d m a xi m u m

n u m b e r o f co n cu rre n t u s e rs i s 2 0 0 fo r th e a b o ve ta rg e t a n d at

th e ti m e th e ta rg e t wa s b re a ch e d th e re we re 3 00 u s e rs o n th e

se rvi ce … ).

(h ) (Batch turnaround times) – wh e re re l e va n t, h o w q u i ckl y b a tch e s

sh o u l d be p ro ce sse d , wh a t th e i n pu t a n d o u tp u t p ro ce sse s a re .

(i ) (Functionality) – d e ta i l s o f th e minimal fu n cti o n a l i ty a n d th e

m a xi m u m n u m b e r o f e rro rs th a t ca n be to l e ra te d b e fo re th e S LA

i s d eem ed to be b re a ch e d .

(j ) Change management – a b ri e f e xp l a n a ti o n of a n d l i n k to th e

o rg a n i z a ti o n ’s ch a n g e m a n a g e m e n t p ro ce d u re s to be fo l l o we d ,

i n cl u d i n g ta rg e ts fo r a p p ro va l , handling and i m p l e m e n ti n g

ch a n g e re q u e s ts fo r th i s se rvi ce .

(k) Service continuity – b ri e f e xp l a n a ti o n o f, and l i n k to , th e

o rg a n i z a ti o n ’s s e rvi ce co n ti n u i ty p l a n s p l u s a n e xp l a n a ti o n of

h o w th e S LA wi l l be d e a l t wi th u n d e r d i s a s te r s i tu a ti o n s (re d u ce d

or a m en d ed ta rg e ts , e tc. ) . Th e re sh o u l d a l so be an e xp l a n a ti o n

o f th e re sp o n s i b i l i ti e s o f e a ch p a rty d u ri n g i n vo ca ti o n .

(l ) Security – b ri e f e xp l a n a ti o n o f, and l i n k to , th e o rg a n i z a ti o n ’s

se cu ri ty p o l i cy co ve ri n g d e ta i l s o f a n y s p e ci fi c re sp o n si b i l i ti e s o f

e a ch p a rty.

(m ) Roles and responsibilities – d e ta i l s o f th e ro l e s o f a l l i n vo l ve d

p a rti e s a n d th e i r re sp o n si b i l i ti e s .

(n ) (Charging) – D e ta i l s o f ch a rg i n g fo rm u l a e , ch a rg i n g p e ri o d s,

i n vo i ci n g p ro ce d u re s a n d p a ym e n t co n d i ti o n s, and d e ta i l s o f

fi n a n ci a l p e n a l ti e s o r b o n u se s to be l e vi e d or pa i d .

(o ) Service reporting and reviewing – th e co n te n t, fre q u e n cy, ti m i n g

and d i stri b u ti o n o f se rvi ce re p o rts, th e fre q u e n cy o f se rvi ce

re vi e w m e e ti n g s a n d th e fre q u e n cy a n d p ro ce d u re fo r S LA

re vi e ws.

(p ) Glossary – e xp l a n a ti o n o f a n y te rm i n o l o g y u se d .

(q ) Amendment sheet – to re co rd a n y a g re e d a m e n d m e n ts d u ri n g

th e p e ri o d o f th e a g re e m e n t.

I f th e a g re e d l e ve l s o f se rvi ce a re fa i rl y co m m o n a cro ss a l l se rvi ce s yo u

m a y d e ci d e to l i st th e m o n ce and th e n sp e ci fy a n y e xce p ti o n s ; th i s m a y

m a ke th e d o cu m e n t sh o rte r a n d e a si e r to u n d e rsta n d . I f th i s i s th e fi rs t

ti m e a n S LA h a s b e e n cre a te d i t m a y m a ke se n se to a g re e th e o ve ra l l

fo rm a t wi th th e b u si n e s s, i n cl u d i n g th e m e tri cs th a t wi l l be u se d , wi th o u t

sp e ci fyi n g a n y a ctu a l fi g u re s a t th i s s ta g e . Th i s wi l l g i ve yo u a ch a n ce to

d i scu s s wh a t typ e s o f ta rg e t wo u l d be re l e va n t a n d m e a n i n g fu l to yo u r

cu sto m e rs wi th o u t g e tti n g i n to th e d e ta i l o f wh e th e r a p a rti cu l a r n u m b e r

i s to o high o r to o l o w.

98 IT Service Management for Small IT Teams

 Service delivery processes

Th e n e xt ste p i s to a g re e so m e ta rg e t fi g u re s fo r th i n g s l i ke i n ci d e n t

re so l u ti o n ti m e s ca l e s a n d p e rce n ta g e a va i l a b i l i ty. I d e a l l y th e se wi l l be

b a se d u pon wh a t th e b u s i n e ss n e e d s ra th e r th a n on h i s to ri ca l d a ta of

wh a t h a s b e e n d e l i ve re d , b u t i f b u si n e ss n e e d s e xce e d th a t wh i ch has

p re vi o u s l y b e e n d e l i ve re d th e n th i s i s wh e re n e g o ti a ti o n b e co m e s

i m p o rta n t. Th e re is no poi n t i n p u tti n g a s p i ra ti o n a l ta rg e ts i n to an S LA i f

yo u kn o w fo r a fa ct th a t, wi th yo u r cu rre n t l e ve l o f re so u rce s, th e y ca n ’t

be m e t. Yo u wi l l si m p l y b e s e tti n g yo u rse l f u p to fa i l . Th e b u si n e ss wi l l

e i th e r h a ve to a l l o ca te a d d i ti o n a l re s o u rce s to I T o r a cce p t a l o we r l e ve l

o f se rvi ce th a n i t sa ys i t n e e d s .

I f th e m e tri cs th a t th e b u si n e s s re g a rd s a s m e a n i n g fu l a re n o t a m o n g st

th o s e yo u cu rre n tl y co l l e ct th e n th e o rg a n i z a ti o n m a y a g re e to ru n th e

S LA i n a ki n d o f ‘ m o n i to ri n g m od e’ wh e re b y th e a ctu a l fi g u re s a re

re p o rte d bu t n o ta rg e ts se t fo r th e fi rs t fe w m o n th s. Th i s wi l l g i ve th e IT

te a m and th e b u si n e s s a ch a n ce to se e wh a t ca n re a l l y b e d e l i ve re d wi th

e xi sti n g I T re so u rce s; again, i f th i s tu rn s o u t to be l o we r th a n th e b u si n e ss

wa n ts, n e g o ti a ti o n s wi l l n eed to be e n te re d i n to .

O n ce re a so n a b l e ta rg e ts h a ve been a g re e d , th e i n te n ti o n sh o u l d be to try

to i m p ro ve p e rfo rm a n ce o ve r a p e ri o d o f ti m e and th e ta rg e ts m a y b e

i n cre a se d ye a r o n ye a r. B ea r i n mind, h o we ve r, th a t th i s s h o u l d be d on e

in th e co n te xt o f wh e th e r i t i s th e b e st u s e o f re s o u rce s – i f a n S LA ta rg e t

i s g ood en ou g h and th e b u si n e ss d o e s n ’t fe e l a n y b e n e fi t fro m b e tte r

se rvi ce l e ve l s th e n yo u r I T ti m e and th e o rg a n i z a ti o n ’s m o n e y m a y b e

b e tte r s p e n t e l se wh e re . Th e y wi l l a l so l e ve l o ff o ve r ti m e o n ce th e se rvi ce

ca n no l on g er be fu rth e r i m p ro ve d , so th e re is a ce i l i n g to i m p ro ve m e n t.

S LA ta rg e ts a re a u se fu l m e ch a n i sm fo r a l l o ca ti n g re so u rce s o r i d e n ti fyi n g

wh e n re so u rce s a re to o stre tch e d . D o n ’t b e te m p te d to i m pl em en t

‘ wo rka ro u n d s ’ to e n su re yo u a l wa ys m e e t th e S LA i f th e re a so n i s th a t

yo u j u st d o n ’t h a ve th e re s o u rce s . F a r b e tte r to a l l o w th e S LA to be

b re a ch e d to sh o w cl e a r e vi d e n ce th a t th e re is an i ssu e . An S LA s h o u l d n ot

be so m e th i n g th e b u si n e s s u se s to b e a t I T ro u n d th e h ea d wi th ; i t s e rve s

a u se fu l p u rp o se fo r I T to o in i l l u stra ti n g th e b a l a n ce b e twe e n re so u rce s

a ppl i ed and se rvi ce l e ve l s d e l i ve re d .

OLAs and UCs

Th e p u rp o se o f O p e ra ti o n a l Le ve l Ag re e m e n ts (O LAs ) and U n d e rp i n n i n g

Co n tra cts (U Cs) i s to d o cu m e n t h o w th e i n te rn a l and e xte rn a l su p p o rti n g

te a m s co n tri b u te to wa rd s m e e ti n g th e ta rg e ts l a i d ou t i n th e S LAs . Th e

ke y th i n g h e re i s to fu l l y u n d e rsta n d wh i ch ta rg e ts o f wh i ch s e rvi ce s a re

u n d e rp i n n e d b y wh i ch i n te rn a l and e xte rn a l te a m . O fte n i n te rn a l te a m s

su p p o rt m o st s e rvi ce s d i re ctl y o r i n d i re ctl y wh e re a s e xte rn a l su p p l i e rs wi l l

su p p l y re so u rce s o r su p p o rt fo r sp e ci fi c se rvi ce s. O n ce yo u h a ve i d e n ti fi e d

th e re l a ti o n sh i p s b e twe e n th e su p p o rti n g re s o u rce s a n d th e se rvi ce s

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bei n g su p p o rte d , s e rvi ce l e ve l m a n a g e m e n t ca n wo rk wi th th e re l e va n t

te a m m a n a g e rs to a g re e wh a t th e te rm s o f th e O LAs a n d U Cs n e e d to

be.

O LAs a re n ’t co m p l i ca te d to wri te b u t ca n ta ke som e ti m e to n e g o ti a te .

Th e h e a d i n g s o f th e d o cu m e n t wi l l be si m i l a r to th o se fo r th e S LA (se e

se cti o n h ea d ed ‘ S LA n e g o ti a ti o n ’ ) . B o th O LAs a n d U Cs n e e d to be

m o n i to re d in line wi th th e m o n i to ri n g o f S LA ta rg e ts a n d a re re p o rte d

b a ck to te a m and su p p l i e r m a n a g e m e n t co n ta cts i n o rd e r to e n su re

co n ti n u e d a l i g n m e n t. Al s o , a n y ch a n g e s to S LAs s h o u l d be e va l u a te d

a g a i n st th e ti m e sca l e s a n d o th e r te rm s d e fi n e d b y th e O LAs a n d U Cs

b e fo re th e ch a n g e s a re a g re e d in o rd e r to a vo i d a d i sco n n e ct b e twe e n

wh a t we p ro m i se th e cu sto m e r a n d wh a t we a re in tu rn p ro m i se d by ou r

i n te rn a l and e xte rn a l su p p l i e rs. Th e re is no poi n t i n p ro m i si n g th e

b u si n e ss th a t n e two rk i s su e s wi l l be re s o l ve d wi th i n on e h o u r i f yo u r

co n tra ct wi th th e p ro vi d e r s ta te s th a t th e y m a y n o t e ve n sta rt l o o ki n g at

re p o rte d i ssu e s fo r two h o u rs.

Service reporting
In th e co u rse of m a n a g i n g yo u r I T s e rvi ce s th e re wi l l be a re q u i re m e n t

fo r a va ri e ty o f re p o rts, a i m ed a t m u l ti p l e a u d i e n ce s . Th e se fa l l i n to th e

fo l l o wi n g two main ca te g o ri e s:

1 . Service report – th i s co ve rs th e i n fo rm a ti o n th a t yo u p ro vi d e to

peopl e o u tsi d e I T to sh o w wh e th e r yo u a re m e e ti n g th e a g re e d

se rvi ce l e ve l s, d e scri b e wh a t’s g o i n g on in I T, p ro g re ss o f p ro j e cts, e tc.

2. Operational report – i n fo rm a ti o n th a t yo u n eed i n te rn a l l y wi th i n IT

in o rd e r to e ffe cti ve l y m a n a g e th e se rvi ce s a n d th e re s o u rce s yo u

h a ve u n d e r yo u r co n tro l .

I f yo u a re fo rtu n a te yo u wi l l h a ve a p re -s u p p l i e d m e th o d o f p ro d u ci n g

th e re q u i re d re p o rts fro m wi th i n yo u r I T se rvi ce m a n a g e m e n t to o l ; m o st

to o l s co m e wi th a l on g l i st o f p re -wri tte n re p o rts p ro u d l y h i g h l i g h te d by

th e ve n d o r. U n fo rtu n a te l y i t se e m s fa i rl y ra re fo r th e se re p o rts to be of

si g n i fi ca n t u se wi th o u t a t l e a st p a rti a l ta i l o ri n g to re q u i re m e n ts. Th i s

m e a n s th a t yo u wi l l a l m o s t ce rta i n l y e n d up m a ki n g u se of on e o f th e

p o p u l a r d a ta b a se re p o rti n g to o l s th a t a re on th e m a rke t to fi n e - tu n e or

cre a te fro m scra tch th e re p o rts yo u n eed . D o n ’t u n d e re sti m a te th e ti m e

th i s wi l l ta ke or i n d eed th e tre m e n d o u s va l u e yo u wi l l gain fro m h a vi n g

a s e t o f re p o rts th a t re a l l y m e a n s o m e th i n g to yo u and yo u r cu sto m e rs.

H o we ve r yo u p ro d u ce th e re p o rts i t i s a ve ry g o o d i d ea to re co rd th e

m e th o d o f p ro d u cti o n . I f yo u cre a te q u a rte rl y o r e ve n m o n th l y re p o rts,

u si n g a n u m b e r o f so u rce s a n d re q u i ri n g fu rth e r m a n i p u l a ti o n or

fo rm a tti n g , yo u m a y we l l h a ve fo rg o tte n h o w yo u did i t l a st ti m e o n ce

re p o rt d a y a rri ve s a g a i n ; th e wo rs t ca se i s th a t yo u wi l l en d up wi th

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i n co n s i ste n t d a ta b e ca u se o f s l i g h t va ri a ti o n s i n p ro ce s si n g and th i s ca n

be b o th fru stra ti n g and e m b a rra ss i n g .

O f co u rs e , e ve ry o rg a n i z a ti o n i s d i ffe re n t a n d th e i n fo rm a ti o n re q u i re d

wi l l va ry wi d e l y, b u t th e re i s p ro b a b l y a n a b so l u te co re se t o f re p o rts th a t

wi l l be u s e fu l in m o st ca se s. We h a ve se t o u t o u r to p fo u r i n e a ch

ca te g o ry b e l o w.

Service reports

• p e rce n ta g e o f i n ci d e n ts a n d se rvi ce re q u e sts cl o se d wi th i n S LA ta rg e t,

o ve ra l l and b y cu s to m e r d e p a rtm e n t;

• n u m b e r o f i n ci d e n ts a n d se rvi ce re q u e sts l o g g e d b y m o n th by

d e p a rtm e n t;

• n u m b e r o f m a j o r i n ci d e n ts b y m o n th ;

• p e rce n ta g e a va i l a b i l i ty o f b u si n e s s cri ti ca l s e rvi ce s .

Operational reports

• i n ci d e n ts a n d s e rvi ce re q u e s ts o p e n e d and cl o se d b y m e m b e r o f sta ff;

• to ta l n u m b e r o f i n ci d e n ts l o g g e d and cl o se d b y m o n th ;

• to ta l n u m b e r o f se rvi ce re q u e sts l o g g e d and fu l fi l l e d b y m o n th ;

• n u m b e r o f i n ci d e n ts o p e n a t m o n th en d , tre n d b y m o n th (th i s i s yo u r

b a ckl o g ) .

O f co u rs e , th e re a re m a n y, m a n y m o re th a t wo u l d be u se fu l b u t we

wo u l d a d vi se ca u ti o n in cre a ti n g to o m a n y; a l wa ys fo cu s o n wh a t a cti o n

yo u wi l l ta ke b a se d on th e re p o rt. I f yo u (o r yo u r cu s to m e r) wi l l n e ve r

ta ke a n y a cti o n re g a rd l e ss o f wh e th e r th e n u m b e rs a re l a rg e o r sm a l l or

th e tre n d is up o r d o wn th e n a s k yo u rse l f i f yo u re a l l y n e e d th a t re p o rt.

We h a ve su g g e ste d a b o ve th a t th e fre q u e n cy o f su ch re p o rts co u l d be

m o n th l y, b u t th i s i s n o t a g i ve n . Ag a i n th e i ssu e i s u se fu l n e s s a n d

q u a rte rl y re p o rti n g m a y we l l su ffi ce in m a n y ca s e s, p a rti cu l a rl y fo r se rvi ce

re p o rts wh e re th e cu sto m e r’s a p p e ti te wi l l p ro b a b l y b e l i m i te d . Th e

fo rm a t o f re p o rti n g sh ou l d a l so be co n si d e re d ; th e re is a tre n d to wa rd s

m a ki n g th e re l e va n t i n fo rm a ti o n a va i l a b l e re g u l a rl y (a n d a u to m a ti ca l l y)

vi a th e u se of a d a sh b o a rd on an i n tra n e t i f yo u h a ve on e. Al l yo u n eed

to do th e n i s p o i n t yo u r cu sto m e rs a t th e re l e va n t p a rt o f th e i n tra n e t

and th e y ca n se e th e i r fi g u re s wh e n e ve r th e y l i ke . In b u si n e ss re l a ti o n sh i p

m e e ti n g s th i s wo u l d be e a sy to b ri n g up on a scre e n fo r d i scu ssi o n . Be

ca re fu l , th o u g h , to a l l o w th e cu sto m e r to se e th e fi g u re s fo r i ts

d e p a rtm e n t sp e ci fi ca l l y a s we l l a s o ve ra l l fo r th e o rg a n i z a ti o n , a s th i s wi l l

be i ts m a i n fo cu s .

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Summary

• An S LA i s a n a g re e m e n t b e twe e n th e s e rvi ce p ro vi d e r (th e

I T d e p a rtm e n t) and th e s e rvi ce co n su m e r (th e cu s to m e r) to

d e l i ve r a p re d e te rm i n e d l e ve l o f s e rvi ce in re tu rn fo r

ce rta i n co n d i ti o n s.

• An S LA ca n be s e rvi ce - b a s e d o r cu sto m e r-b a se d and p a rt o f

th e p ro ce ss i s to d e ci d e wi th yo u r cu sto m e rs wh i ch

stru ctu re wo u l d b e st su i t yo u r o rg a n i z a ti o n .

• O LAs a n d U Cs a re a g re e m e n ts wi th i n te rn a l and e xte rn a l

(re sp e cti ve l y) th i rd p a rti e s wh i ch sh o u l d su p p o rt th e S LA

and be a l i g n ed wi th i ts ta rg e ts.

• A se rvi ce ca ta l o g u e is a l i s t o f th e se rvi ce s a g re e d a s l i ve

wi th d e ta i l s o f th e d e scri p ti o n , s e rvi ce typ e , l i n ka g e s to

su p p o rti n g se rvi ce s, th e b u si n e ss u n i ts wh o u se th e s e rvi ce

(a n d d e ta i l s o f th e n o m i n a te d b u si n e ss o wn e r) , th e i n te rn a l

se rvi ce o wn e r, l i n ka g e to th e S LA a g re e d fo r th i s se rvi ce

and va ri o u s o th e r p i e ce s o f i n fo rm a ti o n wh i ch p e rm i t th e

o ve ra l l m a n a g e m e n t o f th e e n ti re su i te o f l i ve s e rvi ce s.

Next steps

1 . D o cu m e n t th e fu l l l i st o f a g re e d , l i ve se rvi ce s (i n to a s e rvi ce

ca ta l o g u e ) .

2. D e te rm i n e th e a p p ro a ch to th e S LA fra m e wo rk

(se rvi ce -b a se d , cu s to m e r- b a s e d ) .

3. Ag re e a te m p l a te fo r wh a t yo u r S LA(s) wi l l co n ta i n .

4. S ta rt n e g o ti a ti n g wi th yo u r cu sto m e rs.

Service continuity and availability management

Objective

To ensure that agreed service continuity and availability

commitments to customers can be met in all circumstances.
S e rvi ce co n ti n u i ty a n d a va i l a b i l i ty m a n a g e m e n t a re se p a ra te , b u t ve ry

cl o s e l y a l i g n e d , p ro ce ss e s. Ava i l a b i l i ty m a n a g e m e n t l o o ks a t th e va ri o u s

a sp e cts o f h o w to d esi g n and ru n se rvi ce s a n d th e i r s u p p o rti n g

te ch n o l o g y i n wa ys wh i ch stri ve fo r th e h i g h e st l e ve l s o f a va i l a b i l i ty. It is

a l so co n ce rn e d wi th th e ca u se s o f p e ri o d s o f u n a va i l a b i l i ty (wh e th e r

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pl a n n e d or u n pl a n n ed ) , and h o w su ch u n a va i l a b i l i ty ca n be a vo i d e d in

th e fu tu re ; h e n ce th e re is a ve ry stro n g l i n ka g e h e re wi th p ro b l e m

m a n a g e m e n t.

S e rvi ce co n ti n u i ty m a n a g e m e n t ta ke s th e i ss u e a sta g e fu rth e r a n d l o o ks

a t wh a t n e e d s to be in p l a ce to re co ve r fro m a n y e ve n ts th a t d o o ccu r to

a ti m e sca l e d i cta te d b y b u s i n e ss re q u i re m e n ts. Th i s l a s t p a rt i s i m p o rta n t

a s sp e e d y re co ve ry ca n be e xp e n s i ve and i f i t’s n o t n e e d e d th e n th e

org a n i z a ti o n ’s m o n e y i s p o te n ti a l l y b e i n g wa ste d .

Le t’s l o o k a t a va i l a b i l i ty m a n a g e m e n t fi rst.

Availability management
Th e i m p o rta n t th i n g a b o u t a va i l a b i l i ty m a n a g e m e n t fro m th e p e rsp e cti ve

of a sm a l l I T te a m i s th a t i t o ffe rs a fra m e wo rk fo r e n su ri n g th a t th e

a va i l a b i l i ty re q u i re d o f I T se rvi ce s b y th e b u si n e ss i s d o cu m e n te d and

d e si g n e d in to n ew a n d ch a n g e d se rvi ce s. I t a l so e n su re s th a t a va i l a b i l i ty

i s m o n i to re d and re p o rte d and, wh e re e xce p ti o n s o ccu r, th e y a re

e xa m i n e d , a s se sse d and h o p e fu l l y re so l ve d . Th e p ri n ci p l e aim of

a va i l a b i l i ty m a n a g e m e n t i s to e n s u re th a t th e cu rre n t a n d fu tu re re q u i re d

l e ve l s o f a va i l a b i l i ty a re m e a su re d and a ch i e ve d .

Le t’s ta ke a m o re d e ta i l e d l o o k a t wh a t th e g e n e ra l te rm ‘ a va i l a b i l i ty’ is

a ctu a l l y m a d e up o f.

I t fo cu s e s o n fo u r a s p e cts, wh i ch a re g e n e ra l l y re m e m b e re d b y th e i r

a cro n ym ARM S :

Table 2 – The definition of ARMS

Availability
The ability of a service, component or CI to perform its agreed
function when required.
Th i s b a si ca l l y m e a n s th e a m o u n t o f ti m e th e co m p o n e n t o r se rvi ce is

a va i l a b l e fo r u se and p e rfo rm i n g a s e xp e cte d , as a p ro p o rti o n o f th e

ti m e a g re e d wi th th e cu s to m e r. So, fo r e xa m p l e , l e t’s sa y a s e rvi ce

a g re e d to be a va i l a b l e 2 4x7 has had two o u ta g e s i n th e l a st si x

m o n th s o f 2 h o u rs a n d 2 0 h o u rs. Th e to ta l ti m e i t sh o u l d h a ve been

a va i l a b l e i s 2 4 h o u rs x 1 8 3 d a ys = 4, 3 9 2 h o u rs. Th e n ta ke a wa y th e 22

h o u rs o f o u ta g e g i vi n g 4, 3 7 0 h o u rs o f a ctu a l a va i l a b i l i ty. E xp re sse d as

a p e rce n ta g e o f th e a g re e d h o u rs , th i s re p re se n ts 4, 3 7 0 /4, 3 9 2 x 1 00 =

99. 5% a va i l a b i l i ty.

Reliability
A measure of how long a service, component or CI can perform its
agreed function without interruption.

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5 Implementing IT service management

Th i s i s m e a su re d wi th th e M ea n Ti m e B e twe e n S e rvi ce I n ci d e n ts

(M TB S I ) or M ea n Ti m e B e twe e n F a i l u re (M TB F ) m e tri cs . Re l i a b i l i ty ca n

be i m p ro ve d b y i n cre a si n g th e re l i a b i l i ty o f th e co m p o n e n ts , h e n ce

re d u ci n g th e fre q u e n cy wi th wh i ch th e y fa i l , o r b y i n cre a si n g th e

re si l i e n ce o f th e se rvi ce , fo r i n sta n ce , b y i n tro d u ci n g co m p o n e n t

re d u n d a n cy.

Maintainability
A measure of how quickly and effectively a service, component or CI
can be restored to normal working after a failure.
Th i s i s m e a su re d wi th th e M ea n Ti m e to Re s to re S e rvi ce (M TRS ) m e tri c,

wh i ch l o o ks a t th e to ta l l e n g th o f ti m e ta ke n to re sto re n o rm a l se rvi ce

o p e ra ti o n a fte r a n i n ci d e n t a n d d i vi d e s i t b y th e to ta l n u m b e r o f s u ch

i n ci d e n ts th a t h a ve o ccu rre d o ve r a sp e ci fi e d ti m e p e ri o d .

N O TE : I TI L ca u ti o n s a g a i n st th e u se o f th e M ea n Ti m e To Re p a i r

(M TTR) m e tri c, wh i ch fo cu se s m o re on th e ti m e ta ke n to re p a i r th e

fa i l e d co m p o n e n t b u t d o e sn ’t n e ce ssa ri l y i n cl u d e th e a d d i ti o n a l ti m e it

ca n so m e ti m e s ta ke to a ctu a l l y re sto re th e u s e r to fu l l n o rm a l

wo rki n g .

Serviceability
The ability of a third party supplier to meet the terms of their
contract.
Wh e re th e su p p l i e r i s b o u n d , b y i ts co n tra ct, to su p p o rt ce rta i n l e ve l s

o f a va i l a b i l i ty, re l i a b i l i ty a n d /o r m a i n ta i n a b i l i ty.

Ava i l a b i l i ty m a n a g e m e n t i s n o t j u st co n ce rn e d wi th th e te ch n i ca l a sp e cts

o f a va i l a b i l i ty a n d re l i a b i l i ty; th e m a i n ta i n a b i l i ty a sp e ct ta ke s a cco u n t o f

th e s tru ctu re and p ro ce sse s o f th e su p p o rti n g o rg a n i z a ti o n – fo r e xa m p l e ,

i f th e re a re re so u rce b o ttl e n e cks i n th e i n ci d e n t m a n a g e m e n t p ro ce ss o r

th e re a re b re a kd o wn s o f co m m u n i ca ti o n b e twe e n te ch n i ca l te a m s. So,

a l th o u g h i t i s co m m o n to re fe r to ‘ a va i l a b i l i ty’ , th e re a re g e n e ra l l y o th e r

fa cto rs to be co n si d e re d and th e se a re so m e ti m e s re q u i re d b y th e cl i e n t

to be i n cl u d e d wi th i n th e S LA ta rg e ts. Tre a d ca re fu l l y, and m a ke su re yo u

u n d e rs ta n d b o th th e te rm s a n d th e i r h i sto ri ca l va l u e s wi th i n yo u r

i n fra stru ctu re b e fo re co m m i tti n g to a n y ta rg e ts .

Activities of availability management

Th e ke y a cti vi ti e s o f a va i l a b i l i ty m a n a g e m e n t ca n be b ro ke n i n to two

g ro u p s :

1 . Pro a cti ve a cti vi ti e s

(a ) wo rki n g wi th th e b u s i n e ss to u n d e rsta n d and d o cu m e n t th e vi ta l

b u si n e ss fu n cti o n s (VB F s) wh i ch a n e w o r ch a n g e d se rvi ce wi l l be

su p p o rti n g and d e te rm i n i n g th e a va i l a b i l i ty re q u i re m e n ts fo r i t;

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(b ) wo rki n g wi th p ro j e ct te a m s to d e si g n a va i l a b i l i ty i n to n ew or

ch a n g e d se rvi ce s b e fo re th e y g o l i ve a cco rd i n g to th e ta rg e ts fo r

a va i l a b i l i ty, re l i a b i l i ty a n d m a i n ta i n a b i l i ty re q u i re d b y th e

b u si n e s s;

(c) p e rfo rm i n g ri sk a sse ssm e n ts, managing th e se ri sks a n d , wh e re

a p p ro p ri a te , i m p l e m e n ta ti o n o f co st-j u sti fi e d co u n te r-m e a s u re s;

(d ) e s ta b l i sh i n g m e a su re s fo r a n d re p o rti n g o f a va i l a b i l i ty, re l i a b i l i ty

and m a i n ta i n a b i l i ty.

2. Re a cti ve a cti vi ti e s

(a ) i n ve sti g a ti n g all se rvi ce and co m p o n e n t u n a va i l a b i l i ty a n d , wh e re

a p p ro p ri a te , i n sti g a ti n g re m e d i a l a cti o n to p ro vi d e a d d i ti o n a l

re si l i e n ce to p re ve n t o r m i n i m i z e i m p a ct to th e b u si n e ss;

(b ) m o n i to ri n g , m e a su ri n g , a n a l ysi n g , re p o rti n g and re vi e wi n g

se rvi ce and co m p o n e n t a va i l a b i l i ty, re l i a b i l i ty a n d m a i n ta i n a b i l i ty;

(c) re vi e wi n g I T se rvi ce and co m p o n e n t a va i l a b i l i ty, i d e n ti fyi n g

u n a cce p ta b l e l e ve l s a n d th e u n d e rl yi n g re a so n s fo r i t.

In a d d i ti o n , a va i l a b i l i ty m a n a g e m e n t p ro d u ce s:

• an Ava i l a b i l i ty M a n a g e m e n t Pl a n , wh i ch p ri o ri ti z e s a n d pl a n s I T

a va i l a b i l i ty i m p ro ve m e n ts;

• a Pro j e cte d S e rvi ce O u ta g e (PS O ) d o cu m e n t, wh i ch ta ke s i n p u t fro m

th e ch a n g e s ch e d u l e , th e re l e a se sch e d u l e , pl a n n ed and p re ve n ta ti ve

m a i n te n a n ce sch e d u l e s, te sti n g sch e d u l e s a n d s e rvi ce and b u si n e s s

co n ti n u i ty m a n a g e m e n t te sti n g sch e d u l e s to h i g h l i g h t ti m e s wh e n

se rvi ce a va i l a b i l i ty m a y n o t m e e t th e S LA.

Ava i l a b i l i ty m a n a g e m e n t a l s o g e ts i n vo l ve d in th e d esi g n and

d e ve l o p m e n t p ro ce s se s a s e a rl y a s p o ss i b l e and co n tri b u te s to th e se rvi ce

d e si g n in o rd e r to bu i l d -i n su p p o rt fo r d e si re d l e ve l s o f a va i l a b i l i ty.

Availability management techniques

In co m m o n wi th p ro b l e m m a n a g e m e n t, a va i l a b i l i ty m a n a g e m e n t co m e s

re p l e te wi th an a rse n a l o f te ch n i q u e s fo r d i a g n o si n g and p re d i cti n g

a va i l a b i l i ty i ssu e s. Th e ke y o n e s a re o u tl i n e d h e re , b u t th e fu l l

d e scri p ti o n s o f h o w th e te ch n i q u e s wo rk a re b e yo n d th e sco p e o f th i s

book a n d b e tte r se rve d b y re a d i n g th e a p p ro p ri a te se cti o n s i n th e I TI L

manual.

Som e o f th e main te ch n i q u e s a re :

1 . Component Failure Impact Assessment (CF I A) – a fa i rl y

stra i g h t- fo rwa rd te ch n i q u e th a t l i sts th e s e rvi ce s b e i n g a sse s se d

a cro ss th e to p of a ta b l e , th e co m p o n e n ts d o wn th e l e ft a n d th e n an

i n d i ca ti o n a t th e i n te rse cti o n of a se rvi ce and a co m p o n e n t o f e i th e r:

(a ) b l a n k to sh o w th a t th e co m p o n e n t d o e s n o t su p p o rt th e s e rvi ce ;

(b ) ‘ X’ to sh o w th a t fa i l u re o f th e co m p o n e n t wo u l d re n d e r th e

se rvi ce u n a va i l a b l e ;

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(c) ‘ A’ wh e re th e re is an a u to m a ti ca l l y a cti va te d a l te rn a ti ve

co m p o n e n t th a t wo u l d co n ti n u e to su p p o rt th e s e rvi ce ;

(d ) ‘M ’ wh e re th e re is an a l te rn a ti ve co m p o n e n t b u t i ts a cti va ti o n

m u st b e manual.

CF I A sh o ws i n an e a s i l y d i g e sti b l e fo rm a t wh e re th e we a k p o i n ts fo r

e a ch se rvi ce a re and wh i ch co m p o n e n ts a re m o st vu l n e ra b l e .

2. Fault Tree Analysis (F TA) – u se d to p re d i ct o r a n a l yse th e ch a i n of

d e p e n d e n ci e s th a t h a ve o r m a y ca u se a se rvi ce o u ta g e . Co m p o n e n ts

a re a rra n g e d in a tre e fo rm a t sh o wi n g wh i ch co m p o n e n ts co n tri b u te

to wh i ch fu n cti o n a l a sp e cts o f th e se rvi ce bei n g a n a l yse d , and at

e a ch i n te rse cti o n an e xa m i n a ti o n is made o f th e e ve n ts d e p e n d e n t

u pon th o se co m p o n e n ts. In th i s wa y th e F TA ca n re p re se n t

i n fo rm a ti o n th a t ca n be u se d fo r a va i l a b i l i ty ca l cu l a ti o n s o r te sti n g

o u t h yp o th e ti ca l d e si g n o p ti o n s.

3. Modelling – u se d to a sse ss wh e th e r n e w co m p o n e n ts wi th i n a d e si g n

wi l l m a tch th e sta te d re q u i re m e n ts . S i m u l a ti o n , m od el l i n g and l oa d

te sti n g to o l s ca n be i n va l u a b l e fo r l a rg e sca l e i n ve s tm e n ts o r ch a n g e s

to cri ti ca l syste m s; h o we ve r, in a sm a l l o rg a n i z a ti o n a sp re a d sh e e t

p a cka g e i s u su a l l y su ffi ci e n t fo r th i s p u rp o se .

4. Risk analysis and management techniques – u se d to a s se ss th e

vu l n e ra b i l i ty to fa i l u re , th e b u si n e s s i m p a ct o f th o s e fa i l u re s a n d th e

su ffi ci e n cy o f i d e n ti fi e d co u n te rm e a s u re s.

5. Extended incident life cycle – l o o ks a t th e e n ti re p ro ce s s o f h o w a n

i n ci d e n t p l a ye d ou t a n d tri e s to i d e n ti fy a re a s th a th , i f i m p ro ve d ,

wo u l d re d u ce th e ti m e i t ta ke s to re sto re se rvi ce . I t l o o ks a t a l l

a sp e cts fro m h o w a re i n ci d e n ts d e te cte d , h ow l on g i t ta ke s fo r I T to

be n o ti fi e d and h ow l on g i t ta ke s fo r s o m e o n e to a ctu a l l y sta rt to

i n ve sti g a te th e i ss u e . I t e sp e ci a l l y l o o ks a t th o se a re a s wh e re th e re is

‘ s ta g n a n t ti m e ’ o r ti m e wh e n on e p a rt o f I T h a s h a n d e d o ff to e i th e r

a n o th e r p a rt o f I T (o r p e rh a p s th e u s e r fo r m o re i n fo rm a ti o n ) or a

su p p l i e r, b u t th e o th e r p a rty h a s n o t ye t re sp o n d e d . B y re d u ci n g th e

o ve ra l l ti m e i t ta ke s fro m beg i n n i n g to en d th e u se r ca n g e t b a ck to

wo rk so o n e r a n d th e o ve ra l l d u ra ti o n o f u n a va i l a b i l i ty i s re d u ce d .

I m pl em en ti n g a va i l a bi l i ty m a n a g em en t

In ord e r to i m p l e m e n t a va i l a b i l i ty m a n a g e m e n t:

1 . U n d e rta ke an a sse ss m e n t, wi th se rvi ce co n ti n u i ty a n d wi th th e

b u si n e ss, o f th e vi ta l b u si n e s s fu n cti o n s (VB F s) – i . e. th o se th a t a re

cri ti ca l to th e ru n n i n g o f yo u r o rg a n i z a ti o n .

2. D o cu m e n t (p o s si b l y u si n g te ch n i q u e s su ch a s Co m p o n e n t F a i l u re

I m p a ct Asse ssm e n t o r F a u l t Tre e An a l ys i s) th e re l a ti o n sh i p b e twe e n :

(a ) th e VB F s;

(b ) th e s e rvi ce s th a t s u p p o rt th e VB F s;

(c) th e co m p o n e n ts th a t su p p o rt th o se se rvi ce s

in o rd e r to a ss e ss wh e th e r th e cu rre n t o r p ro p o s e d a rra n g e m e n t ca n

fu l fi l th e a va i l a b i l i ty co m m i tm e n ts re q u i re d .

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3. Ag re e wh a t m e a su re s a n d m e tri cs wi l l be u sed to m e a su re th e

re q u i re d l e ve l s o f a va i l a b i l i ty.

4. D o cu m e n t th e a p p ro a ch to be ta ke n to a n a l ysi n g i n ci d e n ts; wh i ch

to o l s a re a va i l a b l e to be u sed – b o th in a re a cti ve m od e and a fte r

th e i n ci d e n t h a s b e e n re so l ve d .

5. E s ta b l i sh stro n g i n te rfa ce s wi th o th e r p ro ce sse s su ch a s p ro b l e m

m a n a g e m e n t, ca p a ci ty m a n a g e m e n t a n d , o f co u rse , I T s e rvi ce

co n ti n u i ty m a n a g e m e n t. A g ood and cl e a rl y d o cu m e n te d l i a i so n

b e twe e n th e a cti vi ti e s o f e a ch p ro ce ss i s vi ta l in th e e ffo rt to i m p ro ve

a va i l a b i l i ty a n d d ri ve up q u a l i ty.

Service continuity
So, th e n we co m e to s e rvi ce co n ti n u i ty o r, m o re co rre ctl y, I T se rvi ce

co n ti n u i ty m a n a g e m e n t (i tS CM ) .

i tS CM i s h u g e l y i m p o rta n t to e n su ri n g th e s u rvi va l o f yo u r b u si n e s s i n a

d i sa ste r si tu a ti o n . M a n y o rg a n i z a ti o n s fa i l to ta ke i t se ri o u s l y e n o u g h as

i t i s on e o f th o se th i n g s, l i ke an i n su ra n ce p o l i cy, th a t yo u m i g h t sp e n d a

l ot on and n e ve r h a ve to u se. H o we ve r, in th e sa m e wa y a s i n su ra n ce ,

yo u d o n ’t wa n t to be th e o rg a n i z a ti o n th a t d e ci d e d to ‘ ri sk i t’ and n ot

b o th e r wi th p u tti n g a rra n g e m e n ts i n p l a ce to e n su re co n ti n u i ty a n d

su rvi va l . i tS CM i s m o re th a n j u st d i s a s te r re co ve ry (b u t i t i s th a t a s we l l ) ; it

a l so co ve rs ri sk a ss e ssm e n t a n d m a n a g em en t a n d i t d o e sn ’t h a ve to be

u sed on l y i n ‘ sm o ki n g h ol e’ s i tu a ti o n s (th o se wh e re th a t’s a l l th a t’s l e ft o f

yo u r se rve r ro o m ) .

I TI L V3 g i ve s th e g oa l o f i tS CM a s ‘ to su p p o rt th e o ve ra l l B u si n e s s

Co n ti n u i ty M a n a g e m e n t p ro ce ss b y e n s u ri n g th a t th e re q u i re d IT

te ch n i ca l and s e rvi ce fa ci l i ti e s . . . ca n be re su m e d wi th i n re q u i re d , and

a g re e d , b u s i n e ss ti m e sca l e s ’ . As yo u wi l l o b vi o u s l y h a ve n o te d , th i s i s ve ry

cl o se to th e a i m s o f i n ci d e n t m a n a g e m e n t a n d th o se o f a va i l a b i l i ty

m a n a g em en t a n d , i n d eed , th e th re e p ro ce sse s h a ve si m i l a r g o a l s : to

re tu rn th e u se r to n o rm a l o p e ra ti o n a s q u i ckl y a s p o ssi b l e . Th e poi n t a t

wh i ch i n ci d e n t m a n a g e m e n t a n d a va i l a b i l i ty m a n a g e m e n t l e a ve o ff a n d

wh e re i tS CM ta ke s o ve r i s d e fi n e d b y th e b u si n e ss a cco rd i n g to wh a t i t

co n si d e rs to be a d i sa s te r s i tu a ti o n . Th e i m p a ct to th e b u s i n e ss a n d i ts

a b i l i ty to co n ti n u e to re m a i n vi a b l e i s th e ke y fa cto r h e re , n o t n e ce ssa ri l y

th e n a tu re o f th e e ve n t. F o r i n sta n ce , th e l o ss o f i ts n e two rk m i g h t, fo r

an on l i n e re ta i l e r, be co n s i d e re d a d i sa ste r wh i ch m i g h t n e ce ss i ta te

i n vo ca ti o n of a co n ti n u i ty p l a n , wh e re a s fo r a m a n u fa ctu ri n g

o rg a n i z a ti o n i t m a y re p re se n t m e re l y a n i n co n ve n i e n ce .

Th e I T S e rvi ce Co n ti n u i ty Pl a n s n e e d to d o ve ta i l wi th th e o rg a n i z a ti o n ’s

o ve ra l l B u si n e ss Co n ti n u i ty Pl a n (B CP) . Th e cre a ti o n o f th i s i s o u ts i d e th e

sco p e o f th i s b o o k b u t i t ca n i n cl u d e p l a n s fo r e m e rg e n cy re sp o n s e ,

damage a s se ssm e n t, s a l va g e , vi ta l re co rd s, cri si s m a n a g e m e n t a n d pu bl i c

re l a ti o n s , a cco m m o d a ti o n and se rvi ce s , se cu ri ty, p e rs o n n e l ,

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co m m u n i ca ti o n s, and fi n a n ce and a d m i n i s tra ti o n . Th e cre a ti o n of a

B u si n e ss Co n ti n u i ty Pl a n i s th e re s p o n si b i l i ty o f th e wi d e r m a n a g e m e n t o f

th e o rg a n i z a ti o n and sh o u l d n ot be se e n a s so m e th i n g I T wi l l d o. Th e re is

th a n kfu l l y a n i n cre a s i n g tre n d fo r o rg a n i z a ti o n s to i n ve st ti m e and e ffo rt

in cre a ti n g a B CP b u t (e ve n in th e s e d a ys o f p a n d e m i cs a n d p o te n ti a l fu e l

sh o rta g e s) th e re a re sti l l m a n y wi th o u t o n e . I f yo u r o rg a n i z a ti o n i s on e of

th o se th a t d o e s n ’t h a ve a B CP th e n we re co m m e n d yo u s ta rt e n co u ra g i n g

i t to a d d re ss th i s i s su e as a m a tte r o f u rg e n cy. An I T S e rvi ce Co n ti n u i ty

Pl a n sh ou l d sti l l be cre a te d e ve n if a B CP i sn ’t i n p l a ce , b u t th e

m a n a g e m e n t m u st b e made a wa re th a t th e re is a d a n g e r th a t wh i l e IT

se rvi ce s wi l l be su cce ssfu l l y re co ve re d , no on e fro m th e b u s i n e ss wi l l be

a va i l a b l e to u se th e m .

The activities of itSCM

Th e ke y s ta g e s o f i tS CM a re :

1 . I n i ti a ti o n ;

2. Re q u i re m e n ts a n d stra te g y;

3. I m p l e m e n ta ti o n ;

4. On g oi n g o p e ra ti o n .

and we ’ l l go th ro u g h e a ch o f th e m in tu rn .

S ta g e 1 – I n i ti a ti on

Th e ve ry fi rst s te p th a t s h o u l d be p e rfo rm e d i s to gain se n i o r

m a n a g e m e n t b u y-i n . Th e n , wo rki n g wi th th e m a n a g e m e n t te a m , d e ve l o p

a p o l i cy wh i ch , as a minimum, se ts o u t th e m a n a g e m e n t i n te n ti o n and

o b j e cti ve s. N e xt yo u sh o u l d d e te rm i n e th e te rm s o f re fe re n ce , sco p e and

re sp o n si b i l i ti e s fo r a l l sta ff a cro ss th e o rg a n i z a ti o n .

Building on th e m a n a g e m e n t b u y- i n , re so u rce s th e n n eed to be a l l o ca te d

to th e ta sks a sso ci a te d wi th d e ve l o p i n g , m a i n ta i n i n g and te s ti n g th e

co n ti n u i ty p l a n s. I TI L re co m m e n d s th a t th e s e tti n g up o f i tS CM and i ts

re l a ti o n sh i p wi th B CM i s b e st h a n d l e d as a p ro j e ct wi th th e a sso ci a te d

re so u rce s a n d co n tro l stru ctu re s th i s re q u i re s.

S ta g e 2 – Req u i rem en ts a n d stra teg y

Req u i rem en ts

Th e main fo cu s i n th e ‘ re q u i re m e n ts’ p a rt o f th i s p h a se i s a ro u n d

p e rfo rm i n g b u s i n e ss i m p a ct a n a l ysi s a n d ri sk a n a l ys i s. B o th o f th e se a re

l a rg e to p i cs i n th e i r o wn ri g h t (i n d e e d th e O G C d e fi n e s a co m p l e te ri s k

a n a l ysi s fra m e wo rk ca l l e d M _o _R® ) , b u t we wi l l l o o k a t th e m in su ffi ci e n t

d e ta i l to g e t yo u g oi n g :

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Business impact assessment

A b u si n e s s i m p a ct a ss e ssm e n t (B I A) s e e ks to q u a n ti fy th e i m p a ct th a t a

p a rti cu l a r l o s s o f s e rvi ce wo u l d h a ve to th e b u si n e ss (fi n a n ci a l ,

re p u ta ti o n , h e a l th and sa fe ty, b re a ch o f th e l a w, l o ss o f m a rke t sh a re ,

e tc. ) . I t sh ou l d e xa m i n e :

• h o w th e i m p a ct wi l l be a ffe cte d b y wh e n th e d i sru p ti o n o ccu rs a n d

by h ow l on g th e d i s ru p ti o n l a s ts;

• wh a t th e b u si n e s s u n d e rsta n d s a n d a g re e s to be th e minimum

a cce p ta b l e l e ve l o f se rvi ce ;

• th e l e ve l o f re so u rce s, th e typ e s o f ski l l s , th e fa ci l i ti e s a n d th e

su p p o rti n g se rvi ce s n e e d e d to co n ti n u e o p e ra ti n g a t th a t m i n i m u m

a cce p ta b l e l e ve l ;

• th e m a xi m u m ti m e th e b u si n e ss ca n p e rm i t b e fo re th e se rvi ce m u st

be re co ve re d (b o th to th e minimum l e ve l and to fu l l re co ve ry) ;

• th e re l a ti ve p ri o ri ty th e b u si n e ss p l a ce s o n th e re co ve ry o f e a ch

se rvi ce ;

• th e co m p o u n d i m p a ct to th e b u si n e ss o f m u l ti p l e s e rvi ce fa i l u re s.

B I As a re co m p l e x to u n d e rta ke and n eed th e fu l l s u p p o rt o f th e b u si n e ss .

I t i s e sse n ti a l th a t se n i o r m a n a g e m e n t u n d e rsta n d , a g re e wi th and

su p p o rt th e fi n d i n g s o f th e B I A, b u t i t i s e q u a l l y i m p o rta n t th a t a l l l e ve l s

o f sta ff h a ve had th e i r vi e ws re p re se n te d a s th e re a re o fte n huge

d i sp a ri ti e s o f o p i n i o n re g a rd i n g h o w m u ch i m p a ct th e l oss of a se rvi ce

wo u l d h a ve .

Risk analysis

As we l l a s u n d e rsta n d i n g th e i m p a ct to th e b u si n e s s o f th e l o ss o r

p ro l o n g e d u n a va i l a b i l i ty o f o n e o r m o re se rvi ce s, i t i s n e ce ss a ry to a s se ss

wh a t th e l i ke l y, p ro b a b l e and u n l i ke l y th re a ts a re . Th i s i s wh e re ri sk

a n a l ysi s co m e s i n . S i n ce th e p u rp o se i s to d e te rm i n e th e l i ke l y so u rce of

th re a ts to th e a va i l a b i l i ty o f se rvi ce s, th i s i s a te ch n i q u e sh a re d wi th

a va i l a b i l i ty m a n a g e m e n t.

As a l re a d y s ta te d , th e re a re a n u m b e r o f ri sk a n a l ysi s fra m e wo rks

a va i l a b l e and we wo u l d re co m m e n d u si n g s u ch a stru ctu re d m e th o d o l o g y

i f yo u ca n . Th e b a si c p ri n ci p l e o f ri sk a n a l ysi s i s to cre a te a l i st o f a l l

p o ss i b l e ri sks a n d th e n a l i st o f th re a ts wh i ch co u l d ca u se e a ch s p e ci fi e d

ri sk to o ccu r. Th i s ca n be d on e e i th e r b y d e ta i l e d a n a l ysi s o f i n d u stry

d a ta , e xte rn a l i d e n ti fi ca ti o n (e . g . g o ve rn m e n t d e ta i l s o f se cu ri ty th re a t

l e ve l s ) , o r j u s t b y b ra i n s to rm i n g .

Th e se ri s ks a re th e n a n a l yse d to d e te rm i n e th e i r l i ke l i h o o d and th e

se ve ri ty o r i m p a ct s h o u l d th e y o ccu r, b o th o f wh i ch sh o u l d be d e fi n e d

a l on g an a g re e d sca l e to e n su re th a t i t a l l o ws co m p a ri so n o f d i s si m i l a r

ri sks . Th e co rre l a ti o n i s o fte n p l o tte d on a two d i m e n si o n a l g ri d a s sh o wn

in F i g u re 9 wh i ch , a s we l l a s p l a ci n g e a ch ri sk i n to th e a p p ro p ri a te

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5 Implementing IT service management

i n te rse cti o n , re fl e cts th e o rg a n i z a ti o n ’s ri sk a p p e ti te o r a ve rsi o n ; th e to p

ri g h t co rn e r re p re s e n ts th o se ri sks wh i ch a re b o th m o st l i ke l y a n d th e

h i g h e st i m p a ct. Acco rd i n g to wh e re th e o rg a n i z a ti o n ch o o se s to ‘ d ra w

th e l i n e’, th e i n te rse cti o n s ca n be co l o u r co d e d to sh o w a t wh a t p o i n t a

ri sk i s d e e m e d a cce p ta b l e o r u n a cce p ta b l e .

Figure 9 – Risk assessment matrix

Strategy

Th e se co n d p a rt o f th e re q u i re m e n ts a n d stra te g y sta g e fo cu s e s o n th e

cre a ti o n of a n I T se rvi ce co n ti n u i ty stra te g y. Th i s ta ke s th e o u tp u ts fro m

th e BIA and ri sk a n a l ysi s a cti vi ti e s a n d se ts o u t th e a p p ro a ch to I T s e rvi ce

co n ti n u i ty b a se d on th e i d e n ti fi e d re q u i re m e n ts. I t d e fi n e s th e

a p p ro p ri a te b a l a n ce fo r th e o rg a n i z a ti o n o f m e a su re s i t wi l l u se to

re d u ce o r m i ti g a te th e i d e n ti fi e d ri sks (a vo i d a n ce , re d u cti o n , sh a ri n g or

re te n ti o n ) . Pa rti cu l a r a tte n ti o n sh o u l d be pa i d to th o s e se rvi ce s i d e n ti fi e d

b y th e BIA as high i m p a ct to th e b u s i n e ss – th e se wi l l p ro b a b l y wa rra n t

e xp e n d i tu re on m e a su re s to p re ve n t o ccu rre n ce wh e re a s a l o we r l e ve l of

i m p a ct wo u l d m o re l i ke l y su g g e st o n e o f th e a va i l a b l e re co ve ry o p ti o n s.

1 1 0 IT Service Management for Small IT Teams

 Service delivery processes

Sta g e 3 – I m pl em en ta ti on

Bu i l d i n g th e pl a n s

N o w th a t yo u h a ve a stra te g y th a t te l l s yo u (a n d e ve ryo n e e l se ) wh a t

se rvi ce s n e e d to be re co ve re d , h o w q u i ckl y a n d wh a t re co ve ry o p ti o n has

been s e l e cte d , i t’s ti m e to p u t th e th i n g s i n p l a ce to en a bl e i t to h a ppen

in th e e ve n t yo u n eed to i n vo ke th e p l a n s.

Th e I T S e rvi ce Co n ti n u i ty Pl a n s wi l l g i ve th e wh e n , in wh a t o rd e r, h o w,

wh e re , and b y wh o m . Th e se sh o u l d l o o k a t m u ch m o re th a n j u s t th e

si m p l e re sto ra ti o n o f th e syste m s b u t a l so n eed to co n si d e r th e se rvi ce

bei n g re co ve re d :

• Are th e re re l a te d syste m s u p o n wh i ch th i s se rvi ce d e p e n d s?

• H o w wi l l u se rs a cce s s th e re co ve re d syste m ?

• H o w wi l l i t be su p p o rte d i f i t i s bei n g re co ve re d to a re m o te fa ci l i ty?

• H o w wi l l th e re co ve re d sys te m be b a cke d -u p (i n ca se th e u n th i n ka b l e

h a ppen s a n d yo u n eed to i n vo ke a re co ve ry fro m th e re co ve ry si te ) ?

• An d , ve ry i m p o rta n tl y, h o w wi l l yo u re tu rn to n o rm a l o p e ra ti o n s?

Depen d i n g on fo r h o w l o n g i t i s a n ti ci p a te d th a t th e se rvi ce wi l l re m a i n

in re co ve ry m o d e , yo u wi l l n eed to co n si d e r h o w ch a n g e m a n a g e m e n t,

i n ci d e n t m a n a g e m e n t a n d all o th e r I T se rvi ce m a n a g e m e n t p ro ce sse s

n eed to a d a p t to ta ke a cco u n t o f th e ch a n g e d s i tu a ti o n .

O rg a n i za ti on a n d com m u n i ca ti on s

Th e re n e e d s to be a pl a n fo r h o w I T wi l l s tru ctu re i tse l f d u ri n g a d i sa ste r;

th i s m a y n o t b e su ch an i ssu e fo r sm a l l te a m s b u t th e re wi l l be

d i ffe re n ce s i n th e l e ve l s o f a u th o ri ty g ra n te d d u ri n g th e cri s i s i n o rd e r to

p e rm i t a q u i cke r re sp o n s e . Co n si d e ra ti o n a l so n e e d s to be g i ve n to h ow

th e re so u rce s wi l l i n te rfa ce wi th th e b u si n e ss co n ti n u i ty te a m and h ow

co m m u n i ca ti o n s wi l l be m a n a g ed .

Testi n g

As e a ch pl a n i s d e ve l o p e d , i t sh ou l d be th o ro u g h l y te ste d . B i tte r

e xp e ri e n ce h a s ta u g h t u s th a t u n te ste d p l a n s e i th e r d o n ’t wo rk o r ta ke

fa r l o n g e r th a n th o s e th a t h a ve been m e ti cu l o u sl y te ste d . Th e re a re

va ri o u s m e th o d s fo r te s ti n g th e pl a n s, e a ch wi th i ts o wn d e g re e of

e ffe cti ve n e ss a n d a ss o ci a te d co sts a n d d i sru p ti o n :

• Walk-through tests a re th e l e a s t d i s ru p ti ve b u t a l so th e l e a st

g u a ra n te e d to p ro d u ce wo rki n g p l a n s. Th e y sh o u l d g e n e ra l l y o n l y b e

u sed to ve ri fy th a t th e p l a n s wo rk h yp o th e ti ca l l y.

• Scenario tests a re a u se fu l (a n d fu n ) wa y to te s t th e peopl e and

m a n a g e m e n t a sp e cts o f th e p l a n s. Th e y co n si s t o f se tti n g a

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5 Implementing IT service management

h yp o th e ti ca l sce n a ri o and wo rki n g th ro u g h h o w i t sh o u l d be

h a n d l ed . Th e y ca n be p u re l y ta b l e e xe rci s e s o r ca n i n cl u d e an

e l e m e n t o f si m u l a te d re co ve ry.

• Partial tests a re g ood fo r ve ri fyi n g th e re co ve ry o f sp e ci fi c s e rve rs o r

e l e m e n ts o f a se rvi ce . I t sh o u l d n ot be a ssu m e d th a t th e a g g re g a te

of a l l th e p a rti a l p l a n s co ve ri n g all th e co m p o n e n ts o f a s e rvi ce wi l l

re co ve r th e wh o l e s e rvi ce ; th e re wi l l a l m o st a l wa ys b e a co m p o n e n t

or a n i n te rfa ce th a t wa s fo rg o tte n o r n o t fu l l y te ste d .

• Full tests a re th e o n l y re a l wa y o f ve ri fyi n g th a t th e pl a n ca n re co ve r

th e s e rvi ce . G e n e ra l l y th e fi rst te st sh o u l d be p e rfo rm e d a s so o n as

p o ssi b l e a fte r th e pl a n h a s been p ro d u ce d and sh o u l d be a pl a n n ed

a ffa i r th a t e ve ryo n e i s p re p a re d fo r. S u b se q u e n t te sts ca n be pl a n n ed

or u n pl a n n ed . Yo u sh o u l d a l so bea r i n mind th a t th e re is a p o s si b i l i ty

th a t th e peopl e wh o wro te th e pl a n m a y n ot be a va i l a b l e a t th e

a ctu a l re co ve ry (e i th e r a s th e y h a ve l e ft th e o rg a n i z a ti o n o r b e ca u s e

th e y we re i n vo l ve d in th e d i sa ste r i tse l f) and so th e te st sh o u l d

i n vo l ve peopl e n o t fa m i l i a r wi th th e se rvi ce o r th e pl a n to ve ri fy th a t

th e re a re no u n s p o ke n a ss u m p ti o n s.

S ta g e 4 – O n g oi n g opera ti on

Th e re a re fi ve se ts o f o n g o i n g a cti vi ti e s th a t n e e d to be p e rfo rm e d :

1 . E d u ca ti o n , a wa re n e ss a n d tra i n i n g a cro s s th e e n ti re o rg a n i z a ti o n in

g e n e ra l , and th e I T d e p a rtm e n t i n p a rti cu l a r, i s n e ce ssa ry to e n su re

th a t e ve ryo n e kn o ws th e pl a n and th e i r ro l e wi th i n i t.

2. A re vi e w o f a l l th e pl a n s a n d s ch e d u l e s n e e d s to h a ppen fre q u e n tl y

to e n su re th a t th e y a re sti l l re l e va n t to a n y ch a n g e s o f ci rcu m s ta n ce s

o f th e o rg a n i z a ti o n .

3. Te sti n g sh o u l d co n ti n u e to be p e rfo rm e d re g u l a rl y – a t l e a st a n n u a l l y,

a fte r e ve ry m a j o r b u si n e s s ch a n g e and in line wi th th e b u si n e ss n e e d s

and th e B u si n e ss Co n ti n u i ty Pl a n s.

4. Ch a n g e m a n a g em en t sh ou l d a sse ss a l l ch a n g e s fo r th e i r e ffe ct o n th e

co n ti n u i ty p l a n s. Ch a n g e m a n a g e m e n t ca n a l so m a n d a te th a t th e

p l a n s a re u p d a te d to re fl e ct th e n e w ci rcu m sta n ce s th a t th e ch a n g e

wi l l p ro d u ce and th a t th e p l a n s a re te s te d b e fo re th e ch a n g e is

i m p l e m e n te d .

5. D o cu m e n t co n tro l m a i n ta i n s a ccu ra cy a n d co n s i ste n cy o f th e pl a n s by

p l a ci n g th e p l a n s th e m se l ve s u n d e r ch a n g e and ve rsi o n co n tro l .

I n voca ti on

Ri g h t, so yo u h a ve an i tS CM stra te g y a n d an I T S e rvi ce Co n ti n u i ty Pl a n ,

co n tra cts h a ve been a rra n g e d , peopl e h a ve been tra i n e d , th e p l a n s h a ve

been te ste d , th e s tra te g y i s re vi e we d b y th e m a n a g e m e n t te a m re g u l a rl y

and sti l l re fl e cts th e cu rre n t o rg a n i z a ti o n and th e n ... th e u n th i n ka b l e

h a ppen s a n d a cri s i s si tu a ti o n o ccu rs. Th e n a tu re o f th e si tu a ti o n and th e

p o l i ci e s yo u h a ve in p l a ce wi l l d e te rm i n e wh e th e r yo u r o rg a n i z a ti o n

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 Service delivery processes

d e e m s th i s to be wo rth y o f i n vo ki n g yo u r co n ti n u i ty p l a n s. Th e cri te ri a

yo u h a ve d e fi n e d wi l l ta ke a cco u n t o f th e co s ts o f i n vo ki n g p re m a tu re l y.

Th e i n stru cti o n s o n h o w to i n vo ke , wh o ca n m a ke th e d e ci s i o n and th e

i m m e d i a te n e xt s te p s sh o u l d all be co n ta i n e d in yo u r I T S e rvi ce

Co n ti n u i ty Pl a n , a co p y o f wh i ch sh o u l d be a va i l a b l e in an o ffl i n e fo rm a t

(i n o th e r wo rd s, d o n ’t p u t i t o n th e i n tra n e t a n d e xp e ct to be a bl e to

re a d i t wh e n th e n e two rk’s j u st g o n e d o wn ) and s to re d wi th all ke y s ta ff

b o th in th e o ffi ce and a t h om e – bea r i n mind th a t d i s a ste rs d o n ’t a l wa ys

h a ppen d u ri n g o ffi ce h o u rs.

Case in point

A fe w ye a rs a g o on e o rg a n i z a ti o n su ffe re d a p ro b l e m wi th i ts

main p ro d u cti o n se rve r o ve rn i g h t a s a re su l t o f a n u n su cce ss fu l

o p e ra ti n g s yste m u p g ra d e . Th e d i sa ste r re co ve ry co n tra ct wa s

i n vo ke d and th e sys te m re sto re d to a sta te o f th e a rt fa ci l i ty.

U se rs th e n fo u n d th a t re sp o n se ti m e s we re so m u ch b e tte r o n

th e re co ve ry se rve r th a t th e I T M a n a g e r n e g o ti a te d to sta y o n

th a t se rve r u n ti l an u p g ra d e co u l d be b o u g h t fo r th e o ri g i n a l

on e.

Th e i n vo ca ti o n d e ci si o n m u st b e made q u i ckl y. Th i s i s n o t a l wa ys e a sy a s

th e re a re si tu a ti o n s th a t ca n be a m bi g u ou s, e s p e ci a l l y wh e re yo u a re at

th e m e rcy o f a th i rd p a rty to re s o l ve a s i tu a ti o n (fo r e xa m p l e , a l o ca l i z e d

p o we r fa i l u re m i g h t be re so l ve d in m i n u te s, h o u rs o r d a ys ) . Th e best

a p p ro a ch i s to se t a h a rd d ea d l i n e b y wh i ch re s o l u ti o n m u st h a ve

o ccu rre d – i f th e si tu a ti o n i s sti l l u n re so l ve d b y th e d ea d l i n e th e n yo u wi l l

i n vo ke .

Recovery options

Th e re a re va ri o u s re co ve ry o p ti o n s th a t co u l d be e m p l o ye d , d epen d i n g

u pon th e u rg e n cy th a t th e B I A h a s i n d i ca te d an o u ta g e wo u l d p o se to

th e b u si n e ss . E a ch h a s i ts o wn a d va n ta g e s a n d d i sa d va n ta g e s a n d e a ch

b e a rs a co s t a n d a ti m e sca l e . I t i s i m p o rta n t to a ss e ss e a ch o p ti o n and

n e g o ti a te th e best d ea l fo r th e o p ti o n ch o se n so a s to b a l a n ce th e co st o f

th e re co ve ry o p ti o n a g a i n st th e co st o f th e i m p a ct o f th e o u ta g e .

1 . Manual workarounds
Th i s i s o fte n e m p l o ye d as a te m p o ra ry a rra n g e m e n t wh i l e ce rta i n

se rvi ce s a re bei n g fu l l y re co ve re d . F o r e xa m p l e , ph on e ca l l s co u l d be

m a n u a l l y l og g ed to a sp re a d sh e e t, o r e ve n p a p e r, u n ti l th e

ca l l -l o g g i n g sys te m i s re sto re d .

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5 Implementing IT service management

2. Reciprocal arrangements
O n l y a p p l i ca b l e fo r a l i m i te d n u m b e r o f se rvi ce s b u t b a si ca l l y i t i s

wh e re two o rg a n i z a ti o n s a g re e to p e rm i t a cce ss to on e o f th e i r

s e rvi ce s i n a cri s i s si tu a ti o n in re tu rn fo r re ci p ro ca l p e rm i ssi o n .

3. Gradual recovery
S o m e ti m e s re fe rre d to a s ‘ co l d s ta n d b y’ , th i s i s wh e re

a cco m m o d a ti o n i s se cu re d (wh e th e r re n te d o r o wn e d ) th a t i s fu l l y s e t

up wi th p o we r, e n vi ro n m e n ta l co n tro l s, n e two rk ca b l i n g and

te l e co m m u n i ca ti o n s . In a d i sa ste r si tu a ti o n , th e h a rd wa re and

s o ftwa re wo u l d p o s si b l y h a ve to be a cq u i re d o r tra n sfe rre d fro m

a n o th e r l o ca ti o n b u t wo u l d be se t u p and i n s ta l l e d . Th i s o b vi o u sl y

re q u i re s a n a m o u n t o f ti m e and i s th e re fo re o n l y su i ta b l e fo r th o s e

s e rvi ce s wh i ch ca n to l e ra te a p o te n ti a l l y u n ce rta i n d e l a y to th e

re co ve ry ti m e o f d a ys o r we e ks ra th e r th a n h o u rs o r m i n u te s .

4. Intermediate recovery
S o m e ti m e s re fe rre d to a s ‘ wa rm sta n d b y’ , th i s i s g e n e ra l l y a b e tte r

o p ti o n fo r th o se se rvi ce s re q u i ri n g a fa ste r a n d m o re d e fi n e d

ti m e sca l e fo r re co ve ry th a n g ra d u a l re co ve ry. I t e n h a n ce s th e g ra d u a l

re co ve ry o p ti o n b y u ti l i z i n g (m o st co m m o n l y) a th i rd p a rty to p ro vi d e

n o t j u st th e si te b u t a l so g e n e ri c h a rd wa re , p e ri p h e ra l s,

co m m u n i ca ti o n s e q u i p m e n t, and su p p o rt a n d o p e ra ti o n s sta ff. Th e

fa ci l i ti e s a re g e n e ra l l y o ffe re d to m u l ti p l e o rg a n i z a ti o n s

s i m u l ta n e o u sl y, in th e e xp e cta ti o n th a t n o t a l l o f th e m wi l l n eed th e

fa ci l i ty a t th e sa m e ti m e .

Th e re a re a n u m b e r o f d i sa d va n ta g e s wi th th i s o p ti o n : p h ys i ca l

s e cu ri ty ca n be an i s su e a s th e fa ci l i ty h a s to , b y i ts n a tu re , be fl e xi b l e

to a ccom m o d a te n e e d s o f va ri o u s si z e d o rg a n i z a ti o n s p o te n ti a l l y

s i m u l ta n e o u sl y a n d so se cu ri n g on e a re a ca n be an i ssu e . Th e o th e r

i ssu e i s th a t o f ti m e sca l e s – e ve n th o u g h th e s i te i s eq u i pped , i t wi l l

ta ke an a m o u n t o f ti m e fo r sta ff to co n fi g u re th e s i te fo r th e

re q u i re m e n ts o f th e o rg a n i z a ti o n and wi l l th e n s ti l l re q u i re re co ve ry

ti m e to re sto re , te st a n d m a ke l i ve th e se rvi ce s fro m th e re co ve ry

s i te .

5. Fast recovery
Al s o kn o wn a s ‘ h o t sta n d b y’ , th i s a g a i n bu i l d s on th e p re vi o u s

o p ti o n . Th i s ca n be an e n h a n ce d a g re e m e n t wi th th e th i rd p a rty

s u p p l i e r to re n t a n a g re e d , fu l l y co n fi g u re d fa ci l i ty wi th th e

h a rd wa re a l re a d y p re - co n fi g u re d , te s te d and re a d y fo r a cti o n . I t th e n

re q u i re s o n l y re sto ra ti o n o f d a ta , and so m e ti m e s e ve n th i s i s ca te re d

fo r b y co m b i n i n g th e fa st re co ve ry fa ci l i ty wi th an o ff-si te b a cku p

s to ra g e a rra n g e m e n t.

Typ i ca l l y th e fa s t re co ve ry o p ti o n i s b e st fo r th o se s yste m s th a t n e e d

to be re co ve re d wi th i n a 2 4-h o u r wi n d o w.

6. Immediate recovery
So, th i s i s th e to p en d . Th e fa ci l i ty ca n sti l l be e i th e r o wn e d o r re n te d

b u t i s (a ) e xcl u si ve , (b ) fu l l y p re -co n fi g u re d , (c) fu l l y l i n ke d to th e

‘ h o m e’ s i te b y co m m u n i ca ti o n s l i n ks wh i ch p e rm i t so m e fo rm o f d a ta

re p l i ca ti o n o r m i rro ri n g so th a t d a ta i s fu l l y i n syn c wi th th e l i ve

1 1 4 IT Service Management for Small IT Teams

 Service delivery processes

se rvi ce , and (d ) co n n e cte d to th e cl i e n t o rg a n i z a ti o n ’s

co m m u n i ca ti o n s n e two rk. Th i s m e a n s th a t l i ttl e or n o re co n fi g u ra ti o n

i s re q u i re d in o rd e r fo r th e se rvi ce to co n ti n u e u n i n te rru p te d in th e

e ve n t o f a d i sa ste r a ffe cti n g th e h om e si te .

Th i s o p ti o n i s m o st a p p ro p ri a te fo r th o s e se rvi ce s re q u i ri n g no l o ss o f

se rvi ce .

Case in point

Som e o rg a n i z a ti o n s a re so ke e n to be s u re th e i r i m m e d i a te

re co ve ry o p ti o n wo rks th a t th e y re g u l a rl y fl i p a cro ss to th e

b a cku p on a we e kl y b a si s . Th e y ru n on th e l i ve and b a cku p

se rve rs o n a we e k o n /we e k o ff b a si s a s b u s i n e ss a s u su a l .

Summary

• Ava i l a b i l i ty m a n a g e m e n t l o o ks a t th e va ri o u s a sp e cts o f

h o w to d esi g n and ru n se rvi ce s a n d th e s u p p o rti n g

te ch n o l o g y i n wa ys wh i ch stri ve fo r th e h i g h e st l e ve l s o f

a va i l a b i l i ty.

• Th e re a re fo u r i n d i vi d u a l a s p e cts o f a va i l a b i l i ty, wh i ch a re

g e n e ra l l y re m e m b e re d b y th e i r a cro n ym ARM S –

a va i l a b i l i ty, re l i a b i l i ty, m a i n ta i n a b i l i ty a n d s e rvi ce a b i l i ty.

• Th e re a re a va ri e ty o f te ch n i q u e s wh i ch m a y be of u se in

a n a l ys i n g a va i l a b i l i ty i ssu e s, i n cl u d i n g Co m p o n e n t F a i l u re

I m p a ct Asse ss m e n t (CF I A) , F a u l t Tre e An a l ys i s a n d E xte n d e d

I n ci d e n t Li fe cycl e .

• Th e m a j o r ste p s i n a d d re ss i n g I T se rvi ce co n ti n u i ty a re

i n i ti a ti o n , re q u i re m e n ts a n d stra te g y, i m p l e m e n ta ti o n and

on g oi n g o p e ra ti o n .

• I T S e rvi ce Co n ti n u i ty Pl a n s sh o u l d be b a se d u pon a fu l l

u n d e rsta n d i n g o f th e n eed s a n d p ri o ri ti e s o f th e b u si n e ss ,

a ss e sse d and d o cu m e n te d vi a a b u si n e s s i m p a ct a n a l ys i s.

• Th e re co ve ry fa ci l i ti e s yo u pu t i n p l a ce wi l l i n e vi ta b l y b e a

co m p ro m i se b e twe e n ri sk a n d co s t a n d m a y va ry fro m

manual wo rka ro u n d s to i m m e d i a te re co ve ry.

IT Service Management for Small IT Teams 1 1 5

5 Implementing IT service management

N ext steps

1 . S ta rt to gain a b e tte r u n d e rsta n d i n g o f yo u r I T s e rvi ce s a n d

th e co m p o n e n ts th a t m a ke th e m up – do yo u h a ve any

si n g l e p o i n ts o f fa i l u re ?

2. B eg i n re co rd i n g th e a va i l a b i l i ty o f th e s e i te m s u si n g a

m o n i to ri n g to o l a n d /o r m a j o r i n ci d e n t re co rd s – g e t a n i d ea

o f wh a t l e ve l o f a va i l a b i l i ty yo u a re cu rre n tl y d e l i ve ri n g

b e fo re se tti n g a n y ta rg e ts wi th th e b u si n e s s.

3. Pe rfo rm a ri sk a ss e ssm e n t to i d e n ti fy th o se a re a s yo u wi l l

n eed co n ti n g e n cy a rra n g e m e n ts fo r.

4. I n i ti a te d i scu ssi o n s wi th th e b u si n e s s a b o u t h o w l o n g th e y

co u l d co p e wi th o u t e a ch se rvi ce .

I T fi n a n ce

O bj ecti ve

To budget and account for the cost of service provision.

‘ N o w fo r th e i n te re sti n g ch a p te r’ , we h e a r yo u cry, b u t wa i t … b e fo re

yo u fa ke a ya wn and tu rn to th e n e xt o n e … p l e a se l i ste n u p. In o rd e r to

be a bl e to e n su re th a t th e re a re su ffi ci e n t fu n d s a va i l a b l e to su p p l y th e

re s o u rce s a n d ca p a b i l i ti e s to d e l i ve r th e se rvi ce s a s a g re e d wi th th e

cu sto m e r, yo u n eed to p re p a re a b u d g e t fo r I T a n d th e s e rvi ce s yo u

d e l i ve r. O n ce th e bu d g et h a s been p re p a re d and a g re e d and th e ye a r i s

u n d e rwa y, yo u n eed a wa y to tra ck wh a t i s b e i n g sp e n t, on wh a t a n d

wh e th e r i t m a tch e s th e p re d i cti o n s m a d e a t th e b u d g e ti n g sta g e . Th e

th i rd a sp e ct i s l a rg e l y d e p e n d e n t u p o n wh e th e r yo u r o rg a n i z a ti o n

ch a rg e s fo r i n te rn a l se rvi ce s. I f i t d o e s th e n yo u n eed so m e wa y to

d e te rm i n e th e a p p ro p ri a te ch a rg i n g m e ch a n i sm fo r th e se rvi ce s a n d a

wa y o f m o n i to ri n g th i s th ro u g h o u t th e fi n a n ci a l ye a r.

Th i s g ro u p o f a cti vi ti e s h a s va ri o u s n a m e s – fi n a n ci a l m a n a g e m e n t fo r I T

se rvi ce s, b u d g e ti n g and a cco u n ti n g , se rvi ce e co n o m i cs – b u t, fo r

si m p l i ci ty, we ’ l l ca l l i t I T fi n a n ce . In a sm a l l I T te a m th e p ro ce ss i s u su a l l y

m a n a g ed b y th e I T M a n a g e r, su p p o rte d b y th e fi n a n ce o r a cco u n ts

fu n cti o n o f th e o rg a n i z a ti o n . I t sh o u l d be n o te d th a t I T fi n a n ce d oes n ot

co ve r a l l a sp e cts o f a cco u n ta n cy su ch a s ta xa ti o n o r th e l e g i sl a ti ve si d e s

o f a cco u n ts – th e se a s p e cts a re b e s t l e ft to th e e xp e rts . In fa ct, in te rm s

o f a g re e i n g I T’s b u d g e t a n d m o n i to ri n g sp e n d a g a i n s t i t, th i s i s a l m o s t

a l wa ys ca te re d fo r i n g re a t p a rt b y e xi sti n g fi n a n ci a l p ro ce d u re s a n d

re g u l a ti o n s wi th i n th e o rg a n i z a ti o n , o ve rse e n b y th e F i n a n ce D i re cto r o r

e q u i va l e n t. Th i s n o rm a l l y co n si sts o f a n annual ro u n d o f d i s cu s si o n

1 1 6 IT Service Management for Small IT Teams

 Service delivery processes

co n ce rn i n g p ri o ri ti e s a n d d e s i re d e xp e n d i tu re fo r n e xt ye a r, fo l l o we d by a

bi t o f n e g o ti a ti o n and fi n a l l y th e se tti n g o f th e b u d g e t (o r b u d g e ts ) .

B u t, b e yo n d th e m a n d a to ry ca l cu l a ti n g of bu d g et a n d a cco u n ti n g fo r

e xp e n d i tu re , th e re i s a n o th e r l a ye r o f co st-re l a te d i n fo rm a ti o n th a t ca n

pro ve ve ry i n te re sti n g to th e I T M a n a g e r i n te n t o n i m p ro vi n g h i s/h e r I T

se rvi ce m a n a g e m e n t, su ch a s th e co s ts a s so ci a te d wi th se rvi ce s a n d

ch a n g e s, and we ’ l l l o o k a t th e se a re a s to o .

I T fu n d i n g

Th e re a re b a si ca l l y th re e sta n ce s th a t I T ca n a d o p t wi th re g a rd to h ow i t

fu n d s i tse l f:

1 . Acco u n ti n g ce n tre

Th i s fo cu s e s o n th e co rre ct re co rd i n g o f th e co sts o f p ro vi d i n g th e

se rvi ce s a n d u se s o n l y th e b u d g e ti n g and a cco u n ti n g a cti vi ti e s . Th e re

a re sti l l b e n e fi ts wi th th i s m o d e l a s th e u se of a cl e a r a n d co n si ste n t

b u d g e ti n g and a cco u n ti n g syste m m e a n s th a t b e tte r p l a n n i n g and

a sse ss m e n t o f co sts a n d ri sks a re p o ssi b l e , b u t i t d o e s n o t g i ve m u ch

fl e xi b i l i ty to th e I T o rg a n i z a ti o n to g o ve rn i ts e l f.

2. Re co ve ry ce n tre

Th i s re q u i re s th a t, in a d d i ti o n to a cco u n ti n g fo r th e co s ts, th e y a re

a p p o rti o n e d a cco rd i n g to th e co st m o d e l and a re ch a rg e d to th e

cu sto m e rs. Th e n et a i m i s to b a l a n ce th e b o o ks (n o p ro fi t, no l o ss ) .

Th i s h a s th e a d va n ta g e th a t cu sto m e rs a re d i re ctl y a ffe cte d by

i n cre a se s i n th e i r d e m a n d , p ro vi d e d th a t th e co st m o d e l i s co rre ct

and fa i r.

3. Pro fi t ce n tre

I t i s n o t u n co m m o n fo r th e I T fu n cti o n to be ru n as a se p a ra te l eg a l

e n ti ty wi th b u s i n e ss o b j e cti ve s se t b y th e o rg a n i z a ti o n b u t wi th

su ffi ci e n t a u to n o m y to manage i ts e l f. Th e ke y p o i n t i s th a t a cl e a r

p ri ce l i s t i s e s ta b l i s h e d and cu sto m e rs o rd e r m u ch a s th e y wo u l d fro m

a n y o th e r th i rd p a rty s u p p l i e r. S i n ce th e o b j e cti ve i s to re co ve r a n

a m o u n t g re a te r th a n th e co sts i n cu rre d , th e re wi l l n eed to be

vi si b i l i ty o f th e m a rk-u p bei n g a d d ed and th e p ro fi t m a rg i n bei n g

m a d e.

We ’ l l h a ve a l o o k a t th e m e th o d s u se d fo r e a ch o f th e s e a p p ro a ch e s.

Budgeting
B u d g e ti n g i s (i n th e wo rd s o f I TI L) ‘ th e p ro ce s s o f e n su ri n g th a t th e

co rre ct fi n a n ce i s a va i l a b l e fo r th e p ro vi s i o n o f I T se rvi ce s a n d th a t,

d u ri n g th e b u d g e t p e ri o d , th e y a re n o t o ve rsp e n t’ . Th a t m e a n s th a t i t i s

n o t j u st a se t o f a cti vi ti e s th a t a re p e rfo rm e d o n ce a ye a r a n d th e n

fo rg o tte n a b o u t. It is a co n ti n u o u s p ro ce ss a n d fo rm s p a rt o f th e o ve ra l l

co n tro l th a t i s e xe rci s e d o ve r h o w se rvi ce s a re p ro vi d e d .

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5 Implementing IT service management

As m e n ti o n e d a t th e beg i n n i n g o f th i s s e cti o n , th e p ro ce ss sh o u l d be

cl o se l y b o u n d up wi th th e o rg a n i z a ti o n ’ s fi n a n ci a l cycl e in o rd e r to

re d u ce re p l i ca ti o n o f e ffo rt a n d to u n d e rp i n th e a cco u n ti n g and ch a rg i n g

a sp e cts o f th e p ro ce ss . Th e re m u st a l so be a cl o se a l i g n m e n t wi th th e

o ve ra l l o rg a n i z a ti o n b u d g e t a s sp e n d on I T se rvi ce s ca n , in so m e

o rg a n i z a ti o n s, be a l a rg e p a rt o f th e o rg a n i z a ti o n ’s to ta l sp e n d

(s o m e ti m e s ri va l l i n g o r e ve n e xce e d i n g th e peopl e co s ts) . Th e p ro ce ss m a y

a l so be u n d e r co n stra i n ts i m p o se d b y th e b u s i n e ss a s a re su l t o f

o rg a n i z a ti o n a l ch a n g e o r co st cu tti n g , o r th e d e p a rtm e n ts th a t fu n d IT

m a y h a ve l i m i ts o n re ve n u e o r ca p i ta l spen d i n g to wh i ch I T m u st a d h e re .

Th e b u d g e t sh o u l d ta ke a cco u n t o f cu rre n t o p e ra ti o n a l a cti vi ti e s ,

a n ti ci p a te d ch a n g e s to o p e ra ti o n a l a cti vi ti e s (wh e th e r re d u ci n g or

i n cre a s i n g ) and a n ti ci p a te d p ro j e cts, b u t sh o u l d n ot g o b e yo n d th e

a cti vi ti e s kn o wn a b o u t wi th i n I T. I t sh o u l d wo rk wi th th e o th e r I T se rvi ce

m a n a g e m e n t p ro ce sse s to i d e n ti fy h o w th e o rg a n i z a ti o n ’s n e e d s a re

p re d i cte d to ch a n g e o ve r th e co m i n g ye a r (o r fu rth e r i f yo u a re

p re p a ri n g a l o n g e r te rm fo re ca st) .

Th e fi rst ste p yo u sh o u l d m a ke wh e n se tti n g up yo u r b u d g e ti n g p ro ce ss i s

to i d e n ti fy a l l o f th e b u d g e t i te m s; th e se a re th e a ctu a l , i n d i vi d u a l i te m s

l i ke th a t se rve r i n a cco u n ti n g o r th e peopl e in th e d e p a rtm e n t. In o rd e r

to do th i s yo u n eed to d e fi n e a se t o f b u d g e t ca te g o ri e s. Th i s wi l l h el p

yo u to e n su re th a t yo u d o n ’t fo rg e t a n yth i n g and wi l l a l so a l l o w yo u to

co m p a re m o n th -o n -m o n th and ye a r- o n -ye a r fi g u re s fo r tre n d s a n d to

i d e n ti fy a re a s fo r i m p ro ve m e n t.

Th e p ro ce ss o f i d e n ti fyi n g th e a ctu a l co sts o f a l l th e b u d g e t i te m s ca n

th e n beg i n . Som e o f th e se yo u wi l l kn o w i n a d va n ce a s th e y a re p a rt o f a

co n tra ct (e . g . se rve r m a i n te n a n ce ) o r sta ff co sts – yo u kn o w wh a t th e

sa l a ri e s wi l l be, and p o ssi b l y wh a t th e p a y i n cre a se s a re due to be. Som e

co sts a re l e ss we l l u n d e rsto o d a t b u d g e ti n g ti m e , o r a re l i a bl e to ch a n g e ,

wh i ch ca n n o t b e a ccu ra te l y p re d i cte d , su ch a s o ve rti m e , co n s u m a b l e s, e tc.

Th e se a re o fte n e sti m a te d b a se d on an u n d e rsta n d i n g and p ro j e cti o n

fo rwa rd o f h i s to ri ca l co sts . In g e n e ra l , g ood p ra cti ce d o e sn ’t h a ve th a t

m u ch to sa y i n th e a re a o f b u d g e ti n g and th i s wi l l be l a rg e l y d i cta te d by

yo u r fi n a n ce d e p a rtm e n t a n ywa y, so l e t’s m o ve on .

Accounting
O n ce we h a ve e sta b l i s h e d and a g re e d a bu d g et a n d had i t a p p ro ve d , we

m a y th e n d e ci d e to wo rk o u t h o w we wi l l a p p o rti o n i t th ro u g h o u t th e

o rg a n i z a ti o n . Ag a i n , th i s i s a n a re a th a t va ri e s wi d e l y; som e o rg a n i z a ti o n s

d o n ’t a l l o ca te I T co sts to o th e r p a rts o f th e b u si n e s s, p re fe rri n g to si m p l y

re g a rd it as a ce n tra l i z e d p o t. B u t e ve n i f yo u d o n ’t n e e d to do any

a p p o rti o n m e n t wi th i n th e b u s i n e ss th e re a re re a l b e n e fi ts to be had in

cre a ti n g a co st m o d e l and a n a l ysi n g th e re s u l ti n g fi g u re s b e ca u se i t wi l l

h el p to sh o w wh e th e r yo u a re sp e n d i n g yo u r I T m o n e y wi s e l y.

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 Service delivery processes

The cost model

A co st m o d e l is a wa y o f ta ki n g th e fu n d s th a t yo u h a ve been a l l o ca te d

b y th e b u s i n e ss i n yo u r b u d g e t a n d a ssi g n i n g th e m to cu sto m e rs o r

se rvi ce s , or i n a n y o th e r wa y th a t m i g h t b e u s e fu l to yo u o r yo u r

o rg a n i z a ti o n . As we ’ ve sa i d , a co st m o d e l i s o fte n u sed to ca l cu l a te h ow

m u ch e a ch d e p a rtm e n t sh o u l d co n tri b u te to o ve ra l l I T co sts , p e rh a p s

b a se d on n u m b e rs o f PCs o r u s e rs; i t ca n a l so be u se d fo r o th e r p u rp o se s ,

b u t we ’ l l d e s cri b e th i s m a i n on e fi rst.

D e ve l o p i n g a co s t m o d e l is a l a rg e su b j e ct i n i ts o wn ri g h t b u t we ’ l l se t

o u t th e p ri n ci p a l ste p s a n d h o p e fu l l y th i s wi l l be s u ffi ci e n t to g i ve yo u

th e g e n e ra l i d ea so th a t yo u ca n d e ve l o p i t fu rth e r wi th i n yo u r I T te a m .

Yo u ca n re fe r to F i g u re 1 0 as an i l l u s tra ti o n .

Th e i n i ti a l ste p i s to i d e n ti fy th e co st typ e s yo u a re g oi n g to u se . Th e s e

ca n be wh a te ve r m a ke s se n se to yo u , bu t a co m m o n l i st m i g h t l o o k

so m e th i n g l i ke th i s:

• h a rd wa re – s e rve rs, n e two rk e q u i p m e n t, s to ra g e , PCs, l a p to p s, e tc. ;

• so ftwa re – a p p l i ca ti o n s, o p e ra ti n g sys te m s, d a ta b a se s;

• peopl e – fu l l co sts o f e m p l o ym e n t o f yo u r I T s ta ff;

• a cco m m o d a ti o n – o ffi ce s p a ce , se rve r ro o m s;

• e xte rn a l s e rvi ce s – th i rd p a rty su p p o rt co n tra cts, n e two rk l i n ks ,

d i sa ste r re co ve ry fa ci l i ti e s, i n su ra n ce ;

• tra n sfe r – co sts o f ‘ b u yi n g ’ se rvi ce s fro m wi th i n yo u r o rg a n i z a ti o n ,

fo r e xa m p l e , fa ci l i ti e s m a n a g e m e n t.

Yo u m a y a l so wa n t to go d o wn a n o th e r l e ve l o f d e ta i l (re fe rre d to as

‘ co st e l e m e n ts’ ) to su b ca te g o ri z e , u si n g th e ki n d s o f e xa m p l e s s h o wn

a b o ve (e . g . so ftwa re – a p p l i ca ti o n s, o p e ra ti n g sys te m s, d a ta b a se s) .

O n ce yo u h a ve d e ci d e d on yo u r typ e s, th e n e xt ste p i s to d e te rm i n e

wh e th e r e a ch co st i s a d i re ct co st, an i n d i re ct co s t o r a n u n a b so rb e d

o ve rh e a d .

• D i re ct co sts a re th o s e th a t ca n be a ttri b u te d to a si n g l e cu sto m e r (fo r

e xa m p l e , th e co sts o f th e p a yro l l s yste m wi l l g e n e ra l l y o n l y b e

a p p l i ca b l e to th e p a yro l l o r fi n a n ce d e p a rtm e n t) .

• I n d i re ct co sts a re th o se th a t ca n n o t b e d i re ctl y a ttri b u te d (fo r

e xa m p l e , th e h a rd wa re co s ts o f th e se rve r h o s ti n g a n u m ber of

vi rtu a l m a ch i n e s) and th u s h a ve to be a p p o rti o n e d to th e re l e va n t

cu s to m e rs

• U n a b so rb e d o ve rh e a d s a re th o se i n d i re ct co s ts th a t ca n n o t b e

a p p o rti o n e d to a su b se t o f cu sto m e rs a n d m u st b e a p p o rti o n e d

a cro ss a l l cu s to m e rs (e . g . th e e n ti re co st o f th e s e rve r ro o m ) .

D i re ct co sts sh o u l d be fa i rl y stra i g h tfo rwa rd to a l l o ca te . F o r i n d i re ct co s ts,

yo u n eed to co n si d e r th e fa i re st wa y to a p p o rti o n th e co sts to th e

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5 Implementing IT service management

cu sto m e rs . Th i s m i g h t b e to b a se i t on n u m b e r o f u se rs, PCs a n d l a p to p s ,

d i sk sto ra g e , e tc. I t’s u p to yo u to a g re e i t wi th yo u r cu s to m e rs b u t i t

n e e d s to be:

• fa i r to b o th th e cu sto m e r a n d th e I T d e p a rtm e n t – yo u n eed to

a cco u n t fo r a l l th e co sts b u t n o t p e n a l i z e a cu sto m e r u n fa i rl y;

• m a n a g ea bl e – d o n ’t b a se th e a p p o rti o n m e n t m e ch a n i sm on

so m e th i n g yo u ca n ’t m e a s u re .

F o r u n a b so rb e d o ve rh e a d s, th e a p p o rti o n m e n t i s o fte n d on e as an u p l i ft

p ro p o rti o n a l to th e to ta l o th e r co sts a p p l i e d to th a t cu s to m e r – fo r

e xa m p l e , i f on e l a rg e cu sto m e r a cco u n ts fo r 5 0 p e r ce n t o f th e o ve ra l l

d i re ct a n d a p p o rti o n e d i n d i re ct co sts, th e n i t a s su m e d th a t i t a l so

a cco u n ts fo r 5 0 p e r ce n t o f th e u n a b s o rb e d o ve rh e a d s.

Yo u wi l l n e xt n e e d to d e te rm i n e wh e th e r e a ch co st i s ca p i ta l o r re ve n u e

e xp e n d i tu re and m a ke su re th a t, fo r ca p i ta l co sts, o n l y th e d e p re ci a ti o n is

a cco u n te d fo r, n o t th e e n ti re ca p i ta l va l u e . A fi n a l fa cto r i s wh e th e r th e

co st i s fi xe d o r va ri a b l e – d o e s i t i n cre a se o r d e cre a se wi th u sa g e (e . g .

o ve rti m e ) ? I f i t i s va ri a b l e yo u wi l l n eed to m a ke a fe w a s su m p ti o n s

a b o u t u sa g e vo l u m e , i d e a l l y b a se d u pon p a s t re co rd s a n d p e rh a p s a g ood

kn o wl e d g e o f e xp e cte d ch a n g e s d u ri n g th e ye a r.

O n ce yo u h a ve i d e n ti fi e d all o f th e co sts a n d th e i r a l l o ca ti o n and

ca te g o ri z a ti o n , yo u sh ou l d be a bl e to bu i l d up a m od el th a t sh o ws h o w

th e to ta l co st o f th e I T p ro vi si o n re l a te s to e a ch i n d i vi d u a l cu sto m e r (a

sp re a d sh e e t i s o fte n th e b e st to o l fo r th i s) . Yo u r fi rst a tte m p ts a re l i ke l y

to n eed a l i ttl e twe a ki n g to e n s u re yo u fe e l co n fi d e n t i n j u sti fyi n g yo u r

ca l cu l a ti o n s to yo u r cu sto m e rs , a s th i s m a y we l l h a ve a d i re ct e ffe ct o n

th e i r b u d g e ts . F i g u re 1 0 sh o ws th e p ro ce ss o f b re a ki n g d o wn th e

d i ffe re n t typ e s o f co st to a rri ve at a fi g u re fo r e a ch u s e r d e p a rtm e n t.

We m e n ti o n e d th a t a p p o rti o n i n g co sts to cu s to m e rs i s n o t th e o n l y u se

fo r a co st m o d e l . An o fte n e n l i g h te n i n g e xe rci se i s to try to a l l o ca te th e

co sts to sp e ci fi c se rvi ce s i n o rd e r to co m e up wi th a to ta l fi g u re fo r e a ch

se rvi ce fo r th e ye a r. Th e sa m e p ri n ci p l e s a p p l y i n sp l i tti n g co sts th a t a re

sp re a d a cro ss se rvi ce s p ro p o rti o n a l l y – fo r e xa m p l e , th e co st o f a n e two rk

l i n k th a t p ro vi d e s a cce ss to se ve ra l s e rvi ce s co u l d be sp l i t a cco rd i n g to th e

n u m b e r o f u se rs o f e a ch se rvi ce a t th a t re m o te si te . Th i s i n fo rm a ti o n ,

co m b i n e d wi th kn o wl e d g e o f th e b u s i n e ss cri ti ca l i ty a n d n u m b e r o f u se rs

ca n g i ve a ve ry g o o d i n d i ca ti o n o f th e co s t-e ffe cti ve n e ss o f a n i n d i vi d u a l

se rvi ce . Th i s co u l d h el p to a ss e ss wh e th e r th e s e rvi ce wo u l d be b e tte r

o u tso u rce d , p ro vi d e d wi th l o we r s e rvi ce l e ve l s o r i n so m e ca se s

d i sco n ti n u e d co m p l e te l y. S o m e ti m e s e xtre m e s a re s h o wn up vi a th i s

m e th o d wh e re a se rvi ce th a t h a s b e e n in p l a ce fo r s o m e ti m e a ctu a l l y

co sts a fo rtu n e to p ro vi d e b u t i s h a rd l y u se d .

N o te : Co n fi g u ra ti o n m a n a g e m e n t wi l l p ro vi d e m u ch o f th e i n fo rm a ti o n

re g a rd i n g h o w co m p o n e n ts a re re l a te d to g e th e r a n d fo rm th e se rvi ce s.

1 20 IT Service Management for Small IT Teams

 Service delivery processes

Figure 1 0 – Cost apportionment by department

Th i s i s e s se n ti a l wh e n p u tti n g to g e th e r th e co st m o d e l a s th e

co n fi g u ra ti o n m a n a g e m e n t d a ta b a se (CM D B ) sh ou l d g i ve va l u a b l e

i n fo rm a ti o n a b o u t wh i ch se rvi ce s a re u se d b y wh i ch d e p a rtm e n ts, and

a n y d e p e n d e n ci e s b e twe e n se rvi ce s .

An o th e r a re a wh e re co st m o d e l s a re u se fu l is in ch a n g e m a n a g e m e n t.

U se rs o fte n re q u e st ch a n g e s o f va ri o u s typ e s wi th no kn o wl e d g e of h ow

m u ch i t wi l l co st to i m p l e m e n t – a fte r a l l wh y wo u l d th e y kn o w?

Ca l cu l a ti n g th e co st o f a ch a n g e p ro vi d e s I T a n d th e b u si n e ss wi th a

m u ch b e tte r i d e a o f wh e th e r th e re q u e ste d a cti o n i s re a l l y wo rth it and

h e l p s to d i sco u ra g e u s e rs fro m a ski n g fo r ch a n g e s th a t th e y th e m se l ve s

wo u l d a d m i t (o n ce th e y kn e w th e co st) th e y re a l l y d o n ’t n e e d . Ch a n g e

co s ti n g wi l l re q u i re th a t yo u m a ke so m e a ss u m p ti o n s a b o u t th e co st o f I T

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5 Implementing IT service management

l a b o u r, p e rh a p s o f d i ffe re n t typ e s (e . g . d e ve l o p e r vs. d e skto p su p p o rt)

and e sti m a te th e n u m b e r o f m a n -h o u rs n e e d e d to i m pl em en t a ch a n g e ,

b u t th i s typ i ca l l y i s n ’t h a rd to d o.

A fu rth e r u s e o f th e co s t m o d e l i s th e cre a ti o n of a TCO (to ta l co st o f

o wn e rsh i p ) fi g u re th a t g i ve s fo r a n i n d i vi d u a l co m p o n e n t, syste m or

se rvi ce th e to ta l l i fe ti m e co sts a sso ci a te d wi th i t. F o r e xa m p l e , a se rve r

co sti n g £ 1 0k wi th th e o p e ra ti n g s yste m , i n s ta l l a ti o n ti m e , p a tch i n g and

u p g ra d e s, m a i n te n a n ce (b o th co n tra ctu a l and b y i n -h o u s e sta ff) ,

p ro p o rti o n o f o ve rh e a d s (ra ck sp a ce , p ro p o rti o n o f a i r co n d i ti o n i n g ,

e l e ctri ci ty) , n e two rki n g co n n e cti vi ty, e tc. , m i g h t a ctu a l l y co st th e

o rg a n i z a ti o n £ 5 0 , 0 0 0 o ve r a fi ve - ye a r l i fe s p a n . Th i s i n fo rm a ti o n ca n be

u se fu l wh e n e sti m a ti n g th e co st o f th e i n fra stru ctu re p a rts o f n e w

p ro j e cts .

Charging
An d so we co m e to ch a rg i n g , an a sp e ct o f I T fi n a n ce th a t i s q u o te d

wi th i n th e g ood p ra cti ce g u i d es a s a n ‘ o p ti o n a l ’ a cti vi ty. Th i s ta ke s th e

co st m o d e l i d ea a ste p fu rth e r b y a ctu a l l y se tti n g a p ri ce fo r th e u se of

e a ch se rvi ce , p a ya b l e b y th e cu sto m e rs a t re g u l a r i n te rva l s.

Ch a rg i n g ca n h a ve se ve ra l b e n e fi ts, th e main on es bei n g :

• i t g i ve s I T a m e ch a n i sm th a t e n a b l e s i t to sh a pe cu sto m e r a n d u se r

b e h a vi o u r to e n su re we g e t th e b e s t fro m I T i n ve stm e n ts;

• i t fo rce s th e b u si n e ss to co n tro l i ts o wn u se r d e m a n d s ;

• i t ca n re d u ce o ve ra l l co sts b y h i g h l i g h ti n g se rvi ce s wi th poor

co st- e ffe cti ve n e ss a n d l o w u sa g e ;

• i t e n su re s th a t h i g h l y u s e d , popu l a r a n d i m p o rta n t se rvi ce s re ce i ve

th e fu n d i n g a p p ro p ri a te to th e i r sta tu s a n d n eed .

In p ra cti ce , ch a rg i n g ca n o fte n be se e n a s o ve rl y b u re a u cra ti c, u n fa i r o r

to o d i ffi cu l t to m a n a g e. Th e se a re g e n e ra l l y sym p to m s o f a p o o rl y

th o u g h t- th ro u g h o r i m p l e m e n te d ch a rg i n g syste m , a l th o u g h s o m e ti m e s

e ve n th e b e st a n d fa i re st ch a rg i n g s yste m s re ce i ve cri ti ci sm si n ce e ve ryo n e

a ctu a l l y wa n ts th e i r I T to be b o th e xce l l e n tl y p ro vi si o n e d and fre e . Th e

m a n tra fo r ch a rg i n g i s th a t i t ‘ h a s to be si m p l e , fa i r a n d re a l i s ti c’ . It is

vi ta l th a t a ch a rg i n g p o l i cy i s b ro u g h t i n wi th th e fu l l b a cki n g o f th e

se n i o r m a n a g e m e n t i n o rd e r to e n su re th a t i t i s se e n a s m a n d a to ry. It is

e q u a l l y vi ta l th a t th e ch a rg i n g p o l i cy i s d e si g n e d in fu l l co n s u l ta ti o n wi th

th e d e p a rtm e n t h e a d s i n o rd e r to e n su re th a t th e m e ch a n i sm d e vi s e d

co rre ctl y b a l a n ce s th e b u si n e ss vi e w o f va l u e fo r m o n e y. Th i s m a y re su l t

in a ch a rg i n g m e ch a n i sm th a t a t fi rst, d o e s n o t re co ve r a l l co sts i n o rd e r

to a ckn o wl e d g e th e n eed fo r ce rta i n i m p ro ve m e n ts i n q u a l i ty o r

co n si s te n cy o f d e l i ve ry. If a p ro fi t-b a se d re co ve ry m e ch a n i sm i s b ro u g h t i n

wh e re th e re a re kn o wn d e fi ci e n ci e s, ch a rg i n g wi l l be re se n te d .

1 22 IT Service Management for Small IT Teams

 Service delivery processes

The charging model

Th e m o st i m p o rta n t d e ci si o n s to be made wh e n se tti n g up a ch a rg i n g

m od el a re (a ) wh a t to ch a rg e fo r (a n d wh a t n o t to ch a rg e fo r) and (b )

h o w m u ch to ch a rg e fo r th e m (h o w th e ch a rg e s wi l l be

d e ci d e d /d e te rm i n e d ) .

(a) What to charge for

G e n e ra l l y, it is a g ood i d ea to m a ke th e ch a rg e a b l e i te m s th o se th a t th e

cu s to m e r ca n see a s d i re ctl y d e l i ve ri n g b e n e fi t to i ts b u si n e ss fu n cti o n s .

F o r e xa m p l e , th e fi n a n ce d e p a rtm e n t wi l l see th a t i t u se s PCs to co n n e ct

vi a th e network to th e a cco u n ti n g syste m h ou sed in th e data centre , th e

co rp o ra te em a i l s yste m b a se d on th e Notes server , th e i n te rn e t th ro u g h

th e firewall and proxy servers and p ri n te rs th ro u g h th e print servers .

Ch a rg e th e m fo r th o se i te m s u n d e rl i n e d b u t n o t th o s e in i ta l i cs. Th e

cu s to m e r wo n ’t ca re (sh o u l d n ’t n e e d to ca re ) a b o u t th e te ch n i ca l l a ye r

b e l o w. Wo rk cl o se l y wi th se rvi ce l e ve l m a n a g e m e n t to d e te rm i n e wh i ch

se rvi ce s th e cu sto m e r b e l i e ve s u n d e rp i n i ts b u si n e s s a n d ch a rg e fo r th o s e .

(b) What to charge for them

Ag a i n , th i s i s a n a re a in wh i ch I T fi n a n ce ca n n o t a ct a l o n e . Th e ch a rg i n g

o r p ri ci n g p o l i cy d e vi se d wi l l a ffe ct h o w th e se rvi ce i s u se d : fo r e xa m p l e ,

e xce s si ve ch a rg e s l e vi e d fo r n e two rk fi l e sto ra g e m a y re su l t i n peopl e

sto ri n g d a ta on U SB ke ys, in em a i l a tta ch m e n ts , l o ca l l y o n h a rd d ri ve s o r

on cl o u d s to ra g e , all o f wh i ch a re u n d e s i ra b l e b e h a vi o u rs fro m th e poi n t

o f vi e w o f I T se cu ri ty, I T se rvi ce co n ti n u i ty, ca p a ci ty m a n a g e m e n t, i n ci d e n t

and p ro b l e m m a n a g e m e n t, ch a n g e m a n a g em en t … in sh o rt, n obod y

wi n s. I t i s b e st to se t yo u r p ri ci n g p o l i ci e s u p so th a t th e y re wa rd th e

p a tte rn s o f b e h a vi o u r yo u wa n t to e n co u ra g e .

Yo u wi l l n eed to a d opt a co l l a b o ra ti ve a p p ro a ch b o th wi th o th e r

p ro ce s se s a n d wi th th e cu sto m e r to d e te rm i n e wh a t m e ch a n i s m sh o u l d

be u sed in o rd e r th a t i t i s cl e a r, open , fa i r a n d si m p l e to a d m i n i ste r, and

wh a t th e re su l ti n g p ri ci n g m od el wi l l l o o k l i ke u n d e r d i ffe re n t sce n a ri o s –

fo r i n s ta n ce , wh a t wo u l d h a ppen if a n e w p i e ce o f b u si n e ss wa s ta ke n on

th a t si g n i fi ca n tl y i n cre a se d p a yro l l a cti vi ty o r i n te rn e t tra ffi c?

Th e m a j o r wa ys o f p ri ci n g a re :

• Cost – B a se d e i th e r o n th e to ta l co st o f o wn e rs h i p p ro j e cti o n fo r th e

l i fe ti m e o f th e se rvi ce or on th e co sts a l re a d y a ctu a l l y e xp e n d e d .

• Cost plus – Sa m e a s co st b u t wi th a p e rce n ta g e m a rk- u p (Pri ce = Co st

+ x% ) .

• Going rate – Pri ce i s co m p a ra b l e wi th o th e r i n te rn a l d e p a rtm e n ts,

e i th e r wi th i n th e sa m e o rg a n i z a ti o n o r wi th o th e r si m i l a r

o rg a n i z a ti o n s.

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5 Implementing IT service management

• Market rate – Pri ce i s co m p a ra b l e wi th th i rd p a rty su p p l i e rs.

• Fixed price – Ag re e d p ri ce b a se d on n e g o ti a ti o n s wi th th e cu sto m e r;

u su a l l y th e fi xe d p ri ce has a fi n i te d u ra ti o n (e . g . p ri ce s e t u n ti l

D e ce m b e r) .

Yo u a l so n eed to be p re p a re d to a m en d th e a g re e d p o l i cy i f

ci rcu m sta n ce s ch a n g e si g n i fi ca n tl y d u ri n g th e fi n a n ci a l cycl e . F o r i n sta n ce ,

i f yo u a re tryi n g to d i sco u ra g e a high vo l u m e o f p ri n ti n g , yo u m a y h a ve

se t a high p ri ce per pa g e on th i s b u t, if a huge and l u cra ti ve te n d e r

co m e s i n th a t re q u i re s l a rg e a m o u n ts o f p ri n ti n g , be fl e xi b l e and a g re e

e i th e r a n e xce p ti o n ra te or a n a m e n d m e n t to th e p ri ci n g p o l i cy.

I T fi n a n ce cycl es

As m e n ti o n e d e a rl i e r, I T fi n a n ce fi ts i n to th e o ve ra l l o rg a n i z a ti o n a l

fi n a n ce p i ctu re and, a s su ch , n e e d s to a d h e re to th e re g u l a r cycl e s o f

b u d g e ti n g , a cco u n ti n g and ch a rg i n g . Th e re a re two p h a se s o f th e se

cycl e s: th e o p e ra ti o n a l (m o n th l y) cycl e and th e pl a n n i n g (a n n u a l ) cycl e .

Typ i ca l l y b u d g e ts wi l l be a g re e d annually and th e n m o n i to re d m o n th l y

wi th e xce p ti o n s o r ch a n g e s b e i n g m a n a g ed a s th e y o ccu r.

Th e co st m o d e l wi l l be re vi e we d and co n fi rm e d annually in o rd e r to align

fu l l y wi th th e b u d g e t stru ctu re and g i ve a g ood s tru ctu re on wh i ch to

b a se th e ch a rg i n g , and th e n e xp e n d i tu re wi l l be m o n i to re d and re co rd e d

m o n th l y th ro u g h th e ye a r. Th e ch a rg i n g /p ri ci n g p o l i cy wi l l be e sta b l i sh e d

and a g re e d d u ri n g th e annual pl a n n i n g sta g e (b a se d on , i n fl u e n ci n g and

i n fl u e n ce d b y th e b u d g e ts a n d co s t m o d e l ) re su l ti n g in a pu bl i sh ed p ri ce

l i st, and b i l l s wi l l be co m p i l e d and i ss u e d to th e cu sto m e rs e a ch m o n th .

Wi th i n th e ye a r i t i s n o t u n co m m o n fo r th e re to be a q u a rte rl y o r

bi a n n u a l ‘ tru i n g u p’, wh e re b u d g e ts a re re vi e we d a g a i n st a ctu a l spen d

m o d i fi e d b y e xce p ti o n s a n d ch a n g e s a n d , i f n e ce s sa ry, an a m en d ed

fo re ca st i s p ro d u ce d th a t re fl e cts th e n e w u n d e rsta n d i n g o f th e p ro j e cte d

o u t-tu rn .

I n vestm en t a ppra i sa l

So, we ’ ve l o o ke d a t h o w yo u m i g h t b u d g e t, a cco u n t a n d ch a rg e fo r

e xi sti n g se rvi ce s, b u t wh a t a b o u t n e w o n e s ? I n ve s tm e n t a p p ra i s a l i s th e

p ro ce ss u s e d to e va l u a te wh e th e r th e b u si n e s s b e n e fi t o f a n e w se rvi ce

e n ti re l y s ta cks u p .

Th e two main d e vi ce s u se d a re :

1 . Return on investment – h o w m u ch a d d i ti o n a l re ve n u e (o r l a ck o f l o ss

o f re ve n u e ) re su l ts fro m th e i n ve s te d a m o u n t?

2. Return on capital employed – wh i ch is a co m m o n ra ti o u se d by

i n ve sto rs to e va l u a te th e o ve ra l l e ffe cti ve n e ss o f o rg a n i z a ti o n s.

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Summary

• I T fi n a n ce co n si sts o f b u d g e ti n g , a cco u n ti n g and

(o p ti o n a l l y) ch a rg i n g .

• O n ce yo u h a ve i d e n ti fi e d yo u r co sts , it is a u se fu l e xe rci s e

to try to a l l o ca te th e m to sp e ci fi c cu sto m e rs a n d p o ssi b l y

se rvi ce s.

• Th e re a re a n u m b e r o f wa ys o f o p e ra ti n g th e fi n a n ci a l

a sp e cts o f I T se rvi ce p ro vi s i o n , i n cl u d i n g a cti n g as an

a cco u n ti n g , re co ve ry o r p ro fi t ce n tre wi th i n yo u r

o rg a n i z a ti o n .

• I f yo u d e ci d e to ch a rg e fo r s e rvi ce s, e n su re yo u r p ri ci n g is

se e n to be open and fa i r a n d i t e n co u ra g e s th e typ e s o f

u se r b e h a vi o u r yo u re g a rd a s d e si ra b l e .

Next steps

Co n s i d e r th e fo l l o wi n g q u e s ti o n s:

• Do I kn o w th e fu l l e xte n t o f wh a t I am b u d g e ti n g fo r?

• Wh a t a re th e cu rre n t co sts?

• Wh a t a re th e a cco u n ti n g ru l e s a n d co n s tra i n ts th a t I n eed

to wo rk wi th i n ?

• Wh a t i s th e o rg a n i z a ti o n ’s fi n a n ci a l pl a n n i n g cycl e ?

• Sh ou l d I ch a rg e fo r th e se rvi ce s a n d h o w sh o u l d th i s b e

d on e?

• Do I wa n t to b re a k e ve n , m a ke a l o ss o r m a ke a p ro fi t?

Capacity management
Objective

To ensure that the service provider has, at all times, sufficient

capacity to meet the current and future agreed demands of the
customer’s business needs.
Imagine d ri vi n g a ca r wi th a b ro ke n fu e l g a u g e. Yo u wo u l d n ’t kn o w h o w

fu l l th e ta n k wa s o r wh e n to sto p fo r p e tro l . Wo rst ca s e , yo u wo u l d ru n

o u t j u st a t th e wro n g m o m e n t, in th e middle of a j u n cti o n or on a l e ve l

cro ssi n g . In m a n y wa ys th i s i s th e sa m e si tu a ti o n a s i f yo u a re n ot

m o n i to ri n g th e ca p a ci ty o f yo u r se rve rs a n d n e two rk i n fra s tru ctu re . In

ca p a ci ty te rm s yo u ’ re e ffe cti ve l y b l i n d and d o n ’t kn o w i f th e n e xt fe w

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5 Implementing IT service management

u se rs o r th e n e w a p p l i ca ti o n wi l l ti p i t o ve r th e ed g e i n to poor

p e rfo rm a n ce . O r a re yo u r se rve r d i sks a b o u t to fi l l u p, re s u l ti n g in on e or

m o re se rvi ce s to cra sh co m p l e te l y, p o ssi b l y a t a cru ci a l ti m e su ch a s ye a r

e n d ? Wi l l yo u r F i n a n ce D i re cto r th a n k yo u fo r p u tti n g in an u n b u d g e te d

e m e rg e n cy re q u e st fo r th o u sa n d s o f p o u n d s fo r a n u p g ra d e to a se rve r

h a l fwa y th ro u g h th e fi n a n ci a l ye a r?

Ca p a ci ty m a n a g e m e n t i s a b o u t u n d e rsta n d i n g wh e re yo u a re n o w wi th

yo u r i n fra stru ctu re , wh a t i s l i ke l y to h a ppen o ve r th e n e xt s i x to twe l ve

m o n th s a n d th e n a s se ssi n g th e i m p a ct a n d pl a n n i n g fo r i t, b o th

te ch n i ca l l y a n d fi n a n ci a l l y. I t n e e d n ’t b e a d i ffi cu l t a re a to a d d re ss a n d

we wo u l d re co m m e n d th e u se o f a p p ro p ri a te so ftwa re to o l s to a u to m a te

m u ch o f th e a rd u o u s p a rts o f th e p ro ce ss. Yo u r a i m sh ou l d be to p ro d u ce

a ca p a ci ty p l a n e ve ry si x to twe l ve m o n th s , al igning i t wi th yo u r b u d g e t

pl a n n i n g cycl e wh e re p o ss i b l e . O f co u rse , n o t e ve ryth i n g ca n be p re d i cte d

and th e b u si n e ss m a y co m e up wi th th e od d su rp ri s e d u ri n g th e ye a r th a t

has a ca p a ci ty i m p l i ca ti o n – fo r e xa m p l e , a m e rg e r o r ta ke o ve r – b u t e ve n

in th e se ci rcu m sta n ce s a t l e a st yo u wi l l h a ve th e i n fo rm a ti o n to hand to

u n d e rsta n d wh e re yo u a re sta rti n g fro m and wh i ch i te m s o f

i n fra stru ctu re m a y n eed to be u p g ra d e d to co p e .

Capacity monitoring
Th e fi rst ste p i s to pu t i n p l a ce a m o n i to ri n g fra m e wo rk th a t a l l o ws yo u

to ke e p ta b s o n all o f th e i m p o rta n t co m p o n e n ts o f yo u r se rvi ce s wi th o u t

m a ki n g an a d m i n i stra ti ve n i g h tm a re fo r yo u rse l f i n th e p ro ce ss. Yo u r

co n fi g u ra ti o n m a n a g e m e n t p ro ce s s s h o u l d be a bl e to p ro vi d e yo u wi th a

cl e a r p i ctu re o f wh i ch co m p o n e n ts su p p o rt wh i ch s e rvi ce s , and so wh a t to

co n ce n tra te on i n i ti a l l y. In g e n e ra l i t’s p ro b a b l y a p p ro p ri a te to s ta rt wi th

yo u r m i ssi o n - cri ti ca l se rve rs a s th e y wo u l d ca u se yo u th e m o st p a i n i f th e y

we re to sto p wo rki n g .

Yo u co u l d , o f co u rse , l og on to e a ch s e rve r i n d i vi d u a l l y o n , s a y, a we e kl y

b a si s a n d m a n u a l l y re co rd th e ke y fi g u re s i n a sp re a d sh e e t. I f yo u d o n ’t

h a ve m a n y s e rve rs, th a t i s a re a so n a b l e a p p ro a ch to ta ke . I f, h o we ve r,

yo u h a ve to o m a n y to m a ke th a t a p p ro a ch vi a b l e th e n yo u wi l l n eed to

g et som e to o l s to do th e wo rk fo r yo u . B a s i c to o l s a re o fte n p ro vi d e d

fre e wi th th e o p e ra ti n g s yste m . Wi th a b i t o f e ffo rt i n se t-u p , th e se wi l l

a l l o w yo u to re co rd th e ke y va l u e s fro m e a ch se rve r a n d se n d th e m to a

ce n tra l p o i n t fro m wh i ch yo u ca n p ro d u ce som e tre n d i n g g ra p h s to se e in

wh i ch d i re cti o n yo u r re so u rce u sa g e i s g oi n g . I f yo u h a ve so m e bu d g et

a va i l a b l e l o o k a t wh a t so m e o f th e p o p u l a r n e two rk m o n i to ri n g to o l s ca n

g i ve yo u in th i s a re a vi a S N M P (S i m p l e N e two rk M a n a g e m e n t Pro to co l )

m o n i to ri n g a s th e y wi l l co l l e ct, sto re and g ra p h all th e d a ta yo u wi l l n eed

wi th a minimum n eed fo r h u m a n i n te rve n ti o n .

Ke e p i n g i t si m p l e a t fi rst i s ke y; co n ce n tra te on yo u r m a i n s e rve rs a n d

j u st l o o k a t p ro ce sso r a n d d i sk sp a ce u sa g e i n i ti a l l y. F o r e a ch se rve r yo u

1 26 IT Service Management for Small IT Teams

 Service delivery processes

will need to get to know the profile of usage across the day, the week
and the month in order to identify the typical peak dates and times.
Once these are known, you can then focus in on these and start to
produce trend information for the same peak few hours each week or
month.

This initial analysis will give you a good idea about whether your servers
are busy, idling or somewhere in between. Often with traditional
single-application servers the usage is not too significant, but with the
increased use of virtualization this should become more of an involved
subject as resources can be shared between applications more easily.
Often the vendors of virtualization software will also supply tools to
monitor and report on resource usage as part of the deal.

At first, just creating a table listing the servers and whether their disk
space and processor usage is high, medium or low will add significantly
to your capacity planning knowledge and act as the basis for future
planning.

As well as starting to record trend information, many tools allow the

setting of thresholds, particularly with disk space used, and will send an
alert email or text message if the threshold is exceeded. This is a useful
backup to the trend data monitoring as it will identify those instances
where the increase in disk space usage is sudden, perhaps because of an
application or user error.

But it’s not all about servers; there may be other aspects of your
infrastructure that play a key part in the delivery of your services, such as:

• network links;
• internet links;
• batch run times;
• backup run times.

These should also be monitored according to the same principles, using

tools where available and cost-effective. What you’re looking for are
trends that, if continued, will sooner or later lead to capacity issues with
that resource. Capacity planning is about identifying these early so that
you have plenty of time to take some action, such as making better use
of existing resources or purchasing more.

Performance tuning
On each type of infrastructure component there are often various
parameters that can be tweaked to provide a more appropriate sharing
of resources, and this can improve performance. The specifics will, of
course, depend upon the component and the manufacturer’s
recommendations, but it’s worth spending some time looking at what

IT Service Management for Small IT Teams 1 27

5 Implementing IT service management

co u l d be d on e to g e t th e m o st fro m yo u r e xi sti n g h a rd wa re b e fo re

o p en i n g th e ch e q u e b o o k to bu y a n u p g ra d e . D e ta i l s o f tu n i n g a re

b e yo n d th e sco p e o f th i s b o o k b u t, fo r e xa m p l e , fo r se rve rs th i s m i g h t

i n vo l ve th e co rre ct se tti n g o f swa p sp a ce o r re p a rti ti o n i n g o f d i s k a rra ys .

Demand management
An o th e r wa y to try to a vo i d th e e xp e n se o f u p g ra d i n g i n fra stru ctu re i s to

go i n to m o re d e ta i l e d a n a l ysi s o f h o w th e e xi sti n g re so u rce s a re u sed , by

wh o m and wh e n . U n d e rsta n d i n g u sa g e p a tte rn s m a y a l l o w yo u to

i d e n ti fy a cti vi ti e s ca rri e d o u t b y u se rs (o r th e I T te a m fo r th a t m a tte r)

th a t a re re so u rce h u n g ry b u t co u l d be d on e at a ti m e o f l o we r l o a d , i . e.

sm o o th i n g o u t th e u sa g e p a tte rn . Som e n e g o ti a ti o n m a y be re q u i re d to

g e t u se rs to ch a n g e wo rki n g p a tte rn s o r p ra cti ce s b u t o fte n th e y ca rry

ou t a p a rti cu l a r ta sk a t a p a rti cu l a r ti m e o r d a y wi th o u t a n y kn o wl e d g e

o f th e e ffe cts – a fte r a l l wh y wo u l d th e y kn o w? S o m e ti m e s sm o o th i n g

o u t re s o u rce u sa g e ca n m ea n b e tte r se rvi ce to u se rs a s a j ob th a t

p re vi o u sl y to o k a l on g ti m e d u ri n g th e d a y co u l d be ru n o ve rn i g h t m o re

q u i ckl y o r a t a ti m e o f l o we r d a yti m e u sa g e.

S i m i l a rl y, wi th d i sk sp a ce , u se rs te n d to be u n a wa re o f th e i m p a ct o f

l oa d i n g m a n y l a rg e fi l e s , s u ch a s vi d e o cl i p s, o n to th e s e rve r a n d m a y be

wi l l i n g to re d u ce th e i r u sa g e o r a t l e a st g e t ri d o f u n wa n te d fi l e s o n a

re g u l a r b a s i s. S o ftwa re to o l s th a t ca n re p o rt o n wh o th e b i g g e st cu l p ri ts

a re and, i f n e ce ssa ry, i m pose l i m i ts o n th e i r u sa g e a re wi d e l y a va i l a b l e .

Yo u m a y d e ci d e to i m pl em en t a q u o ta syste m , b u t th i s sh o u l d be d on e in

d i scu s si o n wi th cu sto m e rs a n d u se rs a n d se t o u t i n th e S LA.

Future requirements
O n ce a cl e a r p i ctu re i s o b ta i n e d o f th e cu rre n t ca p a ci ty si tu a ti o n , th e

n e xt p i e ce in th e pu zzl e i s th a t o f th e fu tu re re q u i re m e n ts o f th e

b u si n e ss. Th e pl a n n i n g h o ri z o n m a y va ry b u t i t i s u s u a l l y fe a si b l e to kn o w

wi th so m e d e g re e o f ce rta i n ty wh a t i s p l a n n e d fo r th e n e xt twe l ve

m o n th s o r so . O f co u rs e , th e main wa y to fi n d o u t th i s i n fo rm a ti o n i s to

go and ta l k d i re ctl y to th e b u s i n e ss m a n a g e rs wh o m a y h a ve th e

re q u i re m e n ts. Th e co rp o ra te pl a n , i f th e re i s on e, wi l l a l so h el p wi th th i s .

Th e d i scu s si o n s s h o u l d ce n tre on wh a t e ve n ts m i g h t ca u s e e xtra ca p a ci ty

to be n eed ed in th e n e xt twe l ve m o n th s su ch a s:

• o rg a n i c g ro wth in th e n u m b e r o f u se rs o f e xi sti n g s e rvi ce s ;

• n e w s e rvi ce s o r a p p l i ca ti o n s;

• m e rg e rs a n d a cq u i si ti o n s th a t m a y re su l t i n m o re d em a n d fo r I T

se rvi ce s;

• i m pen d i n g l e g i sl a ti ve ch a n g e s;

• u se o f n e w te ch n o l o g y, s u ch a s m obi l e wo rki n g .

1 28 IT Service Management for Small IT Teams

 Service delivery processes

E n co u ra g e th e b u si n e s s m a n a g e rs to be a s s p e ci fi c a s p o ss i b l e in te rm s o f

n u m b e rs, ti m e sca l e s a n d o th e r fa cto rs. Ca p a ci ty i m p l i ca ti o n s sh o u l d be a

re g u l a r i te m on th e a g en d a o f yo u r b u si n e ss re l a ti o n s h i p m e e ti n g s wi th

cu s to m e rs a n d yo u sh o u l d try to e xp l a i n wh y yo u n eed to kn o w a b o u t

si g n i fi ca n t ch a n g e s a s e a rl y a s p o ssi b l e . Co n si d e ra ti o n o f th e ca p a ci ty

i m p l i ca ti o n s o f ch a n g e re q u e s ts s h o u l d a l so be made a s p a rt o f th e

ch a n g e m a n a g e m e n t p ro ce ss .

As we l l a s re q u i re m e n ts fro m th e b u si n e ss th e re m a y a l so be an i m p a ct

on ca p a ci ty (p o si ti ve o r n e g a ti ve ) fro m so m e o f th e p l a n s wi th i n th e IT

te a m i tse l f, su ch a s:

• i n tro d u cti o n of em a i l a rch i vi n g ;

• vi rtu a l i z a ti o n o f se rve rs;

• ke e p i n g se rve r e ve n t l o g s fo r l o n g e r fo r se cu ri ty p u rp o s e s ;

• re o rg a n i z a ti o n o f sh a re d n e two rk d ri ve s.

Th e se m u st a l so be co n si d e re d and fa cto re d i n to th e o ve ra l l ca p a ci ty

e q u a ti o n .

The Capacity Plan

O K, so we ’ ve m e a su re d th e e xi sti n g ca p a ci ty, d on e so m e tu n i n g to

m a xi m i z e p e rfo rm a n ce , sm o o th e d o u t u sa g e wh e re p o s si b l e and g a i n ed a

g ood a p p re ci a ti o n o f wh a t i s l i ke l y to h a ppen o ve r th e n e xt twe l ve

m o n th s o r so . I t’s ti m e to cre a te a Ca p a ci ty Pl a n .

Th i s i s th e d o cu m e n t th a t b ri n g s a l l th e p i e ce s o f th e j i g s a w to g e th e r to

g e n e ra te so m e re co m m e n d a ti o n s a n d co n cl u si o n s. U n fo rtu n a te l y ca p a ci ty

pl a n n i n g i s p ro b a b l y sti l l m o re of a n a rt th a n sci e n ce , and a l th o u g h th e re

h a ve been s o ftwa re to o l s a va i l a b l e fo r m a n y ye a rs th e y te n d to re m a i n

fa i rl y e xp e n si ve . Th e d e g re e o f b u si n e s s u n ce rta i n ty th a t typ i ca l l y e xi sts ,

e ve n o ve r a 1 2 -m o n th pl a n n i n g ti m e fra m e , a l so m a ke s a b s o l u te

co n cl u s i o n s d i ffi cu l t.

H a vi n g sa i d th i s, i t i s ce rta i n l y p o ssi b l e to re a ch so m e ca u ti o u s i n d i ca ti o n s

o f wh a t m a y b e re q u i re d in o rd e r to m a i n ta i n th e re l e va n t I T se rvi ce s a n d

to i d e n ti fy th o se a re a s i n wh i ch m o re ti m e sh o u l d be spen t a n d on wh i ch

a m o re ca re fu l e ye sh o u l d be ke p t.

Th e Ca p a ci ty Pl a n sh o u l d se t o u t th e i d e n ti fi e d b u si n e ss re q u i re m e n ts fo r

th e p e ri o d u n d e r co n s i d e ra ti o n , to g e th e r wi th th e i r ti m e s ca l e s a n d som e

i n d i ca ti o n o f th e i r d e g re e o f ce rta i n ty. D e ta i l s o f cu rre n t tre n d s th a t a re

l i ke l y to co n ti n u e sh o u l d a l so be g i ve n , fo r e xa m p l e :

• th e i n cre a si n g u se o f th e i n te rn e t;

• i n cre a si n g sto ra g e o f p h o to g ra p h s a n d vi d e o fi l e s;

• th e tre n d to wa rd s h o m e wo rki n g .

IT Service Management for Small IT Teams 1 29

5 Implementing IT service management

S ta rti n g fro m th e p o i n t o f kn o wi n g wh e th e r a co m p o n e n t s u ch as a

se rve r i s o f h i g h , m ed i u m o r l o w u sa g e , an a s se ssm e n t th e n n e e d s to be

made o f th e i m p a ct o f a n y kn o wn b u si n e ss re q u i re m e n ts th a t wi l l a ffe ct

i t. F o r e xa m p l e , i f th e p ro ce ss o r o f a ke y se rve r i s a l re a d y b e i n g h e a vi l y

u se d and th e pl a n i s to i n cre a s e th e n u m b e r o f u se rs th e n th i s wo u l d

ra i se a re d fl a g and l ea d to a re co m m e n d a ti o n to u p g ra d e o r re p l a ce th e

cu rre n t se rve r. Co n ve rse l y, if a se rve r h a s l o w u ti l i z a ti o n and th e re a re no

u p co m i n g ch a n g e s th e n i t wi l l p ro b a b l y su ffi ce fo r a n o th e r ye a r. Th i s

i n fo rm a ti o n i s p ro b a b l y b e st re p re se n te d in a ta b l e . Th e a n a l ysi s , a l bei t

b a si c, wi l l h el p to i n fo rm th e d e ci si o n -m a ki n g p ro ce s s a n d p ro vi d e m o re

co n cre te e vi d e n ce fo r I T e xp e n d i tu re th a n o th e rwi se wo u l d be th e ca se .

Yo u r g e n e ra l a n a l ysi s sh o u l d a l so be su p p l e m e n te d by a n y si zi n g e xe rci se s

ca rri e d o u t b y th e s u p p l i e rs o f te ch n o l o g y th a t a re to be i m p l e m e n te d

d u ri n g th e pl a n n i n g h o ri z o n . F o r e xa m p l e , m a n y o rg a n i z a ti o n s

co n si d e ri n g vi rtu a l i z a ti o n wi l l b ri n g in an e xte rn a l co m p a n y to co n d u ct a

d e ta i l e d a sse s sm e n t o f wh a t wi l l be re q u i re d to co n so l i d a te th e s e rve r

fa rm , and th i s i s va l u a b l e i n p u t i n to th e i r ca p a ci ty p l a n n i n g p ro ce ss. S u ch

co m p a n i e s wi l l o fte n h a ve a cce ss to m o re re l e va n t (a n d m o re e xp e n si ve )

to o l s th a t th e y ca n u se to yo u r b e n e fi t. Th i s ca n a l so be tru e o f e xi sti n g

se rvi ce p ro vi d e rs wh o m a y a l l o w yo u to u se s ta n d a rd to o l s th a t ca n sh o w

yo u r u sa g e o f th e i r re so u rce s a t th e m o m e n t, su ch a s we b -b a se d

m o n i to ri n g o f wi d e a re a n e two rk l i n ks o r i n te rn e t co n n e cti o n s. An y

so u rce s o f ca p a ci ty i n fo rm a ti o n th a t a d d to th e o ve ra l l p i ctu re sh o u l d be

we l co m e d and u sed to fu l l e ffe ct.

To co n cl u d e th e a n a l o g y we sta rte d th i s se cti o n wi th , a b a s i c ca p a ci ty

m a n a g e m e n t p ro ce ss su ch a s we a re s u g g e sti n g h e re i s e q u i va l e n t to

p ro vi d i n g a ca r wi th a wo rki n g fu e l gauge e ve n i f i t d o e sn ’t sp e ci fy

e xa ctl y h o w m a n y l i tre s a re l e ft i n th e ta n k. J u st kn o wi n g wh e th e r yo u

a re a q u a rte r o r th re e q u a rte rs fu l l i s o fte n en ou g h i n fo rm a ti o n to a l l ow

se n si b l e d e ci s i o n s to be m a d e, wi th o u t th e ti m e and e xp e n se of g oi n g to

th e n e xt l e ve l o f d e ta i l fo r l i ttl e p ra cti ca l b e n e fi t.

Summary

• Ca p a ci ty m a n a g e m e n t i s a b o u t u n d e rsta n d i n g wh e re yo u

a re n o w wi th yo u r i n fra stru ctu re , wh a t i s l i ke l y to h a ppen

o ve r th e n e xt si x to twe l ve m o n th s a n d th e n a s se ssi n g th e

i m p a ct a n d pl a n n i n g fo r i t, b o th te ch n i ca l l y a n d fi n a n ci a l l y.

• U si n g ca p a ci ty/n e two rk m o n i to ri n g to o l s ca n be an

i n e xp e n s i ve wa y o f m o n i to ri n g yo u r ca p a ci ty wi th o u t

m a ki n g it an a d m i n i stra ti ve n i g h tm a re .

• Ta l k to th e b u si n e ss re g u l a rl y a b o u t i ts fu tu re ca p a ci ty

n eed s a n d to u n d e rs ta n d i ts e xi s ti n g p a tte rn s o f u sa g e .

1 30 IT Service Management for Small IT Teams

 Service delivery processes

• A Ca p a ci ty Pl a n sh o u l d be p ro d u ce d a t l e a st a n n u a l l y a n d

sh o u l d s e t o u t wh a t n e e d s to be pu t i n p l a ce d u ri n g th e

ye a r to a vo i d s e rvi ce i ss u e s a ri si n g th ro u g h l a ck o f ca p a ci ty.

N ext steps

1 . I d e n ti fy yo u r ke y se rvi ce co m p o n e n ts a n d sta rt to m o n i to r

th e i r ca p a ci ty.

2. Ta l k to th e b u si n e ss a b o u t wh a t i t kn o ws i s g o i n g to

h a ppen in th e n e xt si x to twe l ve m o n th s.

3. Cre a te a Ca p a ci ty Pl a n su m m a ri z i n g wh e re yo u a re n ow

and wh e re yo u e xp e ct to be in twe l ve m o n th s’ ti m e .

I n form a ti on secu ri ty m a n a g em en t

O bj ecti ve

To manage information security effectively within all service

activities.
N e ve r a d a y se e m s to go b y wi th o u t so m e fo rm o f se cu ri ty-re l a te d

i n ci d e n t b e i n g re p o rte d in th e m ed i a ; fro m l o ss o f d a ta in tra n si t th ro u g h

to o rch e stra te d h a cki n g a tte m p ts, i t a l wa ys m a ke s g o o d p re ss a n d ca u s e s

e m b a rra ss m e n t to th e i n d i vi d u a l s a n d o rg a n i z a ti o n s a ffe cte d . I t’s o n e of

th e fe w a re a s o f I T se rvi ce m a n a g em en t i n wh i ch yo u h a ve a l eg a l

re sp o n s i b i l i ty to ta ke a cti o n to p ro te ct th e d a ta yo u h ol d , p a rti cu l a rl y i f i t

re fe rs to i d e n ti fi a b l e i n d i vi d u a l s. Th e p e n a l ti e s fo r co n tra ve n i n g th e D a ta

Pro te cti o n Act i n th e U K h a ve re ce n tl y b e e n stre n g th e n e d and th i s i s

l i ke l y to be an i n cre a s i n g wo rl d wi d e tre n d o ve r th e n e xt fe w ye a rs .

So h ow d o yo u re d u ce th e l i ke l i h o o d o f yo u r o rg a n i z a ti o n fa l l i n g vi cti m ?

Th e fi rst th i n g to sa y a b o u t i n fo rm a ti o n se cu ri ty i s th a t i t i s a b u si n e ss

i ss u e and th a t, wh i l st th e I T fu n cti o n ca n do a l o t to co n tri b u te to wa rd s

th e se cu ri ty o f th e o rg a n i z a ti o n ’s i n fo rm a ti o n , i t ca n n o t a n d sh o u l d n ot

be so l e l y re sp o n si b l e fo r i t. Th e re a s o n fo r th i s i s th a t th e re a re many

wa ys i n wh i ch i n fo rm a ti o n se cu ri ty ca n be co m p ro m i se d th a t l i e o u tsi d e

o f th e co n tro l o f I T. Pa p e r d o cu m e n ts co n ta i n i n g se n s i ti ve i n fo rm a ti o n

ca n be l o st o r l e ft o u t o n d e sks b y b u si n e ss sta ff, d o o rs a n d wi n d o ws ca n

be l e ft u n l o cke d and e m p l o ye e s ca n be o ve rh e a rd on th e tra i n d i scu ssi n g

co n fi d e n ti a l ca se s o r d e a l s. I t i s e ve ryo n e ’s re s p o n si b i l i ty a n d th i s n e e d s to

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5 Implementing IT service management

be e m p h a si z e d to (a n d i d e a l l y b y) th e s e n i o r m a n a g e m e n t o f yo u r

o rg a n i z a ti o n i f th i s h a s n ’t b e e n d on e a l re a d y.

Th e re is an i n te rn a ti o n a l sta n d a rd fo r i n fo rm a ti o n se cu ri ty ca l l e d

I S O /I E C 2 7 0 0 1 th a t h a s b e e n wi d e l y i m p l e m e n te d b y o rg a n i z a ti o n s th a t

h a ve a p a rti cu l a r n e e d to be, and be se e n to be, se cu re . O fte n th e se a re

I T su p p l i e rs wh o wi sh to p ro ve to th e i r cl i e n ts a n d p ro s p e cts th a t th e y

ca n be tru ste d wi th th e i r d a ta , b u t th e ra n g e o f o rg a n i z a ti o n s th a t a re

ce rti fi e d i s g ro wi n g o ve r ti m e a s i n fo rm a ti o n se cu ri ty b e co m e s m o re of

an i ssu e .

Th e I S O /I E C 2 7 0 0 1 s ta n d a rd re q u i re s th a t a n i n fo rm a ti o n s e cu ri ty

m a n a g e m e n t s yste m (I S M S ) i s pu t i n p l a ce b y s e n i o r b u si n e ss

m a n a g em en t a n d a p p ro p ri a te l y re so u rce d . As we l l a s e n su ri n g th a t a n

a p p ro p ri a te p o l i cy i s d e fi n e d , th i s I S M S fra m e wo rk wi l l m o n i to r th e

e ffe cti ve n e ss o f th e i n fo rm a ti o n se cu ri ty co n tro l s i n p l a ce th ro u g h an

a u d i t p ro g ra m m e and co n ce n tra te on i ts i m p ro ve m e n t o ve r ti m e . We

wo u l d re co m m e n d i m p l e m e n ti n g (o r a t l e a st wo rki n g to wa rd s ) th e

sta n d a rd , b u t fo r th o s e wh o se a p p e ti te fo r s u ch th i n g s i s l i m i te d we wi l l

se t o u t i n th i s se cti o n th e main co m p o n e n ts yo u n eed to h a ve in p l a ce to

ti g h te n up th e i n fo rm a ti o n se cu ri ty wi th i n yo u r o rg a n i z a ti o n .

Perform a risk assessment

Th e fi rst ste p i s to gain a g ood a p p re ci a ti o n o f wh e re yo u a re n o w wi th

re g a rd to th e se cu ri ty o f yo u r i n fo rm a ti o n . Th i s, o f co u rse , a ssu m e s yo u

kn o w wh e re yo u r i n fo rm a ti o n is in th e fi rst p l a ce – wh i ch i s n o t a l wa ys

th e ca s e . M o st o rg a n i z a ti o n s h o l d i n fo rm a ti o n e l e ctro n i ca l l y a n d on

pa per a n d o b vi o u s l y th e fo cu s wi th i n I T i s a l m o st e xcl u si ve l y o n th e

e l e ctro n i c d a ta sto re s. So yo u m a y n eed to do som e digging to fi n d ou t

wh a t i n fo rm a ti o n i s h el d on pa per a n d h o w se n si ti ve i t i s. O n ce yo u ’ ve

fo u n d a s m a n y s o u rce s a s yo u ca n , m a ke a l i st a n d ca l l i t ‘ i n fo rm a ti o n

a sse ts’ . Th e se m a y be d a ta b a se s, p a p e r fi l e s, se rve rs th a t h o l d th e d a ta ,

n e two rks th a t tra n s p o rt i t o r th e b u i l d i n g s th a t h o u s e i t – a n yth i n g th a t

has a b e a ri n g on th e wa y i n wh i ch yo u r d a ta i s h el d and p ro ce ss e d .

O n ce yo u ’ re cl e a r a b o u t wh a t i n fo rm a ti o n yo u h ol d , wh e re and h o w, yo u

ca n th e n sta rt to p e rfo rm an a sse ss m e n t o f th e ri s ks to th o s e i n fo rm a ti o n

a sse ts. Ri sk a s se ssm e n t h a s re ce i ve d a ba d p u b l i c p re ss i n re ce n t ye a rs

o fte n b e ca u se o f i ts o ve rz e a l o u s a p p l i ca ti o n in a h e a l th and sa fe ty

co n te xt. Th e p u rp o se o f i t h e re i s to wo rk o u t e xa ctl y wh e re yo u r

o rg a n i z a ti o n ’s h a rd -e a rn e d m on ey sh ou l d be a ppl i ed to m a xi m i z e th e

b e n e fi t a n d a d d re ss th e m o s t vu l n e ra b l e a re a s. O th e rwi s e yo u co u l d en d

up sp e n d i n g m o n e y to ti g h te n up an a re a th a t i s a l re a d y a d e q u a te l y

p ro te cte d , a t th e e xp e n se o f a n o th e r a re a th a t i s a d i sa ste r wa i ti n g to

h a ppen .

1 32 IT Service Management for Small IT Teams

 Service delivery processes

Th e ri s k a sse ss m e n t i s n o rm a l l y re p re se n te d a s q u i te a wi d e sp re a d sh e e t

wi th a co l u m n fo r e a ch i te m – se e A. 2 in Ap p e n d i x A fo r a n e xa m p l e . In

i n fo rm a ti o n se cu ri ty te rm s th e re a re th re e a sp e cts o f yo u r i n fo rm a ti o n

a s se ts yo u wi l l n eed to p ro te ct:

• confidentiality – p re ve n ti n g th e wro n g peopl e fro m seei n g i t;

• integrity – th a t i t re m a i n s co rre ct a n d a ccu ra te ;

• availability – th a t th e ri g h t p e o p l e ca n s ti l l g e t to i t.

Th e ri s ks to yo u r i n fo rm a ti o n a sse ts wi l l d epen d u pon yo u r p a rti cu l a r

si tu a ti o n , b u t m i g h t i n cl u d e :

• th e ft;

• a cci d e n ta l d e stru cti o n ;

• a cci d e n ta l l o ss;

• vi ru s i n fe cti o n ;

• u n a u th o ri z e d a cce s s;

• co rru p ti o n th ro u g h h a rd wa re o r s o ftwa re fa i l u re .

For a n e xa m p l e ri s k a sse s sm e n t s ch e m e , see th e e a rl i e r se cti o n on IT

se rvi ce co n ti n u i ty a s th e p ri n ci p l e s a re th e sa m e and i t’s o fte n a g ood

i d ea to co ve r th e se two a re a s a s p a rt o f th e sa m e a sse s sm e n t to e n s u re

co n si ste n cy.

H a vi n g a s se sse d th e ri s ks to yo u r i n fo rm a ti o n a sse ts , yo u th e n n eed to

l o o k a t wh a t ca n be d on e wi th th e h i g h e r ri sks to re d u ce e i th e r th e

l i ke l i h o o d of i t h a ppen i n g o r th e i m p a ct i f i t we re to h a ppen . Th i s i s th e

ri sk tre a tm e n t a n d u su a l l y ta ke s th e fo rm o f i n tro d u ci n g co n tro l s.

Co n tro l s m a y ta ke th e fo rm o f re vi se d wo rki n g p ra cti ce s o r co u l d i n vo l ve

th e u se o f re l e va n t s o ftwa re su ch as an a n ti -vi ru s p ro g ra m .

F o r th o se ri sks th a t ca n ’t b e re d u ce d to an a cce p ta b l e l e ve l th ro u g h th e

u se o f co n tro l s a n u m b e r o f o th e r o p ti o n s a re a va i l a b l e to yo u , su ch a s:

• a vo i d th e ri sk, fo r e xa m p l e , by n o l on g er h ol d i n g th e i n fo rm a ti o n at

al l;

• sh a re th e ri sk wi th so m e o n e e l se so th a t i t e ffe cti ve l y re d u ce s yo u r

e xp o su re ;

• cre a te a co n ti n g e n cy p l a n to co p e wi th th e ri sk a ctu a l l y h a p p e n i n g .

To co m p l e te th e p i ctu re yo u th e n n eed to re a sse s s th e ri sks to se e wh a t

e ffe ct yo u r tre a tm e n t wi l l h a ve ; h o p e fu l l y i t wi l l d ro p th e ri sk l e ve l d o wn

a n o tch , fo r e xa m p l e , fro m high to m ed i u m o r fro m m ed i u m to l o w. If it

d o e sn ’t yo u m a y n eed to re th i n k yo u r p ro p o se d a cti o n s to see i f yo u ca n

do m o re .

Th i n g s ch a n g e o ve r ti m e so be p re p a re d to go b a ck to yo u r ri sk

a s se ssm e n t o n a re g u l a r b a si s to ch e ck th a t i t i s sti l l va l i d , adding n ew

ri sks a n d u p d a ti n g e xi sti n g o n e s wh e re n e ce ss a ry.

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5 Implementing IT service management

Controls
I n fo rm a ti o n s e cu ri ty co n tro l s l e a d on fro m yo u r ri s k a sse s sm e n t a n d

sh o u l d re l a te d i re ctl y to th e m . Th e co n tro l s co u l d be:

• procedural – g e tti n g peopl e to wo rk i n a d i ffe re n t, m o re s e cu re wa y;

• technical – fo r e xa m p l e , i n s ta l l i n g so m e so ftwa re to d e te ct a n d

re m o ve vi ru se s;

• physical – fo r e xa m p l e , i n s ta l l i n g a b e tte r l o ck o n th e se rve r ro o m

d o o r.

O r a n y o th e r ki n d yo u ca n th i n k o f th a t i s a p p ro p ri a te to yo u . Th e poi n t

i s th a t th e y a re all a bou t d oi n g s o m e th i n g a b o u t th e ri sk. B u t th e y

sh o u l d a l so be a p p ro p ri a te to th e l e ve l o f ri s k th a t e xi sts – to o s tri ct a n d

yo u m a y s to p peopl e fro m bei n g a bl e to do th e i r j o b s ; to o we a k a n d th e

ri sk m a y co m e to p a ss wi th d i s co n ce rti n g re su l ts. I t’s ve ry m u ch a

b a l a n ci n g a ct a n d ca n l ea d to so m e d i ffi cu l t d e ci si o n s. F o r e xa m p l e , h ow

stro n g sh ou l d yo u i n si st u se r p a s swo rd s s h o u l d be? Yo u ca n e n fo rce ru l e s

vi a th e o p e ra ti n g s yste m o r a p p l i ca ti o n – minimum l e n g th , sp e ci a l

ch a ra cte rs , n u m b e rs, re p e a ti n g ch a ra cte rs – th e l i s t o f p o ssi b l e co n tro l s i s

q u i te l on g . B u t i f yo u m a ke i t to o h a rd to cre a te an a cce p ta b l e p a ss wo rd

yo u ri sk p e o p l e wri ti n g th e m d o wn and so co m p ro m i si n g s e cu ri ty e ve n

m o re . Th e n u m b e r o f p a ss wo rd re se t ca l l s to yo u r se rvi ce d e sk m a y a l s o

ri se g i vi n g yo u re so u rci n g i ssu e s. I f yo u a re a b a n k o r si m i l a r o rg a n i z a ti o n

th a t h a s si g n i fi ca n t a sse ts to p ro te ct th e n yo u wi l l te n d to wa rd s th e

stri cte r e n d o f th e s p e ctru m . A m a n u fa ctu ri n g co m p a n y, on th e o th e r

hand, m a y d e ci d e th a t a l o we r (b u t n o t to o l o w! ) l e ve l wo u l d p ro vi d e

su ffi ci e n t se cu ri ty to a d d re ss th e ri sk wi th o u t ca u si n g to o m u ch u p se t.

I t’s a l wa ys a g ood i d ea to m a ke su re th e co n tro l s a re d o cu m e n te d so th a t

th e re is no d o u b t a b o u t h o w th e y s h o u l d be wo rki n g . Th e y sh o u l d a l so

re fe re n ce th e ri sks th e y re l a te to so th a t e ve ryo n e u n d e rsta n d s wh a t th e i r

p u rp o s e i s. An e xa m p l e m i g h t be a co n tro l p ro ce d u re (a n d p e rh a p s s o m e

so ftwa re ) to d o wn l o a d and a p p l y u p d a te s to se rve r o p e ra ti n g s yste m s ,

th e ri sk a d d re ss e d bei n g th a t o f u n a u th o ri z e d a cce s s vi a so m e o n e

h a cki n g in fro m th e i n te rn e t u s i n g kn o wn se cu ri ty fl a ws.

Case in point

Pa p e r co p i e s o f co n fi d e n ti a l fi l e s we re fi l l i n g up th e sto ra g e

a re a so th e I T M a n a g e r a rra n g e d fo r th e m to be sca n n e d in

and made a va i l a b l e se cu re l y vi a th e i n te rn e t. U n fo rtu n a te l y

g e n e ri c l o g o n s we re u se d and th e p a sswo rd n e ve r ch a n g e d so

sta ff th a t l e ft th e o rg a n i z a ti o n se ve ra l ye a rs a g o s ti l l

th e o re ti ca l l y h a d a cce s s to th e fi l e s.

1 34 IT Service Management for Small IT Teams

 Service delivery processes

Th e re is no ri g h t n u m b e r o f co n tro l s yo u sh o u l d h a ve ; th e I S O /I E C 2 7 0 0 1

sta n d a rd g o e s i n to a high d e g re e o f d e ta i l a b o u t co n tro l s a n d l i sts a

si g n i fi ca n t n u m b e r o f re co m m e n d e d o n e s. U n l e s s yo u ’ re i n te n t o n

gaining ce rti fi ca ti o n to th i s sta n d a rd th i s i s a l m o st ce rta i n l y o ve rki l l , bu t

i t i s wo rth h a vi n g a l o o k a t th e m to se e wh a t g o o d i d e a s yo u ca n g l ea n

fro m th e l i st.

The information security policy

Wo rki n g in co n j u n cti o n wi th yo u r ri sk a ss e ssm e n t a n d re su l ti n g co n tro l s,

th e i n fo rm a ti o n se cu ri ty p o l i cy e ffe cti ve l y se ts o u t th e ‘d os a n d d o n ’ts’

th a t a l l o f yo u r o rg a n i z a ti o n ’s p e rm a n e n t a n d te m p o ra ry e m p l o ye e s,

su p p l i e rs a n d th i rd p a rti e s m u st fo l l o w. In th i s re s p e ct i t i s re a l l y a cro ss

b e twe e n a m a rke ti n g d o cu m e n t a n d a co n tra ct a s i ts p u rp o se i s to i n fo rm

and e d u ca te and a l so to a ct a s a b a s i s fo r d i s ci p l i n a ry a cti o n i f re q u i re d .

B e ca u se o f th i s l a tte r fa cto r i t i s i m p e ra ti ve th a t th e p o l i cy i s a g re e d by

al l re l e va n t p a rts o f th e o rg a n i z a ti o n , i n cl u d i n g th e b o a rd , human

re so u rce s a n d , i f a p p ro p ri a te , th e u n i on s.

Al th o u g h we a re re fe rri n g h e re to th e i n fo rm a ti o n s e cu ri ty p o l i cy, it

co u l d in fa ct b e a n u m b e r o f se p a ra te d o cu m e n ts co ve ri n g d i ffe re n t

a re a s. O fte n th e a p p ro a ch ta ke n i s to h a ve two p o l i ci e s:

• an a cce p ta b l e u se p o l i cy th a t a p p l i e s to all u se rs o f I T sys te m s a n d is

re q u i re d to be si g n ed b e fo re a cce ss i s g i ve n . Th i s p ro vi d e s d i re cti o n

on i n te rn e t a n d em a i l u se, re m o va b l e m ed i a , s o ftwa re i n sta l l a ti o n

e tc;

• an I T i n fra stru ctu re se cu ri ty p o l i cy th a t se ts o u t th e p o l i ci e s o f th e IT

d e p a rtm e n t i n a re a s su ch a s vi ru s co n tro l , a cce ss m a n a g e m e n t a n d ki t

d i sp o sa l .

I d e a l l y b o th sh o u l d be wri tte n in e a si l y u n d e rsto o d l a n g u a g e, b u t th i s i s

p a rti cu l a rl y i m p o rta n t fo r th e a cce p ta b l e u se p o l i cy wh e re th e u se of I T

j a rg o n sh o u l d be a vo i d e d . S ta n d a rd te m p l a te s a re a va i l a b l e fro m th e

i n te rn e t, b u t b e wa re o f a d o p ti n g a p o l i cy th a t i s to o stri ct o r to o l a x fo r

yo u r e n vi ro n m e n t; o fte n su ch te m p l a te p o l i ci e s a re wri tte n to co m p l y

wi th I S O /I E C 2 7 00 1 and m a y sp e ci fy a ra ft o f co n tro l s th a t si m p l y a re n ’t

j u sti fi e d wi th i n yo u r o rg a n i z a ti o n . Ad o p ti n g an i n fo rm a ti o n se cu ri ty

p o l i cy th a t i s u n j u sti fi a b l y stri n g e n t wi l l m ea n th a t yo u wi l l h a ve yo u r

wo rk cu t o u t p o te n ti a l l y o ve r se ve ra l ye a rs i n o rd e r to b ri n g yo u r I T

o p e ra ti o n to a p o i n t wh e re i t co m p l i e s fu l l y wi th i t, a fte r a l l th e re ’s n o

poi n t i n h a vi n g a p o l i cy i f yo u d o n ’t fo l l o w i t. Yo u m a y be b e tte r to

ra tch e t i t d o wn a fe w n o tch e s to a p o i n t wh e re i t i s a p p ro p ri a te to yo u

and th e n ti g h te n it in a co n tro l l e d fa sh i o n o ve r ti m e .

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5 Implementing IT service management

Awareness and training

B u t th e re is no poi n t i n h a vi n g a p o l i cy i f n o on e kn o ws a b o u t o r

u n d e rs ta n d s i t. O n ce th e a cce p ta b l e u se p o l i cy i s a p p ro ve d an a wa re n e ss

ca m p a i g n sh ou l d be m o u n te d to g e t e ve ryo n e to re a d it and to a l l ow

cl a ri fi ca ti o n q u e sti o n s to be a s ke d . E ve n if all s ta ff a re re q u i re d to si g n to

sa y th e y h a ve re a d th e d o cu m e n t, i t i s l i ke l y th a t so m e sti l l wo n ’t h a ve

a ctu a l l y d o n e so and m a y sti l l n o t co m p l y wi th i t. Arti cl e s i n i n te rn a l

m a g a z i n e s, wa l l p o ste rs a n d th e o cca s i o n a l em a i l a re all g ood wa ys o f

ke e p i n g i n fo rm a ti o n se cu ri ty s o m e wh e re n e a r th e fro n t o f e ve ryo n e ’s

m i n d s.

D o n ’t fo rg e t th a t th e sta ff wi th re sp o n si b i l i ty fo r p o l i ci n g th e p o l i cy m a y

a l so n eed tra i n i n g e i th e r o n th e g e n e ra l p ri n ci p l e s o r o n sp e ci fi c s o ftwa re

p ro d u cts, su ch a s we b m o n i to ri n g o r a n ti -vi ru s p ro d u cts.

Security incidents
U n fo rtu n a te l y e ve n th e m o st s tri n g e n t co n tro l s m a y n o t p re ve n t se cu ri ty

i n ci d e n ts fro m o ccu rri n g , so yo u wi l l n eed to be re a d y fo r th e m wh e n

th e y d o . Pa rt o f th e a wa re n e ss ca m p a i g n sh o u l d be to e n co u ra g e all sta ff

to re p o rt a n y se cu ri ty i n ci d e n ts e i th e r to th e I T se rvi ce d e sk o r vi a th e i r

line m a n a g e m e n t. S u ch i n ci d e n ts co u l d be:

• d e te cti o n of a vi ru s;

• th e ft o f a p a ss wo rd ;

• l o ss o f a m e m o ry s ti ck;

• a h a cki n g a tte m p t fro m th e i n te rn e t.

O n ce re p o rte d , s e cu ri ty i n ci d e n ts m a y h a ve ve ry p a rti cu l a r re q u i re m e n ts

th a t se t th e m a p a rt fro m n o rm a l i n ci d e n ts . Th e re a re i ssu e s to do wi th

th e co l l e cti o n and p re s e rva ti o n o f e vi d e n ce and th e p o ssi b l e i n vo l ve m e n t

o f o u tsi d e a g e n ci e s s u ch a s th e p o l i ce . I t i s i m p o rta n t to d e fi n e h o w su ch

i n ci d e n ts sh o u l d be h a n d l ed in a d va n ce and e n su re th a t a l l I T sta ff a re

a wa re o f th e p ro ce d u re s (th i s wo u l d be on e o f yo u r co n tro l s) . Yo u wi l l

n eed to try to b a l a n ce th e d e si re to cl o s e th e i n ci d e n t o n ce i t i s re so l ve d

a g a i n st th e n eed to ke e p i t open in o rd e r to e n su re th a t a l l th e e vi d e n ce

p o ssi b l e h a s been co l l e cte d . In o rd e r to do th i s, yo u m a y h a ve to a g re e

an S LA e xce p ti o n wi th th e b u si n e ss a n d th e n om i t som e typ e s o f se cu ri ty

i n ci d e n t fro m yo u r re g u l a r s ta ti sti cs.

Monitoring and review

As wi th all o f th e p ro ce sse s o f I T se rvi ce m a n a g e m e n t yo u n eed to ke e p

an e ye on i n fo rm a ti o n s e cu ri ty a n d h o w we l l i t i s bei n g a d d re ss e d on an

on g oi n g b a si s. M a ke su re i t i s on th e a g en d a o f re g u l a r I T m a n a g e m e n t

m e e ti n g s a n d wi th th e b u si n e ss , and re vi e w th e ke y fi g u re s re l a te d to

1 36 IT Service Management for Small IT Teams

 Service delivery processes

se cu ri ty, s u ch a s th e n u m b e r o f i n ci d e n ts re p o rte d , to i d e n ti fy a n y tre n d s

th a t a re sta rti n g to fo rm . I t’s a l so a g ood i d ea to ca rry o u t re g u l a r te sti n g

o f yo u r se cu ri ty p ro vi s i o n s, e i th e r b y yo u rse l f i n fo rm a l l y o r, b e tte r sti l l ,

u si n g a th i rd p a rty. Th e re a re a si g n i fi ca n t n u m b e r o f co m p a n i e s wh o wi l l

p ro b e yo u r d e fe n ce s to try to i d e n ti fy wa ys i n fro m th e i n te rn e t a n d

m a n y o f th e m o ffe r si m i l a r te sti n g o f th e peopl e-ba sed co n tro l s to o , su ch

a s o b ta i n i n g a cce s s to th e bu i l d i n g o r u s e rs’ p a sswo rd s. F ra u d i s o fte n

p e rp e tra te d fro m wi th i n an o rg a n i z a ti o n so b e a r th i s i n mind wh e n

d e ci d i n g h o w fa r to go wi th su ch te s ts.

Summary

• I n fo rm a ti o n s e cu ri ty i s a n i n cre a si n g l y i m p o rta n t i ssu e fo r

all o rg a n i z a ti o n s, n o t o n l y to p re ve n t th e l o ss o f b u si n e ss

a ss e ts s u ch a s cu sto m e r l i sts b u t a l s o to a vo i d fa l l i n g fo u l of

th e U K I n fo rm a ti o n Co m m i ssi o n e r, wh o n o w h a s th e p o we r

to i m p o se fi n e s fo r l o ss o f p e rso n a l d a ta th a t wa s n o t

su ffi ci e n tl y p ro te cte d .

• It is a b u si n e s s i ssu e and sh o u l d n ot be co m p l e te l y

d e l e g a te d to th e I T d e p a rtm e n t. Th e I S O /I E C 2 7 0 01

I n fo rm a ti o n S e cu ri ty s ta n d a rd and i ts a sso ci a te d p a rts

p ro vi d e s p e ci fi c g u i d a n ce on h o w to se t u p g o ve rn a n ce of

se cu ri ty a n d d e ta i l m a n y co n tro l s th a t co u l d be u se d , if

a p p ro p ri a te .

• A ri sk a ss e ssm e n t wi l l i d e n ti fy yo u r a re a s o f vu l n e ra b i l i ty

and i n d i ca te th e co n tro l s yo u n eed to pu t i n p l a ce .

• An i n fo rm a ti o n se cu ri ty p o l i cy se ts o u t yo u r o rg a n i z a ti o n ’s

a p p ro a ch to th e i ssu e and sh o u l d be re a d and u n d e rsto o d

by a l l e m p l o ye e s a n d th i rd p a rti e s .

• I n fo rm a ti o n s e cu ri ty i n ci d e n ts wi l l o fte n re q u i re sp e ci a l

handling and yo u r p ro ce d u re s sh o u l d a l l o w fo r th i s.

Next steps

1 . Pu t i n fo rm a ti o n se cu ri ty o n th e a g en d a o f yo u r n e xt

m e e ti n g wi th th e b u si n e ss .

2. S ta rt to cre a te (wi th th e p a rti ci p a ti o n o f th e b u si n e ss) a l i st

o f yo u r i n fo rm a ti o n a sse ts a n d a sse s s th e ri sks to th e m .

3. D ra ft a n i n fo rm a ti o n se cu ri ty p o l i cy, g e t i t a g re e d and th e n

p u b l i ci z e i t co n ti n u o u sl y.

IT Service Management for Small IT Teams 1 37

5 Implementing IT service management

Design and transition of new or changed services

Objective

To ensure that new services and changes to services will be

deliverable and manageable at the agreed cost and service quality.
So yo u ’ ve d on e all th e h a rd wo rk to d e fi n e yo u r s e rvi ce s, n e g o ti a te d an

S LA wi th th e cu sto m e rs, yo u m o n i to r a n d pl a n yo u r ca p a ci ty, yo u h a ve a

cl e a r i d e a of a l l yo u r s u p p l i e rs a n d th e a sso ci a te d co n tra cts e tc. ... and

th e n so m e o n e te l l s yo u th a t a p ro j e ct i s s ta rti n g to i m pl em en t a n ew

sys te m .

Do yo u do wh a t h a p p e n s i n m a n y I T d e p a rtm e n ts ? i . e. :

1 . Go to th e p ro j e ct m e e ti n g s.

2. Pu t th e n e w se rve rs i n .

3. Wre s tl e wi th a fe w te ch n i ca l i s su e s.

4. Go l i ve .

5. S tru g g l e to su p p o rt i t.

Or d o yo u h a ve a p ro j e cts te a m th a t ca su a l l y m e n ti o n s o n F ri d a y

a fte rn o o n th a t a n e w s yste m i s g oi n g l i ve on M o n d a y? Afte r wh i ch i t’s

yo u r p ro b l e m , o f co u rs e ; th e y h a ve th e n e xt p ro j e ct to wo rk o n .

I T se rvi ce m a n a g e m e n t a tte m p ts to a vo i d all o f th i s . I t s u g g e sts yo u sta rt

pl a n n i n g e a rl y o n in th e p ro j e ct to i n co rp o ra te th e n e w s e rvi ce i n to th e

I T se rvi ce m a n a g e m e n t s yste m . An y ch a n g e s h a ve to go th ro u g h ch a n g e

co n tro l . F o rtu n a te l y g o o d p ra cti ce (p a rti cu l a rl y th e I S O /I E C 2 0 0 0 0 I T

se rvi ce m a n a g e m e n t sta n d a rd ) i s fa i rl y e xp l i ci t i n te rm s o f wh a t i t wa n ts

to se e , wh i ch m e a n s yo u ca n tu rn th i s l i st o f re q u i re m e n ts i n to a ch e ckl i st

fo r u se d u ri n g p ro j e cts (s e e A. 7 in Ap p e n d i x A fo r a n e xa m p l e ) .

Th e m a i n cu l tu re ch a n g e yo u wi l l n eed to a ch i e ve i s to do a wa y wi th th e

g e n e ra l l y h e l d a s su m p ti o n th a t th e I T d e p a rtm e n t wi l l s u p p o rt a n ew

sys te m at a m o m e n t’s n o ti ce wi th no d o cu m e n ta ti o n o r tra i n i n g , and

re g a rd l e ss o f wh e th e r th e syste m a ctu a l l y wo rks . Yo u a re th e g a te ke e p e r

– n o n e w syste m s o r se rvi ce s g o l i ve u n l e ss yo u a re h a p p y th a t th e

p re re q u i s i te s a re m e t, n a m e l y:

1 . It has been agreed who will do and support what – th e

re s p o n si b i l i ti e s o f th e va ri o u s p a rti e s i n su p p o rti n g th e n e w syste m ,

i n cl u d i n g a n y ta rg e t i n ci d e n t re so l u ti o n ti m e s , sh ou l d be d o cu m e n te d

and a g re e d in th e S LA.

2. You have a copy of the external support contracts – i f yo u r se rvi ce

d e sk i s to i n te ra ct wi th a n e w su p p l i e r th e n yo u n eed to kn o w th e

te rm s o f th a t i n te ra cti o n . G et a co p y th e n go o ve r i t i n d e ta i l . E n su re

1 38 IT Service Management for Small IT Teams

 Design and transition of new or changed services

a n y su p p o rt ti m e fra m e s a re in line wi th th e S LA; i t’s n o g ood

a g re e i n g two d a ys wi th th e u se rs i f th e s u p p l i e r o n l y p ro vi d e s a

th re e -d a y tu rn a ro u n d .

3. You have any new staff required in place – i f yo u r e xi sti n g te a m is

a l re a d y s tre tch e d th e n su p p o rti n g a n e w syste m wi l l be d i ffi cu l t. Try

to e n su re yo u g et en ou g h n o ti ce to a l l o w ti m e to re cru i t i f n e ce s sa ry,

and th a t th e e xtra co st h a s b e e n fa cto re d i n to th e p ro j e ct.

4. Your people have been trained – i t’s d i ffi cu l t to su p p o rt a syste m yo u

kn o w n o th i n g a b o u t. E n su re th e re h a s been a ski l l s tra n s fe r fro m th e

p ro j e ct te a m to yo u r p e o p l e and th a t th e y h a ve a tte n d e d a n y fo rm a l

tra i n i n g co u rse s th a t a re a va i l a b l e .

5. The funds required for ongoing support have been agreed and
allocated to your budget – i t i s su rp ri si n g h o w o fte n a p ro j e ct

p ro p o sa l wi l l co m p l e te l y m i ss o u t th e on g oi n g su p p o rt co s ts o f a n ew

syste m . Lo b b y to g e t th e m i n cl u d e d so th a t yo u d o n ’t e n d up fo o ti n g

th e bi l l fro m yo u r e xi sti n g b u d g e t.

6. There is a clear definition of what success looks like – e n su re i t’s cl e a r

to all wh a t th e n e w se rvi ce i s su p p o se d to a ch i e ve and a p p ro p ri a te

m e tri cs a re in p l a ce to te l l wh e th e r th i s h a s b e e n th e ca se .

7. Everyone that needs to know about it, does – h a ve al l th e ri g h t

peopl e been i n vo l ve d in th e p ro j e ct so fa r? Are th e re a n y o th e r

p a rti e s wh o m i g h t be a ffe cte d b y th e n e w se rvi ce wh e n i t’s i n l i ve

ru n n i n g and do th e y n e e d to be co n s u l te d ?

8. The new system is incorporated into the IT service management

quality system – h a vi n g g a i n ed som e l e ve l o f co n tro l o ve r e xi sti n g IT

se rvi ce s, yo u d o n ’t wa n t to l o se it again wh e n a n ew on e co m e s

a l on g . Th e va ri o u s d o cu m e n ts a n d p ro ce sse s th a t yo u u se to manage

yo u r se rvi ce s n e e d to be u p d a te d to ca te r fo r th e n e w a d d i ti o n . Th i s

m a y i n cl u d e th e S LA, s e rvi ce ca ta l o g u e , ca p a ci ty p l a n , se rvi ce

co n ti n u i ty p l a n , co n fi g u ra ti o n m a n a g e m e n t d a ta b a se and se rvi ce

re p o rts, a m o n g s t o th e rs.

9. You are happy that it works – th i s l a st p o i n t i s p a rti cu l a rl y re l e va n t

and we l l wo rth sp e n d i n g som e ti m e on . G ood p ra cti ce p ro p o se s th a t

yo u d o n ’t j u st ta ke th e p ro j e ct te a m ’s wo rd th a t a l l th e re q u i re d

p ro ce s se s a n d p ro ce d u re s wo rk; th e y n e e d to sh o w yo u . Yo u ’ l l be

su rp ri s e d h o w o fte n yo u h e a r th e wo rd s ‘ o h , i t’s th e fi rst ti m e i t’s

d on e th a t! ’ d u ri n g th e a cce p ta n ce te sti n g and i t wi l l o fte n ta ke

se ve ra l i te ra ti o n s b e fo re th e sys te m has a cl e a n bi l l o f h e a l th .

O b vi o u sl y we ’ re ta l ki n g h e re a b o u t th e p a rts o f th e syste m th a t th e

I T d e p a rtm e n t wi l l be handling – s u ch a s b a cku p s , cre a ti o n of n ew

u s e rs, ru n n i n g b a tch wo rk e tc. – n o t th e a ctu a l fu n cti o n a l i ty o f th e

a p p l i ca ti o n (a l th o u g h i t wo u l d be n i ce to h a ve a wa rm fe e l i n g a bou t

th a t to o ) .

O f co u rse , i t’s m u ch e a si e r to m e e t th e a b o ve cri te ri a i f th e y h a ve been

d esi g n ed i n to th e n e w syste m o r se rvi ce fro m th e sta rt. Th i s i s wh y a s a n

I T m a n a g e r yo u n eed to ke e p yo u r e a r to th e g ro u n d and g et i n on any

n e w p ro j e cts a t th e e a rl i e st sta g e p o ssi b l e , wh i l st th e re q u i re m e n ts a re

IT Service Management for Small IT Teams 1 39

5 Implementing IT service management

sti l l bei n g d e fi n e d . Yo u wi l l th e n h a ve an o p p o rtu n i ty to m a ke su re th a t

th e se rvi ce d esi g n cri te ri a a re a d d re ss e d a s we l l a s th e fu n cti o n a l cri te ri a

b e fo re a so l u ti o n i s ch o se n . O th e rwi s e yo u ri sk h a vi n g to p ro vi d e 2 4/7

a va i l a b i l i ty u si n g a si n g l e s e rve r a n d no o u t-o f-h o u rs s u p p o rt co n tra ct.

Aski n g th e se q u e sti o n s a t th i s sta g e m a y n o t m a ke yo u p o p u l a r, a s th e

e m p h a si s a n d e n th u s i a sm i s i n e vi ta b l y o n wh a t th e n e w syste m sh o u l d do

a s o p p o se d to h o w i t wi l l be su p p o rte d . B u t ke e p pl u g g i n g a wa y a n d

e n su re th a t se rvi ce d e si g n cri te ri a a re i n cl u d e d in a n y re q u e st fo r

p ro p o s a l th a t i s se n t o u t to p ro sp e cti ve su p p l i e rs . Th i s m e a n s th a t th e

co st o f p ro vi d i n g th e re q u i re d l e ve l o f se rvi ce sh o u l d a l so be co n si d e re d

a s p a rt o f th e o ve ra l l p ro j e ct co st, and th i s m a y a ffe ct th e b u s i n e ss ca se

d e te rm i n i n g wh e th e r i t h a p p e n s a t a l l . Ag a i n , th i s m i g h t n o t m a ke yo u

p o p u l a r, b u t i t’s a tru e r re fl e cti o n o f th e a ctu a l co sts to th e b u si n e ss, so it

n e e d s to be sta te d .

Summary

• Th i s i s o n e o f th e m o st i m p o rta n t p a rts o f I T se rvi ce

m a n a g e m e n t b e ca u s e i t cu ts a cro ss a l l a re a s. I f i t’s n o t

d on e, th e wh o l e I T s e rvi ce m a n a g e m e n t q u a l i ty syste m

b e co m e s ra p i d l y o u t o f d a te .

• E n s u re th e d e l i ve ry a s p e cts o f a n e w se rvi ce a re co n si d e re d

ri g h t a t th e s ta rt o f th e p ro j e ct a n d th e co sts a re i n cl u d e d

in th e i n i ti a l b u s i n e ss ca se .

• Pl a n yo u r s e rvi ce a cce p ta n ce te sti n g e a rl y o n – m a ke it

cl e a r th a t a cce p ta n ce i s n o t g u a ra n te e d .

Next steps

1 . S ta rt to g e t th e b u si n e ss th i n ki n g a b o u t th e on g oi n g

d e l i ve ry o f th e se rvi ce a s we l l a s th e i n i ti a l i m p l e m e n ta ti o n .

2. Cre a te a ch e ckl i st o f I T se rvi ce m a n a g e m e n t re q u i re m e n ts

and g et i t i n u se e a rl y o n in a p ro j e ct.

3. Try to go b a ck a n d fi l l in th e g a p s fo r e xi s ti n g s e rvi ce s a s

m u ch a s p o ssi b l e .

1 40 IT Service Management for Small IT Teams

6 Th e co n ti n u a l se rvi ce

i m p ro ve m e n t cycl e

Co n ti n u a l i m p ro ve m e n t b e ca m e a re a l fo cu s fo r o rg a n i z a ti o n s i n th e

m i d -twe n ti e th ce n tu ry fo l l o wi n g th e S e co n d Wo rl d Wa r. O rg a n i z a ti o n s

n eed ed a wa y to ta ke a co n tro l l e d a p p ro a ch to m a ki n g ch a n g e s to th e i r

o rg a n i z a ti o n s o r o p e ra ti n g p ro ce sse s i n o rd e r to m a ke i n cre m e n ta l

i m p ro ve m e n ts to e ffi ci e n cy a n d e ffe cti ve n e ss. M a n y o rg a n i z a ti o n s a re

l o o ki n g fo r th e ‘ b i g -b a n g ’ a p p ro a ch to i m p ro ve m e n ts, b u t i t i s i m p o rta n t

to u n d e rs ta n d th a t a s u cce ssi o n o r se ri e s o f s m a l l pl a n n ed i n cre m e n ts o f

i m p ro ve m e n t i s o fte n p re fe ra b l e a s th i s wi l l n o t s tre ss th e i n fra stru ctu re

a s m u ch and wi l l e ve n tu a l l y a m o u n t to a l a rg e a m o u n t o f i m p ro ve m e n t

o ve r ti m e .

M a n y m e th o d o l o g i e s g re w u p a ro u n d th i s d e si re fo r co n ti n u a l

i m p ro ve m e n t; so m e fa d e d a wa y, o th e rs su rvi ve d th e te st o f ti m e .

Ap p ro a ch e s su ch a s Ka i z e n , TQ M , D em i n g , Si x Si g m a and Le a n all d epen d

u pon and bu i l d u pon co n ti n u a l i m p ro ve m e n t a n d we ’ l l h a ve a b ri e f l o o k

a t th e m in th i s ch a p te r, a l on g wi th so m e su g g e sti o n s o f h o w yo u ca n g et

sta rte d .

Con ti n u a l i m provem en t i n I S O /I E C 2 0000 – th e

D em i n g Cycl e

Th e m o st wi d e l y kn o wn and o fte n q u o te d m od el fo r co n ti n u a l

i m p ro ve m e n t i s th e Dem i n g Cycl e , a l so kn o wn a s th e S h e wh a rt Cycl e o r,

m o re co m m o n l y, Pl a n - D o -Ch e ck-Act (PD CA) .

Th i s i s th e b a s i c cycl e u pon wh i ch m o s t o th e r q u a l i ty m a n a g e m e n t

a p p ro a ch e s a re ba sed , i n cl u d i n g I SO 9001 and I S O /I E C 2 0 0 0 0 . Th e cycl e is

made up o f fo u r ke y sta g e s fo l l o we d by a p e ri o d o f co n so l i d a ti o n to

p re ve n t b a cks l i d i n g .

• Plan – E s ta b l i s h g o a l s fo r i m p ro ve m e n t. Th i s ca n i n cl u d e p e rfo rm i n g a

gap a n a l ysi s a n d th e n pl a n n i n g th e a cti o n s to be ta ke n to cl o se any

g a ps a n d a ch i e ve i d e n ti fi e d b e n e fi ts.

• Do – D e ve l o p and i m p l e m e n t th e i m p ro ve m e n t i n o rd e r to cl o s e th e

i d e n ti fi e d g a ps.

IT Service Management for Small IT Teams 1 41

6 The continual service improvement cycle

• Check – Co m p a re th e o u tco m e s o f th e i m p l e m e n ta ti o n a g a i n st th e

m e a su re s o f su cce s s d e fi n e d d u ri n g th e pl a n n i n g sta g e to d e te rm i n e

wh e th e r th e a cti o n wa s a su cce ss a n d a l so wh e th e r th e m e th o d wa s

th e b e st wa y to a ch i e ve i t.

• Act – O n ce th e pl a n n ed a cti o n s h a ve been re vi e we d fo r e ffe cti ve n e s s

and th e o u tco m e s re vi e we d fo r d e l i ve re d b e n e fi ts , a pl a n i s pu t

to g e th e r th a t co rre cts a n y fa i l i n g s o r i n e ffi ci e n ci e s. I t m a y be d e ci d e d

th a t th e re m a i n i n g g a p s sh o u l d be l e ft o r th a t fu rth e r wo rk i s

re q u i re d . Th i s i s a l l fe d i n to th e n e xt ro u n d o f i m p ro ve m e n t.

I S O /I E C 2 0 0 0 0 fu l l y s u b scri b e s to th e D em i n g Cycl e and re q u i re s th a t i t b e

a p pl i e d to all a sp e cts i n cl u d i n g th e p ro ce sse s, th e m a n a g em en t of I T

se rvi ce m a n a g em en t a n d th e m a n a g e m e n t o f th e s e rvi ce s th e m se l ve s. A

si g n i fi ca n t p a rt o f th e sta n d a rd i s g i ve n o ve r to d e fi n i n g h ow

i m pro ve m e n ts sh o u l d be ca p tu re d , p ri o ri ti z e d , m a n a g ed and m e a su re d .

Con ti n u a l i m provem en t i n I TI L

I TI L V3 d e vo te s a n e n ti re b o o k to th e su b j e ct o f Co n ti n u a l S e rvi ce

I m p ro ve m e n t (CS I ) , wh i ch g i ve s yo u an i d ea o f h o w i m p o rta n t i t i s

co n si d e re d to be. As we l l a s th e Dem i n g Cycl e , I TI L e l a b o ra te s a n d

i d e n ti fi e s a CS I m od el (sh o wn in F i g u re 1 1 ) fo r co n ti n u a l i m p ro ve m e n t

and a stro n g l i n ka g e wi th th e d a ta and m e a su re m e n ts th a t u n d e rp i n

e a ch ste p .

Th e m od el a s ks a n u m b e r o f i m p o rta n t co m m o n -se n se q u e sti o n s to guide

th e u se r th ro u g h th e p ro ce s s:

• What is the vision? re q u i re s th e e xa m i n a ti o n o f th e b u si n e ss vi si o n ,

m i ssi o n , g oa l s a n d o b j e cti ve s to e n su re th a t a n y a cti vi ti e s

co m p l e m e n t a n d e n h a n ce th e o rg a n i z a ti o n ’s a b i l i ty to m e e t i ts

co rp o ra te a i m s.

• Where are we now? re q u i re s d a ta and ba sel i n e i n fo rm a ti o n .

• Where do we want to be? i s wh e re IT and th e b u si n e ss ca n se t

sh a re d ta rg e ts fo r th i s i m p ro ve m e n t o r a cti vi ty.

• How do we get there? se e ks to l a y o u t th e m e th o d of

i m p l e m e n ta ti o n and d ra ws fro m cu rre n t se rvi ce and p ro ce s s ru n n i n g

and i m p ro ve m e n t a cti vi ti e s.

• Did we get there? co m p a re s th e b a se l i n e a ss e ssm e n t (b e fo re ) wi th a

n e w, re d e fi n e d cu rre n t sta te (a fte r) and s e e ks to e s ta b l i sh wh e th e r

th e m o ve m e n t m e e ts th e ta rg e ts se t e a rl i e r.

• F i n a l l y, How do we keep the momentum going? l o o ks a t wh a t co u l d

be ch a n g e d o r i m p ro ve d a b o u t th e o u tco m e s a ch i e ve d and th e

m e th o d o f a ch i e vi n g th e m , and su g g e sts a cti o n s th a t co u l d be fe d

i n to th e n e xt i te ra ti o n .

I TI L th e n e l a b o ra te s o n th i s m o d e l wi th a 7 -S te p I m p ro ve m e n t Pro ce ss

(a l th o u g h th e re is an a rg u m e n t th a t i t’s a ctu a l l y a n 8 -S te p p ro ce ss

1 42 IT Service Management for Small IT Teams

 Six Sigma and continual improvement

b e ca u se o f th e i n cl u si o n o f th e ‘ I d e n ti fy vi si o n , stra te g y, ta cti ca l g oa l s a n d

o p e ra ti o n a l g o a l s’ ste p . Th e p ro ce ss d ra ws a n e a rl y d i sti n cti o n b e twe e n

wh a t yo u sh o u l d m e a su re and wh a t yo u ca n m e a s u re ; i t’s wo rth

co n si d e ri n g wh a t m e a su re s wo u l d be re a l l y u se fu l (a n d in m a n y ca s e s

m e a n i n g fu l to th e b u s i n e ss) , e ve n i f yo u d o n ’t cu rre n tl y h a ve th e

ca p a b i l i ty to ca p tu re th e d a ta e ffe cti ve l y – th i s m a y d e ve l o p wi th ti m e ,

g i ve n th e e xp re ss e d d e s i re .

I TI L i n d i ca te s th a t, ra th e r th a n th i s b e i n g a si m p l e ci rcu l a r cycl e , it is a

kn o wl e d g e sp i ra l , b y wh i ch i s m e a n t th a t ce rta i n s ta g e s re l y o n i n pu t

fro m a l o we r l e ve l cycl e – stra te g i c i m p ro ve m e n ts re l y o n i n p u t fro m

ta cti ca l i m p ro ve m e n ts th a t re l y i n tu rn on o p e ra ti o n a l i m p ro ve m e n ts.

S i x S i g m a a n d con ti n u a l i m provem en t

Si x Si g m a e m p l o ys th e D M AI C p ro j e ct m e th o d o l o g y wh i ch l o o se l y m a p s

o n to th e PD CA cycl e , a s i s sh o wn in F i g u re 1 1 .

Fi g u re 1 1 – M a ppi n g of D em i n g Cycl e on to S i x S i g m a D M AI C

F o r th e i m m e d i a te p u rp o se s o f a sm a l l I T te a m th e d i ffe re n ce s a re

p ro b a b l y to o su b tl e to be u se fu l , bu t Si x Si g m a m a y be a u s e fu l to o l o n ce

yo u r co n ti n u a l i m p ro ve m e n t cu l tu re i s fi rm l y e sta b l i sh e d .

IT Service Management for Small IT Teams 1 43

6 The continual service improvement cycle

I m pl em en ti n g con ti n u a l i m provem en t

Yo u n o w h a ve a fl a vo u r o f h o w d i ffe re n t fra m e wo rks a n d m e th o d s

a p p ro a ch co n ti n u a l i m p ro ve m e n t. On e o f th e tra d i ti o n a l p ro b l e m s i n th i s

a re a i s th a t m a n y o rg a n i z a ti o n s h a ve ta l ke d th e ta l k b u t re l a ti ve l y fe w

h a ve tru l y e m b ra ce d th e co n ce p t. I n ste a d , i m p ro ve m e n t i s se e n as a s e ri e s

o f p ro j e ct i m p l e m e n ta ti o n s th a t a re n o t re vi e we d and u se d a s i n p u t to

th e n e xt ro u n d o f i m p ro ve m e n ts. Co n ti n u a l i m p ro ve m e n t re q u i re s th a t

a cti o n s a re pl a n n ed to d e te rm i n e th e d e s i re d i m p a ct, i m p l e m e n te d in a

co n tro l l e d fa sh i o n , re vi e we d fo r e ffe cti ve n e s s i n d e l i ve ri n g th e i n te n d e d

o u tco m e s a n d th i s re vi e w i s th e n u sed a s p a rt o f th e i n p u t fo r th e n e xt

pl a n n i n g se s si o n .

B u t wh a t si m p l e ste p s ca n a sm a l l I T te a m ta ke to s ta rt i n sti l l i n g su ch a

co n ti n u a l se rvi ce i m p ro ve m e n t cu l tu re ?

Th e fi rst i s to e n co u ra g e yo u r te a m to i d e n ti fy i m p ro ve m e n ts s o th a t th e y

ca n be ca p tu re d and m a n a g ed . Th e se i m p ro ve m e n ts co u l d be l a rg e or

sm a l l and co ve r a n y p a rt o f th e I T se rvi ce . Th i s i s s i m i l a r to a su g g e sti o n

sch e m e th a t o p e ra te s i n so m e o rg a n i z a ti o n s a n d yo u m a y d e ci d e to tre a t

i t a s su ch , o ffe ri n g i n ce n ti ve s o r p ri z e s i f a p p ro p ri a te . Yo u m a y l i ke to

add i t to th e a g en d a o f re g u l a r te a m m e e ti n g s. Lo g th e i m p ro ve m e n t

su g g e s ti o n s o n a sp re a d sh e e t o r d a ta b a se and th e n re vi e w e a ch on e to

a sse s s wh e th e r th e y a re vi a b l e and b e n e fi ci a l . D e fi n e th e o b j e cti ve o f th e

i m p ro ve m e n t a n d h o w wi l l we kn o w wh e n i t h a s been a ch i e ve d .

I m p ro ve m e n ts th a t i n vo l ve ch a n g e s wi th i n th e sco p e o f ch a n g e

m a n a g e m e n t sh o u l d go th ro u g h th a t p ro ce ss a n d a re co rd o f th e ch a n g e

re q u e st n u m b e r p u t a g a i n st th e i m p ro ve m e n t. Som e I T te a m s ca te g o ri z e

th e i r i m p ro ve m e n ts a n d re p o rt o n h o w m a n y h a ve been a ch i e ve d in e a ch

a re a .

O n ce th i s i m p ro ve m e n t m a n a g e m e n t p ro ce ss i s e s ta b l i s h e d , we ca n sta rt

to u se i t fo r i m p ro ve m e n ts i d e n ti fi e d fro m o th e r so u rce s, su ch a s:

• cu sto m e r a n d u s e r sa ti sfa cti o n su rve ys ;

• su p p l i e rs;

• ri sk a ss e ssm e n ts ;

• b u si n e ss re l a ti o n sh i p m e e ti n g s;

• a u d i t re p o rts.

Th e ke y th i n g h e re i s to try to e s ta b l i sh a si n g l e p l a ce fo r th e

m a n a g e m e n t o f i m p ro ve m e n ts so th a t a n o ve ra l l p ro g ra m m e ca n be

pl a n n ed and an a ccu ra te p i ctu re m a i n ta i n e d o f p ro g re ss a n d th e b e n e fi ts

g a i n ed . La rg e sca l e i m p ro ve m e n ts wi l l be m a n a g ed a s p ro j e cts a n d ca n

be re co rd e d a s su ch on yo u r sp re a d sh e e t. Yo u m a y n eed to u se ca te g o ri e s

su ch a s l a rg e , m ed i u m and sm a l l to h el p manage th e i m p ro ve m e n t l i st.

1 44 IT Service Management for Small IT Teams

 Implementing continual improvement

Summary

• Co n ti n u a l s e rvi ce i m p ro ve m e n t i s a ke y fe a tu re o f m o st o f

th e cu rre n t fra m e wo rks, m e th o d s a n d sta n d a rd s, all of

wh i ch ta ke b ro a d l y th e sa m e a p p ro a ch .

• Th e D em i n g Cycl e co n s i sts o f Pl a n –D o –Ch e ck–Act a n d fo rm s

th e b a si s o f m o st q u a l i ty sta n d a rd s, i n cl u d i n g I SO 9001 and

I S O /I E C 2 0 0 0 0 .

• I TI L d e fi n e s a m od el and p ro ce ss th a t ca n guide yo u

th ro u g h th e i n tro d u cti o n o f co n ti n u a l se rvi ce i m p ro ve m e n t

wi th i n yo u r o rg a n i z a ti o n .

IT Service Management for Small IT Teams 1 45

7 I S O /I E C 2 0 0 0 0 – to ce rti fy o r n o t

to ce rti fy

Th i s i s a n i n te re sti n g q u e sti o n th a t we ’ ve been a ske d on m a n y o cca si o n s

… ‘ Sh ou l d we go fo r ce rti fi ca ti o n to th e I S O /I E C 2 0 00 0 sta n d a rd o r j u st

i m p l e m e n t th o se e l e m e n ts o f g o o d p ra cti ce we fi n d u se fu l ba sed on th e

a va i l a b l e fra m e wo rks? ’

To a l a rg e e xte n t, th i s d e p e n d s u p o n yo u r o rg a n i z a ti o n ’s a tti tu d e to wa rd s

ce rti fi ca ti o n . Som e o rg a n i z a ti o n s se e ce rti fi ca ti o n as a b e n e fi t i n i ts o wn

ri g h t; som e se e i t p u re l y a s a b o x- ti cki n g o r m o n e y-m a ki n g e xe rci se . In

th i s ch a p te r we wi l l l o o k a t th e p ro s a n d co n s o f g o i n g fo r I S O /I E C 2 0 0 0 0

fro m a sm a l l I T te a m ’s p e rs p e cti ve .

B u t fi rst l e t’s te l l yo u a b i t a b o u t wh a t wo u l d be i n vo l ve d in a p p l yi n g fo r

ce rti fi ca ti o n and h o w yo u wo u l d g i ve yo u rse l f th e b e st ch a n ce o f su cce ss .

The certification process

I f yo u r o rg a n i z a ti o n we re to d e ci d e to go fo r ce rti fi ca ti o n to th e

I S O /I E C 2 0 0 0 0 sta n d a rd on e o f th e fi rst ste p s wo u l d be to se l e ct a n

a p p ro p ri a te a u d i t o rg a n i z a ti o n . Th e re is a l i s t o f a p p ro ve d o p ti o n s, bu t

o fte n th i s l a rg e l y d e p e n d s u p o n wh o th e i n cu m b e n t o rg a n i z a ti o n i s fo r

th e a u d i ti n g o f o th e r q u a l i ty s ta n d a rd s , s u ch a s I SO 9001 (Q u a l i ty

M a n a g e m e n t) and I SO 1 40 0 1 (E n vi ro n m e n ta l M a n a g e m e n t) i f th e se a re

in p l a ce .

Th e a u d i t p ro ce s s i s i n two s ta g e s. Th e fi rst i s l i ke l y to be a o n e - d a y vi si t

to re vi e w p ro g re s s to d a te and a sse ss wh e n i t m a y be a p p ro p ri a te to

re tu rn fo r S ta g e Two , fi n a l ce rti fi ca ti o n a u d i t. I d e a l l y yo u sh o u l d n ot

a rra n g e th e S ta g e On e vi si t u n ti l th e m a j o ri ty o f yo u r p ro ce s se s a re in

p l a ce . H o we ve r, a u d i to r vi e ws se e m to va ry o n th i s – so m e re g a rd th e

S ta g e On e as an i n fo rm a l d i scu ss i o n to ch e ck th a t yo u ’ re h ea d i n g in th e

ri g h t d i re cti o n ; o th e rs tre a t i t a s a fu l l -b l o wn ru n th ro u g h and e xp e ct

a l m o s t e ve ryth i n g to be i m p l e m e n te d to th e sta n d a rd a l re a d y. We wo u l d

a d vi se yo u to e rr o n th e si d e o f ca u ti o n .

Th e minimum ti m e fra m e b e twe e n S ta g e On e and S ta g e Two i s u su a l l y

a b o u t th re e m o n th s a s i t ta ke s th i s l o n g to bu i l d up su ffi ci e n t e vi d e n ce in

so m e o f th e n e w p ro ce s se s to sh o w co m p l i a n ce . For a sm a l l I T te a m th i s

1 46 IT Service Management for Small IT Teams

 The certification process

wi l l p ro b a b l y b e a two - d a y vi si t, b u t we h a ve se e n a o n e -d a y a u d i t a n d

th re e d a ys m a y b e a p p ro p ri a te i f yo u r te a m i s a t th e u pper en d o f ‘ sm a l l ’ .

A fe w p o i n te rs fro m e xp e ri e n ce in m a ki n g th e a u d i t vi si t a s e a s y fo r th e

a u d i to r a s p o ss i b l e (a n d th e re fo re g i vi n g yo u th e b e st ch a n ce o f fi rst- ti m e

su cce ss) :

1 . M a ke su re yo u book a n a p p ro p ri a te ro o m (n o t to o cl o s e to I T, bu t

n o t to o fa r a wa y e i th e r) and a rra n g e som e fo rm o f l u n ch ; su p p l y a s

m a n y d ri n ks a s h e /s h e n e e d s – a u d i to rs se e m to d ri n k a l o t o f co ffe e

fo r so m e re a so n .

2. Cre a te th e (h o p e fu l l y va l i d ) i m p re ss i o n o f p ro fe ss i o n a l i sm a s th e

a u d i to r e n te rs th e o ffi ce – ch a rts o n th e wa l l sh o wi n g i n ci d e n ts

l og g ed and re s o l ve d , a va i l a b i l i ty fi g u re s , e tc. a re a g ood i d ea .

3. Arra n g e fo r yo u r m a n a g e r/d i re cto r to co m e o ve r fo r a q u i ck ch a t to

th e a u d i to r to em ph a si ze th e l e ve l o f m a n a g e m e n t co m m i tm e n t to

th e p ro ce ss – p h ysi ca l p re se n ce co n ve ys i t a l l .

4. I f p o ss i b l e , a l so b ri n g in a cu sto m e r to p ro vi d e e vi d e n ce o f b u si n e ss

b u y-i n – fi ve m i n u te s wi l l s u ffi ce .

5. E n su re yo u r re l e va n t d o cu m e n ta ti o n i s e a si l y a cce s si b l e – p e rh a p s p u t

it all on a m e m o ry sti ck (i d e a l l y e n cryp te d so th a t i t co m p l i e s wi th

yo u r se cu ri ty p o l i cy) so th a t th e a u d i to r ca n b ro wse i t a t l e i su re , or

cre a te a l i m i te d a cce ss l o g o n to wh e re i t’s sto re d on l i n e.

6. H ol d a m o ck a u d i t b e fo re th e re a l on e to p ra cti se co n ve yi n g cl e a rl y

yo u r p o l i ci e s e tc. – p ra cti ce m a ke s p e rfe ct.

7. I d e n ti fy g o o d so l i d e xa m p l e s o f h o w yo u r p ro ce s se s h a ve been

fo l l o we d – fo r e xa m p l e , a sp e ci fi c i n ci d e n t th a t l e d to a p ro b l e m th a t

ra i se d a ch a n g e ; ch e ck a l l th e d e ta i l s a re up to d a te and co rre ct.

D u ri n g th e ce rti fi ca ti o n a u d i t, th e a u d i to r wi l l a sse ss m o st a re a s o f th e

sta n d a rd and p o ss i b l y i d e n ti fy a n y n o n -co n fo rm i ti e s a g a i n st i t. Th e se a re

cl a ssi fi e d a s m a j o r o r m i n o r. A m a j o r n o n - co n fo rm i ty wo u l d typ i ca l l y

m ea n th a t fu rth e r wo rk n e e d s to be d on e b e fo re ce rti fi ca ti o n ca n be

g ra n te d and a re -a u d i t wi l l be re q u i re d . A m i n o r n o n -co n fo rm i ty i s n o t

u su a l l y a b a rri e r to ce rti fi ca ti o n a s l on g a s th e i ssu e s a re a d d re sse d wi th i n

a fe w we e ks o f th e audit and a re vi s i t m a y n o t b e n e ce ss a ry.

I f ce rti fi ca ti o n i s su cce ssfu l l y g a i n e d , th e a u d i to r wi l l n o rm a l l y i n fo rm th e

o rg a n i z a ti o n on th e day and th e ce rti fi ca te i s i ss u e d a fe w we e ks l a te r.

S u rve i l l a n ce a u d i ts a re th e n sch e d u l e d e ve ry 1 2 m o n th s u n ti l a t th e

th re e -ye a r p o i n t wh e n a fu l l audit is again ca rri e d o u t.

B u t yo u d o n ’t h a ve to do it all a t o n ce ; th e I S O /I E C 2 0 00 0 sta n d a rd a l l o ws

th e sco p e o f th e ce rti fi ca ti o n to be d e fi n e d b y th e fo l l o wi n g th re e

p a ra m e te rs:

• l o ca ti o n ;

• o rg a n i z a ti o n ;

• se rvi ce .

IT Service Management for Small IT Teams 1 47

6 The continual service improvement cycle

Th i s m e a n s th a t ce rti fi ca ti o n to th e sta n d a rd co u l d , fo r e xa m p l e , be

a wa rd e d fo r ‘ a l l se rvi ce s p ro vi d e d to th e Lo n d o n o ffi ce ’ , o r ‘ th e XYZ

se rvi ce to all b u s i n e ss u n i ts a t a l l si te s’ , or ‘a l l I T s e rvi ce s p ro vi d e d to th e

m a n u fa ctu ri n g d i vi s i o n ’ .

Th e re a re a d va n ta g e s to th i s a p p ro a ch in th a t th e i m p l e m e n ta ti o n ca n be

ph a sed , wi th th e sco p e o f th e ce rti fi ca ti o n e xp a n d i n g in l a te r ye a rs

b e yo n d th e i n i ti a l b o u n d a ry. E ve n fo r s m a l l I T te a m s a l i m i ta ti o n o f sco p e

i s ce rta i n l y a n o p ti o n wo rth co n si d e ri n g .

Pros
Sm a l l I T te a m s m a y fi n d I S O /I E C 2 0 0 0 0 ce rti fi ca ti o n to be an e ffe cti ve to o l

fo r th e i n tro d u cti o n of g ood p ra cti ce b e ca u se :

• i t p ro vi d e s a d e fi n e d o b j e cti ve fo r th e g ood p ra cti ce p ro j e ct, ra th e r

th a n a s u cce s si o n o f i n d i vi d u a l p ro ce ss i m p l e m e n ta ti o n s, and

co n se q u e n tl y m a y b e a ch i e ve d in a sh o rte r ti m e fra m e , wi th a ve ry

fo cu se d e n d p o i n t;

• i t a l l o ws a ‘ wi d e and th i n ’ a p p ro a ch to be fo l l o we d to a ch i e vi n g th e

q u i ck wi n s i n e a ch a re a – I S O /I E C 2 0 0 0 0 i s e ffe cti ve l y a d i sti l l a ti o n of

I TI L V3 i n to sp e ci fi c ke y p o i n ts fro m wh i ch th e m o st b e n e fi t m a y b e

o b ta i n e d ;

• i t ca rri e s m o re we i g h t b o th e xte rn a l l y, wi th a u d i to rs a n d re g u l a to ry

a u th o ri ti e s, and i n te rn a l l y wi th th e b o a rd b e ca u se i t p ro vi d e s

o b j e cti ve p ro o f th a t th e p ro ce sse s a re i m p l e m e n te d s u cce s sfu l l y;

• th e a u d i to rs wi l l re tu rn e ve ry 1 2 m o n th s, p ro ce sse s wi l l sta y

i m p l e m e n te d and n o t te n d to fa l l i n to d i su se ;

• m a i n ta i n i n g I S O /I E C 2 0 0 0 0 ce rti fi ca ti o n a d d s we i g h t to re q u e s ts fo r

a ssi sta n ce to o th e r p a rts o f th e b u si n e s s – ‘ yo u m u st h e l p u s b e ca u se

th i s i s n e e d e d fo r o u r ce rti fi ca ti o n ’ ;

• g o ve rn m e n t a g e n ci e s (ce rta i n l y i n th e U S) a re sta rti n g to u se

I S O /I E C 2 0 0 0 0 a s a ya rd sti ck a g a i n st wh i ch to m e a su re th e q u a l i ty o f

th e i r su p p l i e rs. Th i s i s p ro j e cte d to b e co m e m o re and m o re of a

fa cto r i n th e co m i n g ye a rs ;

• i t co u l d be a g ood unique se l l i n g p o i n t (U S P) fo r yo u r o rg a n i z a ti o n –

o r i t ca n ce rta i n l y a l l o w yo u to co m p e te on a l e ve l p l a yi n g fi e l d

a g a i n st o th e r o rg a n i z a ti o n s wh o a re tryi n g to u se it as a U S P.

Cons
B u t yo u do n eed to co n si d e r th e fo l l o wi n g p o i n ts b e fo re d e ci d i n g

wh e th e r o r n o t to go fo r ce rti fi ca ti o n :

• ‘ Ce rti fi ca te on th e Wa l l S yn d ro m e ’ – ca u ti o n sh o u l d be e xe rci se d to

e n su re th a t e ve ryo n e re a l i z e s th a t th e o b j e cti ve o f I TS M i s n ot

1 48 IT Service Management for Small IT Teams

 Cons

I S O /I E C 2 0 0 0 0 in i tse l f; th a t i s j u s t a m i l e sto n e , th e ce rti fi ca te

re p re se n ts a ste p a l on g th e ro a d to g ood p ra cti ce , n o t th e fi n a l

d e sti n a ti o n . D o n ’t fo rg e t th a t th e o ri g i n a l aim wa s to i m p ro ve th e

q u a l i ty a n d co st-e ffe cti ve n e ss o f th e s e rvi ce s d e l i ve re d to th e u se rs

and cu sto m e rs fro m th e cu s to m e r’s p e rsp e cti ve .

• I t’s p ro b a b l y n o t th e ch e a p e s t o p ti o n . Yo u h a ve to co n si d e r th a t a l l

o f th e p ro ce sse s d e fi n e d in th e sta n d a rd h a ve to be p e rfo rm e d and

co n tro l l e d to a ce rta i n minimum l e ve l o f q u a l i ty so yo u ca n ’t p i ck a n d

ch o o se wh i ch p a rts to d o. Th i s m e a n s th a t e ve ryo n e in th e te a m wi l l

n eed to be i n vo l ve d , so ra i si n g th e re so u rce re q u i re m e n ts co m p a re d

to a l i m i te d i m p l e m e n ta ti o n o f se l e cte d a re a s. Ad d to th i s th e co st o f

i n te rn a l and e xte rn a l a u d i to rs; a l th o u g h fo r a sm a l l I T te a m th e

a ctu a l ce rti fi ca ti o n a u d i t m a y on l y be on e o r two d a ys a n d th e

e s ta b l i sh e d a u d i t b o d i e s a re sti l l su rp ri si n g l y re a so n a b l e in th e i r d a i l y

ra te s (fo r th e I T i n d u stry a n ywa y) .

• I t’s n o t e a sy. S e tti n g up 1 6 to 2 0 p ro ce ss e s to wo rk i n h a rm o n y i n

su p p o rt o f yo u r se rvi ce s wo u l d be d i ffi cu l t e n o u g h i f yo u co u l d

d e d i ca te all o f yo u r ti m e to i t, bu t d oi n g i t wh i l st co n ti n u i n g yo u r

d a y j ob ca n se e m l i ke an i n s u rm o u n ta b l e ta sk. O u r o n l y re a s su ra n ce

i s th a t p u tti n g th e e sse n ti a l s i n p l a ce wi l l i m p ro ve yo u r d a y- to -d a y

d e l i ve ry so a l l o wi n g m o re ti m e to bu i l d and i m p ro ve yo u r I T se rvi ce

m a n a g e m e n t syste m o ve ra l l .

• O n ce yo u h a ve i t yo u e i th e r h a ve to m a i n ta i n i t o r fa ce th e i g n om i n y

o f l o si n g i t (a n d th e p o te n ti a l fo r b a d p re s s th a t i t m a y b ri n g ) .

• G oi n g fo r I S O /I E C 2 0 0 0 0 m i g h t n o t l e n d i tse l f to a g ra d u a l

i m p l e m e n ta ti o n a s th e l e n g th o f ti m e i n vo l ve d m i g h t m a ke th e p ri z e

se e m to o fa r a wa y.

• E ve n th o u g h i t i s th e s ta n d a rd fo r I TS M , i t o n l y co ve rs g o o d p ra cti ce

to a ce rta i n d e p th . I t se ts o u t th e minimum s e t o f a cti vi ti e s a n d

d o cu m e n ta ti o n th a t a n o rg a n i z a ti o n sh o u l d h a ve in p l a ce to

d e m o n stra te th a t i t i s i n co n tro l o f i ts I T s e rvi ce s .

• Al th o u g h i t p ro ve s th a t yo u h a ve a ch i e ve d th e l e ve l o f co m p l i a n ce

n e ce ss a ry to sa ti sfy a n RCB (Re g i ste re d Ce rti fi ca ti o n B o d y) , i t d oes

n o t ce rti fy th a t th e se rvi ce s yo u d e l i ve r a re n e ce ssa ri l y o f g o o d

q u a l i ty o r e ve n th e ri g h t o n e s , j u st th a t yo u a re in co n tro l o f th e m

and h a ve an a cti ve p ro ce ss fo r th e m o n i to ri n g and i m p ro ve m e n t o f

th e m .

IT Service Management for Small IT Teams 1 49

6 The continual service improvement cycle

Summary

• I S O /I E C 2 0 0 0 0 ce rti fi ca ti o n ca n p ro vi d e a u se fu l fo cu s to

yo u r p ro j e ct a n d , o n ce a tta i n e d , m a y be an e ffe cti ve

m a rke ti n g U S P a s we l l a s p ro vi d i n g p ro o f to i n te rn a l

sta ke h o l d e rs th a t I T se rvi ce s a re m a n a g ed e ffe cti ve l y.

• D o n ’t g e t to o hung up on th e ce rti fi ca te and re co g n i z e

th a t i t wi l l ta ke l on g er a n d co st m o re th a n a m o re l i m i te d

i m p l e m e n ta ti o n of g ood p ra cti ce .

• E ve n i f yo u co m e d o wn on th e si d e of n ot g oi n g fo r

ce rti fi ca ti o n , I S O /I E C 2 0 0 0 0 is a h u g e l y u se fu l to o l fo r yo u r

I T s e rvi ce m a n a g e m e n t i m p ro ve m e n t e xe rci se b e ca u se it

ca n sti l l g i ve yo u g u i d a n ce on wh a t th e minimum se t o f

g ood p ra cti ce sh o u l d l o o k l i ke .

Next steps

1 . Th i n k a b o u t yo u r g o a l s i n i m p l e m e n ti n g I T se rvi ce

m a n a g e m e n t.

2. I n ve sti g a te h o w ce rti fi ca ti o n wo u l d be vi e we d wi th i n yo u r

o rg a n i z a ti o n and wi th yo u r e xte rn a l cu sto m e rs.

3. Fi n d o u t wh o yo u co u l d u se a s e xte rn a l a u d i to rs a n d h ow

m u ch th e y wo u l d ch a rg e fo r i n p u t i n to yo u r d e l i b e ra ti o n s.

1 50 IT Service Management for Small IT Teams

8 To o l s

On e o f th e th i n g s we h a ve o fte n h e a rd sa i d in re l a ti o n to to o l s i s th a t

th e y d o n ’t m a tte r; i t’s th e p ro ce ss th a t’s i m p o rta n t. Wh i l s t we a g re e wi th

th a t to som e e xte n t, we a l so wo n d e r wh e th e r th e peopl e wh o s a y th a t

h a ve sp e n t d a ys tryi n g to sh o e h o rn a n e w p ro ce ss i n to an e xi sti n g to o l

th a t re a l l y d o e sn ’t wa n t to wo rk th a t wa y. Wh a t yo u en d up wi th in th i s

si tu a ti o n is a h yb ri d s o l u ti o n wi th l o ts o f wo rka ro u n d s to m a ke up fo r

th e to o l ’s d e fi ci e n ci e s o r a d i ffe re n t wa y o f wo rki n g , wh i ch i s n ot a n i d ea l

si tu a ti o n . O f co u rse , we wo u l d e ch o th e g e n e ra l a d vi ce th a t p re va i l s i n

th e i n d u stry, wh i ch i s th a t th e i d ea l a p p ro a ch i s to d e fi n e yo u r p ro ce ss e s

fi rs t a n d th e n ch o o s e th e ri g h t sys te m to fi t th e m . U n fo rtu n a te l y, in a

sm a l l I T te a m e n vi ro n m e n t wi th a l i m i te d b u d g e t, th i s i sn ’t a l wa ys

p o ss i b l e .

Th e ri g h t to o l ca n e n h a n ce yo u r a b i l i ty to p ro vi d e a g ood se rvi ce

i m m e a s u ra b l y, b u t o n l y i f yo u i n ve s t th e ti m e in i t yo u rse l f to u n d e rsta n d

fu l l y h o w i t wo rks a n d h o w to co n fi g u re i t to su i t yo u r e n vi ro n m e n t. Th i s

is an i m p o rta n t p o i n t th a t co u l d sa ve yo u a s i g n i fi ca n t a m o u n t o f ti m e

and m o n e y; th e re is a te m p ta ti o n to bl a m e an e xi s ti n g so ftwa re to o l fo r

th e fa ct th a t yo u a re n ’t m e e ti n g yo u r ta rg e ts , b u t o fte n th e p ro b l e m is a

l a ck o f tra i n i n g and ti m e sp e n t o n se t- u p . Re p l a ci n g th e cu rre n t sys te m

wi th a n ew on e wi l l n o t n e ce ssa ri l y ch a n g e th a t a n d i f yo u ’ re n o t ca re fu l

yo u co u l d en d up in th e sa m e si tu a ti o n , bu t a g ood fe w th o u sa n d

p o u n d s l i g h te r.

So th i n k ca re fu l l y b e fo re e m b a rki n g on an I T se rvi ce m a n a g em en t

so ftwa re to o l s e l e cti o n e xe rci s e and m a ke su re yo u d e fi n e cl e a rl y wh a t

yo u n eed and wh y th e cu rre n t sys te m ca n ’t p ro vi d e i t.

To o l s a re a va i l a b l e to h el p in a wi d e va ri e ty o f a re a s a n d we h a ve on l y

a tte m p te d to su m m a ri z e th e main o n e s h e re . It is a fa s t-ch a n g i n g m a rke t

and i t wo u l d be wi se to ke e p an e ye on a t l e a st o n e so u rce of

i n fo rm a ti o n in th i s a re a , wh e th e r i t’s a we b si te , a p u b l i ca ti o n or a n

annual vi si t to an e xh i b i ti o n /co n fe re n ce . See th e l i st o f re s o u rce s i n

Ap p e n d i x B fo r so m e p o i n te rs.

E va l u a ti n g I TS M softwa re tool s

F i rst, a fe w g e n e ra l p o i n ts a b o u t th e p ro ce ss o f e va l u a ti n g and

p u rch a si n g to o l s to a ssi st wi th yo u r i m p l e m e n ta ti o n o f I TS M . I t’s te m p ti n g

IT Service Management for Small IT Teams 1 51

8 Tools

to sh o rtcu t a n y ki n d o f fo rm a l p ro ce ss a n d j u st g o fo r so m e s o ftwa re th a t

yo u o r so m e o n e in yo u r te a m h a s u se d b e fo re and kn o ws to be g ood .

Wh i l st we ’ re n o t su g g e s ti n g yo u sp e n d a l o t o f ti m e and m on ey

u n d e rta ki n g a l e n g th y te n d e r p ro ce ss, we a re su g g e s ti n g th a t yo u sh o u l d

a t l e a st d e fi n e yo u r re q u i re m e n ts fi rs t a n d u se som e o b j e cti vi ty i n yo u r

d e ci si o n p ro ce ss. Th e re is a fa i r d e g re e o f h yp e p re va i l i n g in th e so ftwa re

to o l s m a rke t a n d i t’s i m p o rta n t th a t yo u g i ve yo u rse l f th e a b i l i ty to fo cu s

on wh a t re a l l y m a tte rs to yo u r o rg a n i z a ti o n .

In ba s i c te rm s, m a ke a l i st o f a re a s th a t n e e d to be co ve re d b y th e typ e

o f to o l yo u a re l o o ki n g fo r a n d th e n d e fi n e wh a t i t sh o u l d be a bl e to do

in e a ch o f th e se a re a s. Ass e ssi n g e a ch on e a s ‘ m u s t h a ve ’ o r ‘ n i ce to h a ve ’

is a g ood i d ea to o . As we l l a s fu n cti o n a l i ty cri te ri a , d o n ’t fo rg e t th o se

su ch a s cu s to m e r b a se , fi n a n ci a l h e a l th and co st, to name bu t a fe w (se e

th e n e xt se cti o n fo r se rvi ce d e sk s o ftwa re sp e ci fi ca l l y) . F ro m re se a rch ,

p ro b a b l y o n th e i n te rn e t, m a ke a s h o rt l i st o f ‘ p o ss i b l e s’ and th e n ra te

th e m in e a ch a re a , d i s ca rd i n g a n y th a t d o n ’t m e e t a l l o f yo u r ‘ m u st

h a ve s’ (h e n ce yo u n eed to be sp a ri n g wi th yo u r u s e o f th i s ra ti n g ) .

I t’s fa i rl y sta n d a rd p ra cti ce n o wa d a ys fo r so ftwa re ve n d o rs to p ro vi d e a

d o wn l o a d o f th e i r p ro d u cts fo r a n e va l u a ti o n p e ri o d and th i s p ro vi d e s

yo u wi th an o p p o rtu n i ty to re a ch a co n si d e re d d e ci si o n b a se d on

h a n d s- o n e xp e ri e n ce ra th e r th a n h o w i t l o o ks o n th e we b si te . D o n ’t

fo rg e t to i n vo l ve yo u r te a m in th e d e ci si o n a s th e y n e e d to be on b o a rd

wi th a n y n e w to o l , and b e si d e s m a y kn o w m o st a b o u t th e a re a it

a d d re sse s.

B y fo l l o wi n g a b a s i c b u t stru ctu re d p ro ce ss yo u ca n h a ve a h i g h e r d e g re e

o f co n fi d e n ce th a t th e to o l yo u ch o o se i s th e ri g h t o n e fo r yo u and yo u

wi l l be a bl e to sh o w yo u r re a so n i n g i f q u e sti o n e d fro m a b o ve (o r b y a n

a u d i to r) .

Service desk tools

I f yo u ’ re l u cky yo u wi l l a l re a d y h a ve a to o l th a t co ve rs a l l th e re q u i re d

a re a s a n d is all pa i d fo r, p e rh a p s m o re b y a cci d e n t th a n b y d e si g n . If

yo u ’ re n o t th a t l u cky, th e n yo u wi l l n eed to u n d e rta ke a to o l s e l e cti o n

e xe rci se . A wo rd o f ti m e -s a vi n g a d vi ce on th i s – e sta b l i sh yo u r m a xi m u m

b u d g e t ri g h t a t th e sta rt a n d th e n m a ke p ri ce on e o f yo u r fi rst q u e sti o n s.

Som e s yste m s a re d e l i b e ra te l y a i m e d a t h i g h -e n d cu sto m e rs a n d p ri ce d

a cco rd i n g l y a n d yo u ca n ru l e ou t a fa i r n u m b e r o f o p ti o n s stra i g h t a wa y

si m p l y b e ca u se th e y a re fa r to o e xp e n si ve fo r yo u r n e e d s.

Som e o f th e q u e s ti o n s yo u sh ou l d a sk a n d a re a s yo u sh ou l d l o o k a t wh e n

e va l u a ti n g a l te rn a ti ve s e rvi ce d e s k to o l s fo r a sm a l l I T te a m a re :

1 . D o e s i t co ve r th e fo l l o wi n g I T se rvi ce m a n a g e m e n t a re a s:

(a ) i n ci d e n t m a n a g e m e n t;

1 52 IT Service Management for Small IT Teams

 Service desk tools

(b ) p ro b l e m m a n a g e m e n t;

(c) se rvi ce l e ve l m a n a g e m e n t;

(d ) se rvi ce re p o rti n g ;

(e ) ch a n g e m a n a g e m e n t;

(f) co n fi g u ra ti o n m a n a g e m e n t;

(g ) o th e r a re a s i n wh i ch su ch to o l s m a y h a ve fu n cti o n a l i ty i n cl u d e

se rvi ce ca ta l o g u e , re l e a se m a n a g e m e n t, su ppl i er m a n a g em en t

and p u rch a si n g – yo u n eed to d e ci d e wh e th e r th e se wi l l be

re q u i re d o r n o t.

2. Ch e ck fo r h o w l o n g e a ch p ro ce ss h a s b e e n i m p l e m e n te d – i f i t’s

re ce n t th e n i t’s p ro b a b l y fa i rl y b a si c. I t’s o fte n th e ch a n g e and

co n fi g u ra ti o n m o d u l e s th a t i n d i ca te th e m a tu ri ty o f th e to o l .

3. Ca n th e va ri o u s re co rd s b e l i n ke d wi th i n th e s yste m – fo r e xa m p l e ,

i n ci d e n ts to p ro b l e m s, p ro b l e m s to ch a n g e s?

4. U n d e rsta n d wh a t th e d e ve l o p m e n t p ri o ri ti e s a re and h ow m a n y

peopl e a re wo rki n g on d e l i ve ri n g th e m – d o e s th e p ro d u ct h a ve a

fu tu re ?

5. H ow g ood i s i t a t i n te g ra ti n g wi th o th e r to o l s a n d s yste m s – fo r

e xa m p l e , d i re cto ry se rvi ce s, an a sse t d i sco ve ry to o l and an e ve n t

m o n i to ri n g to o l ?

6. I s i t we b -b a se d (a cce ss e d vi a a b ro wse r) o r i s th e re a cl i e n t?

7. I s th e re a Sa a S (S o ftwa re as a S e rvi ce ) o p ti o n ? Th i s ca n be

co s t-e ffe cti ve a s l on g a s yo u a re co m fo rta b l e wi th th e p o te n ti a l

se cu ri ty a n d a va i l a b i l i ty i ssu e s.

8. Wh a t i s th e p ri ci n g stru ctu re ? M a ke s u re i t’s cl e a r wh a t th e co st

wo u l d be fo r a l l th e re q u i re d m o d u l e s fo r th e n u m ber of peopl e yo u

h a ve in yo u r I T te a m .

9. Are yo u el i g i bl e fo r e d u ca ti o n a l o r ch a ri ty p ri ci n g ? I t’s a l wa ys wo rth

a s ki n g i f yo u fa l l i n to th i s ca te g o ry.

1 0. I s th e re a s e l f- se rvi ce i n te rfa ce fo r u s e b y u se rs?

1 1 . Ca n i t sen d e m a i l s a t sp e ci fi c p o i n ts i n a p ro ce s s a n d h ow

co n fi g u ra b l e a re th e y?

1 2. D o e s th e so ftwa re a rch i te ctu re (o p e ra ti n g syste m , d a ta b a se ,

re p o rti n g to o l s , e tc. ) fi t i n wi th yo u r o rg a n i z a ti o n ’s I T stra te g y?

1 3. H o w m u ch tra i n i n g and co n su l ta n cy wi l l be re q u i re d ? Th i s ca n add

si g n i fi ca n tl y to th e o ve ra l l co s t o f th e syste m .

1 4. D o e s i t h a ve a fa ci l i ty to cre a te i n ci d e n t a n d re q u e s t m o d e l s – i . e .

fre q u e n tl y u se d re co rd s th a t ca n be cre a te d q u i ckl y?

Th e re a re m a n y o th e r cri te ri a yo u m a y d e ci d e to u se b a se d on yo u r

p a rti cu l a r re q u i re m e n ts a n d we d o n ’t a tte m p t to l i s t th e m all h e re ; th e

p o i n t i s th a t yo u h a ve d e fi n e d wh a t yo u a re l o o ki n g fo r i n a d va n ce and

d o n ’t g o p u re l y b y ‘ g u t-fe e l ’ . Al so be a wa re th a t th i s i s a co m p e ti ti ve

m a rke t a n d s u p p l i e rs wi l l o fte n be p re p a re d to re d u ce th e i r p ri ce s to

cl o se th e b u si n e ss, so d o n ’t b e a fra i d to n e g o ti a te . At l e a s t two re fe re n ce

vi si ts a re h i g h l y re co m m e n d e d , i d e a l l y to e xi s ti n g u se rs o f a si m i l a r si z e

and i n d u stry to yo u rs.

IT Service Management for Small IT Teams 1 53

8 Tools

Configuration and release management tools

Co n fi g u ra ti o n (o r, o fte n m o re co rre ctl y, ‘ a sse t’ ) m a n a g e m e n t to o l s h a ve

been a ro u n d fo r m a n y ye a rs a n d th e re is a wi d e va ri e ty o f m a tu re ,

fu n cti o n a l syste m s to ch o o se fro m . G e n e ra l l y, th e se wi l l go ou t a n d

a u to m a ti ca l l y sca n yo u r n e two rk to fi n d e ve ryth i n g th a t h a s a n I P a d d re ss

and, in so m e ca s e s, p e ri p h e ra l s to o . Th i s i s u su a l l y a ch i e ve d u si n g a

va ri e ty o f m e th o d s i n cl u d i n g :

• Pi n g (U CM P p ro to co l ) ;

• S N M P (S i m p l e N e two rk M a n a g e m e n t Pro to co l ) ;

• N e tB I O S (o fte n u se d to d i sco ve r Wi n d o ws-b a se d d e vi ce s ) .

O n ce fo u n d , th e to o l wi l l a tte m p t to co l l e ct a s m u ch i n fo rm a ti o n a bou t

th e d e vi ce a s i t ca n , o fte n d i stri b u ti n g a sm a l l p i e ce o f cl i e n t so ftwa re

th a t wi l l th e n re p o rt b a ck m o re d e ta i l on h a rd wa re and so ftwa re

i n sta l l e d . Th i s i n fo rm a ti o n i s th e n co l l a te d vi a a m a n a g e m e n t i n te rfa ce

th a t a l l o ws d i ffe re n t vi e ws a n d re p o rts to be p ro d u ce d .

S u ch to o l s ca n be a g od sen d i f th e y a re i m p l e m e n te d p ro p e rl y, i n te g ra te d

we l l and peopl e kn o w h o w to u se th e m . Th e ke y th i n g i s th a t yo u m u st

be a bl e to tru st wh a t th e y a re te l l i n g yo u . I f yo u ca n ’t th e n th e y’ re of

l i m i te d va l u e , so i t’s wo rth p u tti n g in so m e e xtra ti m e to u n d e rsta n d th e

m e ch a n i sm th e to o l u se s to co l l e ct i ts i n fo rm a ti o n and th e p o te n ti a l

i s su e s th a t co u l d a ri se to p re ve n t i t d o i n g so (e . g . l a ck o f a d m i n a cce ss to

a d e vi ce or a fi re wa l l b l o cki n g th e p ro to co l s i t u se s) .

Th e i d ea l i s to ru n th e to o l e ve ry fe w d a ys a n d h a ve th e i n fo rm a ti o n

a u to m a ti ca l l y u p d a te d in th e s e rvi ce d e s k to o l so th a t yo u ca n link

i n ci d e n ts , p ro b l e m s a n d ch a n g e s to th e co n fi g u ra ti o n i te m s. F o r th i s

re a so n , th e ch o i ce o f co n fi g u ra ti o n m a n a g e m e n t to o l s i s o fte n l i m i te d to

th o se wi th wh i ch th e ve n d o r o f yo u r se rvi ce d e sk sys te m s u p p o rts

i n te rfa ce s.

O n ce i t h a s been ru n n i n g fo r a wh i l e (m a yb e a fe w we e ks) , ca rry o u t a

l i m i te d co n fi g u ra ti o n ve ri fi ca ti o n a u d i t to p h ysi ca l l y co m p a re wh a t th e

to o l i s te l l i n g yo u wi th th e re a l i ty o n th e g ro u n d . I f th e two co m p a re

fa vo u ra b l y th e n all i s we l l ; i f n o t, som e i n ve sti g a ti o n i s re q u i re d to see if

th e i ssu e i s p ro ce d u ra l o r te ch n i ca l .

H i g h er en d to o l s m a y ve n tu re fu rth e r i n to th e a re a o f tru e co n fi g u ra ti o n

m a n a g e m e n t ra th e r th a n j u st a sse t m a n a g e m e n t, a l l o wi n g re l a ti o n sh i p s

b e twe e n co m p o n e n ts su ch a s se rve rs , a p p l i ca ti o n s a n d se rvi ce s to be

re p re se n te d , so m e ti m e s g ra p h i ca l l y.

1 54 IT Service Management for Small IT Teams

 Performance and capacity planning tools

Event monitoring tools

Wo u l d n ’t i t b e n i ce to kn o w wh e n so m e th i n g h a s g on e wro n g in yo u r

i n fra stru ctu re b e fo re yo u r u s e rs te l l yo u ? Th i s i s o n e o f th e a i m s o f th e

e ve n t m o n i to ri n g to o l . U si n g m a n y o f th e sa m e te ch n i q u e s a s th e

co n fi g u ra ti o n m a n a g e m e n t to o l , th i s typ e o f so ftwa re wi l l a l e rt yo u in a

va ri e ty o f wa ys (i n cl u d i n g em a i l , p a g e r, te xt m e s sa g e and vi s u a l l y) if a

co m p o n e n t o f yo u r i n fra stru ctu re is no l o n g e r re sp o n d i n g . I t’s th e n a

re l a ti ve l y si m p l e j ob to i n te rfa ce i t wi th yo u r s e rvi ce d e s k to o l so th a t a n

i n ci d e n t i s a u to m a ti ca l l y ra i se d . Th i s i s u s u a l l y b y se n d i n g an em a i l to an

i n b o x th a t i s m o n i to re d b y th e se rvi ce d e sk to o l . Ca re n e e d s to be ta ke n

th a t yo u d o n ’t e n d up wi th l o ts o f ‘ j u n k’ i n ci d e n ts b e i n g cre a te d as a

re su l t o f th e e ve n t m o n i to ri n g to o l s b e i n g to o s e n s i ti ve , so a p e ri o d of

fi n e -tu n i n g i s n o rm a l l y re q u i re d .

Co m p o n e n ts th a t ca n be m o n i to re d i n cl u d e se rve rs, ro u te rs, swi tch e s,

U n i n te rru p ti b l e Po we r S u p p l i e s, S to ra g e Are a N e two rks a n d so m e ti m e s

e ve n a i r co n d i ti o n i n g u n i ts. I t l a rg e l y d e p e n d s u p o n wh e th e r th e

co m p o n e n t su p p o rts S N M P, so th i s i s so m e th i n g e l se to co n si d e r wh e n

d e ci d i n g b e twe e n h a rd wa re a l te rn a ti ve s. Th e ra n g e o f p o ssi b l e i te m s to

m o n i to r i s a l so q u i te i m p re s si ve a s m a n y o f th e to o l s ca n d e te ct p ro b l e m s

wi th em a i l se rve r q u e u e s, d a ta b a se ta b l e si z e s a n d e ve n ru n sm a l l

p ro g ra m s yo u ca n cre a te yo u rs e l f to ch e ck o n th e h e a l th o f a n yth i n g

i m p o rta n t to yo u .

I f yo u g e t th e ri g h t o n e , e ve n t m o n i to ri n g to o l s ca n be e xtre m e l y u s e fu l .

Yo u m a y wi sh to bu y on e th a t a l l o ws yo u to cre a te a vi su a l map o f yo u r

i n fra stru ctu re , i n cl u d i n g s e rve rs, ro u te rs a n d swi tch e s a n d p ro j e ct i t o n to

th e wa l l or pu t i t on a bi g s cre e n th a t i s vi si b l e fro m th e s e rvi ce d e s k. Th i s

wo rks wo n d e rs fo r wo rki n g o u t stra i g h t a wa y wh a t h a s fa i l e d e ve n

b e fo re th e u se r ca l l s sta rt co m i n g in. I t l o o ks g o o d wh e n yo u sh o w

peopl e ro u n d to o .

Performance and capacity planning tools

An o th e r a re a in wh i ch so ftwa re to o l s ca n a ssi st yo u in i m p l e m e n ti n g

e ffe cti ve I T se rvi ce m a n a g e m e n t p ro ce ss e s i s i n p e rfo rm a n ce and ca p a ci ty

m o n i to ri n g . In m a n y ca se s th e to o l s th a t a re bu n d l ed wi th th e se rve r

o p e ra ti n g syste m a re p e rfe ctl y a d e q u a te to tra ck p ro ce s so r a n d d i sk

u sa g e on a re g u l a r b a si s, and o fte n an e ve n t m o n i to ri n g to o l wi l l a l so

i n cl u d e th e ca p a b i l i ty to re co rd ke y m e a su re s o f ca p a ci ty a n d

p e rfo rm a n ce vi a S N M P.

Th e ke y h e re i s to m a ke th e p ro ce ss a s a u to m a te d a s p o ssi b l e so th a t

human i n te rve n ti o n i s m i n i m i zed . M o s t to o l s wi l l be a bl e to re co rd

IT Service Management for Small IT Teams 1 55

8 Tools

sta ti sti cs to fi l e s, wh i ch ca n th e n be u se d to cre a te g ra p h s fo r a n a l ysi s.

Th i s wi l l sa ve yo u an e n o rm o u s a m o u n t o f ti m e o ve r th e l a b o u r-i n te n si ve

a l te rn a ti ve .

A fe w ca n th e n ta ke th e n e xt ste p , wh i ch i s to p re d i ct ca p a ci ty b a s e d on

re co rd e d m e tri cs – i . e . tru e ca p a ci ty p l a n n i n g . Th i s o fte n co m e s a t a p ri ce ,

h o we ve r, and te n d s to re m a i n m o re of a n a rt th a n a sci e n ce in m a ki n g

th e re q u i re d p re d i cti o n s o f fu tu re syste m u sa g e .

I n form a ti on secu ri ty m a n a g em en t tool s

In a d d i ti o n to th e u su a l fi re wa l l s , i n te rn e t m o n i to ri n g and vi ru s-sca n n i n g

so ftwa re , th e re a re se ve ra l typ e s o f to o l th a t yo u m a y fi n d u se fu l in

h el pi n g to se cu re an SM E e n vi ro n m e n t. Th e se i n cl u d e :

• I n tru s i o n d e te cti o n syste m s – th e s e h el p to sp o t u n u su a l a cti vi ty o n

yo u r n e two rk th a t m a y i n d i ca te an e xte rn a l (o r i n te rn a l ) a tta ck. S ti l l

a l i ttl e p ri ce y fo r a sm a l l I T te a m b u t th e y a re co m i n g d o wn in co st.

• D a ta l o s s p re ve n ti o n (D LP) – wi l l m o n i to r wh e re yo u r d a ta i s bei n g

sa ve d o r se n t to a cco rd i n g to yo u r se cu ri ty p o l i cy. F o r e xa m p l e , th e y

co u l d d e te ct cre d i t ca rd d a ta bei n g s a ve d to a m e m o ry sti ck o r

cu sto m e r l i sts b e i n g se n t to an em a i l a d d re ss.

• E ve n t l o g m a n a g e m e n t – th e se to o l s h a ve th e a b i l i ty to sca n th e

e ve n t l o g s a cro ss a l l o f yo u r s e rve rs a n d i d e n ti fy u n a u th o ri z e d a cti o n s

o r a cce s s a tte m p ts, a s we l l a s p ro vi d i n g e ffe cti ve l og a rch i vi n g in

a cco rd a n ce wi th g ood p ra cti ce .

S u m m a ry

• In a sm a l l I T te a m wi th l i m i te d re so u rce s th e ri g h t so ftwa re

to o l ca n be wo rth i ts we i g h t i n g ol d in a u to m a ti n g ke y

ta sks a n d m a ki n g th e p ro ce ss o f a p p l yi n g and ru n n i n g wi th

g ood p ra cti ce a s p a i n l e ss a s p o ssi b l e . Th e ke y h e re i s to

ch o o se th e ri g h t to o l s a n d i m p l e m e n t th e m e ffe cti ve l y,

i n te g ra ti n g wh e re p ra cti ca l and b e n e fi ci a l .

• I d e a l l y yo u sh o u l d d e fi n e yo u r p ro ce s se s b e fo re ch o o si n g a

n e w to o l th a t i s ca p a b l e o f i m p l e m e n ti n g th e m .

• O u r a d vi ce i s u su a l l y to m a ke th e m o st o f yo u r e xi sti n g

to o l s b e fo re l o o ki n g fo r so m e th i n g n e w; o fte n a p e rce i ve d

l a ck o f fu n cti o n a l i ty tu rn s o u t to be a l a ck o f

u n d e rsta n d i n g and tra i n i n g .

1 56 IT Service Management for Small IT Teams

 Information security management tools

• U se fu l to o l s a re a va i l a b l e in a wi d e ra n g e o f I T s e rvi ce

m a n a g e m e n t a re a s; l o o k a ro u n d b u t th i n k ca re fu l l y a b o u t

h o w yo u wi l l i n te g ra te th e m wh e n sh o p p i n g fo r a n ew

on e.

Next steps

1 . Asse ss yo u r e xi s ti n g I T se rvi ce m a n a g e m e n t to o l se t – d o e s i t

h a ve th e fu n cti o n a l i ty yo u ’ re g oi n g to n eed ?

2. Ask yo u rse l f wh e th e r yo u ’ re re a l l y u si n g yo u r e xi sti n g to o l s

to th e i r fu l l ca p a b i l i ti e s – i s tra i n i n g re q u i re d ?

3. I d e n ti fy a d d i ti o n a l a re a s wh e re to o l s m a y sa ve yo u a l ot of

ti m e i f i m p l e m e n te d e a rl y a n d s ta rt to d e fi n e yo u r

re q u i re m e n ts.

IT Service Management for Small IT Teams 1 57

9 Ca se stu d i e s

Sandwell Homes

In June 2 009 th e I CT S e rvi ce s U n i t a t S a n d we l l H om es

su cce ssfu l l y a ch i e ve d ce rti fi ca ti o n to I S O /I E C 2 0 0 0 0 , th e

I n te rn a ti o n a l S ta n d a rd fo r I T S e rvi ce M a n a g e m e n t. S a n d we l l

H o m e s p ro vi d e s s o ci a l h o u si n g s e rvi ce s to o ve r 3 0, 0 0 0 te n a n ts

and l e a se h o l d e rs i n th e S a n d we l l re g i o n o f th e We st M i d l a n d s.

Th e I T te a m co n si ste d of a to ta l of 1 5 m e m b e rs o f sta ff,

i n cl u d i n g an I T M a n a g er a n d two te a m l e a d e rs. H el p d e sk,

d e s kto p su p p o rt a n d i n fra s tru ctu re s e rvi ce s we re p ro vi d e d to

9 5 0 u se rs sp re a d a cro ss n e a rl y 3 0 si te s, a l th o u g h so m e se rvi ce s

su ch a s LAN and WAN (Wi re l e ss Are a N e two rk) su p p o rt we re

o u ts o u rce d to a th i rd p a rty. Ap p l i ca ti o n s we re l a rg e l y p a cka g e d

wi th so m e we b and d a ta b a se d e ve l o p m e n t b e i n g ca rri e d ou t

i n -h o u se .

O ve r th e p re ce d i n g two ye a rs th e I CT u n i t h a d a tte m p te d to

i m p l e m e n t a sp e cts o f I TI L, b u t wi th l i m i te d su cce ss . As a re su l t,

a l th o u g h i n ci d e n t m a n a g e m e n t a n d fi n a n ci a l m a n a g em en t

p ro ce s se s we re re a s o n a b l y we l l d e ve l o p e d , no o th e r a sp e cts o f

g ood p ra cti ce we re ye t i n p l a ce . Th e se rvi ce p ro vi d e d wa s

va ri a b l e wi th m a n y i ssu e s ca u s e d b y u n co -o rd i n a te d ch a n g e s

and m a j o r i n ci d e n ts we re a l m o st a d a i l y o ccu rre n ce . B e ca u se of

th i s th e u n i t’s o ve ra l l re p u ta ti o n wi th i n th e b u s i n e ss wa s l o we r

th a n d e s i re d , a l th o u g h m o st i n d i vi d u a l s we re h i g h l y re g a rd e d .

1 58 IT Service Management for Small IT Teams

 9 Case studies

Th e I CT M a n a g e r d e ci d e d to b ri n g in a co n su l ta n t to speed up

th e i m p l e m e n ta ti o n of g ood p ra cti ce and on e wi th e xp e ri e n ce

and fo cu s o n th e n e e d s o f sm a l l I T te a m s wa s se l e cte d . Th ro u g h

a p ro ce s s o f wo rksh o p s a n d m e e ti n g s, th e m a n a g e m e n t te a m

a t S a n d we l l H om es beg a n th e d e fi n i ti o n and i m p l e m e n ta ti o n

o f th e re q u i re d p o l i ci e s a n d p ro ce sse s. Re g u l a r, m i n u te d

m e e ti n g s we re a rra n g e d wi th i n th e sm a l l m a n a g e m e n t te a m

and wi th th e re st o f th e d e p a rtm e n t i n o rd e r to co m m u n i ca te

ke y p o i n ts , d i scu ss i ss u e s a n d i n fo rm sta ff o f u p co m i n g ch a n g e s.

Th e to o l s i n u se we re e va l u a te d fo r th e i r d e g re e o f su p p o rt fo r

th e n e w p ro ce sse s a n d n e w o n e s i n tro d u ce d wh e re re q u i re d . It

wa s d e ci d e d to ke e p th e cu rre n t s e rvi ce d e sk to o l a s i t p ro vi d e d

g ood su p p o rt fo r th e I TS M p ro ce ss e s th a t h a d n o t ye t b e e n

i m p l e m e n te d , su ch a s ch a n g e and p ro b l e m m a n a g e m e n t.

H o we ve r, a n e w co n fi g u ra ti o n m a n a g e m e n t to o l wa s

i n tro d u ce d and a th i rd p a rty co n tra cte d to i n te rfa ce i t wi th th e

se rvi ce d e sk syste m .

Re g u l a r m e e ti n g s we re i n i ti a te d wi th ke y s ta ke h o l d e rs o n th e

b u si n e ss si d e to d i s cu s s th e cu rre n t se rvi ce and n ew

re q u i re m e n ts a n d to n e g o ti a te a S e rvi ce Le ve l Ag re e m e n t. Th i s

re s u l te d in th e tu rn a ro u n d of a ke y si te th a t p re vi o u s l y h a d

been h i g h l y cri ti ca l o f th e I T s e rvi ce p ro vi d e d . A ski l l s a u d i t wa s

fo l l o we d by a co m p re h e n si ve tra i n i n g pl a n co ve ri n g g ood

p ra cti ce and so ft ski l l s i n a d d i ti o n to te ch n i ca l kn o wl e d g e , wi th

th e m a n a g em en t a n d i n te rn a l a u d i t te a m a tte n d i n g th e

I S O /I E C 2 0 0 0 0 Au d i to r co u rse and p a s si n g th e m u l ti p l e -ch o i ce

e xa m .

Th e 1 1 -m o n th p ro j e ct cu l m i n a te d in a two -d a y a u d i t b y a n

e xte rn a l a u d i to r wh o ce rti fi e d S a n d we l l H o m e s to th e sta n d a rd

wi th o u t a n y n o n - co n fo rm i ti e s.

Th e a ch i e ve m e n t i s a l l th e m o re sa ti sfyi n g fo r th e o rg a n i z a ti o n

a s i t wa s ca rri e d o u t d u ri n g a p e ri o d o f si g n i fi ca n t te ch n i ca l

ch a n g e , wh i ch i n cl u d e d se ve ra l l a rg e o ffi ce m o ve s, a m i g ra ti o n

fro m N o ve l l to M i cro so ft i n fra stru ctu re , a n ew em a i l syste m and

th e i n sta l l a ti o n o f Vo i ce o ve r I P te l e p h o n y.

IT Service Management for Small IT Teams 1 59

9 Case studies

Accord Group

Th e Acco rd G ro u p co n s i sts o f s i x m e m b e r co m p a n i e s, e a ch wi th

a se p a ra te Ch i e f E xe cu ti ve and m a n a g e m e n t stru ctu re . Th e IT

te a m p ro vi d e s a co rp o ra te I T s e rvi ce to e a ch o f th e co m p a n i e s

co ve ri n g a ro u n d si x h u n d re d u se rs a cro ss a wi d e va ri e ty o f

re m o te s i te s . Re p o rti n g to th e I n fo rm a ti o n S ys te m s M a n a g e r

a re si x m e m b e rs o f sta ff, co ve ri n g h el p d e sk, d e s kto p and

i n fra s tru ctu re s u p p o rt, a p p l i ca ti o n s s u p p o rt a n d tra i n i n g .

Th e IS M a n a g e r, wh o wa s I TI L V2 m a n a g e r-q u a l i fi e d , had

re ce n tl y p u rch a se d a n e w se rvi ce d e sk syste m th a t i n co rp o ra te d

m o d u l e s fo r i n ci d e n t, p ro b l e m , ch a n g e and co n fi g u ra ti o n

m a n a g e m e n t, wi th an a d d -o n fo r a u to m a te d d i sco ve ry o f

a sse ts . Th i s wa s i m p l e m e n te d a s p a rt o f a se rvi ce i m p ro ve m e n t

p ro j e ct, u si n g th e I S O /I E C 2 0 00 0 sta n d a rd as a g u i d e. Al l sta ff

a tte n d e d th e I TI L V3 F o u n d a ti o n co u rse and to o k th e e xa m to

gain th e q u a l i fi ca ti o n .

A se t o f te m p l a te d o cu m e n ts wa s u se d a s th e sta rti n g p o i n t fo r

th e I T se rvi ce m a n a g e m e n t q u a l i ty s yste m . Th e va ri o u s p o l i cy,

p ro ce s s a n d p ro ce d u ra l d o cu m e n ts we re ta i l o re d to Acco rd ’s

re q u i re m e n ts a n d a fi l i n g stru ctu re se t-u p in M i cro s o ft

S h a re Po i n t to h ol d th e m . Th e i n ci d e n t m a n a g e m e n t p ro ce s s

wa s a d d re ss e d fi rst, a l on g wi th re q u e st fu l fi l m e n t, and a

se l f-se rvi ce i n te rfa ce wa s e xp e ri m e n te d wi th to a sce rta i n h ow

m u ch d e ta i l co u l d re a s o n a b l y b e o b ta i n e d fro m u s e rs wh e n

l og g i n g i n ci d e n ts a n d re q u e s ts.

O n ce th e n e w syste m wa s l i ve on i n ci d e n t a n d re q u e s t

m a n a g e m e n t, a p ro b l e m m a n a g e m e n t p ro ce ss wa s fo l l o we d

fa i rl y q u i ckl y b y a ch a n g e m a n a g e m e n t p ro ce ss . Afte r a co u p l e

o f m o n th s, h o we ve r, sta ff fe e d b a ck wa s cl e a r th a t th e p a ce wa s

to o fa st, g i ve n th e d a y-to -d a y wo rkl o a d , and a p e ri o d of

co n s o l i d a ti o n wa s ta ke n b e fo re re l a u n ch i n g th e ch a n g e

m a n a g e m e n t p ro ce ss o n ce m o re .

On th e se rvi ce l e ve l m a n a g e m e n t si d e th e IS M a n a g e r, b a se d on

a d vi ce fro m th e a u d i to r, d e ci d e d th a t a n i n i ti a l sco p e

i n co rp o ra ti n g j u st o n e o f th e si x m e m b e r co m p a n i e s wo u l d be

a p p ro p ri a te and an S LA wa s d i scu sse d and a g re e d wi th th e

Ch i e f E xe cu ti ve o f th a t o rg a n i z a ti o n . H o we ve r, a p re se n ta ti o n

wa s d e l i ve re d to all CE O s o f th e g ro u p , all o f wh o m e xp re s se d

i n te re s t i n bei n g i n vo l ve d in th e I T se rvi ce i m p ro ve m e n t p ro j e ct

o ve r a p e ri o d o f ti m e .

1 60 IT Service Management for Small IT Teams

 9 Case studies

Va ri o u s a cti vi ti e s we re en g a g ed in to i n cre a se th e p ro fi l e o f th e

I T te a m wi th i n th e g ro u p , i n cl u d i n g i n d i vi d u a l ‘ M y j ob in si xty

se co n d s’ p re se n ta ti o n s (wh i ch we re d e l i ve re d vi a d e skto p

vi d e o co n fe re n ci n g to sh o wca se th e te ch n o l o g y) , a rti cl e s i n th e

g ro u p m a g a zi n e and an I T ro a d sh o w.

A ri sk a s se ssm e n t e xe rci s e wa s ca rri e d o u t a cro ss a l l main si te s

and a re vi se d i n fo rm a ti o n se cu ri ty p o l i cy wa s cre a te d and

a p p ro ve d b y th e b o a rd . Th e I T S e rvi ce Co n ti n u i ty Pl a n wa s

re vi si te d and u p d a te d wi th a te st p l a n and th e d i s a ste r re co ve ry

co n tra ct ch e cke d fo r a ccu ra cy. Afte r so m e e va l u a ti o n a n ew

so ftwa re p ro d u ct wa s a d o p te d to p ro vi d e n e two rk, a va i l a b i l i ty

and ca p a ci ty m o n i to ri n g ca p a b i l i ty.

D e sp i te bei n g b u s y wi th th e a b so rp ti o n of a n e w g ro u p

m em ber a n d th e a ss o ci a te d I T se rvi ce ta ke -o n re q u i re m e n ts,

Acco rd G ro u p a ch i e ve d ce rti fi ca ti o n to I S O /I E C 2 0 0 0 0 i n 2 01 1

a fte r a p ro j e ct l a sti n g a ro u n d 1 4 m o n th s.

IT Service Management for Small IT Teams 1 61

1 0 Ad d i ti o n a l p ro ce sse s a n d

co n ce p ts re l e va n t to I T se rvi ce

m a n a g em en t

In th i s ch a p te r we wo u l d l i ke to m a ke yo u a wa re of a fe w a d d i ti o n a l

p ro ce sse s a n d d e s cri b e som e o f th e a re a s o u tl i n e d in Ch a p te r 2 in m o re

d e ta i l .

Additional processes
Th e re a re se ve ra l p ro ce sse s th a t a re n e w to I TI L V3 b u t wh i ch d o n ’ t ye t

e xi s t i n I S O /I E C 2 0 0 0 0 . Th e se p ro ce s se s ca n d e l i ve r va l u e to sm a l l I T te a m s

b u t a re o fte n m o re co m p l i ca te d to i m p l e m e n t, o r to e xtra ct th e va l u e

fro m th e m . We ’ l l co ve r th e e s se n ti a l s o f th e ke y p ro ce sse s h e re wi th a

l i ttl e d e ta i l a b o u t wh a t va l u e a sm a l l I T te a m m i g h t be a bl e to d e ri ve

fro m th e m and a n y i ssu e s a n d ti p s we fe e l a re u se fu l to be a wa re o f. For

a fu l l a p p re ci a ti o n o f th e se p ro ce sse s we wo u l d stro n g l y re co m m e n d

re a d i n g th e I TI L b o o ks a n d /o r g o i n g on a co u rse .

Service portfolio management

I TI L d e fi n e s se rvi ce p o rtfo l i o m a n a g em en t a s ’a d yn a m i c m e th o d fo r

g o ve rn i n g i n ve stm e n ts i n se rvi ce m a n a g e m e n t a cro s s th e e n te rp ri se and

managing th e m fo r va l u e ’ . Th i s ta ke s th e s e rvi ce ca ta l o g u e co n ce p t

fu rth e r a n d e xte n d s i t a t e i th e r e n d to i n cl u d e th e m a n a g e m e n t o f th o se

se rvi ce s th a t a re a n ti ci p a te d , pl a n n ed , in d e ve l o p m e n t, in tra n si ti o n , or i n

a n y sta g e o f d e co m m i s si o n i n g o r re ti re m e n t. S e rvi ce p o rtfo l i o

m a n a g em en t i s a bou t j oi n i n g up yo u r se rvi ce stra te g y wi th th e p ro ce ss e s

i n vo l ve d wi th ta ki n g i t fro m cra d l e to g ra ve , and i n cl u d e s th e p re -l i ve

a cti vi ti e s o f d e fi n e , a n a l yse , a p p ro ve and ch a rte r.

For sm a l l I T te a m s, th e co n ce p t i s sti l l a va l i d on e, a l th o u g h a fu l l b l o wn

p ro ce ss m a y n o t b e n e ce ssa ry. Ass e ss wh a t se rvi ce s th e o rg a n i z a ti o n n eed s

yo u to be d e ve l o p i n g in o rd e r to d e l i ve r a g a i n st i ts stra te g y a n d d ra w u p

a fu l l se rvi ce p o rtfo l i o l i st.

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 Additional processes

Transition planning and support

Tra n si ti o n pl a n n i n g and su p p o rt co ve rs s o m e o f th e a sp e cts p re vi o u s l y

wi th i n th e re l e a se m a n a g e m e n t p ro ce ss (i n I TI L V2 ) b u t p ro vi d e s

co n si d e ra b l y e n h a n ce d g u i d a n ce . I ts g o a l i s to pl a n and co -o rd i n a te th e

re so u rce s n e e d e d to e n su re th a t n e w o r si g n i fi ca n tl y ch a n g e d se rvi ce s a re

i m p l e m e n te d a p p ro p ri a te l y so th a t th e y cre a te th e e xp e cte d va l u e .

B a si ca l l y, tra n si ti o n pl a n n i n g and s u p p o rt i s a b o u t m a n a g i n g s e rvi ce

tra n si ti o n p ro j e cts. Th i s a re a i s ve ry we l l co ve re d b y p ro j e ct m a n a g e m e n t

fra m e wo rks su ch a s PRI N CE 2 o r PM B O K. I TI L V3 d o e s n o t p ro vi d e a

d e ta i l e d e xp l a n a ti o n of a l l a s p e cts o f p ro j e ct m a n a g e m e n t b u t h i g h l i g h ts

th e m o st i m p o rta n t a cti vi ti e s fo r m a n a g i n g se rvi ce tra n si ti o n p ro j e cts a n d

a s si s ts i n i d e n ti fyi n g i n te rfa ce s wi th th e o th e r s e rvi ce m a n a g em en t

p ro ce s se s.

F ro m a sm a l l I T te a m p e rsp e cti ve , th e g u i d a n ce g i ve n i s u s e fu l as a b a si c

p ro j e ct m a n a g e m e n t a p p ro a ch b u t, i f th e o rg a n i z a ti o n has an e xi sti n g

p ro j e ct m a n a g e m e n t m e th o d o l o g y, th i s sh o u l d be u se d and p e rh a p s

b o l ste re d b y th e g u i d a n ce in th i s se cti o n .

Service validation and testing

S e rvi ce va l i d a ti o n and te sti n g , l i ke tra n s i ti o n pl a n n i n g and su p p o rt, is a

p ro ce s s th a t, in so m e l a rg e r o rg a n i z a ti o n s , i s d e a l t wi th as a m a tte r o f

co u rs e a s p a rt o f th e m a n a g e m e n t o f th e p ro j e ct to i m pl em en t a re l e a se .

Th e p ri n ci p a l g oa l i s to a s su re th a t a se rvi ce i s fi t fo r p u rp o se and fi t fo r

u se and wi l l p ro vi d e th e e xp e cte d va l u e to th e cu sto m e rs a n d th e i r

b u si n e s s.

I t d o e s th i s b y d e fi n i n g th e d e s i re d s e rvi ce q u a l i ty a n d l e ve l o f a cce p ta b l e

ri sk, and b y i n fl u e n ci n g th e re l e a se and ch a n g e p o l i ci e s to e n s u re th a t a l l

re l e a se s a n d ch a n g e s a re su b j e cte d to a l e ve l o f te sti n g and va l i d a ti o n

a p p ro p ri a te to th e o rg a n i z a ti o n ’s n e e d s . Th e p ro ce s s ta s ks a re n ot

n e ce ss a ri l y p e rfo rm e d in s e q u e n ce and ca n be u n d e rta ke n in p a ra l l e l , bu t

i n cl u d e :

• va l i d a ti o n and te st m a n a g e m e n t (p l a n n i n g , co n tro l l i n g and re p o rti n g

o f a cti vi ti e s th ro u g h o u t th e te st p ro ce ss) ;

• pl a n and d esi g n te sts;

• ve ri fy te st p l a n and te st d e si g n ;

• p re p a re te st e n vi ro n m e n t;

• p e rfo rm te sts;

• e va l u a te e xi t cri te ri a and re p o rt;

• te st cl e a n -u p and cl o su re .

A s e ri e s o f te s t m o d e l s a re cre a te d th a t d e fi n e wh a t i s to be te ste d and

h o w e a ch e l e m e n t wi l l be te ste d . Th e se a re sta n d a rd m o d e l s th a t ca n be

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10 Additional processes and concepts relevant to IT service management

a p pl i e d to e a ch a re a o f e a ch se rvi ce bei n g a ss e s se d u si n g d i ffe re n t

p e rsp e cti ve s, l e ve l s o f te sti n g and a p p ro a ch e s.

Wh i l st th e fu l l se rvi ce va l i d a ti o n and te sti n g p ro ce ss i s n o t m a n d a to ry fo r

a n y o rg a n i z a ti o n , fa i l i n g to a d e q u a te l y te st ch a n g e s a n d re l e a s e s i s b y fa r

th e b i g g e st ca u se o f h e a d a ch e s. Th i s h i ts s m a l l e r te a m s e s p e ci a l l y a s th e y

o fte n do n o t h a ve th e n e ce s sa ry re so u rce s to d i ve rt to d ea l wi th a su d d e n

i n fl u x o f i n ci d e n ts ca u se d b y i n a d e q u a te l y te ste d ch a n g e s.

Knowledge management
Kn o wl e d g e m a n a g e m e n t se e ks to h el p th e o rg a n i z a ti o n i m p ro ve th e

q u a l i ty o f i n fo rm a ti o n re q u i re d fo r d e ci si o n m a ki n g b y e sta b l i sh i n g a

stru ctu re d a p p ro a ch to th e g a th e ri n g , a n a l ysi s, sto ra g e and d i ss e m i n a ti o n

o f s e rvi ce kn o wl e d g e and i n fo rm a ti o n a cro ss th e o rg a n i z a ti o n . Th e

u n d e rl yi n g p u rp o se i s to i m p ro ve e ffi ci e n cy b y re d u ci n g th e n eed to

re d i s co ve r kn o wl e d g e and e n su re th a t th e ri g h t i n fo rm a ti o n i s a va i l a b l e

to th e ri g h t p e rs o n a t th e ri g h t ti m e .

Th e re is a h i e ra rch y re co g n i z e d in kn o wl e d g e m a n a g e m e n t th a t se e ks to

tra n sl a te d a ta i n to wi sd o m :

• Data – ra w d a ta a b o u t e ve n ts o r d i s cre te fa cts th a t ca n be u se d as

th e bu i l d i n g b l o cks fo r a n a l ysi s.

• Information – co n te xtu a l i z e d d a ta , m ea n i n g th a t th e d a ta h a s been

a n a l yse d to d e ri ve m ea n i n g re l e va n t to th e o rg a n i z a ti o n o r si tu a ti o n .

• Knowledge – a co m b i n a ti o n o f i n fo rm a ti o n and e xp e ri e n ce , i d e a s,

i n si g h ts, va l u e s a n d j u d g e m e n ts o f i n d i vi d u a l s th a t g i ve th e

i n fo rm a ti o n p o we r a n d m a ke s i t re l e va n t fo r d e ci si o n m a ki n g .

• Wisdom – wh e re kn o wl e d g e b e co m e s p a rt o f th e a wa re n e s s o f th e

o rg a n i z a ti o n . Th e kn o wl e d g e h a s b e co m e co m m o n p l a ce , aids

j u d g em en t a n d is no l o n g e r re s tri cte d to i n d i vi d u a l i n sta n ce s. It is

b ro a d e n e d i n to p ri n ci p l e s a n d th e wi d e r co n te xt o f th e o rg a n i z a ti o n .

Th e kn o wl e d g e m a n a g e m e n t p ro ce ss d e ta i l s a s tru ctu re kn o wn a s th e

S KM S (S e rvi ce Kn o wl e d g e M a n a g e m e n t S yste m ) , wh i ch b ri n g s to g e th e r

th e d a ta h el d in re p o si to ri e s su ch a s th e CM D B and e n h a n ce s i t wi th

o th e r s tru ctu re d and u n s tru ctu re d d a ta and i n fo rm a ti o n in o rd e r to g i ve

a ra n g e o f vi e ws o f th e re p re se n te d kn o wl e d g e .

Wh e n se tti n g up a kn o wl e d g e m a n a g e m e n t p ro ce ss, th o u g h t n e e d s to be

g i ve n to :

• h o w th e p ro ce ss wi l l be g o ve rn e d – p ro ce ss, ro l e s a n d re sp o n si b i l i ti e s,

e tc. ;

• th e tra n sfe r o f kn o wl e d g e a ro u n d th e o rg a n i z a ti o n and th e s e cu ri ty

i m p l i ca ti o n s th i s m a y cre a te ;

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 Additional concepts

• h o w d a ta and i n fo rm a ti o n wi l l be m a n a g ed – wh a t d a ta and

i n fo rm a ti o n i s re q u i re d , wh a t i s th e i n fo rm a ti o n a rch i te ctu re and

q u a l i ty sta n d a rd s , wh a t p ro ce d u re s wi l l be pu t i n p l a ce to manage

th e d a ta and i n fo rm a ti o n .

In te rm s o f a sm a l l I T te a m , th i s i s a p ro ce ss th a t wi l l g ro w ra th e r th a n be

i m p l e m e n te d . Pro vi d e d all th e d a ta and i n fo rm a ti o n bei n g co l l e cte d is

bei n g u sed in a co n tro l l e d fa sh i o n , b ri n g i n g it all to g e th e r o ve r ti m e

sh o u l d be a ch i e va b l e . M u ch o f th e s o u rce d a ta wi l l be co l l e cte d in

re p o si to ri e s su ch a s th e CM D B , th e Ca p a ci ty D a ta b a s e , th e S e rvi ce

Ca ta l o g u e and o th e r e xi sti n g d a ta b a s e s. O th e r p i e ce s o f th e pu zzl e wi l l

re q u i re th o u g h t a s to h o w to stru ctu re th e S KM S su ch th a t e xp e ri e n ce s

ca n be re co rd e d and u sed and h o w th e S KM S ca n be l i n ke d to e xte rn a l

so u rce s su ch a s we a th e r i n fo rm a ti o n o r su p p l i e r sys te m s.

Ad d i ti on a l con cepts

Ca pa bi l i ty M a tu ri ty M od el I n teg ra ti on

Th e Ca p a b i l i ty M a tu ri ty M o d e l I n te g ra ti o n (CM M I ) i s ba sed u pon wo rk

o ri g i n a l l y d o n e b y th e Ca rn e g i e M el l on U n i ve rsi ty to cre a te a m od el fo r

a s se ssi n g th e so ftwa re d e ve l o p m e n t p ro ce ss e s o f a n o rg a n i z a ti o n a g a i n st

a ste p p e d sca l e o f ‘ m a tu ri ty’ . Th e CM M I m od el bu i l t u pon th e o ri g i n a l

CM M and wi d e n e d th e sco p e to a l l o w o rg a n i z a ti o n s to a sse s s th e i r

m a tu ri ty fo r th e i r se rvi ce s (e s ta b l i s h m e n t, m a n a g em en t a n d d e l i ve ry) ,

th e i r a cq u i si ti o n a cti vi ti e s (fo r p ro d u cts a n d se rvi ce s) a s we l l a s th e

d e ve l o p m e n t o f p ro d u cts a n d se rvi ce s.

Th e m od el d e fi n e s fi ve l e ve l s o f m a tu ri ty:

1 . I n i ti a l (ch a o ti c, ad h o c, i n d i vi d u a l h e ro i cs) – th e sta rti n g p o i n t fo r u s e

of a n e w p ro ce s s.

2. M a n a g ed – th e p ro ce s s i s m a n a g e d in a cco rd a n ce wi th a g re e d

m e tri cs.

3. D e fi n e d – th e p ro ce ss i s d e fi n e d and co n fi rm e d as a sta n d a rd

b u si n e s s p ro ce ss .

4. Q u a n ti ta ti ve l y m a n a g e d .

5. O p ti m i z i n g – p ro ce ss m a n a g e m e n t i n cl u d e s d e l i b e ra te p ro ce s s to

o p ti m i z e and i m p ro ve .

U se d co rre ctl y, th e CM M I ca n be ve ry u se fu l in g i vi n g an a sse s sm e n t o f

e a ch p ro ce s s o r o f th e o rg a n i z a ti o n as a wh o l e and ca n be u se d to

d e m o n stra te g a ps a n d p ro g re ss, a s sh o wn in F i g u re 1 2.

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10 Additional processes and concepts relevant to IT service management

Fi g u re 1 2 – CM M I g a p a n a l ysi s ch a rt

I S O /I E C 2 7 000

Th i s i s a fa m i l y o f i n te rn a ti o n a l sta n d a rd s th a t p ro vi d e a g ood p ra cti ce

so l u ti o n to a ra n g e o f re g u l a to ry a n d o p e ra ti o n a l se cu ri ty i ssu e s fa ce d by

o rg a n i z a ti o n s. I t p ro vi d e s g u i d a n ce on a re a s su ch a s se cu ri ty p o l i cy,

o rg a n i z a ti o n , p e rso n n e l se cu ri ty, co m m u n i ca ti o n s a n d o p e ra ti o n s

m a n a g e m e n t, a cce ss co n tro l , syste m d e ve l o p m e n t a n d m a i n te n a n ce ,

b u si n e ss co n ti n u i ty m a n a g e m e n t, p h ysi ca l and e n vi ro n m e n ta l se cu ri ty,

and co m p l i a n ce .

Th e fa m i l y i s m a d e up o f se ve ra l p a rts (m o re a re bei n g d e ve l o p e d all th e

ti m e ) , th e p ri n ci p a l o f wh i ch a re :

• I S O /I E C 2 7 0 0 0 – vo ca b u l a ry a n d d e fi n i ti o n s fo r th e 2 7 0 0 0 se ri e s;

• I S O /I E C 2 7 0 0 1 – th e re q u i re m e n ts fo r a n I n fo rm a ti o n S e cu ri ty

M a n a g e m e n t S yste m ; th i s i s th e sta n d a rd a g a i n st wh i ch o rg a n i z a ti o n s

ca n be ce rti fi e d in th e sa m e wa y a s fo r I S O /I E C 2 0 0 0 0 ;

• I S O /I E C 2 7 0 0 2 – th e Co d e o f Pra cti ce ; th i s g i ve s d e ta i l e d g u i d a n ce on

th e co n tro l s th a t sh o u l d be in p l a ce to e n su re a l e ve l o f s e cu ri ty fo r

th e te ch n o l o g y a n d i n fo rm a ti o n a ss e ts o f th e o rg a n i z a ti o n

a p p ro p ri a te to i ts n e e d s. E a ch co n tro l sh o u l d be a s se sse d a g a i n s t th e

sp e ci fi c ci rcu m s ta n ce s o f th e o rg a n i z a ti o n .

CO BI T

Th i s sta n d s fo r ‘ Co n tro l O b j e cti ve s fo r I n fo rm a ti o n and re l a te d

Te ch n o l o g y’ and is a m od el d e si g n e d to a d d re ss th e co n tro l o f th e e n ti re

I T fu n cti o n . I t wa s o ri g i n a l l y d e ve l o p e d in 1 9 9 4 b y th e re s e a rch i n sti tu te

1 66 IT Service Management for Small IT Teams

 Additional concepts

o f th e I n fo rm a ti o n S ys te m s Au d i t a n d Co n tro l As so ci a ti o n (I S ACA) . It

su p p o rts a n d a ssi sts m a n a g e m e n t i n th e g o ve rn a n ce o f I T b y p ro vi d i n g a

co m p re h e n si ve d e scri p ti o n of a se ri e s o f co n tro l o b j e cti ve s fo r a l l IT

p ro ce s se s a n d b y p ro vi d i n g a m e ch a n i sm fo r m o n i to ri n g , m e a su ri n g and

a s se ssi n g th e on g oi n g m a tu ri ty o f th e p ro ce s se s.

I t i s b ro ke n up i n to fo u r m a n a g e m e n t d o m a i n s , wh i ch a re :

1 . Pl a n and o rg a n i z e .

2. D e l i ve r a n d s u p p o rt.

3. Acq u i re and i m p l e m e n t.

4. M o n i to r a n d e va l u a te .

E a ch d om a i n co n ta i n s a n u m b e r o f p ro ce sse s , e a ch o f wh i ch d e scri b e s a

g oa l , th e re q u i re m e n ts o f th e p ro ce ss a n d th e cri te ri a a g a i n st wh i ch

a ch i e ve m e n t sh o u l d be m e a su re d .

I S O /I E C 3 85 00

Th i s i s a n i n te rn a ti o n a l sta n d a rd d e scri b i n g a fra m e wo rk fo r th e

g o ve rn a n ce o f th e u se of I T by a n o rg a n i z a ti o n . Th i s i s su b tl y d i ffe re n t

fro m (b u t cl o se l y l i n ke d to ) CO B I T i n th a t CO B I T i s a m od el fo r th e

g o ve rn a n ce o f p ro ce ss e s wi th i n I T wh e re a s I S O /I E C 3 8 5 0 0 i s a m od el fo r

h o w se n i o r m a n a g e m e n t (th e b o a rd o f d i re cto rs o r si m i l a r) sh o u l d g o ve rn

and s e t stra te g i c d i re cti o n fo r I T a cro ss th e o rg a n i z a ti o n .

I t d e ta i l s si x g u i d i n g p ri n ci p l e s:

1 . E s ta b l i sh cl e a rl y u n d e rsto o d re s p o n si b i l i ti e s fo r I T.

2. Pl a n I T to b e st su p p o rt th e o rg a n i z a ti o n .

3. Acq u i re I T va l i d l y.

4. E n su re th a t I T p e rfo rm s we l l , wh e n e ve r re q u i re d .

5. E n su re I T co n fo rm s wi th fo rm a l ru l e s.

6. E n su re I T re sp e cts h u m a n fa cto rs.

I S O /I E C 3 8 5 0 0 sp e ci fi e s th a t d i re cto rs sh o u l d e sta b l i s h m e th o d s to d i re ct,

m o n i to r a n d e va l u a te th e o rg a n i z a ti o n ’s u se o f I T a g a i n st b u si n e ss

p re s su re s a n d n e e d s.

Lea n

Le a n i s d e s cri b e d as a m i n d se t, th e co re i d ea o f wh i ch i s to m a xi m i z e

cu s to m e r va l u e wh i l e m i n i m i zi n g wa s te . Le a n si m p l y m e a n s cre a ti n g m o re

va l u e fo r cu s to m e rs wi th fe we r re so u rce s. Wi th i n I T Le a n h a s been a

re l a ti ve l y re ce n t e n tra n t to th e d i scu ssi o n a l th o u g h i t h a s been a ro u n d in

o th e r i n d u stri e s, p a rti cu l a rl y m a n u fa ctu ri n g , fo r s o m e ti m e .

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10 Additional processes and concepts relevant to IT service management

Th e fi ve -ste p s fo r th e i m p l e m e n ta ti o n o f Le a n a re :

1 . S p e ci fy va l u e fro m th e s ta n d p o i n t o f th e en d cu sto m e r b y p ro d u ct

fa m i l y.

2. I d e n ti fy a l l th e ste p s i n th e va l u e stre a m fo r e a ch p ro d u ct fa m i l y,

e l i m i n a ti n g wh e n e ve r p o ssi b l e th o se s te p s th a t d o n o t cre a te va l u e .

3. M a ke th e va l u e -cre a ti n g ste p s o ccu r i n ti g h t se q u e n ce so th e p ro d u ct

wi l l fl o w sm o o th l y to wa rd th e cu sto m e r.

4. As fl o w i s i n tro d u ce d , l e t cu sto m e rs p u l l va l u e fro m th e n e xt

u p stre a m a cti vi ty.

5. As va l u e i s sp e ci fi e d , va l u e stre a m s a re i d e n ti fi e d , wa ste d ste p s a re

re m o ve d and fl o w a n d pu l l a re i n tro d u ce d , beg i n th e p ro ce ss a g a i n

and co n ti n u e i t u n ti l a s ta te o f p e rfe cti o n i s re a ch e d in wh i ch p e rfe ct

va l u e i s cre a te d wi th no wa ste .

B e ca u s e o f i ts o ri g i n s wi th i n th e J a p a n e se co m p a n y To yo ta , th e re a re

va ri o u s n o n -E n g l i sh language te rm s a n d co n ce p ts u se d th ro u g h o u t Le a n –

su ch as muda (m e a n i n g wa ste ) , mura (m e a n i n g u n e ve n n e ss ) , poka-yoke

(e rro rp ro o fi n g ) , challenge (h a vi n g a l o n g -te rm vi s i o n o f th e ch a l l e n g e s

o n e n e e d s to fa ce to re a l i z e o n e ’ s a m b i ti o n and h a vi n g th e sp i ri t to fa ce

th a t ch a l l e n g e ) , Kaizen (th e co n ce p t th a t ‘ G o o d en ou g h ’ n e ve r i s, no

p ro ce ss ca n e ve r b e th o u g h t p e rfe ct, so o p e ra ti o n s m u st b e i m p ro ve d

co n ti n u o u s l y, stri vi n g fo r i n n o va ti o n and e vo l u ti o n ) and Genchi Genbutsu

(g o i n g to th e so u rce to see th e fa cts fo r o n e s e l f a n d m a ke th e ri g h t

d e ci si o n s , cre a te co n se n su s, and m a ke su re g o a l s a re a tta i n e d a t th e b e st

p o ssi b l e sp e e d ) – all o f wh i ch fe e d i n to th e to ta l m i n d se t.

Six Sigma
Si x Si g m a wa s o ri g i n a l l y d e ve l o p e d in th e m i d -1 9 8 0 s b y M o to ro l a , as a

wa y to m e a su re and re d u ce th e a m o u n t o f va ri a ti o n o r i n co n si s te n cy i n a

p ro ce ss. I t p ro vi d e s a q u a n ti ta ti ve m e th o d o l o g y fo r co n ti n u a l

i m p ro ve m e n t a n d l o we ri n g co sts b y re d u ci n g th e a m o u n t o f va ri a ti o n in

p ro ce ss o u tco m e s to a l e ve l su i ta b l e fo r th e g i ve n o rg a n i z a ti o n .

I t u se s a sta ti sti ca l a p p ro a ch to d e l i ve r i n fo rm a ti o n , wh i ch ca n be u sed to

m a ke fa ct-b a se d d e ci s i o n s.

Si x Si g m a sp e ci fi e s a fi ve - p h a se i m p ro ve m e n t cycl e , kn o wn a s D M AI C.

1 . D e fi n e th e p ro b l e m , th e vo i ce o f th e cu sto m e r a n d th e p ro j e ct g o a l s,

sp e ci fi ca l l y.

2. M e a su re ke y a sp e cts o f th e cu rre n t p ro ce s s a n d co l l e ct re l e va n t d a ta .

3. An a l yse th e d a ta to i n ve s ti g a te and ve ri fy ca u s e -a n d - e ffe ct

re l a ti o n sh i p s. D e te rm i n e wh a t th e re l a ti o n sh i p s a re , and a tte m p t to

e n su re th a t a l l fa cto rs h a ve been co n s i d e re d . S e e k o u t ro o t ca u se of

th e d e fe ct u n d e r i n ve sti g a ti o n .

1 68 IT Service Management for Small IT Teams

 Additional concepts

4. I m p ro ve o r o p ti m i z e th e cu rre n t p ro ce ss b a se d u pon d a ta a n a l ysi s

u si n g te ch n i q u e s su ch a s d e si g n o f e xp e ri m e n ts, poka–yoke or

m i sta ke p ro o fi n g , and s ta n d a rd wo rk to cre a te a n e w, fu tu re sta te

p ro ce s s. S e tu p p i l o t ru n s to e s ta b l i s h p ro ce ss ca p a b i l i ty.

5. Co n tro l th e fu tu re sta te p ro ce s s to e n s u re th a t a n y d e vi a ti o n s fro m

ta rg e t a re co rre cte d b e fo re th e y re su l t i n d e fe cts. I m p l e m e n t co n tro l

syste m s su ch a s sta ti sti ca l p ro ce s s co n tro l , p ro d u cti o n b o a rd s a n d

vi su a l wo rkp l a ce s, and co n ti n u o u s l y m o n i to r th e p ro ce s s.

E a ch p h a se h a s cl e a r o b j e cti ve s, ta sks a n d te ch n i q u e s. M a n y o f th e

te ch n i q u e s a re ‘ b o rro we d ’ fro m e xi sti n g i n d u stry kn o wl e d g e , o th e rs a re

m o re p ro p ri e ta ry.

IT Service Management for Small IT Teams 1 69

Appendix A Templates

A.1 Gap analysis checklist

IT Service Management for Small IT Teams 1 71

 1 72

Appendix A Templates
A. 2 Ri sk a ssessm en t

Ref. Asset Li kel i h ood I m pa ct S core Cl a ssi fi ca - As- Trea t- Post- Post- Post- Post-

ti on sess- m en t trea t- trea t- trea t- trea t-

m en t m en t m en t m en t m en t

l i kel i - i m pa ct score cl a ssi -

h ood fi ca -

ti on

1 Build- Fl ood i n g HIGH

ing of

bu i l d i n g
IT Service Management for Small IT Teams

2 Building M EDI U M

d e stro ye d

b y fi re

3 B ri e f LO W

p o we r

fa i l u re

4 Pro l o n g e d

p o we r

fa i l u re

5 O rg a n i z e d

en m a s se

th e ft o f

eq u i p-

m e n t su ch

a s PCs ,
IT Service Management for Small IT Teams
Ref. Asset Li kel i h ood I m pa ct S core Cl a ssi fi ca - As- Trea t- Post- Post- Post- Post-

ti on sess- m en t trea t- trea t- trea t- trea t-

m en t m en t m en t m en t m en t

l i kel i - i m pa ct score cl a ssi -

h ood fi ca -

ti on

phones,
servers
6 Prolonged
loss of
access to
building
due to
major
event such
as
industrial
action,
terrorism
or violent

A.2 Risk assessment

crime
7 Aircraft
impact
8 Vehicle
impact
1 73
 1 74

Appendix A Templates
Ref. Asset Li kel i h ood I m pa ct S core Cl a ssi fi ca - As- Trea t- Post- Post- Post- Post-

ti on sess- m en t trea t- trea t- trea t- trea t-

m en t m en t m en t m en t m en t

l i kel i - i m pa ct score cl a ssi -

h ood fi ca -

ti on

9 U se r I n d i vi d u a l

PCs a n d th e ft o f

p ri n te rs eq u i p-

m en t

1 0 H a rd wa re
IT Service Management for Small IT Teams

fa i l u re of

i n d i vi d u a l

PC, ph on e

o r p ri n te r

1 1 S e rve r Lo ca l i z e d

ro o m fi re

d e stro ys

se rve r

ro o m

1 2 B ri e f

p o we r

fa i l u re

1 3 Lo ca l i z e d

fl o o d i n g
IT Service Management for Small IT Teams
Ref. Asset Li kel i h ood I m pa ct S core Cl a ssi fi ca - As- Trea t- Post- Post- Post- Post-

ti on sess- m en t trea t- trea t- trea t- trea t-

m en t m en t m en t m en t m en t

l i kel i - i m pa ct score cl a ssi -

h ood fi ca -

ti on

14 Theft or
sabotage
15 Vehicle
impact
16 Overheat-
ing due to
air
condition-
ing failure

A.2 Risk assessment

1 75
 1 76
A.3 Supplier catalogue

Appendix A Templates
Sup- Third Con- Descrip- Process Ser- Writ- Re- Amount Meet- Main Com-
plier party tract tion inter- vice ten newal p.a. ing con- ments
man- face level con- date (ex fre- tacts
ager tract VAT) quency
IT Service Management for Small IT Teams
 A.4 Service catalogue

A. 4 S ervi ce ca ta l og u e

Ref. I T S ervi ce D escri pti on S ta tu s Ava i l a bl e

to

I CT0 1 S e rvi ce d esk Si n g l e poi n t Li ve Al l u se rs

o f co n ta ct

se rvi ce d e sk

fo r a l l u s e rs

a cro ss a l l IT

se rvi ce s, fo r

th e l og g i n g

o f:

• I n ci d e n ts

• S e rvi ce

re q u e s ts

• N on -

S ta n d a rd

Ch a n g e s

• Ad vi ce

and

g u i d a n ce

• An y o th e r

I T- re l a te d

i ss u e s

I CT0 2 I T p ro cu re m e n t Th e m a n a g ed Li ve Al l u se rs

p ro cu re m e n t

o f I T p ro d u cts

and se rvi ce s

i n cl u d i n g :

• O b ta i n i n g

p ri ci n g

and

a va i l a b i l -

i ty fo r

I T- re l a te d

i te m s

• O rd e ri n g

o f i te m s

• Tra cki n g

o f o rd e r

p ro g re s s

• Handling

o f o rd e r

d e l i ve ry

• (si g n i fi -

ca n t

IT Service Management for Small IT Teams 1 77

Appendix A Templates

Ref. I T S ervi ce D escri pti on S ta tu s Ava i l a bl e

to

p u rch a se s

to be

ro u te d vi a

th e

Pu rch a s-

ing Te a m )

I CT03 I T eq u i pm en t Th e Li ve Al l u se rs

l i fe cycl e i n s ta l l a ti o n ,

m o vi n g ,

ch a n g e and

d i s p o sa l of I T

e q u i p m e n t,

i n cl u d i n g :

D e skto p PCs

La p to p PCs

Pri n te rs

S ca n n e rs

Te l e p h o n e s

I CT04 D e skto p I n s ta l l a ti o n Li ve Al l u se rs

so ftwa re and

i n s ta l l a ti o n co n fi g u ra ti o n

o f d e skto p

so ftwa re on

th e S u p p o rte d

S o ftwa re Li st

(a va i l a b l e on

re q u e st)

I CT05 U se r a cco u n t Cre a ti o n , Li ve Al l u se rs

a d m i n i stra ti o n a m en d m en t

and d e l e ti o n

o f n e two rk

u se r a cco u n ts,

i n cl u d i n g

se t-u p of

a p p ro p ri a te

p e rm i ssi o n s

I CT06 Email Pro vi si o n of Li ve Al l u se rs

em a i l fa ci l i ty

to a l l o w th e

se n d i n g of

i n te rn a l and

e xte rn a l

e m a i l s,

1 78 IT Service Management for Small IT Teams

 A.4 Service catalogue

Ref. I T S ervi ce D escri pti on S ta tu s Ava i l a bl e

to

i n cl u d i n g vi ru s

sca n n i n g and

co n te n t

fi l te ri n g

I CT0 7 Fi l e and p ri n t Pro vi si o n of a Li ve Al l u se rs

fi l e sto ra g e

fa ci l i ty a n d

ce n tra l i z e d

p ri n te r

m a n a g em en t

I CT0 8 I n te rn e t a cce ss Pro vi si o n of a Li ve Al l u s e rs

fa ci l i ty fo r

a u th o ri z e d

u s e rs to a cce ss

th e i n te rn e t

in a m a n n er

co m p a ti b l e

wi th th e

i n te rn e t u s a g e

p o l i cy,

i n cl u d i n g

a n ti -vi ru s a n d

co n te n t

ch e cki n g

I CT0 9 We b si te Pro vi si o n of Li ve Cu s to m e rs

th e we b si te and th i rd

and p a rti e s

a sso ci a te d

m a i n te n a n ce

I CT1 0 I n tra n e t Pro vi si o n of Li ve Al l u se rs

th e i n tra n e t

and

a sso ci a te d

m a i n te n a n ce

IT Service Management for Small IT Teams 1 79

 1 80

Appendix A Templates
A. 5 S ervi ce i m provem en t l og

Ref. D a te S ou rce Acti on I T servi ce Req u i red Pri ori ty O wn er Prog ress S ta tu s

ra i sed req u i red m a n a g e- by i n cl u d i n g (open /

m en t a rea I S O 2 0000? d a tes cl osed

etc. )
IT Service Management for Small IT Teams
 A.6 Major Incident Report

A. 6 M a j or I n ci d en t Report

[I T D epa rtm en t]

M a j or i n ci d en t report

M a j o r i n ci d e n t ti tl e :

M a j o r i n ci d e n t d a te :

S e rvi ce d e sk re f:

Re p o rt a u th o r:

D a te o f re p o rt:

Ch ron ol og y of th e i n ci d en t

Wh e n wa s th e fi rst re l a te d i n ci d e n t re p o rte d ?

Wh e n wa s th e i n ci d e n t re co g n i z e d a s bei n g a m a j o r i n ci d e n t?

S ta te th e d a te and ti m e of a l l si g n i fi ca n t e ve n ts a n d a cti o n s ta ke n .

Wh e n wa s th e i n ci d e n t re so l ve d ?

Wh e n wa s th e m a j o r i n ci d e n t re co rd cl o s e d ?

Th e i m pa ct of th e i n ci d en t

Wh i ch s i te s a n d o r/a p p l i ca ti o n s we re d o wn ?

Wh a t b u si n e s s a cti vi ti e s co u l d n ot be ca rri e d o u t?

Ca n th e fi n a n ci a l co s t o f th e i n ci d e n t b e e sti m a te d ?

Th e u n d erl yi n g ca u se, i f kn own

Do we kn o w wh a t h a p p e n e d and wh y?

Wa s a p ro b l e m re co rd ra i se d ? I f so , sta te se rvi ce d e sk re fe re n ce .

Recom m en d a ti on s to l essen th e l i kel i h ood of th e i n ci d en t recu rri n g

Wh a t ca n be d on e to a vo i d i t h a ppen i n g again?

Wh o n e e d s to ta ke wh a t a cti o n ?

Re fe re n ce s o f a n y ch a n g e re q u e sts ra i se d .

Lesson s l ea rn ed

Wh a t co u l d we h a ve d on e d i ffe re n tl y?

Wh a t p ro ce ss i m p ro ve m e n ts h a ve been i d e n ti fi e d ?

H a ve th e y b e e n a d d ed to th e se rvi ce i m p ro ve m e n t p l a n ?

IT Service Management for Small IT Teams 1 81

Appendix A Templates

A. 7 S ervi ce i n trod u cti on ch eckl i st

N ew or ch a n g ed servi ce:

Com pl eted by:

D a te:

Ref. I tem Provi si on

1 Timescales and expected

outcomes
1 .1 When will the new or
changed service become
live?
1 .2 How long is it expected to
be operational for?
1 .3 What are the expected
outcomes of the new or
changed service?
1 .4 How can these be
measured?
2 Rol es a n d respon si bi l i ti es

2.1 List and describe the roles

and responsibilities for
implementing, operating
and maintaining the new
or changed service,
including activities to be
performed by customers
and third party suppliers
3 Bu d g ets

3.1 What are the ongoing

costs of the new or
changed service?
3.2 How will ongoing costs be
financed?
3.3 Have any required funds
been approved by the
budget holder?
4 S ta ff resou rces a n d

tra i n i n g

4.1 How much staff time will

be required to operate

1 82 IT Service Management for Small IT Teams

 A.7 Service introduction checklist

Ref. I tem Provi si on

and m a i n ta i n th e n ew or

ch a n g e d s e rvi ce ?

4. 2 H o w wi l l th i s i m p a ct o n

e xi s ti n g wo rkl o a d s ?

4. 3 Wh a t ski l l s m u s t th e y

h a ve ?

4. 4 Wh a t tra i n i n g has

b e e n /wi l l be p ro vi d e d ?

4. 5 I s a n y re cru i tm e n t

re q u i re d ?

5 D ocu m en ta ti on

5. 1 I s p ro ce d u ra l

d o cu m e n ta ti o n a va i l a b l e

fo r th e n e w o r ch a n g e d

se rvi ce ?

5. 2 H a s e xi s ti n g

d o cu m e n ta ti o n been

u p d a te d to ta ke a cco u n t

o f th e n e w se rvi ce ?

5. 3 H a ve re q u e s ts fo r ch a n g e

been ra i s e d and a p p ro ve d

fo r a l l ch a n g e s ta ki n g

p l a ce a s p a rt o f th e n ew

se rvi ce i m p l e m e n ta ti o n ?

6 Processes, m ea su res,

m eth od s a n d tool s

6. 1 Wh a t n e w/ch a n g e d

p ro ce sse s, m e a s u re s,

m e th o d s a n d to o l s wi l l be

u se d in co n n e cti o n wi th

th e n e w o r ch a n g e d

se rvi ce ?

6. 2 Ava i l a b i l i ty m a n a g e m e n t

(i n c. b a cku p s a n d b u si n e ss

co n ti n u i ty)

6. 3 Ca p a ci ty m a n a g e m e n t

6. 4 S e cu ri ty m a n a g e m e n t

6. 5 Co n fi g u ra ti o n

m a n a g em en t

6. 6 Re l e a se m a n a g em en t

6. 7 I n ci d e n t m a n a g e m e n t

IT Service Management for Small IT Teams 1 83

Appendix A Templates

Ref. I tem Provi si on

6.8 Probl em management

6.9 Financial management
6.1 0 Business rel ationship
management
6.1 1 Supplier management
7 Tech n ol og y ch a n g es

7.1 What technol ogy

(hardware, software,
network, etc.) does the
new or changed service
use?
7.2 Will each component be
under maintenance?
8 S ervi ce l evel s

8.1 What service l evel s are

proposed for the service?
8.2 Are they achievable?
8.3 What is the impact to the
service of not meeting
them?
8.4 H ow wil l they be
recorded and reported
upon?
8.5 Are they documented in
an SLA?
9 Con tra cts

9.1 What contracts with third

parties have been agreed?
9.2 H ave copies of any
contracts been filed in the
correct l ocation?
10 Com m u n i ca ti on

1 0.1 What relevant parties

need to be communicated
with as part of the
implementation?
1 0.2 Who wil l be the main
contacts once the service
is operational ?

1 84 IT Service Management for Small IT Teams

 A.7 Service introduction checklist

Ref. I tem Provi si on

1 0.3 How will communication

to the relevant parties be
achieved?
11 S ervi ce a ccepta n ce cri teri a

1 1 .1 What acceptance criteria

will be used for the
service to enter live
operation?
1 1 .2 Has an Operational
Acceptance Test plan been
created?
1 1 .3 Has testing taken place to
the satisfaction of all
parties?

IT Service Management for Small IT Teams 1 85

Appendix A Templates

A. 8 - I T S ki l l s Q u esti on n a i re exa m pl e

1 86 IT Service Management for Small IT Teams

Ap p e n d i x B Re fe re n ce s a n d u se fu l

so u rce s o f i n fo rm a ti o n

Yo u m a y fi n d th e fo l l o wi n g l i n ks u se fu l in fi n d i n g o u t m o re a bou t I T

se rvi ce m a n a g e m e n t.

Organization Website Description

I T S e rvi ce www. i tsm f. co m Th e i tS M F is an i n d epen d en t

M a n a g em en t and i n te rn a ti o n a l l y

F o ru m re co g n i z e d fo ru m fo r I T

s e rvi ce m a n a g em en t

p ro fe s si o n a l s wo rl d wi d e .

It is a p ro m i n e n t p l a ye r i n

th e on g oi n g d e ve l o p m e n t

and p ro m o ti o n o f I T se rvi ce

m a n a g e m e n t ‘ b e st p ra cti ce ’ ,

s ta n d a rd s a n d q u a l i fi ca ti o n s.

B ri ti s h www. b si g ro u p . co m D e ve l o p s s ta n d a rd s i n a wi d e

S ta n d a rd s va ri e ty o f a re a s i n cl u d i n g IT

I n s ti tu ti o n s e rvi ce m a n a g e m e n t;

re p re s e n ts th e U K on th e

re l e va n t I S O co m m i tte e s.

APM G ro u p www. a p m g - APM G h a n d l e s th e

i n te rn a ti o n a l . co m q u a l i fi ca ti o n and ce rti fi ca ti o n

s ch e m e s fo r I TI L a n d

I S O /I E C 2 0 0 0 0 i n th e UK and

o th e r co u n tri e s.

I n s ti tu te of www. i o sm . co m Th e I SM p ro vi d e s g u i d a n ce

S e rvi ce and su p p o rt to i n d i vi d u a l s

M a n a g em en t th ro u g h o u t th e I T se rvi ce

m a n a g e m e n t co m m u n i ty. It

a i m s to e n su re th a t

re q u i re m e n ts fo r

p ro fe s si o n a l i sm and e th i ca l

co n d u ct a re m a i n ta i n e d and

d e ve l o p e d in i ts m e m b e rs .

S e rvi ce D e sk www. sd i - A n o n - I TI L fo cu se d

I n s ti tu te e u ro p e . co m m e m b e rsh i p o rg a n i z a ti o n

IT Service Management for Small IT Teams 1 87

Appendix B References and useful sources of information

Organization Website Description

m a i n l y fo r se rvi ce d e sk

p ro fe ssi o n a l s.

I n te rn a ti o n a l www. i so . o rg Th e wo rl d ’ s l a rg e st d e ve l o p e r

O rg a n i z a ti o n and p u b l i sh e r o f

fo r i n te rn a ti o n a l sta n d a rd s. I SO

S ta n d a rd i z a ti o n is a n e two rk o f th e n a ti o n a l

sta n d a rd s i n sti tu te s o f 1 6 0

co u n tri e s, on e m em ber per

co u n try, wi th a Ce n tra l

S e cre ta ri a t i n G e n e va ,

S wi tz e rl a n d , wh i ch

co -o rd i n a te s th e syste m .

I n te rn a ti o n a l www. i e c. ch Th e wo rl d ’s l e a d i n g

E l e ctro te ch n i ca l o rg a n i z a ti o n fo r th e

Co m m i tte e p re p a ra ti o n and p u b l i ca ti o n

o f i n te rn a ti o n a l sta n d a rd s

fo r a l l e l e ctri ca l , e l e ctro n i c

and re l a te d te ch n o l o g i e s.

O ffi ce of www. o g c. g o v. u k Th e o wn e r o f I TI L a n d a

G o ve rn m e n t n u m b e r o f re l a te d m e th o d s

Co m m e rce su ch a s PRI N CE 2 .

1 88 IT Service Management for Small IT Teams

 I f yo u fo u n d th i s boo k u sefu l , yo u m ay al so wan t to bu y:

? A M an ag er’ s G u i d e to Servi ce M an ag em en t

Jenny Dugmore and Shirley Lacy

This book is intended to meet the need for a generic, broadly based book on service
management. It provides a basic introduction on how service management best practices
and standards can help a service provider to deliver services that add value for
customers at the right cost and risk. It describes service management concepts and the
broader service management landscape. The aim of this 6 th edition is to substantially re-
focus the 5 th edition to give a broader based picture of the most important service
management best practices, how they relate and how they can (or cannot) be used
together.
· A5 paperb ack · I SB N 978 0 580 72845 7 · 1 50 p p · £48. 00

· B SI o rd er referen ce: B I P 0005

Fo r m o re d etai l s see h ttp : //sh o p. bsi g ro u p. co m /I SO20000 M an ag ersG u i d e

? G u i d e to th e n ew I SO/I E C 2000-1 : Th e d i fferen ces between th e 2005

an d 201 1 ed i ti on s

Lynda Cooper
The new edition of ISO/IEC 20000-1 is substantially changed from the original edition
published in 2005. The changes will impact any organizations which are already certified
to this standard, those who are working towards certification. It will also impact those who
use the standard as guidance as well as auditors, trainers and consultants who use the
standard for their customers. This book will explain why the changes have been made,
what the changes are and how to move to the latest edition. It will also cover the
relationship of the standard to other standards.
· A4 Paperback · I SB N 978 0 580 72850 1 · 1 20p p · £36. 00

· B SI ord er referen ce: B I P 01 24

For m ore d etai l s see h ttp: //sh o p. bsi g ro u p. co m /I SO20000 Di fferen ces G u i d e

? I n trod u cti o n to th e I SO/I E C 20 000 seri es: I T Servi ce M an ag em en t

Jenny Dugmore and Shirley Lacy

The book forms the definitive guide to the second edition of
ISO/IEC 20000-1 . It provides easily understood advice on "what the requirements mean",
‘how to do it" and "what evidence will be required", and will predominantly explain and
expand on Part 1 of the standard. The book includes a road map to the second edition
and how it fits in the bigger picture for best practices.
· A5 paperback · I SB N 978 0 580 72846 4 · 236 p p · £48. 00

· B SI ord er referen ce: B I P 01 25

For m ore d etai l s see h ttp: //sh o p. bsi g ro u p. co m /I SO20000 I n tro d u cti o n